City of Anaheim
DEPARTMENT OF PUBLIC WORKS
May 9, 2025
SUBJECT: REQUEST FOR PROPOSALS (RFP) FOR ADDITIONAL ON-CALL
MATERIALS TESTING, DEPUTY INSPECTION, AND ENVIRONMENTAL
ENGINEERING & SCIENCE SERVICES FOR THE CONSTRUCTION OF
CAPITAL IMPROVEMENT PROJECTS
To Prospective Consultants:
The City of Anaheim (City) is seeking proposals from qualified technical professional firms to provide On-Call services for soils testing and inspection, geotechnical engineering, certified deputy building inspection, materials testing, and environmental engineering and science services for future City Capital Improvement Projects.
A substantial portion of assignments under this On-Call agreement will consist of covered “Project Work” as defined in the City’s Community Workforce Agreement (CWA) with the Los Angeles/Orange Counties Building and Construction Trades Council and the Signatory Craft Councils and Local Unions. Building/Construction Inspectors and Field Soils and Materials Testers (Inspectors) hired in support of Projects identified as covered “Project Work” are a covered craft under this Agreement and must comply with the CWA when applicable. The CWA is a pre-hire collective bargaining agreement that establishes labor relations procedures. The CWA is hereby incorporated into this RFP and any subsequent consulting agreement and can be downloaded at the City’s website at:
https://www.anaheim.net/DocumentCenter/View/40087/Amended-and-Restated-Community- Workforce-Agreement-Executed
The RFP is available online, and can be accessed at the link below:
https://procurement.opengov.com/portal/anaheim/projects/166623
Proposals shall be uploaded onto OpenGov as a complete electronic PDF. In addition, proposals shall be submitted via mail or dropped off to the following address in sealed envelopes labeled:
“Testing, Inspection Services, and Environmental Engineering and Science Services Proposals for Anaheim Public Works” with consultant’s name and address:
Attn: John Martin
City of Anaheim (Department of Public Works, 2nd Floor) 200 S. Anaheim Boulevard, Suite 276
Anaheim, CA 92805
Proposals and Exhibit A are due No Later than Thursday, June 12, 2025, at 5:00 pm.
The City of Anaheim appreciates your time and interest. If you have any questions or need additional information, please contact John Martin at (714) 765-5157.
Sincerely,
John Martin
Contract Administration
CITY OF ANAHEIM
DEPARTMENT OF PUBLIC WORKS
REQUEST FOR PROPOSAL
TO PROVIDE ADDITIONAL ON-CALL MATERIALS TESTING, DEPUTY
INSPECTION, AND ENVIRONMENTAL ENGINEERING & SCIENCE
SERVICES FOR THE CONSTRUCTION OF CAPITAL IMPROVEMENT
PROJECTS
May 2025
SUBMIT PROPOSALS TO
Department of Public Works- Construction Services
2nd Floor Engineering Counter
200 S. Anaheim Boulevard, Suite 276
Anaheim, CA 92805
Attn: John Martin
Contract Administration
Submit the original proposal, three (3) bound copies, and upload a complete electronic PDF version onto OpenGov.
https://procurement.opengov.com/portal/anaheim/projects/166623
REQUEST FOR PROPOSALS KEY DATES
Deadline to Submit Questions: Monday, June 2, 2025, 5:00 p.m.
Proposals Due: Thursday, June 12, 2025, 5:00 p.m.
TABLE OF CONTENTS
INTRODUCTION .............................................................................................................................................3 MINIMUM REQUIREMENTS.........................................................................................................................3 ADDENDUM ....................................................................................................................................................3 SCOPE OF SERVICES TO BE PROVIDED ...................................................................................................4 GENERAL INFORMATION............................................................................................................................6 INFORMATION TO BE INCLUDED IN THE PROPOSAL ..........................................................................7 ADDITIONAL SUPPLEMENTARY ITEM SUBMITTALS...........................................................................8 EVALUATION/SELECTION OF THE CONSULTANT ................................................................................8 ATTACHMENTS............................................................................................................................................10
CITY OF ANAHEIM
DEPARTMENT OF PUBLIC WORKS
REQUEST FOR PROPOSAL
TO PROVIDE ADDITIONAL ON-CALL MATERIALS TESTING, DEPUTY
INSPECTION, AND ENVIRONMENTAL ENGINEERING & SCIENCE SERVICES FOR
THE CONSTRUCTION OF CAPITAL IMPROVEMENT PROJECTS
INTRODUCTION
The City of Anaheim is interested in retaining services from qualified consulting engineering firms under contract to provide competent and experienced personnel to support a variety of activities on an “AS-NEEDED”, “ON-CALL”, “SHORT NOTICE” basis, to provide soil testing and inspection, geotechnical engineering, certified deputy building inspection, materials testing, and environmental engineering and science services for future City capital construction contracts.
The City will award agreements to provide the above services for the current two (2) year term.
The agreements may be renewed for a maximum of two (2) additional terms of two (2) years each, subject to satisfactory performance and at the sole discretion of the City. The current term of services is from May 2024 to May 2026, with the City’s option to extend through May 2028 and May 2030.
MINIMUM REQUIREMENTS
The Consultant must meet the following requirements for the Request For Proposal to be submitted for further evaluation. City may deem non-responsive a RFP that fails to meet the minimum requirements:
1. The Geotechnical Services project must be managed/supervised by a registered professional (i.e., Certified Engineering Geologist or Geotechnical Engineer).
2. The materials testing must be staffed with registered professionals (i.e., Certified Engineering Geologist or Geotechnical Engineer) and technicians experienced in such said required materials testing.
ADDENDUM
If it becomes necessary to revise any part of this RFP, an addendum to the RFP will be published and distributed via OpenGov. All addenda shall become a part of the RFP document requiring acknowledgment by the proposer.
SCOPE OF SERVICES TO BE PROVIDED
The comprehensive services to be provided under the agreements by the consultant firm or team will be in three major categories:
1) Soil engineering, testing, and inspection.
2) Deputy building inspection and materials testing.
3) Environmental engineering and science services.
Soil engineering, testing and inspection shall cover preliminary site investigations for roadway and building construction including analysis of site soils, foundation design, excavation and backfill, pavement thickness design and related information required for the design or construction of City facilities. It is preferred that the testing laboratory be a participant in the Cal-Trans Independent Assurance Program approved to perform testing on State Federal and Highway construction projects and possess certifications in AASHTO, ASTM, DSA, etc. These preferences are not intended to be all-inclusive – firms are invited to submit any certifications they possess which will assist the City in evaluating the firm’s qualifications and capabilities in performing the tasks outlined in this RFP. The testing requirements include field compaction and lab testing of soils, aggregates, asphalt and concrete. Inspection requirements include site inspection of grading, excavation, backfill, and aggregate and concrete placement operations during construction.
1. The building inspection requirements consist of providing certified deputy building inspection personnel, acceptable to and certified by the City of Anaheim Building Division, to inspect and certify various items and provide support sampling and testing, as required, to comply with Building Division requirements, including the latest edition of the CBC as adopted by the City of Anaheim Building Division. Include building inspection certifications such as OSHPD, IOR, DSA, ICC, or any other that will aid the City in evaluating the firm’s qualifications.
• If the consultant is not certified by the City of Anaheim Building Division at the time of submittal then the consultant will be responsible to obtain certification prior to the award of any work order that will require certification. The consultant should indicate in the proposal if any personnel already possess the certification.
2. Environmental engineering and science services shall consist of testing for hazardous materials such as lead, asbestos, PCB’s, and other contaminants. Services shall include sampling, testing, and monitoring of removal/remediation activities; environmental site assessment (ESA), and issuance of the final clearance report.
These services will be required on an “as needed” and/or on a “short notice” basis as ordered by the Department of Public Works’ Construction Services Division. A typical procurement of services under this agreement will consist of the Construction Services Principal Engineer or authorized representative providing a project scope consisting of plans, specifications, and proposed construction schedule. The Consultant shall submit a proposal based on the provided project documents with estimated services and hours of personnel and a not-to-exceed estimate. If acceptable, Anaheim’s representative will then issue written NTP to the selected consultant to
proceed with the Work Order.
The Consultant shall provide an Account Manager [single point of contact] to coordinate with the Principal Engineer or authorized representative. The Consultant’s Account Manager shall be accessible at all times during normal working hours. If at any time the level of performance falls below expectations, the City may release a Consultant’s employee and request another person be assigned as needed and shall be approved by the City of Anaheim prior to commencing any duties on the project. Continued poor performance may result in the termination of the consultant’s agreement at the City’s sole discretion. The Consultant’s Account Manager shall be responsible for all matters related to the Consultant’s personnel and operations, including but not limited to:
a. Assigning lead and supporting personnel to projects on an as-needed basis, etc. b. Administering personnel actions, etc.
c. Submitting resumes containing the qualifications and experience of the Consultant’s personnel, etc.
d. Responding to a variety of administrative requests from the Construction Services Division, i.e., billing questions, insurance renewals, etc.
•Account Management support duties will provide a single point of contact on behalf of the Consultant relative to all existing and potential future assignments, performance-related issues, billing questions, personnel-related matters, etc. under this agreement.
The Principal Engineer or Project Inspector will coordinate work in the field with the Consultant for individual Work Orders. As the work will most often be dependent on the construction contractor’s schedule, the Consultant must be available to accommodate service requests within 24 hours of the actual work to be performed. Emergency contact information must be included in the proposal. No additional compensation shall be provided for the short notice requests.
Services will be compensated on a per-item or per-hour basis for authorized tests or inspections. (See Exhibit “A” attached) Payment will be made on a monthly basis billed to the individual project for which services were performed. Invoices shall be submitted in a package including time sheets and daily reports.
In addition, a substantial portion of assignments under this On-Call agreement will consist of covered “Project Work” as defined in the City’s Community Workforce Agreement (CWA) with the Los Angeles/Orange Counties Building and Construction Trades Council and the Signatory Craft Councils and Local Unions. Building/Construction Inspectors and Field Soils and Materials Testers (Inspectors) hired in support of Projects identified as covered “Project Work” are a covered craft under this Agreement and must comply with the CWA when applicable. The CWA is a pre-hire collective bargaining agreement that establishes labor relations procedures. The CWA is hereby incorporated into this RFP and any subsequent consulting agreement, and can be downloaded at the City’s website at:
https://www.anaheim.net/DocumentCenter/View/40087/Amended-and-Restated-Community- Workforce-Agreement-Executed
Therefore, by responding to this solicitation, Consultants shall agree to be party to and bound by the CWA by signing a Letter of Assent (a form attached to the CWA as Attachment A) to comply with the terms of the Community Workforce Agreement (CWA) currently in place for covered “Project Work.” The City may amend the CWA to incorporate minor modifications after proposal submissions. The minor modifications are anticipated to make certain CWA requirements more accommodating without substantially changing the CWA’s terms and conditions. Minor modifications, if any, are anticipated to be finalized and incorporated into the CWA prior to award of these consulting agreements.
GENERAL INFORMATION
1. The Department of Public Works is preparing to hire consultants on an “On-Call as required on a short notice” basis with the total contract dollar amount not to exceed the project budget authorized by the City Council for any given year. In addition, no individual Work Order shall exceed the sum of $400,000, and the total amount paid under this agreement shall not exceed $1,000,000 per consultant per contract year.
2. This RFP does not commit the City to pay any cost incurred in the preparation of a response. In addition, the proposal should be limited to 10 double-sided pages, or 20 PDF sheets excluding the cover sheet, cover letter, table of contents, and appendices.
3. The Department of Public Works reserves the right to cancel the RFP at any time for any reason. All firms preparing a proposal will be notified of any change in the status of this RFP.
4. The insurance limits and terms anticipated under the Agreement are presently the City’s best estimates of what will be required under the insurance provisions of the Agreement.
Depending on the insurance market for some lines of coverage at the time this contract is finalized, the City reserves the right to negotiate, with the successful proposer, insurance limits which are below the minimums, or terms which are different, than those set forth in the RFP. The City’s standard insurance requirements are listed in Section 10 of the sample agreement attached.
5. The successful proposer shall be required to obtain a City Business License prior to award of Contract, and to maintain the license for the entire term of the Agreement. The Business License is not a prerequisite for submission of a proposal.
6. The successful proposer shall be required to file insurance coverage and provide indemnification and hold harmless provisions in favor of the City as described in Section 10 of the attached sample agreement. Any exceptions to the insurance and indemnification requirements shall be conspicuously highlighted in the Consultant’s solicitation response/submittal, as a deal breaker.
7. The Consultant is expected to establish and maintain a close working relationship with the Department of Public Works’ staff throughout the project(s). The selected consulting firm(s) shall maintain the same project manager/contact throughout the duration of the project, as specified in the proposal and approved by the Department of Public Works. In the event the authorized project manager terminates employment, the contracted firm shall make a demonstrated and concerted effort to maintain the initial manager in the key project
managerial position, unless extreme conditions prohibit continuance. The new project manager shall be approved by the City of Anaheim prior to commencing his duties on this project.
8. A provision for annual escalation of rates is included in the agreement and is based either on the increase in CPI for this market area or the increase in prevailing wage per classification over the previous contract term. Annual escalation may occur upon the yearly anniversary dates of contract execution. Consultant shall submit a request for rate increase, including supporting increase documentation, to the City for review upon yearly anniversary dates of contract execution.
9. Costs associated with dispatch and coordination shall be considered as overhead and included in the hourly rates of the personnel being dispatched.
10. Billing for field services performed shall correspond to actual hours of fieldwork performed plus drivetime to/from project. If City cancels request for work less than 24 hours from the requested arrival time, the consultant will be permitted to bill 2 hours.
INFORMATION TO BE INCLUDED IN THE PROPOSAL
1. The proposal shall contain the scope of services that your company provides and location of the laboratory and testing facility.
2. Indicate services or tests your firm would sub-contract, the subcontractor’s office location and key personnel. Any changes in sub-contractors after execution of the agreement will require prior written approval by the City.
3. Demonstrate field personnel’s construction site safety qualifications and training. Include certificates in the appendix as applicable (confined space entry, shoring, trenching and excavation, etc.).
4. Proposals shall contain a section speaking to the organizational structure of the firm’s personnel (include organizational chart) and proposed procedure for day-to-day coordination and dispatching of service requests received from the City under this agreement. Bidders shall identify a Project Manager who will be responsible for supervising and/or coordinating the activities under this agreement per Section 5.1 of the attached sample consulting agreement.
5. Testing, investigations, and reports shall be conducted under the direction and responsibility of a registered engineer or geologist in the State of California authorized to conduct such tests or investigations.
Demonstrate understanding and ability to conform to testing and inspection requirements as outlined in City of Anaheim’s Public Works Quality Assurance Program Manual (QAP). See attached Exhibit “B”.
6. Demonstrate understanding and ability to conform to Caltrans’ LAPM federal funding requirements pertaining to testing and inspection.
7. Demonstrate understanding and ability to conform to the terms of the City’s Community Workforce Agreement (CWA) for covered “Project Work”. Include any previous project
experience working with similar community workforce agreements or project labor agreements.
Provide three (3) past and present working references for your firm including the scope of work, date, name, email address, and telephone number of the client contact. Also, provide a complete list of other municipalities in California utilizing your geotechnical services and materials testing services over the past five (5) years.
8. Proposals shall contain an appendix with any additional information and backup documentation for your proposal that would be of benefit to the City in analyzing your firm’s capability to provide quality services to the City of Anaheim. At a minimum, the appendix shall contain:
a. Resumes for personnel responsible for managing and supervising the designated service facility; in addition, include certifications for both personnel and laboratory testing.
ADDITIONAL SUPPLEMENTARY ITEM SUBMITTALS
1. Provide your firm’s most recent financial statements. Respondents may either email an electronic PDF version of financial statements directly to the City Contact ([email protected]) or mail a hard copy to the City Contact. Electronic or hard copies of financial statements must be received by the City on the RFP Deadline.
2. Prior to the proposal deadline, mail one (1) physical copy with a wet signature of the firm’s Authorized Representative of the Fee schedule for basic testing and inspection services and conditions for such charges. Any additional conditions or exclusions must be included in the provided “additional comments:” fields, and are subject to approval by the City (See Exhibit “A” attached). Fees shall include the appropriate prevailing wage rate for each classification as determined by the Department of Industrial Relations.
EVALUATION/SELECTION OF THE CONSULTANT
Each proposal submitted must fully address the proposer’s ability to deal with the various items for which it desires to be considered in the RFP. The proposer’s degree of experience, knowledge and ability to perform regarding these items will form the basis for evaluation.
A. Review Process
A Review Board will:
1. Review the proposals received to determine compliance with the RFP format requirements. Proposals that meet the format requirements are then evaluated and scored on the basis of the below scoring distribution.
Select the best-qualified firms for interviews if interviews are deemed necessary.
2. Upon conclusion of the interviews, rank the Consultants based on the following criteria. a. Ability of the Consultant to perform the specific tasks outlined in the RFP. (15%)
b. Qualifications of the firm and the specified individuals who will work on the
project. (30%)
c. Reasonableness of the fee requested to do the work. (10%) d. Demonstrated overall competence by the Consultant on work previously performed for the City and/or other municipalities or enterprises. (30%) e. The specific methods, techniques, and proposed communication plan to be employed by the Consultant on the project. (10%)
f. Demonstrated ability to complete projects and/or respond to a service request in a timely manner. (5%)
B. Rejection of Proposals
No minimum or maximum number of selected consultants is guaranteed, and the City reserves the right to reject any or all proposals when such rejection is in the best interest of the City.
City also reserves the right to waive any minor irregularities or technicalities in proposal documents at the City’s sole discretion. All costs incurred in the preparation of the proposal, in the submission of additional information and/or in any other aspect of a proposal prior to the award of a written contract will be borne by the respondent. The City will only provide the staff assistance and documentation specifically referred to herein, and will not be responsible for any other cost or obligation that may be incurred by the respondent. All proposals submitted to the City shall become the property of the City of Anaheim.
C. Solicitation Response
All information submitted for evaluation will be considered official information acquired in confidence, and the City will maintain its confidentiality to the extent permitted by law.
The solicitation responses are to be prepared in the prescribed format and submitted no later than 5:00 p.m. Thursday, June 12th, 2025 to:
City of Anaheim-Public Works Department
2nd Floor Engineering Counter
200 South Anaheim Boulevard, Suite 276
Anaheim, CA 92805
Attn: John Martin
Contract Administration
D. Deliverables
•Three (3) bound copies and one (1) electronic copy (uploaded on OpenGov) of the proposal; https://procurement.opengov.com/portal/anaheim/projects/166623 •The firm’s recent financial statements via email to the contract administrator prior to the deadline listed above.
•One (1) original physical copy with a wet signature of the firm’s Authorized Representative of the Fee schedule via mail at the address listed on page 9.
The City reserves the right to reject any or all submitted proposals, and no representation is made that any contract will be awarded pursuant to this Request for Proposal. All costs incurred in the preparation of the Proposal, in the submission of additional information, and/or in any other aspect of a Proposal prior to the award of a written contract will be borne by the respondent. The City will provide only the staff assistance and documentation specifically referred to herein and will not be responsible for any other cost or obligation that may be incurred by the respondent. All proposals submitted to the City shall become the property of the City.
Should you require clarification on matters regarding this request for proposal, please contact John Martin at (714) 765-5157.
Sincerely,
John Martin
John Martin
Contract Administration
[email protected]
ATTACHMENTS
•Exhibit A-Fee Schedule
•Exhibit B-City of Anaheim QAP
•Exhibit C-Sample Agreement
•Exhibit D-Community Workforce Agreement for the City of Anaheim
EXHIBIT A
FEE SCHEDULE
Exhibit “A”
Firm: ________________________
Date:_________________________
FEE SCHEULDE
FOR ANNUAL CONTRACT SERVICES TO THE
CITY OF ANAHEIM
Exhibit A Fee Schedule
(to be included in the proposal)
Contact Information
Provide contact information for the firm’s designated Account Manager, who shall be available at all reasonable times to coordinate services, as well as any additional personnel as necessary. Organization of the firm’s personnel and procedures for coordinating services should be more fully described in the proposal document.
ACCOUNT MANAGER*: Click or tap here to enter text. TITLE: Click or tap here to enter text.
PHONE: Click or tap here to enter text. EMAIL ADDRESS:Click or tap here to enter text.
SECONDARY CONTACT PERSON: Click or tap here to enter
text.
TITLE: Click or tap here to enter text.
PHONE: Click or tap here to enter text. EMAIL ADDRESS:Click or tap here to enter text.
TERTIARY CONTACT PERSON: Click or tap here to enter
text.
TITLE: Click or tap here to enter text.
PHONE:Click or tap here to enter text. EMAIL ADDRESS:Click or tap here to enter text. *Single point of contact, shall be always accessible during normal working hours Additional Comments: Click or tap here to enter text.
Personnel
PRINCIPAL ENGINEER/GEOLOGIST $ Click or tap here to enter text. PER HOUR* PROJECT ENGINEER/GEOLOGIST $ Click or tap here to enter text. PER HOUR* FIELD TECHNICIAN/SUPERVISOR $ Click or tap here to enter text. PER HOUR* FIELD TECHNICIAN [e.g Materials, Soils, etc.]
{A/C, Soil Concrete, Agg. Base Rebar, etc.}
$ Click or tap here to enter text. PER HOUR*
REGISTERED DEPUTY INSPECTOR $ Click or tap here to enter text. PER HOUR* ENVIRONMENTAL ENGINEERING & SCIENCE SERVICES $ Click or tap here to enter text. PER HOUR* LABORATORY TECHNICIAN $ Click or tap here to enter text. PER HOUR GEOTECHNICAL AIDE $ Click or tap here to enter text. PER HOUR* DRAFTSPERSON $ Click or tap here to enter text. PER HOUR CLERICAL PERSONNEL $ Click or tap here to enter text. PER HOUR PROCESSING MILL CERTIFICATES {rebar/structural steel,
etc.}
$ Click or tap here to enter text. EACH
*{Vehicle Charge, Trip Charge, Travel Time, Dispatch/Coordination, Mileage, Daily Reports, and Field Testing Equipment/Tools shall be included in the overhead portion of the hourly rate, and no time shall be charged for these activities}
Additional Comments: Click or tap here to enter text.
Basis of Charges
Overtime will be billed at Enter multiplier here times the appropriate hourly rate for time more than eight hours per day and for work performed on Saturdays. Charges for work performed on Sundays and /or holidays will be billed at Enter multiplier here times the appropriate hourly rates.
Additional comments: Click or tap here to enter text.
Exhibit “A”
Firm: ________________________
Date:_________________________
FEE SCHEULDE
FOR ANNUAL CONTRACT SERVICES TO THE
CITY OF ANAHEIM
Exhibit A Fee Schedule
(to be included in the proposal)
Laboratory Charges
COMPACTION TEST (ASTM D1557 {3-point}) $ Click or tap here to enter text. EACH COMPACTION TEST (CALIFORNIA METHOD 216) $ Click or tap here to enter text. EACH COMPACTION TEST (1-POINT VERIFICATION (ASTM D1557) $ Click or tap here to enter text. EACH MOISTURE CONTENT $ Click or tap here to enter text. EACH MOISTURE & DENSITY $ Click or tap here to enter text. EACH SEIVE OF HYDROMETER ANALYSIS $ Click or tap here to enter text. EACH SEIVE & HYDROMETER ANALYSIS COMBINED $ Click or tap here to enter text. EACH SAND EQUIVALENT $ Click or tap here to enter text. EACH COLLAPSE POTENTIAL $ Click or tap here to enter text. EACH CONSOLIDATION (WITH TIME RATE) $ Click or tap here to enter text. EACH** CONSOLIDATION (WITHOUT TIME RATE) $ Click or tap here to enter text. EACH** DIRECT SHEAR (FAST) $ Click or tap here to enter text. EACH** DIRECT SHEAR (SLOW) $ Click or tap here to enter text. EACH** DIRECT SHEAR (RESIDUAL) $ Click or tap here to enter text. EACH** ** ADD $ Click or tap here to enter text. FABRICATION CHARGE FOR TESTS ON REMODLED SPECIMENS ATTERBERG LIMITS (LL & PL ONLY) $ Click or tap here to enter text. EACH EXPANSION INDEX $ Click or tap here to enter text. EACH HVEEM STABILIMETER (R-VALUE) TEST $ Click or tap here to enter text. EACH WATER-SOLUBLE SULFATE $ Click or tap here to enter text. EACH CONCRETE/MORTAR CYLINDER COMPRESSION TEST $ Click or tap here to enter text. EACH*** ASPHALT CONCERTE MAXIMUM DENSITY TEST $ Click or tap here to enter text. EACH ASPHALT CONCRETE EXTRACTION/GRADATION TEST $ Click or tap here to enter text. EACH ASPHALT CONCRETE STABILITY TEST $ Click or tap here to enter text. EACH *** INCLUDES MOLDS, REPORTS AND PICK UP CHARGES
Additional Comments: Click or tap here to enter text.
General Inspection/Testing Services
PLEASE SUBMIT AN EXPANDED SCHEDULE OF FEES FOR ANY ADDITIONAL TESTS OFFERED BY THE FIRM THAT ARE NOT INDICATED ABOVE. THE DOCUMENT SHALL NOT CONTAIN ANY
ADDITIONAL EXCLUSIONS OR CONDITIONS, AND IN THE EVENT OF ANY DISCREPANCIES BETWEEN THESE TWO DOCUMENTS, THIS EXHIBIT “A” WILL TAKE PRECEDENCE. THE CHARGE
FOR ANY TESTS/SERVICES NOT INDICATED WILL BE BILLED AT THE LESSER OF THE RATES ON THE EXPANDED FEE SCHEDULE [on file] OR AT COST + Enter rate % Additional comments: Click or tap here to enter text.
Exhibit “A”
Firm: ________________________
Date:_________________________
FEE SCHEULDE
FOR ANNUAL CONTRACT SERVICES TO THE
CITY OF ANAHEIM
Exhibit A Fee Schedule
(to be included in the proposal)
EQUIPMENT/SUPPLY CHARGES
ORGANIC VAPOR METER $ Click or tap here to enter text. PER DAY
BRASS SAMPLE TUBES W/TEFLON LINES & PLASTIC CAPS
(2.5” DIA. X 6” LONG)
$ Click or tap here to enter text. EACH
DRILL RIG/BULLDOZER/BACKHOE, SAMPLE TUBES, MISC.
SERVICES (AIRPHOTOS, CHEMICAL LABORATORY TESTING,
ETC.),
CORING PORTLAND CEMENT CONCRETE OR ASPHALT
CONCRETE
PAVEMENT
COST+ Click or tap here to enter text. %
Additional comments: Click or tap here to enter text.
MISCELLANEOUS EXPENSES, if APLLICABLE
JOB-RELATED EXPENSES (PERMITS, OUTSIDE PRINTING SERVICES, ETC.) WILL BE BILLED AT COST + Click or tap here to enter text. %
IN HOUSE REPORT REPRODUCTION WILL BE BILLED AT COST + Click or tap here to enter text. % FAX OR EMAIL TRANSMISSIONS WILL BE AT NO COST.
ANY MISCELLANEOUS EXPENSES MUST BE PRE-APPROVED BY THE CITY AND CHARGES MUST BE ACCOMPANIED BY SUBSTANTIATING BACKUP (INVOICES, RECEIPTS, ETC.) Additional comments: Click or tap here to enter text.
SHOW UP CANCELLATION CHARGE
TWO (2) HOURS WILL BE CHARGED FOR EACH SERVICE REQUEST CANCELED LESS THAN 24 HOURS FROM THE REQUESTED ARRIVAL TIME AT SITE OR BY DISPATCH NOTIFICATION.
CALL OUT CHARGE
THE MINIMUM CALL-OUT CHARGE WILL BE TWO (2) HOURS. HALF-HOUR INCREMENTS WILL BE CHARGED FOR SERVICES PROVIDED OVER TWO (2) HOURS (ROUND TO NEAREST HALF HOUR). DO NOT INCLUDE TRIP TIME.
INSURANCE
COST OF THE REQUIRED INSURANCE COVERAGES UNDER THE CONTRACT AGREEMENT WITH
THE CITY OF ANAHEIM, IS INCLUDED IN FEES LISTED HEREIN
GENERAL COMMENTS: Click or tap here to enter text.
Signature-Authorized Representative
Click or tap here to enter text.
Title
Click or tap here to enter text.
Date
EXHIBIT B
CITY OF ANAHEIM QAP
2 INTRODUCTION
A Quality Assurance Program (QAP) consists of an Acceptance Program and an Independent Assurance (IA) Program that will provide assurance that the materials and workmanship incorporated into a construction project are in conformance with the contract specifications. A QAP should be updated as needed, and at least once every five years.
When transportation projects are constructed on the National Highway System (NHS), it is required by federal regulations that each State Transportation Department (STD) has a QAP that meets federal requirements.
There are no federal QAP regulations for local agency administered Federal -aid projects off the NHS.
However, to ensure that a local agency is a good steward of public funds and to ensure that the materials and workmanship incorporated in a construction project are in conformance with the contract specifications, the use of a QAP is essential. Consequently, Caltrans has included the requirement in the Local Assistance Procedures Manual that every local agency receiving funds for a Federal -aid transportation project must have a QAP.
For projects on the State Highway System (SHS), the Caltrans QAP shall be adopted. For projects off the SHS, this manual provides guidelines that the City of Anaheim can use for all Federal -aid projects off the SHS, which would include agency transportation projects off the NHS and the essential connecting roads on the NHS that are off the SHS.
PURPOSE
The purpose of this program is to provide assurance that the materials incorporated into the construction projects are in conformance with the contract specifications. This program will apply to design -bid-build (DBB) and design -build projects. Design Build Entities are subject to requirements of the QAP. This program shall be updated every five years or more frequent if there are changes of the testing frequencies or to the tests themselves. To accomplish this purpose, the following terms and definitions will be used:
DEFINITION OF TERMS
• Acceptance Testing (AT) – Sampling and testing, or inspection, to determine the degree of compliance with contract requirements.
• Independent Assurance Program (IAP) – City v erification that AT is being performed correctly by qualified testers and laboratories.
• Quality Assurance Program (QAP) – A sampling and testing program that will provide assurance that the materials and workmanship incorporated into the construction project are in conformance with the contract specifications. The main elements of a QAP are the AT, and IAP.
• Source Inspection – AT of manufactured and prefabricated materials at locations other than the job site, generally at the manufactured location.
MATERIALS LABORATORY
The City of Anaheim uses private consultant materials laboratories to perform AT on Federal-aid and other designated projects. The materials laboratory shall be under the responsible management of a California Registered Engineer with experience in sampling, inspection and testing of construction materials. The Engineer shall certify the results of all tests performed by laboratory personnel under the Engineer’s supervision. The materials laboratory shall contain certified test equipment capable of performing the tests conforming to the provisions of this QAP.
3 The materials laboratory used shall provide documentation that the laboratory complies with the following procedures:
1. Correlation Testing Program – The materials laboratory shall be a participant in one or more of the following testing programs:
a. AASHTO Materials Reference Laboratory (AMRL)
b. Cement and Concrete Reference Laboratory (CCRL)
c. Caltrans’ Reference Samples Program (RSP)
d. ASTM International
2. Certification of Personnel – The materials laboratory shall employ personnel who are certified by one or more of the following:
a. Joint Training and Certification Program (JTCP)
b. Caltrans District Materials Engineer.
c. Nationally recognized non -Caltrans organizations such as the American Concrete Institute, Asphalt Institute, National Institute of Certification of Engineering Technologies, etc. d. Other recognized organizations approved by the State of California and/or Recognized by local governments or private associations.
3. Laboratory and Testing Equipment – The materials laboratory shall only use laboratory and testing equipment that is in good working order. All such equipment shall be calibrated at least once each year or frequently required by manufacturer or test method . All testing equipment must be calibrated by impartial means using devices of accuracy traceable to the National Institute of Standards and Technology. A decal shall be firmly affixed to each piece of equipment showing the date of the last calibration. All testing equipment calibration decals shall be checked as part of the IAP.
ACCEPTANCE TESTING (AT)
AT will be performed by a materials laboratory certified to perform the required tests. The tests results will be used to ensure that all materials incorporated into the project are in compliance with the contract specifications.
Testing methods will be in accordance with the C altrans Methods or a national recognized standard (i.e., AASHTO, ASTM, etc.) as specified in the contract specifications.
Sample locations and frequencies shall be in accordance with the contract specifications. If not so specified in the contract specifications, samples shall be taken at the locations and frequencies as indicated in the QAP per Exhibit 16-R or the Supplementary Frequency Table.
Should test results output a failing test, the testing methodology and locations will be evaluated, and a sufficient number of retests will be completed to determine if the failure is consistent. If so, corrective action will be taken.
Samples will be logged in a testing results summary log per Exhibit 16 -Z2 or similar form.
FREQUENCY TABLES
The “Frequency Tables” ( Exhibit 16-R and Supplementary Frequency Table ) provide a guide for sampling and testing required for various materials and products for AT . Close adherence to the sample size
4 requirement avoids the unnecessary delay and expense of obtaining supplementary samples to complete the tests.
The frequency of sampling is intended as a guide under normal conditions. Material well within specifications and uniform in character may result in less frequent sampling and testing when approved by the Agency. However, borderline materials may need an increase in the frequency of testing to assure specification compliance. Any deviation from the prescribed frequency must be noted and explained in the material testing records. When materials are being furnished intermittently, with interruptions of several days or weeks, the frequency of sampling and testing should be increased to assure that specification materials are being incorporated into the work.
Whenever failures occur, sufficient additional acceptance tests should be taken to isolate the affected work.
Documentation of the results of such additional tests shall be included in the records, including a description of the corrective measures taken.
The “Frequency Tables” include sampling required for process control (potential source) tests of various materials.
Relatively minor quantities of construction materials may be accepted without testing provided acceptance conforms to the conditions stated below in paragraphs l and 2. Generally, this provides for accepting minor quantities of materials from a commercial source that is known to be a supplier of specification material.
1. The Resident Engineer, on the basis of a visual examination, may accept minor quantities of materials without testing provided the source of the supplies has recently furnished similar materials found to be satisfactory using normal sampling and testing requirements.
2. Acceptance of a product may be established on the basis of certification by the manufacturer or supplier that the material furnished complies with all specification requirements when approved by the Agency.
Documentation for acceptance of material as described in paragraphs l and 2 above must be provided and included in the project records. Documentation should include statements in the project inspector’s reports that clearly indicate conditions under which the material was accepted (e.g., description, quantity, location, where placed, certification numbers and/or other accompanying data).
The following list suggests approximate maximum quantities of materials that may be accepted under the conditions indicated above:
• Aggregates other than for use in Portland Cement Concrete --not to exceed 100 tons per day or more than 500 tons per project.
• Bituminous mixtures--not to exceed 50 tons per day. Sample at Engineer’s discretion, if project total is less than 500 tons.
• Bituminous material--not to exceed 100 gallons per project.
• Paint--not to exceed 20 gallons per project. Acceptance to be based on weights and analysis on container.
• Masonry items -- check dimensions of products for specification compliance and uniformity of manufacture.
• Non-reinforced or clay pipe--not more than 100 linear feet.
5 For typical projects, of size and quantities, in the City of Anaheim, the following “Frequency Table” shall be the material sampling and testing minimum standard. A Material Testing Final, (bound/stamped), Lab Report is to be supplied to the Resident Engineer and retained in the project records.
Asphalt Concrete Pavement
• Plant inspection for daily quantities of 500 tons or more. o 1 per project minimum.
Laboratory Test Required:
o Aggregate prior to mixing, Per 1000 Tons
▪ % Crushed Particles, per CTM 205
▪ Sieve Analysis, per CTM 202
▪ Sand equivalent, per CTM 217
o Combined Mixture, Per 1000 Ton
▪ Stabilometer, per CTM 304 and 366
▪ Asphalt Oil Content, per CTM 382
▪ Maximum Density, per CTM 304 and 308
▪ Air Voids per CTM 367
o Liquid Asphalt
▪ Certificate of Compliance
Field Compaction:
o Tests shall be at 200’ to 400’ intervals in each lane paved. Tests shall be taken in each layer placed.
o Test shall be performed in compliance with per CTM 375.
Aggregate Base/Subbase
Laboratory Tests Required:
The following test shall be provided for each product type and source. A minimum of one set of tests per project and one set for every 1000 tons of product. o Sieve Analysis, per CTM 202
o R-Value, per CTM 301
o Sand equivalent, per CTM 217
o Relative Compaction, per CTM 231
Field Compaction, Trench Line/Structural:
o Test shall be at 200’ intervals every 2’ vertically starting at pipe spring -line or 2’ above bottom of footing. Sub-grade, tests every 5000 square feet (typical every 400’ per lane).
Test shall be performed in accordance with ASTM D 1556 or ASTM D 6938.
Portland Cement Concrete
Structural Components, Tests Required:
The following test shall be provided for each product type and source. A minimum of one set of tests per project and one set for every 1000 cubic yards of product.
For each set of cylinders, the fresh concrete shall be sampled per ASTM C172, specimens prepared per ASTM C31 and tested for Slump per ASTM C143. o Coarse Aggregate
▪ Cleanness Value per CTM 227
6 ▪ Percentage Wear per ASTM C131
▪ Specific Gravity per ASTM C127
o Fine Aggregate
▪ Sand Equivalent pet CTM 217
o Combined Mix
▪ Sieve Analysis per CTM 202
Cylinders for compressive strength, 1 set ( 5 cylinders minimum, to be tested at 1, 2, 5, (7 or 14), and 28 days after sample collection, or as directed by the Resident Engineer ) per day when volume exceeds 25 cu. yds . 1 set per project minimum required. 1 set per 150 cu. yds. or fraction thereof for each day of work. Compression tests shall be performed as ASTM C39.
Non-Structural Components, Tests Required:
o Coarse Aggregate per 300 cu. yds.
▪ Cleanness Value
o Fine Aggregate per 300 cu. yds.
▪ Sand Equivalent
o Combined Mix per 300 cu. yds.
▪ Sieve Analysis
Cylinders for compressive strength, 1 set ( 3 cylinders minimum, to be tested at 7, 14, and 28 days after sample collection, or as directed by the Resident Engineer ) per day when volume exceeds 75 cu. yds. 1 set per project minimum required.
Reinforced Concrete Pipe
• Reinforced concrete pipe for quantities over 100 LF of 30” diameter or larger , witnessed D-load testing at the plant and visual inspection by a City Inspector or authorized inspection laboratory .
INDEPENDENT ASSURANCE PROGRAM (IAP)
IAP shall be provided by personnel from Caltrans, the Agency’s certified materials laboratory, or consultant’s certified materials laboratory. IAP will be used to verify that sampling and testing procedures are being performed properly and that all testing equipment is in good condition and properly calibrated.
IAP personnel shall be certified in all required testing procedures, as part of IAP, and shall not be involved in any aspect of AT. IAP shall ensure that:
• Technician Certification records are compiled and recorded • Laboratory Accreditation/Qualifications are compiled and recorded • All equipment decals meet the requirements
o Equipment Identification Number
o Calibration Date
o Calibration Expiration/Due
o Calibrator Name/Company Name
•
IAP shall be performed on every type of materials test required for the project. Proficiency tests shall be performed on Sieve Analysis, Sand Equivalent, and Cleanness Value tests. All other types of IAP shall be witness tests.
Poor correlation between acceptance tester’s results and tests completed under the IAP may indicate probable deficiencies with the acceptance sampling and testing procedures. In cases of unresolved discrepancies, a complete review of AT shall be performed by IAP personnel, or an independent materials
7 laboratory chosen by the Agency. IAP samples and tests are not to be used for determining compliance with contract requirements. Compliance with contract requirements is determined only by AT.
REPORTING ACCEPTANCE TESTING RESULTS
The following are time periods for reporting material test results to the Resident Engineer:
• When the aggregate is sampled at material plants, test results for Sieve Analysis, Sand Equivalent and Cleanness Value shall be submitted to the Resident Engineer within 24 hours after sampling.
• When materials are sampled at the job site, test results for maximum density -shall be submitted to the Resident Engineer within 24 hours after sampling.
• When soils and aggregates are sampled at the job site:
(1) Test results for Sieve Analysis, Sand Equivalent and Cleanness Value shall be submitted to the Resident Engineer within 72 hours after sampling.
(2) Test results for “R”, SValue, and asphalt concrete extraction shall be submitted to the Resident Engineer within 96 hours after sampling.
When sampling products such as Portland Cement Concrete (PCC), cement -treated base (CTB), hot mix asphalt (HMA), and other such materials; the time of such sampling shall be varied with respect to the time of the day insofar as possible, in order to avoid a predictable sampling routine. The reporting of AT results, if not performed by the Resident Engineer’s staff, shall be done on an expedited basis such as by e-mail, fax or telephone.
TESTING OF MANUFACTURED MATERIALS
Prior to use in construction , the Project Engineer may submit a “Source Inspection Request” ( Attached Exhibit 16 -W of the LAPM) to the Agency for inspection and testing of manufactured and prefabricated materials by their materials laboratory. A list of materials that can be typically accepted on the basis of certificates of compliance during construction is found in (Attached Exhibit 16 -T1 and 16 -T2 of the LAPM). All certificates of compliance shall conform to the requirements of the contract specifications, for examples see ( Attached Exhibit J ).
For Federal -aid projects on the National Highway System (NHS), Caltrans will assist in certifying the materials laboratory, and the acceptance samplers and testers. For Federal -aid projects off the NHS, Caltrans may be able to assist in certifying the materials laboratory, and the acceptance samplers and testers.
Materials Requiring a Buy America Certification
Iron and steel, manufactured products, and construction materials permanently incorporated into the project must comply with Buy America requirements per 23 CFR 635.410 and Section 70914 of the Build America, Buy America (BABA) Act. All steel and iron products must be delivered with a COC stating all manufacturing processes involved in the production of the products occurred within the United States .
PROJECT CERTIFICATION
Upon completion of a Federal -aid project, a “Materials Certificate" shall be completed by the Resident Engineer. The Agency shall include a “Materials Certificate” in the Report of Expenditures submitted to the Caltrans District Director, Attention: District Local Assistance Engineer. A copy of the “Materials Certificate” shall also be included in the Agency’s construction records. The Resident Engineer in charge of the construction function for the Agency shall sign the certificate. All materials incorpora ted into the work which did not conform to specifications must be explained and justified on the “Materials
8 Certification”, including changes by virtue of contract change orders. See (Attached Exhibit 17 -G of the LAPM).
RECORDS
All material records of samples and tests, material releases and certificates of compliance for the construction project shall be incorporated into the Resident Engineer’s project file. If a Federal-aid project:
• The files shall be organized as described in Section 16.8 “Project Files” of the Local Assistance Procedures Manual. See (Attached Exhibit W, City of Anaheim Department of Public Works Organization of Project Files).
• It is recommended that the complete project file be available at a single location for inspection by Caltrans and Federal Highway Administration (FHWA) personnel.
• The project files shall be available for at least three years following the date of project’s Notice of Completion filing date
• The use of a “Log Summary,” as provided in the Material Testing Final Report, facilitates reviews of material sampling and testing by Caltrans and FHWA, and assists the Resident Engineer in tracking the frequency of testing.
When two or more projects are being furnished identical materials simultaneously from the same plant, it is not necessary to take separate samples or perform separate tests for each project; however, copies of the test reports are to be provided for each of the projects to complete the records.
EXHIBIT 16-R
I
Local Assistance Procedures Manual Exhibit 16-R
Sampling and Testing Frequency
Exhibit 16-R Sampling and Testing Frequency Table
for projects OFF the SHS
Sample for Local Agency QAPs
Sampling and Testing Frequency Table
for projects OFF the SHS.
HOT MIX ASPHALT (HMA) / ASPHALT CONCRETE (AC)
Quality Characteristic Test Method Minimum Sampling and Testing Frequency Location/Time of Sampling Aggregate Gradation (Sieve) CT 202
1 Per 1000 Tons or Part Thereof ; Minimum 1 per day during At Plant Per CT 125 (a) Sand Equivalent CT 217 Asphalt Binder Content CT 382
production/placement of at least 300 tons per day.
Loose Mix Behind Paver Per CT 125
In-Place Density and Relative Nuclear (b) 1 Per 1000 Tons or Part Thereof ; Minimum 1 per day during production/placement of at least 300 tons per day. (b) Random Locations Per CT 375 (c Compaction (Nuclear ) CT 375 or ASTM D2950 (c Theoretical Maximum Specific Gravity
and Density (Rice)
CT 309
1 Per Day During Production/Placement of At Least 300 Tons Per Day Loose Mix Behind Paver Per CT 125 HMA Moisture Content CT 226 or CT 370 Stabilometer Value (d) CT 366
Asphalt Binder Sample per Section 92 Sample 1 min. per day for production over 300 tons per day; See (f) regarding testing. At Plant Per CT 125
Smoothness 12-foot Straightedge As necessary to confirm contract compliance. Final Pavement Surface (a) Exact tonnage of sample location to be determined by Random Sampling Plans (b) Compaction determined by Neclear Density Device. Core testing required if compaction fails the neclear test (c) Correlation between core densities and nuclear device required only if compaction fails the nuclear test (d) Report the average of 3 tested briquettes from a single split source (e) Use CT 309 to determine maximum theoretical density in lieu of CT 367 calculated maximum theoretical density (f) No testing required unless warranted by concern ; sample and store until completion of project January 2018
I
Local Assistance Procedures Manual Exhibit 16-R
Sampling and Testing Frequency
SUBGRADE (DISTURBED BASEMENT SOIL) OR EMBANKMENT
Quality Characteristic Test Method Minimum Sampling and Testing Frequency Location/Time of Sampling Maximum Density and Relative
Compaction CT 216/CT 231 1 Min. Test per 5000 sq ft under vehicle traveled way and shoulder 1 Min. Test Per 300 linear foot under sidewalk
Random locations as determined by
the Engineer in place after
compaction.
AGGREGATE BASES AND SUBBASES, IMPORTED BORROW
Quality Characteristic Test Method Minimum Sampling and Testing Frequency Location/Time of Sampling Sample from site stockpile/plant prior
to placement.
Sieve Analysis CT 202
1 Min. Test Per Material Source R-Value CT 301
Sand Equivalent CT 217
Maximum Density and Relative
Compaction CT 216/CT 231 1 Min. Test per 5000 sq ft
Random locations as determined by
the Engineer in place after
compaction.
STRUCTURE BACKFILL, SELECT BACKFILL
Quality Characteristic Test Method Minimum Sampling and Testing Frequency Location/Time of Sampling Sieve Analysis CT 202
1 Min. Test Per Material Source Sample from site stockpile/plant prior to placement R-Value CT 301
Sand Equivalent CT 217
Maximum Density and Relative
Compaction CT 216/CT 231 1 Min. Test Per 2 Vertical Lifts of Placement Random locations as determined by
the Engineer in place after
compaction.
January 2018
Local Assistance Procedures Manual Exhibit 16-R
Sampling and Testing Frequency
Quality Characteristic Minimum Sampling and Testing Frequency Quality Characteristic Minimum Sampling and Testing Frequency Test Method Location/Time of Sampling
Test Method Location/Time of Sampling
Quality Characteristic
Minimum Sampling and Testing Frequency
PORTLAND CEMENT CONCRETE (PCC) - STRUCTURAL AND SIGNAL/LIGHTING FOUNDATIONS
COARSE AGGREGATE
Sieve Analysis CT 202
Sample from site stockpile/plant prior 1 min. test per 500 cu yds and per each material source ; 1 min. test on to placement smaller projects; If bridge, 1 min. set per separate pour per Cleanness Value CT 227 abutment/pier/deck.
FINE AGGREGATE
Sieve Analysis CT 202
Sample from site stockpile/plant prior 1 min. test per 500 cu yds and per each material source ; 1 min. test on to placement smaller projects; If bridge, 1 min. set per separate pour per Sand Equivalent CT 217 abutment/pier/deck.
WET MIX
Test Method Location/Time of Sampling
Slump/Penetration CT 533 2 per day
Sample from truck/work site 1 min. set of 3 per day; If bridge, 1 min. set per separate pour of Cylinders CT 539/540 abutment/pier/deck.
January 2018
SUPPLEMENTARY
FREQUENCY
TABLE
SLURRY SEAL TESTING
Aggregate Quality Control
Quality characteristic Test method Minimum sampling
and testing frequency Requirements
Los Angeles Rattler loss
(max, %) At 500 rev California Test 211 1st day of production 35 Percent of crushed
particles (min, %) AASHTO T 335 1st day of production 95 Sand equivalent (min) California Test 217 1 per working stockpile per day
45 (Type I) / 55 (Type II)/ 60
(Type III)
Durability (min) California Test 229 1st day of production 55 Gradation (% passing by
weight) California Test 202 1 per working stockpile
per day See Caltrans STD
Moisture content, from
field stockpile (%) AASHTO T 255a 1 per working stockpile per day
Quick-Setting Asphaltic Emulsion
Quality characteristic Test method Minimum testing
frequency
Sampling
location Requirements
Saybolt Furol Viscosity, at 25 °C
(Saybolt Furol seconds)
AASHTO T 59 Minimum 1 per day
per delivery truck Delivery truck
15 - 90
Sieve test (%) < 0.3
Storage stability, 1 day (%) < 1
Residue by distillation (%) > 57
Particle charge Positive
Tests on Residue from Distillation Test:
Penetration, 25 °C AASHTO T 49
Minimum 1 per day
per delivery truck Delivery truck
40 - 90
Ductility, 25 °C, mm AASHTO T 51 >400
Solubility in trichloroethylene, % AASHTO T 44 >97
References
Caltrans Standard Specifications (2024 Edition)
Best Practices for Slurry Surfacing Systems, prepared by Emulsion Task Force (ETF) for the AASHTO TSP-2, dated February 15, 2022
EXHIBIT 16-Z2
~
Exhibit 16-Z2 Local Assistance Procedures Manual
Acceptance Testing Result Summary Log
Exhibit 16-Z2 Acceptance Testing Results Summary Log
Project Name: __________________________________________________________ Test Method Name: ___________________ Test Method Number: ___________________ Contract Number: _______________________________________________________ Test
Number Date Sampled Name of Sampler or Tester Production Test Results Remarks Tester Certification on file? Location (Stations, depths, etc) Production Quantity Represented Required Result Actual Result Pass/Fail Include action taken for any failing test result; note test number of any retest.
1 2
3 4
5 6
7 8
9 10
11 12
13 14
15 16
17 18
19 20
21 22
23 24
25
January 2018
EXHIBIT 16-W
Local Assista nce Procedures Manual EXHIBIT 16-W
Source Inspection Request to TransLab
SAMPLE COVER MEMO
SOURCE INSPECTION REQUEST
FROM LOCAL AGENCY'S RESIDENT ENGINEER TO CALTRANS' OFFICE OF MATERIALS
ENGINEERING AND TESTING SERVICES
(Prepared by Applicant on Applicant Letterhead)
To: Office ofMateria ls Engineering & Testing Date: ___________ _ Services, MS #5
California Department of Transportation
5900 Folsom Blvd.
Sacramento , CA 95819
EA: _______________ _
Proj~Number: ___________ _
Project Description: _______________________________ _
Subject:
We are requesting that Caltrans provide Source Inspection (reimbursed) services for the above -mentioned project. We requested and received prior authorization for this service from our district Local Assistance Engineer, as noted by the attached approval memo from District Local Assistance Engineer .
Please find the following documents enclosed as required:
1. CompletedCEM -3101
2. One set of PS&E
Any question you might have about the materials , to be inspected, shou ld be directed to:______________ , at _______ _
(Applicant Representative Name)
(Title)
(Local agency, name & address)
LPP 05-03 November 23, 2005
EXHIBIT 16-T1
Local Assistance Procedures Manual Exhibit 16-T1
Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Exhibit 16-T1: Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Caltrans 2018 Standard
Specifications
Material Additional Info and/or
Attachments Required*
6-1.04 BUY AMERICA
6-1.04B Crumb rubber COC
6-1.04C Steel and iron materials COC + cert. mill test reports 11-2 WELDING QUALITY CONTROL
11-2.03D Welding COC
12-3 TEMP. TRAFFIC CONTROL DEVICES
12-3.03A(3) Plastic traffic drums COC
12-3.20A(3) Type K temporary railing COC
12-3.23A(3) Attenuator COC
12-3.32A(3) Portable CMS COC
13-2 WATER POLLUTION CONTROL PROGRAM
13-9 TEMP. CONCRETE WASHOUTS
13-9.01C Fabric bags for gravel-filled bags COC
Plastic liner COC
13-10 TEMP. LINEAR SEDIMENT BARRIERS
13-10.01C Fiber rolls COC
Silt fence fabrics COC
Sediment filter bags COC
Foam barriers COC
Fabric for gravel-filled bags COC
16-2.03 TEMP. HIGH -VISIBILITY FENCES
16-2.03A(3) High-visibility fabric COC
18 DUST PALLIATIVES
18-1.01C Dust suppressant COC
Dust control binders COC
Fibers COC
20 LANDSCAPE
20-2 IRRIGATION
20-2.08A(3) Polyethylene pipe COC
Plastic pipe supply line COC
* For those materials requiring additional information on or with the COC, see specification. Page 1 of 8 January 2021
Local Assistance Procedures Manual Exhibit 16-T1
Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Caltrans 2018 Standard
Specifications
Material Additional Info and/or
Attachments Required*
20-3 PLANTING
20-2.08A(3) Sod COC
Soil amendment COC
20-5 LANDSCAPE ELEMENTS
20-5.03A(1)(c) Filter fabric COC + product data
20-5.03D(1)(c) Solidifying emulsion COC + product data & samples 20-5.04A(3) Wood mulch COC + sample & authorization
21-2 EROSION CONTROL WORK
21-2.01C(1) Straw COC
Weed-free straw COC + cert. of quarantine
Fiber COC
RECP COC
Fasteners COC
Hydraulically applied erosion control materials Submit records 21-2.01C(2) Compost Submit reports
21-2.01C(3) Seed Submit reports
21-2.01C(4) Tackifier COC
Bonded fiber matrix COC
24 STABILIZED SOILS
24-1.01C(1) Stabilizing agent COC + sample
24-3 CEMENT STABILIZED SOIL
24-3.01C Cement COC + sample
36-2 BASE BOND BREAKER
36-2.01C Base bond breaker COC
37 BITUMINOUS SEALS
37-1.01C Asphalt binder COC + test results
Asphalt emulsion COC + test results
37-3 SLURRY SEALS AND MICRO-SURFACINGS
37-3.01A(3) Asphaltic emulsion COC + samples & test results Polymer modified asphaltic emulsion COC + samples & test results Micro-surfacing emulsion COC + sample & test results
37-2.04 ASPHALT RUBBER BINDER CHIP SEALS
37-2.04A(3) Asphalt rubber binder ingredients COC + permits & submittals * For those materials requiring additional information on or with the COC, see specification. Page 2 of 8 January 2021
Local Assistance Procedures Manual Exhibit 16-T1
Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Caltrans 2018 Standard
Specifications
Material Additional Info and/or
Attachments Required*
37-5 PARKING AREA SEALS
37-5.01C Parking area seal material COC + sample & test results 37-6 CRACK TREATMENTS
37-6.01C Crack treatment materials COC or sample & test results 39-2 HOT MIX ASPHALT
39-2.01A(3)(f) Liquid antistrip COC + sample & production data 39-2.03A(3)(c) Crumb rubber modifier COC + test results Asphalt modifier COC + test results
39-2.05A(1)(c) Asphaltic emulsion COC + test results
40 CONCRETE PAVEMENT
40-1.01C(2) Tie bars COC
Splice couplers for threaded bars COC
Dowel bars COC
Tie bar baskets COC
Joint filler COC
Epoxy-powder coating COC
41 EXISTING CONCRETE PAVEMENT
41-5 JOINT SEALS
41-5.01C Liquid joint sealant COC + SDS & instructions
Backer rods COC + SDS & instructions
Compression joint seal COC + SDS & instructions
Lubricant adhesives COC + SDS & instructions
41-10 DRILL AND BOND BARS
41-10.01C Tie bars COC
Dowel bars COC
Dowel bar lubricant COC
Chemical adhesive COC
Epoxy powder coating COC
48-2 FALSEWORK
48-2.01C(1) Structural composite lumber COC + submittals 49-2 DRIVEN PILING
49-2.02A(3)(d) Steel pipe piles COC + tests & mill reports 49-2.03A(3) Structural shape steel piling COC + test reports * For those materials requiring additional information on or with the COC, see specification. Page 3 of 8 January 2021
Local Assistance Procedures Manual Exhibit 16-T1
Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Caltrans 2018 Standard
Specifications
Material Additional Info and/or
Attachments Required*
51 CONCRETE STRUCTURES
51-1.01C(3) Bonding materials COC or sample & authorization 51-2 JOINTS
51-2.01A(3) Polyethylene material for snowplow deflectors COC 51-2.02B(1)(c) Sealant COC + test reports & samples
51-2.02C(1)(c) Elastomeric joint seal COC + test reports Lubricant-adhesive COC + test reports
51-2.02D(1)(c) Joint seal materials COC + authorization 51-2.02E(1)(c)(iii) Joint seal assembly materials COC
51-2.02F(1)(c)(iv) Material used in the joint seals COC + test reports 51-2.04A(3) Waterstop material COC + a statement
51-3 BEARINGS
51-3.02A(3)(c) Elastomer for bearing pads COC + test reports 51-4 PRECAST CONCRETE MEMBERS
51-4.01C(1) Concrete box culvert COC
52 REINFORCEMENT
52-1.01C(3) Reinforcement (rebar) COC + mill test report 52-2 EPOXY-COATED REINFORCEMENT
52-2.02A(3)(c) Epoxy-coated reinforcement COC + submittals Patching material COC + a statement
52-5.01C(4) Headed bar reinforcement COC + test reports 52-6 SPLICING
52-6.01C(5) Service or butt splice material COC + submittals 54 WATERPROOFING
54-3 PREFORMED MEMBRANE WATERPROOFING
54-3.01C Preformed membrane sheet COC + report
54-5 DECK SEAL
54-5.01C Preformed membrane sheet COC + report
57-2 WOOD STRUCTURES
57-2.01A(3) Timber and lumber COC + report
Glued laminated timbers/decking COC
57-3 PLASTIC LUMBER STRUCTURES
57-3.01C(1) Plastic lumber COC + test report & sample
* For those materials requiring additional information on or with the COC, see specification. Page 4 of 8 January 2021
Local Assistance Procedures Manual Exhibit 16-T1
Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Caltrans 2018 Standard
Specifications
Material Additional Info and/or
Attachments Required*
58-2 MASONRY BLOCK
58-2.01C(7) CMUs COC
Aggregate for grout COC
Grout COC
59 STRUCTURAL STEEL COATINGS
59-1.01C Blast cleaning material COC + SDS
59-5 THERMAL SPRAY COAT STRUCTURAL STEEL
59-5.01C(1) Wire feedstock COC
60-3.04B POLYESTER CONCRETE OVERLAYS
60-3.04B(1)(c) Methacrylate resins COC + samples & test report Polyester resins COC + samples & test report
Aggregates COC + samples & test report
61-2 CULVERT AND DRAINAGE PIPE JOINTS
61-2.01C Joint systems COC + test results & reports
Couplers COC
64 PLASTIC PIPE
64-1.01C Plastic pipe COC + report
65-2 REINFORCED CONCRETE PIPE
65-2.01C RCP, direct design method COC + report
66 CORRUGATED METAL PIPE
66-1.01C Corrugated steel materials COC
Corrugated aluminum materials COC
67-3 METAL LINE PLATE PIPE
67-3.01C Metal liner plate pipe COC + mill test reports 68 SUBSURFACE DRAINS
68-1.01C Subsurface drain COC
68-2 UNDERDRAINS
68-2.01C Pipe COC
Tubing COC
Fittings COC
68-7 GEOCOMPOSITE DRAIN SYSTEMS
68-7.01C Geocomposite drain COC + flow capability graph * For those materials requiring additional information on or with the COC, see specification. Page 5 of 8 January 2021
Local Assistance Procedures Manual Exhibit 16-T1
Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Caltrans 2018 Standard
Specifications
Material Additional Info and/or
Attachments Required*
69 OVERSIDE DRAINS
69-1.01C Steel pipe piles COC
Aluminum COC
Plastic COC
70-6 GRATED LINE DRAINS
70-6.01C Grated line drains COC + docu. & inspec. report 71-3.09 MACHINE SPIRAL WOUND PVC PIPELINERS
71-3.09A(1)(c) Reel of PVC strip COC + report
72-16 GABIONS
72-16.01C Gabion basket COC
PVC coating COC + identify
75-3 MISCELLANEOUS BRIDGE METAL
75-3.01C(1) Anchorage devices COC
75-3.01C(2) BRIDGE DECK DRAINAGE SYSTEM
75-3.01C(2) Fiberglass pipe and fittings COC
80-3 CHAIN LINK FENCES
80-3.01C Protective coating system COC
Posts and braces COC + test results
81 MISCELLANEOUS TRAFFIC CONTROL DEVICES
81-2 DELINEATORS
81-2.01C Metal target plates COC
Enamel coating COC
81-3 PAVEMENT MARKERS
81-3.01C Pavement markers COC
82 SIGNS AND MARKERS
82-2 SIGN PANELS
82-2.01C Aluminum sheeting COC
Retroreflective sheeting COC
Screened-process colors COC
Nonreflective, opaque, black film COC
Protective overlay film COC
* For those materials requiring additional information on or with the COC, see specification. Page 6 of 8 January 2021
Local Assistance Procedures Manual Exhibit 16-T1
Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Caltrans 2018 Standard
Specifications
Material Additional Info and/or
Attachments Required*
82-5 MARKERS
82-5.01C Metal target plates COC
Enamel coating COC
Retroreflective sheeting COC
83-3 CONCRETE BARRIERS
83-3.01C Type 60K portable concrete barrier COC or test reports 84-2 TRAFFIC STRIPES AND PAVEMENT MARKINGS
84-2.01C Thermoplastic COC + autho., SDS & data sheet
Paint COC + autho., SDS & data sheet
Glass beads COC + autho., SDS & data sheet
Thermoplastic primer COC + test results
DIVISION X ELECTRICAL WORK
86-1.01C(6) Signal heads COC + test data
Visors COC + test data
87-2 LIGHTING SYSTEMS
87-2.01C High mast lighting luminaires COC + test data
90 CONCRETE
90-1.01C(3) Cementitious materials COC + app. signature Blended cement COC + app. signature
90-1.01C(4) Admixture COC + authorization
90-1.01C(5) Curing compound COC + test samples
90-2 MINOR CONCRETE
90-2.01C Minor concrete COC + weighmaster cert
90-3 RAPID STRENGTH CONCRETE
90-3.01C(3) Aggregate COC + certified weight
Cementitious materials COC + certified weight
Admixtures COC + certified weight
90-4 PRECAST CONCRETE
90-4.01C(2) and
90-4.01D(2)(a)
Cementitious materials COC + app. signature
Precast members (each) COC + app. signature
Curing compound COC + test samples
94 ASPHALTIC EMULSIONS
94-1.01C Asphaltic emulsion COC + reports
* For those materials requiring additional information on or with the COC, see specification. Page 7 of 8 January 2021
Local Assistance Procedures Manual Exhibit 16-T1
Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Caltrans 2018 Standard
Specifications
Material Additional Info and/or
Attachments Required*
95 EPOXY
95-1.01C Epoxy COC
96 GEOSYNTHETICS
95-1.01C(1) Geosynthetic COC + test samples
* For those materials requiring additional information on or with the COC, see specification. Page 8 of 8 January 2021
EXHIBIT 16-T2
Local Assistance Procedures Manual Exhibit 16-T2
Materials Requiring a Certificate of Compliance per the Greenbook Greenbook 2018
Materials Requiring a Certificate of Compliance or Certified Test Reports Material Section # Section Title Additional Comments
1 4-5 Certificate of Compliance General Requirements
2 Weighing and Metering Equip. 4-7 Weighing and Metering Equipment Engineer to "approve" prior to operation. 3 Cement 201-1.21 Cement
4 Fly Ash 201-1.2.5.3 Fly Ash Specific language/info required on the COC.
Must also submit test data upon request.
5 Pozzolans 201-1.2.5.4 Class N Pozzolans Specific language/info required on the COC.
Must also submit test data upon request.
6 Joint Sealant , Type E 201-3.9 Test Report and Certification Specific language/info required on certified test reports. 7 Curing Compound 201--4.3 Test Report and Certification Must submit certified test report upon request. 8 Paving Asphalt 203-1.3 Test Report and Certification Specific language/info required on certified test reports. 9 Liquid Asphalt 203-2.2 Test Report and Certification Specific language/info required on certified test reports. 10 Microsurfacing Emulsion (MSE) 203-3.5 Certificate of Compliance With each load. Must also submit test data upon request. 11 Latex 203-10.2.2 Latex Specific language/info required on the COC. 12 Asphalt Rubber Hot Mix (ARHM) 203-11.2 Materials Must also submit test reports with the COC. 13 Crumb Rubber Modifier (CRM) 203-11.2.3.1 General (Crumb Rubber Modifier) Specific language/info required on the COC. 14 Treated Wood 204-2.4 Quality Control Specific language/info required on the COC. 15 Structural Steel , Rivets, Bolts, Pins
206-1.1.2 Certification Specific language/info required on certified test reports. 16 Gray Iron and Ductile Iron Castings 206-3.4.2.1 General (Tensile Testing) Must also submit test reports with the COC. 17 Gray Cast Iron Castings 206-3.4.2.2 Gray Cast Iron Castings Specific language/info required on the COC and must submit certified test results.
18 Ductile Iron Castings 206-3.4.2.3 Ductile Iron Castings Specific language/info required on the COC and must submit certified test results.
19 Corrugated Steel Pipe, pipe arches. 207-11.2.1 General (Materials)
January 2020
Local Assistance Procedures Manual Exhibit 16-T2
Materials Requiring a Certificate of Compliance per the Greenbook 20 Structural Steel Products 207-12.2.1 General (Materials) Specific language/info required on the COC. 21 Structural Aluminum Products 207-14.2.1 General (Materials) Specific language/info required on the COC. 22 PVC Pipe 207-17.4.1 General (Test Requirements)
23 PolyPropylene Pipe 207-25.6.1 General (Man. Facility Testing) 24 Materials used in Sewers 211-2 Chemical Resistance (Pickle Jar) Test Specific language/info required on the COC. 25 Viscometer Calibration 211-4.2 Calibration
26 Engineering Geosynthetics 213-1 General (Engineering Geosynthetics) Specific language/info required on the COC. 27 Traffic Paint, Thermo and Markers 214-2 Test Reports And Cert. of Compliance Specific language/info required on certified test reports OR COC
28 Precast Reinforced Concrete Box 216-8 Basis of Acceptance 29 Fiberglass Standards 700-3.3.4 Fiberglass Standards Specific language/info required on the COC and test reports. 30 Conductors for Series Circuits, 5000V 700-4.2.2 Conductors for Series Circuits 31 Conductors and Cable 700-5.3.1 General (Conductors and Cable) 32 Lamp Receptable Conductors 700-5.5.7 Electrical Components COC Required if required information is not marked on the insulation.
33 LED Signal Modules 700-5.5.11.8 Certificate of Compliance 34 LED Pedestrian Signal Module 700-5.6.6.7 Certificate of Compliance
January 2020
EXHIBIT J
EXHIBIT 17-G
□
□
Local Assistance Procedures Manual Exhibit 17-G
Materials Certificate
Exhibit 17-G: Materials Certificate
MATERIALS CERTIFICATE
CITY/COUNTY LETTERHEAD
(Sample)
Date:
Federal-Aid Project Number:
Caltrans File Category 61:
Job Stamp:
Subject: MaterialsCertification
This is to certify that:
The results of the tests on acceptance samples indicate that the materials incorporated in the construction work and the construction operations controlled by sampling and testing were in conform ity with the approved plans and specifications.
Ex
ceptions to the plans and specifications are explained on the back of this memorandum (or on attached sheet).
No exceptions to the plans and specifications were found.
Signature of local agency engineer in responsible charge of project and title Distribution: (For all projects ) 1) Local agency Project Files (original) 2) DLAE (1 copy in Report of Expenditures)
(For projects on the NHS) 3) FHWA (1 copy)
January 2022
EXHIBIT W
City of Anaheim
DEPARTMENT OF PUBLIC WORKS
ORGANIZATION OF PROJECT FILES
PROJECT:
RCP No.:
ACCT. No.:
CONTRACTOR:
CONTRACT ADMIN:
INSPECTOR:
Contract AdminResident EngineerInspector
ADVERTISEMENT/BID/AWARD
1 Notice to Bid
2 Plans, Specs, Proposal, Cost Estimate, Addendum
3 Contractor proposal
4 Contractor's license verification (from State Licensing board) 5 DIR check of Prime and subs (from website)
6 Bid Summary sheet ("bid tabs")
7 City Council Meeting Agenda
8 Staff Report
9 DIR project # as assigned by DIR
10 FEDERAL: Award package with RE Checklist (received from PW Design)
CONTRACT
1 NOA - Notice of Award letter
2 Original wet-signed executed Contract, Bonds and Insurance 3 Letter from City Attorney sending executed agreement to Contractor 4 Project transfer memo (only PW Design projects)
5 Account Breakdown (only PW Design projects)
6 Account Encumbrance sheet signed by PM, Accounting and Manager (only PW projects) 7 Encumbrance sheet sent to Finance
8 FEDERAL: Project staff list/flow chart
PRE-CONSTRUCTION
1 Pre-con meeting agenda and notes
2 Pre-con sign in sheet
* 3 Emergency Contract list (per Peggy's memo)
* 4 Construction Schedule (Reviewed by RE)
* 5 Schedule of Values
6 Letter from Contractor designating person to sign EWO/CCO * 7 (WPCP) or (SWPPP and NOI) -Executed
* 8 Traffic Control Plan
9 Permits: RCP or R/W, Building, GRA, Caltrans, etc.
* 10 Project notification flyer
11 Project on anaheim.net website (See Patrick)
* 12 NTP - Notice to Proceed
13 Affidavit of Posting and photo of wage posting
14 USA Notification Number
15 FEDERAL: List of Sub-Contractor (Form CEM-1201 or Exhibit 16B) 16 CDBG: List of all Sub-Contractor
* Contract Admin to provide a copy to Inspector
CONSTRUCTION
1 Correspondence (scope, schedule, change, cost)-may be included with EWO back-up 2 Weekly Statement of Working Days signed by Inspector and RE 3 RFI
4 Submittals -material tester (keep them copied) (reviewed by RE) 5 SWPPP (if applicable)
6 Weekly Reports, Quarterly Reports, Annual Reports, NOT 7 Survey cut sheets
8 Inspector Daily Inspection Reports
9 Manpower & Equipment Listing by Contractor (List of Names of Workers) 10 Bid Item Quantity Sheets
Completed Daily as work is done (as related to progress payments) 11 Progress Payment Sheets
12 Non-conformance letters
13 Special/deputy inspection reports
14 Building Certifications (if applicable)
Pad, Survey certifications
15 Construction progress and final photos
MATERIAL DOCUMENTS
1 City QA/QC Policy (QAP)
2 Final Geotech report
3 Tester Certificate of Proficiency (From TL-011)
4 109 Certificates (Plant Scales AC & PCC)
5 Report of Inspection of Materials
6 Material Certificates of Compliance
7 Mix Designs (in submittals)
8 Field Testing Data
9 Compaction Test - Soil & AC
10 Plant Inspection - AC & PCC
11 Daily AC, AB & PCC Delivery Tickets
12 FEDERAL: Material Certificate (Exhibit 17-G)
FEDERAL: Buy America Compliance letter from Contractor/Certificate of Compliance
CLOSE-OUT
1 Punch list
2 Leter of acceptance
3 Notice of completion
PAYMENT
1 Progress Payment (signed) including approved back up
2 Geotech proposal
3 Geotech/Material testing invoices
4 Consultant (CM) proposal
5 Consultant (CM) invoices
EXTRA WORK ORDERS (EWO) OR CONTRACT CHANGE ORDERS (CCO) 1 Contractor Request for Change
2 Written Notice to Contractor to Proceed with Work
3 Executed EWO
4 Back-up
5 Indepdent Engineer's cost estimate
6 Executed CCO
7 Back-up
8 Independent Engineer's cost estimate
9 Staff Report
10 Daily Work Tickets from Contractor (Labor, Material & Equipment Used) if T&M Invoice from Contractor with all necessary backup docs if T&M
ALL FEDERAL PROJECTS
LABOR COMPLIANCE
1 Posting Sheet (Form 7-CO-99)
2 Weekly Status of Contractors & Subcontractors on the Contract 3 Certified Payrolls (Prime & Sub-contractors) - on Federal, otherwise with DIR 4 Fringe Benefit Statements (Form HC-50)
5 Apprenticeship Agreements
6 Employee Interview (Form HC-31)
FEDERAL FORMS/EXHIBITS
Exhibit 15-G DBE Bidding Commitment (provided by PW Design at award) Exhibit 15-H Good Faith Effort (provided by PW Design at award) Exhibit 16-B Subcontracting Request (Contractor to complete at prior to construction) Exhibit 16-Z Monthly DBE Trucking (Contractor to complete at end of construction) Exhibit 17-O DBE Certification
Exhibit 17-F Final Report - Utilication of DBE - First Tier FHWA-1391 EEO Annual Report (completed in July if project is active) check on 16I 16T TL0113
16D 17G
EXHIBIT 16-S
Local Assistance Procedures Manual Exhibit 16-S
Caltrans Test Method- ASTM Test Method Conversion Chart
January 2018
CALTRANS TEST METHOD - ASTM TEST METHOD CONVERSION CHART Testi
ng Procedures - for local agency use only
Use
this CTM - ASTM conversion chart to assist you in determining acceptance test requirements and frequencies, as detailed in Caltrans Construction Manual Chapter 6, “Sa
mpling and Testing.” Refer to the Agency, special provisions, contract plans, and applicable standard specifications, for correct sampling and test methods (ASTM-CTM).
CTM ASTM Book of
Standar
TEST PROCEDURE NOTE
S
105 Calculations Pertaining to Gradings and Specific Gravities 2 125 Sampling Highway Materials (when approved)
D75 4.02 Standard Practice for Sampling Aggregates 3
D979 4.03 Practice for Sampling Bituminous Paving Mixtures 3 201 Soil & Aggregate Sample Preparation
C702 4.02 Reducing Field Samples of Aggregate to Testing Size 13 202 Sieve Analysis of Fine and Coarse Aggregate
C136 4.02 Sieve Analysis of Fine and Coarse Aggregate
C117 4.03 Material Finer Than 75-um (#200) Sieve in Mineral Aggregates by Washing 205 Percentage of Crushed Particles 1
206 Specific Gravity and Absorption of Coarse Aggregate C127 4.02 Specific Gravity and Absorption of Coarse Aggregate 207 Specific Gravity and Absorption, Fine Aggregate
C128 4.02 Specific Gravity and Absorption, Fine Aggregate 208 Apparent Specific Gravity of Fine Aggregate 1
211 Abrasion of Coarse Aggregate by Use of the Los Angeles Rattler Machine C131 4.02 Resistance to Degradation , Small-Size Coarse Agg. by Abrasion & Impact, L.A. Machine
213 Organic Impurities in Concrete Sand
C40 4.02 Organic Impurities in Fine Aggregate for Concrete 214 Soundness of Aggregates by Use of Sodium Sulfate 1 C88 4.02 Soundness of Aggregates by Use of Sodium Sulfate or Magnesium Sulfate 216 Relative Compaction of Untreated and Treated, Soils & Aggregates D1556 4.08 Density of Soil In-place by the Sand Cone Method D1557 4.08 Moisture-Density Relations of Soils & Soil-Agg. Mixtures, 10-lb. Rammer, 18-in 11 217 Sand Equivalent (only authorized method per Caltrans 07, District Materials 1,9 223 Surface Moisture in Concrete Aggregate 1
226 Moisture Content in Soils by Oven Drying
C566 4.02 Total Moisture Content of Aggregate by Drying 227 Evaluating Cleanness of Coarse Aggregate 1
229 Durability Index 1
D3744 4.03 Aggregate Durability Index
231 Relative Compaction of Soils by the Area Concept Utilizing Nuclear Gages 4 D2922 4.08 Density of Soil & Soil-Aggregate In-place by the Nuclear Method 4
Local Assistance Procedures Manual Exhibit 16-S
Caltrans Test Method- ASTM Test Method Conversion Chart
January 2018
CTM - ASTM Testing Procedures - for local agency use only Use this CTM - ASTM conversion chart to assist you in determining acceptance test requirements and frequencies, as detailed in Caltrans Construction Manual Chapter 6, “Sampli
ng and Testing.” Refer to the Agency, special provisions, contract plans, and applicable standard specifications, for correct sampling and test methods (ASTM-CTM).
CTM ASTM Book of
Standards
TEST PROCEDURE NOTES
301 R-Value of Treated & Untreated, Bases, Subbases & Basement Soils 1 D2844 4.08 R-Value and Expansion Pressure of Compacted Soils 302 Film Stripping
D1664 4.03 Coating and Stripping of Bitumen-Aggregate Mixtures 303 Centrifuge Kerosene Equivalent 1
304 Preparation of Bituminous Mixtures for Testing 1
D1561 4.03 Prep. of Bituminous Mixture Test Specimens by Means of Calif.
Kneading Compactor
305 Swell of Bituminous Mixtures 1
307 Moisture Vapor Susceptibility of Bituminous Mixtures 1 308 Bulk Specific Gravity and Weight Per Cubic Foot of Bituminous Mixtures D1188 4.03 Bulk Sp.G. and Density of Compacted Bituminous Mixtures, Paraffin- Coated Specimens
310 Asphalt and Moisture Contents of Bituminous Mixtures by Hot Solvent 5 D2172 4.03 Extraction of Bitumen from Bituminous Paving Mixtures (Method A, B, or C) 6,10 312 Design and Testing of Class “A” and “B” Cement Treated Base 1 338 Cement or Lime Content in Treated Aggregate by the Titration Method 1 339 Determination of Distributor Spread Rate
D2995 4.03 Determining Application Rate of Bituminous Distributors 362 Asphalt Content of Bituminous Mixtures by Vacuum Extraction 5 D2172 4.03 Quantitative Extraction of Bitumen from Bituminous Paving Mixtures 6 366 Stabilometer Value 1
367 Recommending Optimum Bitumen Content (OBC.) 1
370 Determining Moisture Content of Asphalt Mixtures or Mineral Agg., Microwave Ovens
D4643 4.08 Determination of Water (Moisture) Content of Soil by the Microwave Oven 375 In-place Density & Relative Compaction of AC Pavement (nuclear) 5,7,12 D2950 4.03 Density of Bituminous Concrete In-place by the Nuclear Method 6,7 379 Asphalt Content of Bituminous Mixtures by use of the Troxler Nuclear Gage 5,8 D4125 4.03 Asphalt Content of Bituminous Mixtures by the Nuclear Method 6,8 405 Chemical Analysis of Water 1
415 Chloride Content in Organic Additives for Portland Cement Concrete 1
Local Assistance Procedures Manual Exhibit 16-S
Caltrans Test Method- ASTM Test Method Conversion Chart
January 2018
CTM - ASTM Testing Procedures - for local agency use only Use this CTM - ASTM conversion chart to assist you in determining acceptance test r
equirements and frequencies, as detailed in Caltrans Construction Manual Chapter 6, “Sampling and Testing.” Refer to the Agency, special provisions, contract plans, and applicable standard specifications, for correct sampling and test methods (ASTM-CTM).
CTM ASTM Book of
Standard
s
TEST PROCEDURE NOTES
504 Air Content of Freshly Mixed Concrete by the Pressure Method C231 4.02 Air Content of Freshly Mixed Concrete by the Pressure Method 515 Relative Mortar Strength of Portland Cement Concrete Sand 1 518 Unit Weight of Fresh Concrete
C138 4.02 Unit Weight, Yield, and Air Content (Gravimetric) of Co ncrete 521 Compressive Strength of Molded Concrete Cylinders C39 4.02 Compressive Strength of Cylindrical Concrete Specimens 523 Flexural Strength of Concrete (using simple beam with center-point loading)
1 C293 4.02 Flexural Strength of Concrete (using simple beam with center-point loading)
C78 4.02 Flexural Strength of Concrete (using simple beam with third-point loading)
528 Freeze Thaw Resistance of Aggregates in Air-Entrained Concrete 1 529 Proportions of Coarse Aggregate in Fresh Concrete 1 530 Determining the Effect of H2O -Reducing and Set-Retard. Admix.
Drying Shrinkage PCC
1 533 Ball Penetration in Fresh Portland Cement Concrete C360 4.03 Ball Penetration in Fresh Portland Cement Concrete C143 4.02 Slump of Freshly Mixed PCC
539 Sampling Fresh Concrete
C172 4.02 Sampling Freshly Mixed Concrete
540 Making, Handling, & Storing Concrete Compressive. Test Specimens in the Field
C31 4.02 Making & Curing Concrete Test Specimens in the Field 541 Flow of Grout Mixtures (flow cone method) 1
543 Air Content of Freshly Mixed Concrete by the Volumetric Method C173 4.02 Air Content of Freshly Mixed Concrete by the Volumetric Method 548 Evaluation of Aggregate for Lean Concrete Base (LCB.) 1 Local Assistance Procedures Manual Exhibit 16-S
Caltrans Test Method- ASTM Test Method Conversion Chart
January 2018
Notes
1. Use the CALTRANS Method.
2. Use the methods of calculation within the applicable test method first. Refer to CTM 105 as necessary.
3. Use the Caltrans Construction Manual procedures as necessary when ASTM D75 or D979 do not adequately cover the item to be sampled.
4. Use the direct transmission method only, the air gap method shall not be used. All nuclear gages must have local Caltrans District calibration within the last year. The data sheets provided by the local Caltrans District shall be used when determining the in- place density.
5. Sample from the job site, across the mat, immediately behind the paving machine (Caltrans Construction Manual).
6. Sample per ASTM D 979 paragraph 4.2.3., sample from the job site, across the mat, immediately behind the paving machine.
7. All nuclear gages used for this test must be calibrated on the six (6) DNTM&R AC Standard Blocks. The Data sheets provided by the local Caltrans District shall be used when determining the in-place density.
8. Recommended Percent (%) AC method for Rubberized Bituminous Paving mixtures.
9. The hand method of shaking is not authorized and shall not be used. An electro- mechanical or hand- operated mechanical. Sand Equivalent shaker must be utilized for this test.
10. This Method covers hot solvent, centrifuge, and vacuum extraction.
11. Compaction Apparatus shall be calibrated in accordance with ASTM D 2168, Method B (ASTM Book 4.08).
12. Test Maximum Density (TMD) shall be performed by Caltrans Test Method 375, Section F. Test Max. Density.
13. Splitters must be of the fixed riffle type (no adjustable splitters).
CONSTRUCTION
MANUAL
SUPPLEMENT
Construction Manual Supplement
FOR LOCAL AGENCY RESIDENT ENGINEERS
State of California Department of Transportation
Division of Construction
Office of Contract Administration & Risk Management
February 2017
Construction Manual Supplement
FOR LOCAL AGENCY RESIDENT ENGINEERS
State of California Department of Transportation
Division of Construction
Prepared by
Rebecca Mowry
Office of Contract Administration & Risk Management
1120 N Street, MS 44
Sacramento, CA 95814
(916) 653-2833
February 2017
Cover photos: Mark Thomas & Co.
Top: Consumnes River Boulevard I-5 Interchange, Sacramento, CA Bottom: Silva Valley US-50 Interchange, El Dorado County, CA © Copyright 2017 California Department of Transportation All Rights Reserved. (No part of this manual may be reproduced in any form or by any electronic or mechanical means including information storage and retrieval systems without permission in writing from the California Department of Transportation).
Table of Contents
PURPOSE ............................................................................................................................. 1 SCOPE AND OUTLINE ........................................................................................................... 1 DEFINITIONS........................................................................................................................ 2 ROLES AND RESPONSIBILITIES.............................................................................................. 3 CHAPTER 1 CALTRANS CONSTRUCTION ORGANIZATION .................................................................................4 Section 1-1 Construction Organization ............................................................................................................. 4 Section 1-2 Public Rela tions .............................................................................................................................. 4 1-201 General ................................................................................................................................................ 4 1-202 Relations with Ca ltrans Personnel ...................................................................................................... 4 Section 1-3 Personnel D evelopment................................................................................................................. 4 Section 1-4 Facilities and Equipment ................................................................................................................ 4 Section 1-5 Field Expens es and Purchases ........................................................................................................ 4 CHAPTER 2 SAFETY AND TR AFFIC....................................................................................................................5 Section 2-2 Traffic ............................................................................................................................................. 5 2-215 Construction Zone Enha nced Enforcement Program .........................................................................5 Section 2-3 Major Cons truction Incidents......................................................................................................... 5 CHAPTER 3 GENERAL PROVISIONS ..................................................................................................................6 Section 3-0 Introductio n ................................................................................................................................... 6 Section 3-1 General ........................................................................................................................................... 6 Section 3-2 Bidding ............................................................................................................................................ 6 Section 3-3 Contract A w ard and Execution .......................................................................................................... 6 Section 3-4 Scope of Work ................................................................................................................................ 6 3-402 Use of the Materia ls Found on the Job Site ........................................................................................ 6 3-403 Changes and Extra Wor k..................................................................................................................... 6 3-405 Value Engineering ............................................................................................................................... 6 Section 3-5 Control of Work .............................................................................................................................. 7 3-502 Engineer’s Authorit y ........................................................................................................................... 7 3-504 Partnering ........................................................................................................................................... 7 3-507 Subcontracting .................................................................................................................................... 7 3-510 Coordination With Other Entities ....................................................................................................... 7 3-516 Areas for Use ....................................................................................................................................... 7 3-519 Maintenance and Prot ection .............................................................................................................. 7 3-520 Maintenance and P rotection Relief .................................................................................................... 8 3-521 Requests for Infor mation and Potential Claim Records ......................................................................8 3-522 Alternative Dispu te Resolution Processes .......................................................................................... 8 3-523 Final Inspection and Co ntract Acceptance.......................................................................................... 8 Section 3-6 Control of Mater ials ..................................................................................................................... 11 3-602 Department-Furnished Ma terials ..................................................................................................... 11 3-603 Local Materials .................................................................................................................................. 11 3-605 Brand or Trade Names a nd Substitutions ......................................................................................... 11 3-607 Out-of-State Fabrication ................................................................................................................... 11 3-608 Testing ............................................................................................................................................... 11 3-610 Suspected Fraudulent Tes ts and Inspection Reports ........................................................................11 3-611 Guarantee ......................................................................................................................................... 11 Section 3-7 Legal Relations and Responsibility to the Public ..........................................................................11 3-701 Laws to be Observed ......................................................................................................................... 11 3-703 Public Safety ...................................................................................................................................... 11 California Department of Transportation
Construction Manual Supplement for Local Agency Resident Engineers February 2017 Page i
3-704 Indemnification and Insurance ......................................................................................................... 11 Section 3-8 Pr osecution and Progress............................................................................................................. 11 3-801 Schedule............................................................................................................................................ 11 3-802 Preconstruct ion Conference ............................................................................................................. 12 3-803 Start of Job Site Activities ................................................................................................................. 12 3-804 Time .................................................................................................................................................. 12 3-805 Suspensions ...................................................................................................................................... 12 3-806 Delays................................................................................................................................................ 12 3-807 Liquidated Damages ......................................................................................................................... 12 3-808 Contractor’s Con trol Termination..................................................................................................... 12 3-809 Contract Termination........................................................................................................................ 12 Section 3-9 Paymen t ....................................................................................................................................... 12 CHAPTER 4 CONSTRU CTION DETAILS ............................................................................................................13 CHAPTER 5 CONTRAC T ADMINISTRATION .....................................................................................................14 Section 5-0 Conduct o f the Work .................................................................................................................... 14 5-001 Resident Engineer’s Pending File ..................................................................................................... 14 5-002 Preconstruct ion Conference with Caltrans Personnel ...................................................................... 14 5-003 Preconstruct ion Conference with the Contractor ............................................................................ 14 5-004 Resident Engi neer’s Daily Report...................................................................................................... 14 5-005 Assistant Res ident Engineer’s Daily Report ...................................................................................... 14 5-006 Maintenance Reviews....................................................................................................................... 14 5-007 Federal Highw ay Administration Involvement in Contract Administration ...................................... 14 Section 5-1 Pr oject Records and Reports ........................................................................................................ 15 5-101 Forms Used for Contract Administration .......................................................................................... 15 5-102 Organization of Project Documents.................................................................................................. 16 5-103 The Contract A dministration System ................................................................................................ 16 5-104 Final Construction Project Records................................................................................................... 16 Section 5-2 Funds............................................................................................................................................ 16 Section 5-3 Change O rders ............................................................................................................................. 16 5-301 General through 5-307 Change Order Memorandum ...................................................................... 16 5-308 Federal High way Administration Change Order Requirements........................................................ 17 5-309 Federal Segreg ation Determination on Change Orders.................................................................... 17 5-310 Locally Funded State Highway Projects ............................................................................................ 17 5-311 Change Order Approval Process ....................................................................................................... 17 5-312 Substantiatio n................................................................................................................................... 17 5-313 Executed Change Order Copy Distribution ....................................................................................... 17 5-314 Value Enginee ring Change Proposals................................................................................................ 17 5-315 Examples of Ch ange Orders.............................................................................................................. 17 Section 5-4 Dispu tes ....................................................................................................................................... 17 Section 5-5 Emergen cy Contract Administration ............................................................................................ 18 CHAPTER 6 SAMPLI NG AND TESTING ............................................................................................................19 Section 6-1 Sample Types and Frequencies..................................................................................................... 19 6-101 General and 6-102 Types of Sampling and Testing.......................................................................... 19 6-103 Field Sampled Material Identification for Testing ........................................................................... 19 6-104 Shipping of Field Samples ................................................................................................................ 19 6-105 Acceptance Records ........................................................................................................................ 19 6-106 Project Materials Certification......................................................................................................... 20 6-107 Materials Acceptance Sampling and Testing ................................................................................... 20 Section 6-2 Accep tance of Manufactured or Fabricated Materials and Products .......................................... 22 Section 6-3 Field Tests ..................................................................................................................................... 22 California Department of Transportation
Construction Manual Supplement for Local Agency Resident Engineers Page ii February 2017
CHAPTER 7 ENVIRONMENTAL ....................................................................................................................... 23 Section 7-1 Environmental Rules and Requirements ......................................................................................23 7-101 General, 7-102 E nvironmental Commitments Record, and 7-103 Protection of Environmental Resources........................................................................................................................................... 23 7-104 Air, Water, and Noise Pollution Control ............................................................................................ 23 7-105 Permits, Li censes, Agreements, and Certifications ...........................................................................23 7-106 Hazardous Material s ......................................................................................................................... 23 7-107 Hazardous Waste and Contamination .............................................................................................. 23 7-108 Solid Waste Di sposal and Recycling Reporting .................................................................................23 7-109 Certificate of Environmental Compliance ......................................................................................... 24 CHAPTER 8 EMPLOYMENT PRACTICES .......................................................................................................... 25 Section 8-1 Labor Co mpliance......................................................................................................................... 25 Section 8-2 Equal Employment Opportunity ................................................................................................... 25 Section 8-3 Disa dvantaged Business Enterprises and Disabled Veteran Business Enterprises .......................25 CHAPTER 9 PROJE CTS FUNDED BY OTHERS ...................................................................................................26 California Department of Transportation
Construction Manual Supplement for Local Agency Resident Engineers February 2017 Page iii
Purpose
The Construction Manual establishes policies and procedures for personnel engaged in contract administration. When a local agency or private entity enters into an agreement with Caltrans to construct a project on the state highway system, they agree that the project will conform to Caltrans standards, policy and procedures. However, not all policies and procedures in the Construction Manual are applicable to local agencies or private entities when advertising, awarding, and administering projects. This supplement establishes which sections of the Construction Manual are not applicable to local agency and private entity projects, and modifies sections that are partially applicable. Any section not mentioned in this manual is presumed to apply to all projects constructed on the state highway system, regardless of the implementing agency.
The Local Agency Structure Representative Guideline is also available to assist local agencies and private entities when the project includes structures and the Bridge Construction Records and Procedures manual applies.
Scope and Outline
This supplement follows the same general framework as the Construction Manual. Not all sections are included in this supplement. Unless stated otherwise, the requirements of the Construction Manual apply with the local agency acting in the capacity of Caltrans.
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Construction Manual Supplement for Local Agency Resident Engineers February 2017 Page 1
Definitions
cooperative agreement—A formal, legally binding contract between Caltrans and a city, county, or a public entity for the various components of a project, whereby the participants agree to either share or cooperate in state highway improvement projects. Cooperative agreements outline the responsibilities and obligations of the participants. Cooperative agreements are required by law when exchanges of funds or commitments of personnel resources will occur. For projects administered by private entities, a highway improvement agreement is used in place of a cooperative agreement. For the purposes of these guidelines, a highway improvement agreement is considered a “cooperative agreement” unless otherwise noted. encroachment permit—A permit issued by Caltrans granting permissive authority to enter the state right-of-way and construct approved facilities. It authorizes only the permittee or permittee’s agent to perform the scope of work specified within the encroachment permit or cooperative agreement. The permittee may not transfer or assign an approved permit to another party. When a permittee hires a contractor to perform the approved work, an additional permit is required for the contractor. federal-aid project—Any project that has received any funding from the Federal Highway Administration (FHWA).
implementing agency—Entity charged with managing the scope, cost, and schedule of a project component to ensure the completion of that component.
independent quality assurance— Caltrans’s efforts to ensure that another entity’s quality assurance activities are in accordance with applicable policies, procedures, and standards and the project’s quality management plan. When Caltrans performs independent quality assurance, it does not develop, produce, validate, verify, re-check, or perform quality control on another entity’s or contractor’s work products.
local agency—A public entity (federal, state, county, city, regional transportation planning agency, or other local government entity) that sponsors or administers a construction contract on the state highway system. In addition, for the purpose of this guidance, any private entity that sponsors or administers a construction contract on the state highway system is considered a “local agency” unless otherwise noted.
oversight project—A project within the existing or future state highway right-of-way where the local agency is the implementing agency for the construction component under the terms of a cooperative agreement.
projects of division interest (PoDI)—Federal-aid projects that FHWA has determined to be PoDIs have an elevated risk, contain elements of higher risk, or present a meaningful opportunity for FHWA involvement to enhance meeting program or project objectives. Each PoDI will have a project-specific PoDI stewardship and oversight plan that outlines specific actions required by the FHWA division.
project sponsor—An entity that secures funding for projects and serves as the project advocate. The sponsor chooses an implementing agency and is the customer of the implementing agency. The project sponsor and implementing agency can be the same. quality assurance—The activities performed at the project level by the implementing agency during construction that provide the confidence that the contractor is fulfilling contract requirements. quality control—The operational processes, practices, and activities performed by the contractor during construction to ensure and document that the product fulfills contract quality requirements.
California Department of Transportation
Construction Manual Supplement for Local Agency Resident Engineers
Roles and Responsibilities
contractor—Person or business or its legal representative entering into a contract with a local agency for performance of the work. The contractor is responsible for providing quality control as described in the construction contract (including the Caltrans-approved plans and specifications) and the encroachment permit.
local agency resident engineer (LARE)—Used in the same context as resident engineer as described in the Standard Specifications and Construction Manual except the LARE works for the local agency, not Caltrans. The LARE is responsible for providing quality assurance and project documentation as detailed in the Construction Manual and this supplemental manual. oversight resident engineer (ORE)—A Caltrans employee who performs independent quality assurance of the activities being performed by the LARE, the local agency structure representative, and others assigned to a construction project. The ORE is the local agency’s primary Caltrans contact. The ORE assures compliance with applicable state and federal regulations, contract requirements, Caltrans standards and practices, encroachment permits, and cooperative- agreement requirements. For federal-aid projects, the ORE performs independent quality assurance of the quality-assurance work performed by the local agency for the entire project. For non-federal-aid projects, the ORE performs independent quality assurance on only the portion of the project within the existing or future state right-of-way.
Structure Construction oversight engineer—A Caltrans Structure Construction employee who is assigned to assist the ORE. A Structure Construction employee can also be the ORE.
Structure representative—A local agency employee (or a consultant hired by a local agency) that performs quality assurance over the contractor’s work that involves structures and who performs the contract’s necessary structure-related administrative tasks.
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Construction Manual Supplement for Local Agency Resident Engineers February 2017 Page 3
Chapter 1 Caltrans Construction Organization
Section 1-1 Construction Organization
The local agency must provide qualified construction management staff at the level required to perform all duties outlined in Section 1-105, “Construction Project Organization,” of the Construction Manual.
Section 1-2 Public Relations
1-201 General
The local agency develops public relations procedures for each element outlined in Section 2, “Public Re
lations,” of the Construction Manual. The local agency informs the ORE of the public relations procedures and regularly updates the ORE on public relation activities. 1-202 Relations with Caltrans Personnel
The local agency main point of contact with Caltrans is the state representative, the ORE.
Section 1-3 Personnel Development
The local agency is responsible for the personnel development of its employees and consultants; thus, this section of the Construction Manual is not applicable.
Section 1-4 Facilities and Equipment
The local agency is responsible for providing and maintaining its own facilities, transportation equipment, consumable supplies, and equipment; thus, this section of the Construction Manual is not applicable. State facilities or equipment are not provided to the local agency unless specifically stated in the cooperative agreement or the encroachment permit. Refer to the “General Provisions” requirements attached to the encroachment permit.
Section 1-5 Field Expenses and Purchases
This section of the Construction Manual is not applicable. The local agency is responsible for the travel expenses, transportation, and miscellaneous purchases of their employees and consultants.
California Department of Transportation
Construction Manual Supplement for Local Agency Resident Engineers
Chapter 2 Safety and Traffic
Section 2-2 Traffic
2-215 Construction Zone Enhanced Enforcement Program
When the project calls for Construction Zone Enhanced Enforcement Program (COZEEP), the local a
gency will contract directly with the California Highway Patrol (CHP) for services. The local agency may use Caltrans forms, but it should be made clear that the local agency, not Caltrans, will be receiving and paying the invoices. The local agency must first offer a COZEEP contract to CHP. If the CHP declines to perform the services, the contract may be offered to the local law enforcement agency having jurisdiction over the state highway system where the project is located.
Section 2-3 Major Construction Incidents
The local agency is responsible for addressing, mitigating, indemnifying, and reporting accidents and major incidents. The LARE must immediately provide the information on Form CEM-0603, “Major Construction Incident Notification,” to the ORE. The ORE will file the report in accordance with the
procedures established by their Caltrans district office.
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Construction Manual Supplement for Local Agency Resident Engineers February 2017 Page 5
Chapter 3 General Provisions
Section 3-0 Introduction
The local agency administers the construction contract that they have entered into with the contractor.
The contract will likely have adopted Caltrans’s Standard Specifications with amendments, in addition to any local agency special provisions.
Section 3-1 General
Unless specifically changed in the local agency’s special provisions, the abbreviations and definitions in Caltrans’s Standard Specifications govern the work and contract administration.
Section 3-2 Bidding
When the local agency advertises the project, the local agency will follow its own contract advertising requirements. This section of the Construction Manual is not applicable. For federal-aid projects, local agencies must follow the advertising procedures designated in the Local Assistance Procedures Manual.
Section 3-3 Contract Award and Execution
This section of the Construction Manual does not apply. For federal-aid projects, the local agency must also follow the award procedures in the Local Assistance Procedures Manual.
Section 3-4 Scope of Work
3-402 Use of the Materials Found on the Job Site
The contractor may not use material found inside or outside of the planned slope and grade lines wi
thout first receiving written approval from the ORE.
3-403 Changes and Extra Work
The cooperative agreement will outline the Caltrans concurrence requirements for change orders that th
e LARE must follow. The LARE will review the cooperative agreement closely and comply with any special requirements to obtain concurrences by the ORE before execution of any change order.
On a local agency-administered project, the LARE uses the local agency’s change order process and contract stipulations.
Local agencies administer their construction contracts under different parts of the Public Contract Code and
are allowed greater leeway to make scope changes to their construction contracts. A local agency scope change still requires prior concurrence from the ORE and approval from the FHWA engineer on certain federal-aid projects, as outlined in Section 5-308, “Federal Highway Administration Change Order Requirements,” of the Construction Manual.
3-405 Value Engineering
Unless amended by the local agency prior to advertisement, the Caltrans Standard Specifications allow the
contractor to submit a value engineering change proposal (VECP). The LARE uses the contract requirements and Construction Manual procedures to evaluate the VECP, obtain authorization to implement or reject the VECP, and execute the change order. The ORE must concur on change orders in accordance with the cooperative agreement.
California Department of Transportation
Construction Manual Supplement for Local Agency Resident Engineers
S e cti o n 3 - 5 C o nt rol of W o r k
3- 5 0 2 E n gi n eer ’s A ut h o rit y
T he L A R E m ust s u b mit F or m C E M -0 1 0 1, “ Resi de nt E n gi neer’s Re p ort of Assi g n me nt,” t o t he O R E a n d t he F H W A e n gi neer f or Pr ojects of Di visi o n I nterest ( P o DI). T he f or m is a vaila ble fr o m t he O R E or we bsite:
htt p://f or ms. d ot.ca. g o v/
3- 5 0 4 P a rt n eri n g
U nless a me n de d b y t he l ocal a ge nc y, Secti o n 5 -1. 0 9, “ Part neri n g,” of t he St a n d ar d S pecific ati o ns re q uires part neri n g o n certai n pr ojects. T he O R E i s a vaila ble t o p artici pate i n part neri n g meeti n gs u p o n re q uest b y t he l ocal a ge nc y.
3- 5 0 7 S u b c o ntr a cti n g
F or fe deral-ai d pr ojects, t he L A R E m ust f oll o w t he pr oce d ures i n t he L oc al Assist a nce Pr oce d ures M a n u al. T h e L A R E m ust ass ure t hat c o ntract ors are perf or mi n g at lea st t he mi ni m u m a m o u nt of w or k wit h t heir o w n f orces a s re q uire d b y t he c o ntract.
T he l ocal a ge nc y is res p o n si ble f or e ns uri n g t hat all s u bc o ntract or s u bstit uti o ns a n d d ue pr ocess s u bc o ntract or pr otest heari n gs c o m pl y wit h Secti o n 4 1 0 7 of t he P u blic C o ntract C o de.
F or ot her pr ojects, t he L A R E m ust a d mi nister t he re q uire me nts of t he c o ntract a n d e nf orce s u bc o ntracti n g la ws i n acc or da nce wit h l ocal a ge nc y g ui deli nes a n d pr oce d ures. 3- 5 1 0 C o o r di n ati o n Wit h Ot her E ntiti es
T he pr oce d ures o utli ne d i n t his secti o n of t he C o nstr ucti o n M a n u al s h o ul d be f oll o we d wit h t he e xce ptio n o f t he m o del a gree me nt, “ A gree me nt Bet wee n a C o ntract or W or k i n g o n State Facilities a n d a Real Pr o pert y O w ner f or Dis p osi n g of C o nstr ucti o n -Relate d Materials o n Pr o pert y O w ner’s Pr o pert y.” Use E xa m ple 3 -5. 1, l ocal a ge nc y versi o n, f o u n d i n t his s u p ple me nt. 3- 5 1 6 Are as f o r Us e
Secti o n 5 -1. 3 2, “ Areas f or Use, ” of t h e St a n d ar d S pecific ati o n s all o ws t he c o ntract or t o occ u p y t he hi g h wa y o nl y f or p ur p oses necessar y t o perf or m t he w or k. A n y a p pr o val t o use t he ri g ht -of -wa y f or te m p orar y st ora ge or a n y ot her p ur p ose m ust ha ve bee n gra nte d t o t he l ocal a ge nc y i n writi n g pri or t o c o nstr ucti o n. F or a p pr o val of t he c o ntract or t o use state-o w ne d pr o pert y f or a n y p ur p ose ot her t ha n t o perf or m t he w or k, c o ntact t he O R E.
3- 5 1 9 M ai nte n a n ce a n d Pr ote cti o n
T he c o o perati ve a gree me nt s tates t he l ocal a ge nc y is res p o nsi ble f or mai nte na nce of t he state hi g h wa y s ystem wit hi n t he p r oject li mits d uri n g c o nstr ucti o n u ntil o ne of t he f oll o wi n g c o n diti o ns are met:
1. T he pr oject w or k has bee n acce pte d a n d t he e ncr oac h me nt p er mit i ss ue d t o t he c o ntract or has bee n cl ose d.
2. Caltra ns has a p pr o ve d a re q ues t fr o m t he l ocal a ge nc y f or relief fr o m mai nte na nce f or all or a p o
rti
o n of t he pr oject.
T he l ocal a ge nc y t y picall y r e q uires t he c o ntract or t o mai ntai n t he state hi g h wa y s yste m o n i ts be half.
C alif or ni a De p art me nt of Tr a ns p ort ati o n
C o nstr u cti o n M a n u al S u p pl e me nt f or L o cal A ge n c y R esi d e nt E n gi n eers F e br u ar y 2 0 1 7 P a ge 7
3-520 Maintenance and Protection Relief
Under Section 5-1.38, “Maintenance and Protection Relief,” of the Standard Specifications, the local agency may request that Caltrans grant relief from maintenance on a completed work portion. The local agency will typically grant relief from maintenance to the contractor on that portion of work. 3-521 Requests for Information and Potential Claim Records The local agency is not required to comply with this part of the Construction Manual. The local agency may use their own process for initiating contractor inquiries and potential claims. However, the Standard Specifications requires the contractor to use Caltrans’s process, and would have to be amended by the local agency if any other process is used. For projects that have state or federal funds for the construction capital component of the project, the cooperative agreement requires the local agency to use a claims process acceptable to Caltrans. The district or region’s construction office will provide this approval to the local agency and the process will be included in the project specifications. 3-522 Alternative Dispute Resolution Processes
The local agency is not required to comply with this part of the Construction Manual. However, the Standard Specifications requires the contractor to use an alternative dispute resolution process on certain projects and this would have to be amended by the local agency. 3-523 Final Inspection and Contract Acceptance
At 90 percent completion, maintenance and safety reviews are conducted by Caltrans. The LARE must work closely with the ORE to schedule these final reviews to avoid delay of project acceptance by the local agency and to facilitate timely release of the encroachment permit by Caltrans.
Upon completion of work, the LARE should request a final inspection for acceptance by the ORE in accordance with the encroachment permit. The LARE should not accept the contract from the contractor until the ORE’s final acceptance is obtained in writing. The ORE is responsible for notifying the Caltrans units and FHWA personnel of who should attend the final inspection reviews.
California Department of Transportation
Construction Manual Supplement for Local Agency Resident Engineers
_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ E x a m pl e 3- 5. 1. A g re e me nt B et w ee n a C o ntr a ct o r W o r ki n g o n St ate F a ciliti es a n d a Re al Pr o p e rt y O w n er f o r t h e Pl a c e me nt of C o nstr u cti o n -Rel ate d M at eri al O utsi d e t h e St ate Ri g ht - of- W a y: L o c al A g e n c y Versi o n ( 1 of 2)
A G R E E M E N T B E T W E E N A C O N T R A C T O R W O R KI N G O N S T A T E F A CI LI TI E S A N D A
R E A L P R O P E R T Y O W N E R F O R T H E P L A C E M E N T O F C O N S T R U C TI O N-R E L A T E D
M A T E RI A L O U T SI D E T H E S T A T E RI G H T -O F -W A Y (l o cal a ge n c y v ersi o n)
C o ntract N o.: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ C o u nt y/ R o ut e/ P ost Mil e:
T h e c o ntra ct or, , (“ C o ntract or ”) h as
e nt ere d i nt o C o ntract N o. _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ (“ C o ntract ”), wit h ( L o cal A g e n c y), f or w or k t h at is d es cri b e d as f oll o ws:
_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ ( “ Pr oj ect ”).
T h e o w n er, __ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _, ( “ O w n er”) of t h e real pro p ert y (“ Pr o p ert y”) l o cat e d at
_
_ _ _ _ _ _ _ _ (s u c h as a d dr ess, l o cati o n, c o u nt y a n d p arcel n u m b er(s), pr oj ect st ati o n(s), offs ets, a
n d ot h er pr o p ert y l o cati o n i nf or m ati o n) a gr ees t o all o w t h e pl ace m e nt of a p pr o xi m at el y _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ c u bi c yar ds of _ (s u c h as s oil, a g gre g at e, as p h alt gri n di n gs a n d ot h er m at eri al) (“ M at eri al ”) t h at h as b ee n g e n erat e d fr o m t h e Pr oj ect o n t h e O w n er’s Pr
o p ert y b y t h e C o ntract or.
O w n er a gre es t h at t h e C o ntract or h as a ss u m e d o w n e rs hi p of t h e M at eri al t h at is b ei n g d e p osit e d o n t h e Pr o p ert y fr o m t h e ( L o c al A ge n c y).
C o ntract or a n d O w n er a gree t o o bt ai n a n d f ur nis h t o t h e ( L o cal A g e n c y’s) e n gi n e er, all n ecess ar y p er mits, li ce ns es , a n d cl e ara n ces pri or t o pl aci n g M at eri al o n t h e Pr o p ert y.
B y s u b missi o n of t his a gr ee m e nt t o t h e ( L o cal A ge n c y’s) e n gi n e er, t h e C o ntract or a n d O w n er are a c k n o wl e d gi n g t h at t h e y h a v e b ee n i nf or m e d of all restri cti o ns, l a ws a n d p er mit re q uire m e nts ass o ci at e d wit h t h e tra ns p ort ati o n a n d pl ace m e nt of t h e M at eri a l fr o m t h e Pr o p ert y a n d h a v e a gr ee d t o a bi d e b y t h e s a m e. T h es e l a ws i n cl u d e b ut are n ot li mit e d t o:
• L o c al Or di n a n ces — Gra di n g p er mits f or t h e g ra di n g, filli n g, e x ca v ati o n, st ora ge, or dis p os al of s oil or eart h e n m at eri al.
• C alif or ni a Fis h a n d G a m e C o d e ( S ecti o n 1 6 0 2), “ La k e or Stre a m B e d Alt erati o n A gree m e n t ”— A p er mit re q uire d b ef ore t h e pl ace m e nt of m at eri al i n a l o c ati o n w h ere it ca n p ass i nt o wat ers of t h e st at e, dire ctl y or i n dir ectl y, fr o m c a us es s u c h as er osi o n or m ai nt e n a n ce.
• Calif or nia Fis h a n d Ga me C o de ( Secti o n 5 6 5 0) — Pr o hi biti o n of t he de p osit of petr ole u m pr o d ucts (
i ncl udi n g as p halt) or a n y material deleteri o us t o fis h, pla nts, or bir ds t hat ca n pass i nt o t he waters of t he state.
C alif or ni a De p art me nt of Tr a ns p ort ati o n
C o nstr u cti o n M a n u al S u p pl e me nt f or L o cal A ge n c y R esi d e nt E n gi n eers F e br u ar y 2 0 1 7 P a ge 9
E x
a m pl e 3- 5. 1. A g re e me nt B et w ee n a C o ntr a ct o r W o r ki n g o n St ate F a ciliti es a n d a Re al Pr o p e rt y O w n er f o r t h e Pl a c e me nt of C o nstr u cti o n -Rel ate d M at eri al O utsi d e t h e St ate Ri g ht - of- W a y: L o c al A g e n c y Versi o n ( 2 of 2) ( Si g nat ure of C o ntract or’s A ut h orize d Re prese ntati ve per Cal tra ns St a n d ar d S pec ific ati o ns )
• Fe deral Clea n Water Act ( Secti o n 3 0 1 a n d 4 0 2), “ Ge neral Per mit f or Disc har ges of St or m W ater As
s oc iate d wit h C o nstr ucti o n Acti vit y”— A per mit is r e q uire d pri or t o s oil dist ur ba nce of a n area of o ne a cre or m ore.
• Fe deral Clea n Water Act ( Secti o n 4 0 4), “ Per mit f or Disc har ge of Dre d ge d or Fill Material” — A per mit fr o m t he U nite d States Ar m y C or ps of E n gi neers ma y be r e q uire d f or t he d isc har ge of fill material i nt o waters, i ncl u di n g wetla n ds, of t he U nite d States.
O w ner a n d C o ntract or a gree t hat t he Material w ill b e t ra ns p orte d, de p osite d, a n d left i n a ma n ner t hat will n ot ca use i nj ur y o r har m t o a n y pers o n or pr o pert y. If i nj ur y or har m d oes occ ur t o a n y pers o n or pr o pert y or i f a n y e n vir o n me ntal i m pacts or l iti gati o n arises as a res ult o f t he t ra ns p ortati o n, de p ositi o n, or t he fi nal f or m i n w hic h t he Material i s left o n t he Pr o pert y, re gar dless of ma n ner or f or m, t h e O w ner a n d C o ntract or a gree t o i n de m nif y, defe n d, pr otect, a n d h ol d har mless t he ( L ocal A ge nc y) a n d State of Calif or nia, De part me nt of Tra ns p ortati o n i n a n y acti o n i n la w or e q uit y.
P urs ua nt t o t he C o ntract, O w ner ac k n o wle d ges t hat C o n tract or will s u b mit t his a gree me nt t o t he ( L ocal A ge nc y) as e vi de nce t hat t he O w ner has a ut h orize d t he place me nt of t he Material o n t he Pr o pert y. O w ner ac k n o wle d ges t hat t he C o ntract or is n ot a ut h orize d t o ma ke a n y r e prese ntati o ns or a gree me nts o n be half of t he ( L ocal A ge nc y).
C o ntract or a n d O w ner a gree t hat t he ( L ocal A ge nc y) a n d State of Calif or nia, De part me nt of Tra ns p ortati o n are release d fr o m a n y a n d all o bli gati o ns t o O w ner ma de b y C o ntract or u n der t his a gree me nt.
O w ner a n d C o ntract or ac k n o wle d ge t hat t he y ha ve ha d t he o p p ort u nit y t o recei ve i n de pe n de nt le gal a d vice wit h res pect t o t he mea ni n g, i m plicati o ns, a n d a d visa bilit y of e nteri n g i nt o a n d e xec uti n g t his a gree me nt.
Date:
( Si g nat ure of Pr o pert y O w ner)
Date:
C alif or ni a De p art me nt of Tr a ns p ort ati o n
C o nstr u cti o n M a n u al S u p pl e me nt f or L o cal A ge n c y R esi d e nt E n gi n eers P a ge 1 0 F e br u ar y 2 0 1 7
Section 3-6 Control of Materials
3-602 Department-Furnished Materials
The LARE must coordinate with the ORE to obtain the department-furnished materials if specified in the cooperative agreement. The cooperative agreement outlines if the local agency must reimburse Caltrans for department-furnished materials.
3-603 Local Materials
The ORE must concur with changes to mandatory local material sources. 3-605 Brand or Trade Names and Substitutions
The ORE must concur before the contractor furnishes other products claimed to be of equal or better quality. 3-607 Out-of-State Fabrication
The local agency is responsible for performing source inspection activities as per the Source Inspection Quality Management Plan approved by the State Materials Engineer prior to construction. 3-608 Testing
The ORE must concur before the LARE may accept out-of-specification material. 3-610 Suspected Fraudulent Tests and Inspection Reports When fraudulent tests and inspection reports are suspected, immediately discuss the situation with the ORE or the Structure Construction oversight engineer.
3-611 Guarantee
The local agency must include Section 6-3.06, Guarantee, of the Standard Specifications, in the project specifications. The contractor must obtain a valid encroachment permit to perform corrective work on the state highway system.
Section 3-7 Legal Relations and Responsibility to the Public 3-701 Laws to be Observed
Communication with Caltrans must be done through the ORE or the Structure Construction oversight engineer as determined in this manual and the Local Agency Structure Representative Guidelines, and the Construction Quality Management Plan.
3-703 Public Safety
The LARE must notify the ORE no less than 20 days and no more than 90 days before implementing proposed vertical and horizontal clearance change or any proposed bridge permit rating change. 3-704 Indemnification and Insurance
Evidence of insurance is provided to the state before issuance of the encroachment permit to the contractor.
The LARE is responsible for ensuring that insurance policies do not lapse during execution of the work.
Section 3-8 Pr osecution and Progress
3-801 Schedule
The St andard Specifications contain requirements for maintaining a critical path method schedule.
Unless edited, the contractor must follow that section, and the LARE must follow this section of the Construction Manual.
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Construction Manual Supplement for Local Agency Resident Engineers February 2017 Page 11
3-802 Preconstruction Conference
Refer to Sections 5-002, “Preconstruction Conference with Caltrans Personnel,” and 5-003, “Preconstruction Conference with the Contractor,” of this manual for additional guidance. 3-803 Start of Job Site Activities
This section does not apply to the local agency. The LARE should use local agency procedures. The LARE must notify the ORE of the beginning of the work in accordance with the encroachment permit requirements.
3-804 Time
For FHWA federal-aid projects, the LARE must follow the procedures in the Local Assistance Procedures Manual. A local agency must have an established method to account for contract time that contains all of the information designated on Caltrans Form CEM-2701, “Weekly Statement of Working Days.” Form CEM-2701 is in a format acceptable to FHWA and contains a method of tracking, reporting, and analyzing contract time. Use of Form CEM-2701 by a local agency is recommended but not required.
For non-federal-aid projects, the local agency follows its own established rules. 3-805 Suspensions
The LARE must provide the ORE with a copy of all correspondence notifying the contractor of a temporary suspension or the resumption of work.
3-806 Delays
The local agency is responsible for managing the effects of project delays. 3-807 Liquidated Damages
For FHWA federal-aid projects, the LARE must follow the procedures in the Local Assistance Procedures Manual.
For all other projects, the LARE must follow local agency procedures. 3-808 Contractor’s Control Termination
The LARE must follow the local agency processes for terminating the contractor’s control of a project.
The local agency is responsible for all negotiations and agreements with the contractor and the surety.
If the surety hires a different contractor to complete the work, that contractor must obtain an encroachment permit before beginning work.
3-809 Contract Termination
The LARE uses local agency procedures for termination of the contract.
Section 3-9 Payment
This section does not apply to the local agency.
For FHWA federal-aid projects, the LARE must administer the requirements of the contract and follow the procedures in the Local Assistance Procedures Manual. These procedures outline a clear and easy-to-follow trail for the total quantity paid from the current amount back to the first measurement or calculation for each contract item.
For other projects, the LARE must follow the local agency procedures.
California Department of Transportation
Construction Manual Supplement for Local Agency Resident Engineers
Chapter 4 Construction Details
The LARE and staff must follow the procedures in this chapter to provide quality control and quality assurance for the construction contract for portions of the work within existing or future State right-of- way.
The intent of the chapter is to provide guidance to the LARE and staff in the areas of inspection, measurement, and payment for the various contract items. In addition, the chapter provides guidance for administering the technical requirements of the Standard Specifications. This chapter is not a substitute for the local agency’s thorough understanding of the work, the contract specifications governing that work, and the recruitment and retention of sufficiently trained and experienced staff to administer the contract.
Each technical aspect is addressed by the general description of the work, the actions to be taken before the work begins, the actions to be taken during the course of the work, and requirements for the proper measurement and payment for the work.
This chapter covers all sections of the Caltrans Standard Specifications with the exception of Division I, “General Provisions;” Division II, Section 10, “General;” and Division XII, “Building Construction.” For structures-related work covered in Division VI, “Structures,” of the Standard Specifications, the guidelines in Chapter 4 are general in nature. The guidance for technical structures issues, including inspecting, measuring, and paying for structures contract item work, is included in the Structure Construction’s Bridge Construction Records and Procedures manual.
California Department of Transportation
Construction Manual Supplement for Local Agency Resident Engineers February 2017 Page 13
Chapter 5 Contract Administration
Section 5-0 Conduct of the Work
5-001 Resident Engineer’s Pending File
It is recommended, but not required, that local agencies use the information and procedures provided in this section.
5-002 Preconstruction Conference with Caltrans Personnel The LARE should follow the procedures in this section of the Construction Manual with one exception. Instead of meeting with Caltrans personnel, the LARE should meet with the local agency project development personnel. Before the preconstruction conference with the contractor, the LARE must meet with the Caltrans ORE assigned to the project. The name and phone number of the ORE is usually listed on the encroachment permit. It is recommended that the LARE contact the ORE well in advance of the start of work to ensure that the ORE has time to confirm the attendance of Caltrans personnel at the meeting. The encroachment permit includes the minimum time required to notify the ORE before the start of work. The LARE should meet with the local agency project engineer, consultant, and other appropriate parties to review and discuss the project. 5-003 Preconstruction Conference with the Contractor
The LARE must hold a preconstruction conference with the contractor as outlined in this section. The ORE must be invited to attend the meeting to observe and be available to answer questions, but not to be a main speaker.
5-004 Resident Engineer’s Daily Report
The LARE must follow the procedures outlined in this section of the Construction Manual with the exception that Form CEM-4501, “Resident Engineer’s Daily Report/Assistant Resident Engineer’s Daily Report,” need not be used if the local agency has an acceptable alternative. 5-005 Assistant Resident Engineer’s Daily Report
The LARE must follow the procedures outlined in this section of the Construction Manual with the exception that Form CEM-4601, “Assistant Resident Engineer’s Daily Report,” need not be used if the local agency has an acceptable alternative.
5-006 Maintenance Reviews
The ORE is responsible for communication with Caltrans maintenance.
The LARE is responsible for scheduling a field review with the ORE when the project nears 90 percent. 5-007 Federal Highway Administration Involvement in Contract Administration On projects where FHWA involvement is required, the LARE is responsible for keeping the FHWA engineer informed, as necessary. Contact is initiated first through the ORE until direct FHWA contact by the LARE is approved by the FHWA engineer.
California Department of Transportation
Construction Manual Supplement for Local Agency Resident Engineers
S e cti o n 5 - 1 Proj e ct Re c o r ds a n d Re p o rts 5- 1 0 1 F o r ms Us e d f o r C o ntr a ct A d mi nistr ati o n T he L A R E m ust f oll o w t he p r oce d ures o utli ne d i n t his s ecti o n a n d m ust u se t he Caltra ns f or ms i n t his se
cti on e xce pt as n ote d bel o w . Use of t he f oll o wi n g f or ms is o pti o nal:
• F or m C E M -0 5 0 1 Relief fr o m Mai nte na nce
T
he l ocal a ge nc y ma y use its o w n pr oce d ure f or gra nti n g relief fr o m mai nte na nce t o t he c o
ntract or.
• F or m C E M -0 6 0 1 C o nstr ucti o n Safet y Re p ort •
F or m C E M -0 6 0 6 C o nstr ucti o n Safet y C hec klists •
F or m C E M -2 0 0 6 Le gall y Res p o nsi ble Pers o n A ut h orizati o n of A p pr o ve d Si g nat or y • F or m C E M -2 0 0 6 T Le gall y Res p o nsi ble Pers o n A ut h orizati o n of A p pr o ve d Si g nat or y – La ke Ta h oe H y dr ol o gic U nit
• F or m C E M -2 0 2 3 Str o m water Trai ni n g Rec or d • F or m C E M -2 0 2 4 St or m water Trai ni n g L o g • F or m C E M -2 0 3 4 St or m water Best Ma na ge me nt Practices Stat us Re p ort • F or m C E M -2 0 5 1 St or m water Sa m pli n g a n d A nal ysis L o g -O pti o nal • F or m C E M -2 0 5 8 St or m water Meter Cali brati o n Rec or d • F or m C E M -2 0 D A P P A p pe n di x D N otificati o n L o g • F or m C E M -2 0 D C O N S W P P P/ W P C P Attac h me nt D, C o ntract or Pers o n nel Trai ni n g Rec or d • F or m C E M- 2 0 D S U B S W P P P/ W P C P Attac h me nt D, S u bc o ntract or Pers o n nel St or m water Trai ni n g Rec or d
• F or m C E M -2 1 0 1 C O Z E E P Dail y Re p ort
• F or m C E M -2 1 0 2 C O Z E E P/ M A Z E E P Tas k Or der • F or m C E M -2 1 0 3 C O Z E E P/ M A Z E E P Ca ncellati o n F or m • F or m C E M -2 6 0 1 C o nstr ucti o n Pr o gress C hart • F or m C E M -2 7 0 1 Wee kl y State me nt of W or ki n g Da ys • F or m C E M -2 7 0 2 O verr u n i n C o ntract Ti me • F or m C E M -4 5 0 1 Resi de nt E n gi neer’s Dail y Re p ort/ Assista nt Resi de nt E n gi neer’s Dail y Re p ort
• F or m C E M - 46 0 1 Assista nt Resi de nt E n gi neer’s Dail y Re p ort • F or ms C E M -4 8 0 1 Q ua ntit y Calc ulati o ns t hr o u g h C E M -9 0 0 1 C o nstr ucti o n Ma n ual Pr o p ose d C ha n ge
C alif or ni a De p art me nt of Tr a ns p ort ati o n
C o nstr u cti o n M a n u al S u p pl e me nt f or L o cal A ge n c y R esi d e nt E n gi n eers F e br u ar y 2 0 1 7 P a ge 1 5
5-102 Organization of Project Documents
The LARE must use the Caltrans uniform filing system for all projects that will be within the existing or proposed state right-of-way. Not all categories listed may be applicable to a project being administered by a local agency. Categories that are not applicable may include the following:
CATEGORY 1 Required usage is limited to Form CEM-0101, “Resident Engineer’s Report of Assignment,” and the personnel roster, although the LARE may file other documents as indicated.
CATEGORIES 2, 3, 4 May not be applicable.
CATEGORIES 16 and 17 Are not applicable if the local agency uses alternative procedures.
CATEGORY 28 May not be applicable.
The LARE should discuss with the ORE the appropriate level of project documentation and organization of the project records. Early agreement between the LARE and ORE will help to ensure that the project records are adequate to administer the contract, will withstand an audit, and will preserve funding participation.
5-103 The Contract Administration System
This section does not apply to the local agency.
5-104 Final Construction Project Records
The LARE is responsible for providing Caltrans with the as-built plans described in Section 5-104 (D), “As-Built Plans,” of the Construction Manual. The as-built plans must be stamped “as-built,” signed by the local agency, and in compliance with the specific requirements of the cooperative agreement and encroachment permit.
Other required project records that must be provided to Caltrans upon completion of the project are defined in the cooperative agreement, the encroachment permit, and other areas of this supplement.
The local agency must retain and maintain project records for the duration identified in Section 5-104 (C), “Disposition of Construction Project Records,” of the Construction Manual.
Section 5-2 Funds
This section applies only to Caltrans-advertised, -awarded, and -administered projects. The LARE should refer to the Local Assistance Procedures Manual and the Local Assistance Program Guidelines for local federal-aid fund requirements.
Section 5-3 Change Orders
5-301 General through 5-307 Change Order Memorandum
These sections of the Construction Manual do not apply. LAREs prepare all change orders in accordance with their local agency procedures. Every effort should be made to have the designer of record review and concur with design changes. Engineering changes that are subject to the California Professional Engineers Act must be stamped and signed by a professional engineer licensed by California Department of Transportation
Construction Manual Supplement for Local Agency Resident Engineers
California. Though the ORE is available to assist and facilitate Caltrans reviews and acceptances of design conflict resolutions, Caltrans is not responsible for resolving design conflicts or for preparing change orders.
5-308 Federal Highway Administration Change Order Requirements The LARE must follow the procedure outlined in this section of the Construction Manual and r
equirements outlined in Section 16.13, “Contract Change Orders,” of the Local Assistance Procedures Manual. All communication with the FHWA is normally done through the ORE. The FHWA may approve direct communication in advance at the preconstruction meeting or during the course of the project as conditions warrant.
When a change requires FHWA approval, that approval must be obtained before proceeding with the c
hange. A change order may be rejected by the FHWA if approval was not obtained before the work and before execution of the change order. Such a change order would likely result in being determined ineligible for federal funding reimbursement.
5-309 Federal Segregation Determination on Change Orders This section of the Construction Manual does not apply. 5-310 Locally Funded State Highway Projects
This section of the Construction Manual does not apply. 5-311 Change Order Approval Process
The ORE will review all change orders affecting public safety, public convenience, protected e
nvironmental resources, the preservation of property, design and specification changes, and all major changes as defined in the Construction Manual, as outlined in the cooperative agreement, and the encroachment permit. The LARE must obtain the ORE’s written concurrence before allowing the contractor to perform the work.
5-312 Substantiation
This section of the Construction Manual does not apply. 5-313 Executed Change Order Copy Distribution
The LARE must send copies of all executed change orders and memorandums (backup information) t
o the ORE. The ORE handles distribution within Caltrans and is responsible for sending copies to FHWA when required. Responsibility for sending copies to FHWA can change during the life of the project.
5-314 Value Engineering Change Proposals
This section of the Construction Manual does not apply. 5-315 Examples of Change Orders
This section of the Construction Manual does not apply.
Section 5-4 D isputes
This section of the Construction Manual does not apply to local agency projects. The LARE follows local agency procedures. If the local agency uses Caltrans’s Standard Specifications, the LARE must administer the contract and address disputes in accordance with the Standard Specifications and the contract’s special provisions. If the local agency uses their own dispute process, the contract California Department of Transportation
Construction Manual Supplement for Local Agency Resident Engineers February 2017 Page 17
specifications should amend the Caltrans Standard Specifications to include the local agency process.
Caltrans Construction Manual Section 5-4, “Disputes,” provides guidance on good practices to a
dminister construction disputes. Contractor potential claim records, boards of review, and claims are addressed under this section. Caltrans personnel will not be used to resolve construction disputes.
If the project has state or federal funds, the LARE must notify and provide the ORE with the current lis
t of potential claim records as each record is received. When the project is an FHWA Project of Division Interest, the LARE may be required to send copies of the potential claim record list to the FHWA engineer.
The cooperative agreement may require the local agency to provide an administrative claim resolution p
rocess that is acceptable to Caltrans. The local agency must process claims through its own process.
The claims process outlined in Section 5-4, “Disputes,” of the Construction Manual may be used as a prototype for the essential elements of a local agency administrative claim process. Local agency personnel or consultants rather than the ORE or other Caltrans personnel must be used to develop and administer this process.
Federal-aid projects must comply with the Local Assistance Procedures Manual. The LARE’s failure t
o obtain approval from the district local assistance engineer for a claim settlement before paying the contractor can result in the claim settlement being ineligible for federal funding.
Section 5-5 Emergency Contract Administration
This section of the Construction Manual does not apply.
California Department of Transportation
Construction Manual Supplement for Local Agency Resident Engineers
Chapter 6 Sampling and Testing
Section 6-1 Sample Types and Frequencies
6-101 General and 6-102 Types of Sampling and Testing
The LARE is responsible for ensuring that sampling and testing of materials or products and quality o
f work are in strict accordance with the contract provisions, the encroachment permit, the cooperative agreement, and this section. Initial material sampling, initial material testing, calibration of contractor and consultant equipment, scale and material production plant certification, oversight of the contractor’s quality control testing, and LARE quality assurance and acceptance testing are all the responsibility of the local agency.
The LARE must verify and use only sampling and testing personnel certified by Caltrans. The LARE m
ust verify and accept only test results from the local agency or consultant laboratories accredited by Caltrans in accordance with the Caltrans Independent Assurance Manual. These requirements may only be modified by the cooperative agreement.
Specialty tests as noted in Section 6-102F, “Special Samples and Tests,” of the Construction Manual m
ay be conducted by Caltrans for unanticipated issues, unique circumstances, or special requirements that develop after construction has begun. Acceptance tests are performed for all materials that will be incorporated into the work. Limited availability of laboratories to conduct routine acceptance tests does not constitute a reclassification of a routine acceptance test to specialty test status. It is an acceptance test if the test must be performed to ensure that the material or the construction process meets the requirements of the contract. 6-103 Field Sampled Material Identification for Testing
Do not use this section unless some of the materials testing will be performed by a Caltrans testing f
acility. The LARE uses local agency procedures and forms to ship samples to a non-Caltrans testing facility.
6-104 Shipping of Field Samples
If the cooperative agreement indicates that Caltrans performs the testing, the LARE must provide a c
opy of the contract plans and specifications to Materials Engineering and Testing Services along with the CEM-3101, “Notice of Materials to be Used” (Materials Engineering and Testing Services does not automatically receive copies, so the LARE must provide them). 6-105 Acceptance Records
The LARE must retain records of all samples and tests, prepare a summary of all sampling and t
esting conducted on the project, and document actions taken to resolve unsatisfactory test results.
This information must be filed in the project files. The LARE establishes the materials testing files in accordance with Section 5-102, “Organization of Project Documents,” for Category 37, “Initial Tests and Acceptance Tests,” of the Construction Manual.
Each subcategory of Category 37 must have a testing results summary to track acceptance testing f
or each item of work. In the testing results summary, corrective actions or retesting tests for all failed tests must be noted in the “Remarks” column of the form.
The LARE’s use of Form CEM-3701, “Test Result Summary,” or test summary logs facilitates the t
racking of adequacy and frequency of material sampling and testing. The logs also make the ORE’s review of material sampling and testing more efficient.
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Figure 6-103.1, “Materials Testing Process,” shows the materials testing and acceptance process that the LARE must use to ensure that materials used in the work comply with the contract provisions, cooperative agreement, and encroachment permit.
6-106 Project Materials Certification
The LARE must complete and sign Form CEM-6302, “Final Materials Certification,” upon completion of the project. The form is submitted to the ORE who is responsible for forwarding it to FHWA if required for the project.
6-107 Materials Acceptance Sampling and Testing
The LARE must follow the procedures outlined. The LARE may also use the frequency table in the local agency-approved quality assurance program if their quality assurance program meets or exceeds Caltrans’s requirements.
California Department of Transportation
Construction Manual Supplement for Local Agency Resident Engineers
Figure 6-103.1. Materials Testing Process
Yes
No
Field sampling
and testing.
LARE notifies contractor to
remedy. Work stops
(Contract Compliance) or
continues (Operating Range)
as prescribed in the
specifications.
LARE notifies contractor and
logs results in summary
report.
Tests
passed?
1. Rework area
as necessary.
- OR -
2. Remove and
replace
materials.
Work cannot
resume—LARE
requires
additional tests
and information
before work can
resume.
LARE contacts local agency
materials laboratory (lab) for
assistance.
Plant sampling.
1. LARE or lab takes
samples.
2. Lab performs necessary
tests.
3. Lab forwards test results
to engineer LARE.
1. Lab collects samples and
performs necessary tests.
2. Lab forwards test results
to LARE.
Operating
Range
Contract
Compliance
Work can resume—tests
and other information show
materials now within
operating range.
LARE
determines if
work can
resume next
day.
Yes
No
1. LARE notifies the ORE.
2. ORE approves or
disapproves exception.
LARE
determines if
material may
remain in place
and deduction
taken.
No
Yes
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Construction Manual Supplement for Local Agency Resident Engineers February 2017 Page 21
Section 6-2 Acceptance of Manufactured or Fabricated Materials and Products
The LARE must follow the procedures outlined in this section of the Construction Manual. The LARE is responsible for performing all source inspection activities according to the approved Source Inspection Quality Management Plan approved by the Caltrans State Materials Engineer prior to construction.
Section 6-3 Field Tests
The LARE must follow the procedures outlined in this section of the Construction Manual. Field laboratories and equipment are the responsibility of the local agency unless otherwise provided in the cooperative agreement.
California Department of Transportation
Construction Manual Supplement for Local Agency Resident Engineers
Chapter 7 Environmental Stewardship
Section 7-1 Environmental Rules and Requirements
7-101 General, 7-102 Environmental Commitments Record, and 7-103 Protection of Environmental Resources
The local agency is responsible for obtaining and complying with all permits, licenses, agreements, and c
ertifications required for the project unless otherwise identified in the cooperative agreement. The LARE is not required to follow these sections of the Construction Manual as long as there are equivalent methods for monitoring compliance with environmental commitments. 7-104 Air, Water, and Noise Pollution Control
The LARE must follow the procedures outlined in this section and in Caltrans National Pollutant D
ischarge Elimination System permit issued by the State Water Resources Control Board (SWRCB).
When the local agency is the implementing agency for construction of a project, they must also assign the legally responsible person (LRP) and submit the Notice of Intent to the SWRCB to comply with the statewide Construction General Permit. Caltrans does not submit the Notice of Intent for projects administered by the local agency. Caltrans provides concurrence of the final stormwater pollution prevention plan before it is submitted to the SWRCB, and the LARE submits a copy of the stormwater pollution prevention plan to the ORE. Upon completion of the project, the local agency submits the Notice of Termination to the SWRCB. Caltrans will not accept the construction project from the local agency until verification that the Notice of Termination has been approved by the SWRCB. 7-105 Permits, Licenses, Agreements, and Certifications The local agency is responsible for obtaining and complying with all permits, licenses, agreements, and cer
tifications unless otherwise stated in the cooperative agreement. 7-106 Hazardous Materials
The LARE must follow the procedures outlined in this section of the Construction Manual. 7-107 Hazardous Waste and Contamination
Responsibility for hazardous waste and contamination found within the project limits are outlined in t
he cooperative agreement. The LARE must coordinate contact with the district hazardous waste coordinator through the ORE. The local agency is responsible for providing hazardous materials training to the LARE and staff. The LARE may not use Caltrans emergency waste contracts to address hazardous and contaminated materials issues unless specifically provided for by the cooperative agreement or encroachment permit.
The LARE must follow the procedures outlined, except the LARE will contact the ORE. The ORE will c
ontact the district hazardous waste coordinator. When the contractor is handling and disposing of hazardous waste, the LARE generates and provides the Environmental Protection Agency generator identification number.
7-108 Solid Waste Dispos al and Recycling Reporting
Under the Standard Specifications, the LARE is responsible for obtaining the solid waste disposal and r
ecycling report from the contractor, reviewing the report for accuracy, and submitting the report to the ORE.
The ORE distributes the solid waste disposal and recycling report to the district recycling coordinator.
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7-109 Certificate of Environmental Compliance
The LARE is responsible for preparing and signing the certificate of environmental compliance (CEC).
Local agency environmental staff and the project manager also sign the CEC. The CEC must be provided to the ORE prior to Caltrans’s acceptance of the project from the local agency.
California Department of Transportation
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C h a pt e r 8 E m pl o y m e nt P r a cti ces
S e cti o n 8 - 1 L a b o r C o m pli a nc e
It is o pti o nal f or t he L A R E a n d t he l ocal a ge nc y t o f oll o w t he pr oce d ures o utli ne d i n t his secti o n of t he C o nstr ucti o n M a n u al. T he l ocal a ge nc y m ust esta blis h g ui deli nes a n d pr oce d ures f or a d mi nisteri n g la b or c o m plia nce pr o visi o ns of t he c o ntract. T he Calif or nia La b or C o de; t he C o de of Fe deral Re g ulati o ns, Title 2 9, Part 5; a n d re g ulati o ns of t he Fe deral Hi g h wa y A d mi nistrati o n a n d t he U nite d States De part me nt of La b or pr o vi de t he basis f or c o ntract a d mi nistrati o n pr ot oc ol a n d t he s tat ut or y a ut h orit y t o e nf orce la b or c o m plia nce c o ntract pr o visi o ns. F or fe deral -ai d c o ntracts, t he l ocal a ge nc y m ust desi g nate a la b or c o m plia nce officer, se parate fr o m t he L A R E , i n acc or da nce wit h t he L oc al Assist a nce Pr oce d ures M a n u al.
S e cti o n 8 - 2 E q u al E m pl o y me nt O p p o rt u nit y T he L A R E a n d t he l ocal a ge nc y m ust f oll o w t he pr oce d ures o utli ne d i n t his secti o n of t he C o nstr ucti o n M a n u al.
S e cti o n 8 - 3 Dis a d v a nt a g e d B usi n ess E nt e r pris es a n d Dis a bl e d Vet e r a n B usi n ess E nt er p ris es
F or fe deral -ai d c o ntracts, t he L A R E a n d t he l ocal a ge nc y m ust f oll o w t he pr oce d ures o utli ne d. T he l ocal a ge nc y m ust desi g nate a Disa d va nta ge d B usi ness E nter prise Pr o gra m liais o n officer i n a cc or da nce wit h t he L oc al Assist a nce Pr oce d ures M a n u al. T he l ocal a ge nc y will use i ts o w n staff f or re m o val o r s u bstit uti o n heari n gs. T he Disa ble d Vetera n B usi ness E nter prises re q uire me nts d o n ot pertai n t o l ocal a ge nc y-a d mi nistere d pr ojects.
C alif or ni a De p art me nt of Tr a ns p ort ati o n
C o nstr u cti o n M a n u al S u p pl e me nt f or L o cal A ge n c y R esi d e nt E n gi n eers F e br u ar y 2 0 1 7 P a ge 2 5
Chapter 9 Projects Funded by Others
This chapter provides guidance only to Caltrans personnel. Local agency LAREs should not refer to this chapter for guidance.
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EXHIBIT C
SAMPLE AGREEMENT
A G R E E M E N T
THIS AGREEMENT, dated for purposes of identification only this _____ day of __________, 2025, is made and entered into by and between the
CITY OF ANAHEIM, a municipal corporation,
hereinafter referred to as "ANAHEIM,"
A
N
D
________________, a ___________________,
hereinafter referred to as "CONSULTANT."
ANAHEIM and CONSULTANT are sometimes individually referred to herein as "Party" and collectively as "Parties."
W I T N E S S E T H:
WHEREAS, ANAHEIM 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 of Anaheim; and
WHEREAS, ANAHEIM desires to obtain the services of technical professional engineering firms to provide on -call professional services in testing, inspection, environmental engineering, science services, or any o ther services as may be needed, on an as-needed basis for ANAHEIM's Public Works Department's Construction Services Division's projects and programs, as described in the Request for Proposal ("RFP") issued by ANAHEIM on ________; and WHEREAS, CONSULTANT possesses the skill, experience, ability, background, certification and knowledge to provide the services for the Project as described in this Agreement; and
WHEREAS, ANAHEIM has solicited and received a proposal from CONSULTANT dated _____________("Proposal"), has reviewed the previous experience and evaluated the expertise of CONSULTANT, and desires to retain CONSULTANT to render professional services under the terms and conditions set forth in this Agreement.
NOW, THEREFORE, FOR AND IN CONSIDERATION OF THE MUTUAL
PROMISES, COVENANTS AND CONDITIONS HEREIN CONTAINED, THE PARTIES HERETO AGREE AS FOLLOWS:
2 1. SERVICES TO BE PROVIDED BY CONSULTANT
In compliance with all of the terms and conditions of this Agreement, CONSULTANT shall pro vide professional consulting services to support ANAHEIM's Department of Public Work's (the "Department") Construction Services Division's project s including but not limited to daily, weekly, deputy inspection services, material testing, system testing, geotechnical analysis and testing, environmental assessments, review of environmental reports, sample testing, Inspector of record, review of submittals, report preparation, training of City staff, and the Department's other projects and programs as directed by the Director or his or her designee ("Services"). The Services are more particularly described in the CONSULTANT’s Proposal and in the RFP, copies of both of which are available in the Department of Public Works upon request and both of which are incorporated herein by this reference ("Scope of Services").
ANAHEIM reserves the right to modify the Scope of Services in its sole discretion.
When CONSULTANT's Services are required, ANAHEIM will issue a Request for Work Order Proposal ("RFWOP") for a specif ic project, including a specific scope of work, schedule for completion of the project, ANAHEIM’s project manager’s name, and other information specific to that RFWOP. CONSULTANT shall submit, within the time stated in the RFWOP, a sealed Work Order Propo sal indicating the cost, completion schedule, and other information requested in that RFWOP. If CONSULTANT elects not to submit a Work Order Proposal in response to the RFWOP, it shall so indicate in writing to ANAHEIM within the time stated in the RFWOP for response. ANAHEIM will open the responsive proposal(s) at the time and place stated in the RFWOP. Selection of the firm to complete the specific project requested in the RFWOP shall be based on the criteria set forth therein.
In the event of conflicting provisions, the provisions shall govern in the following order: (1) the Notice to Proceed; (2) the RFWOP; (3) CONSULTANT’s Work Order; (4) this Agreement; (5) the RFP; and (6) CONSULTANT's Proposal.
2. TERM
The term of this Agreement shall commence on the date this Agreement is executed by ANAHEM and shall terminate two (2) years thereafter , unless sooner terminated as provided herein ("Initial Term"). The Director is hereby authorized to renew this Agreement upon the same terms and conditions for no more than two (2) additional two (2) year terms after the Initial Term ("Renewal Term"), unless CONSULTANT provides written notice of termination no less than thirty (30) days prior to completion of the term in progress (hereinafter the phrases “Initial Term” and “Renewal Term,” if any, shall be collectively referred to as the “Term "). In addition, t he Director of Public Works is authorized to extend the term of the professional services agreement for such time as necessary for completion of outstanding work order packages in progress at the time. In no event, however, shall such extension exceed six (6) months.
3. TIME OF PERFORMANCE
3.1 Time is of the essence in the performance of th is Agreement and the Services shall be performed to completion in a diligent and timely manner. The failure by
3 CONSULTANT to perform the Services in a diligent and timely manner may result in termination of this Agreement by ANAHEIM.
3.2 The time period(s) specified for performance of the Services rendered pursuant to this Agreement shall be extended because of any delays due to unforeseeable causes beyond the control and without the fault or negligence of CONSULTANT, including, but not restricted to, acts o f God or of the public enemy, unusually severe weather, fires, earthquakes, floods, pestilence, and other natural catastrophes, epidemics, quarantine restrictions, riots, strikes, freight embargoes, wars, litigation, civil disturbance or disobedience, sabo tage, restraint by court order or public authority and action or non -action by or inability to obtain the necessary authorization or approvals from any governmental agency or authority, and/or acts of any governmental agency, including ANAHEIM, which by th e exercise of due diligence such Party could not reasonably have been expected to avoid and which by exercise of due diligence has been unable to overcome, if CONSULTANT shall within ten (10) days of the commencement of such delay notify the Project Admini strator in writing of the causes of the delay. The Project Administrator shall ascertain the facts and the extent of delay, and may extend the time for performing the Services for the period of the enforced delay if, in the judgment of the Project Administrator, such delay is justified. The Project Administrator's determination shall be final and conclusive upon the Parties to this Agreement. In the event of delay, however caused, CONSULTANT's sole remedy shall be an extension of th is Agreement pursuant to this Section and CONSULTANT shall not be entitled to recover damages against ANAHEIM.
4. COMPENSATION
4.1 ANAHEIM shall pay CONSULTANT for the Services satisfactorily rendered pursuant to this Agreement in accordance with the hourly rates and Fee Sched ules attached hereto as Exhibit A and incorporated herein by this reference. CONSULTANT and ANAHEIM agree that no changes to the hou rly rates set forth in Exhibit A shall be made during the Term of this Agreement without the prior written authorization of the Director of Public Works.
4.2 It is understood and agreed between the parties to this Agreement that full and complete payment for all Services provided in accordance with this Agreement shall not exceed the sum of Four Hundred Thousand Dollars ($400,000.00) for the Services described in a single work order and shall not exceed a total of One Million Dollars ($1,000,000.00) in a contract year (“Total Compensation”).
4.3 CONSULTANT shall submit monthly invoices to ANAHEIM describing the work performed the precedin g month. CONSULTANT's bills shall include the name of the person who performed the work, a brief description of the Services performed and/or the specific task in the Scope of Services to which it relates, the date the Services were performed, the number of hours spent on all work billed on an hourly basis, and a description of any reimbursable expenditures. ANAHEIM shall pay CONSULTANT no later than thirty (30) days after approval of the monthly invoice by ANAHEIM staff.
4.4 All Parties recognize that the continuation of this Agreement after the close of any fiscal year of ANAHEIM, which fiscal year ends on June 30 of each year, shall be subject to budget approval providing for or covering such contract items as an expenditure in said budget.
4 ANAHEIM does not represent that said budget item will be actually adopted, said determination being the determination of the City Council at the time of the adoption of the budget herein. No penalty shall accrue to ANAHEIM in the event this provision shall be exerc ised. Should termination be accomplished in accordance with this Section, a settlement shall be negotiated by the Parties based on items delivered, services provided, monies paid and monies due.
4.5 CPI Increase. Upon the first anniversary of the Effectiv e Date, as defined in Section 38, and upon each anniversary of the Effective Date thereafter, CONSULTANT may submit a request for adjustment of rates for the City’s approval, as set forth in the Schedule of Compensation, and shall be adjusted in proportion to changes in the Consumer Price Index. Such adjustment shall be made by multiplying CONSULTANT’s hourly rates set forth in the Schedule of Compensation by a fraction, the numerator of which is the value of the Consumer Price Index for the calendar month three (3) months preceding the calendar month for which such adjustment is to be made and the denominator of which is the value of the Consumer Price Index for the same calendar month immediately prior to the Effective Date. For example, if the adjustment is to occur effective June 1, 2018, the index to be used for the numerator is the index for the month of March 2018 and the index to be used for the denominator is the index for the month of March preceding the Effective Date. The "Consumer Price Index" to be used in such calculation is the Consumer Price Index, All Urban Consumers (All Items), for the Los Angeles Anaheim Riverside Metropolitan Area, published by the United States Department of Labor, Bureau of Labor Statistics (1982 84 = 100). If both a n official index and one or more unofficial indices are published, the official index shall be used. If said Consumer Price Index is no longer published at the adjustment date, it shall be constructed by conversion tables included in such new index.
For labor classifications that fall under prevailing wage rate law only , as an alternative to the rate increase per CPI described above , CONSULTANT’s hourly rates, as set forth in the Schedule of Compensation, may be adjusted in proportion to changes in the D IR prevailing wage rate increase.
5. PROJECT MANAGER
5.1 CONSULTANT shall designate a Project Manager, who shall coordinate the Services. This Project Manager shall be available to ANAHEIM at all reasonable times during the Term of this Agreement. CONSULTANT has designated _____________to be its Project Manager. It is expressly understood that the experience, knowledge, capability and reputation of the foregoing Project Manager is a substantial inducement for ANAHEIM to enter into this Agreement. Therefore, the foregoing Project Manger shall be responsible during the Term of this Agreement for directing all activities of CONSULTANT and devoting sufficient time to personally supervise the provision of Services hereunder. The foregoing Project Manager may not be changed by CONSULTANT and no other personnel may be assigned to supervise the Services to be provided hereunder without the express written consent of ANAHEIM.
5.2 Any personnel or subconsultant, if any, who fail or refuse to perform the Services in a manner acceptable to ANAHEIM, or who are determined by ANAHEIM, in its sole discretion, to be uncooperative, incompetent, a threat to the adequate or timely completion of the Project, or a threat to the safety of persons or property, shall be promptly removed from the Project by CONSULTANT at the request of ANAHEIM. CONSULTANT warrants that it will
5 continuously furnish the necessary personnel to complete the Services on a timely basis as contemplated by this Agreement.
6. ADMINISTRATION
This Agr eement will be administered by the Public Works Department. The employees of the Public Works Department shall be authorized to take the following actions pursuant to this Agreement:
(i) The Director of Public works is authorized to take any and all actio ns on behalf of ANAHEIM as set forth herein and to terminate services in accordance with Section 25 of this Agreement.
(ii) The Contract Administrator is authorized to take those specific acti ons set forth herein and review and approve all Services perfo rmed by CONSULTANT under this Agreement, including any revisions to billing rates as further described in Section 4.5 above. The Contract Administrator shall not be authorized to terminate Services under this Agreement.
7. STANDARD OF CARE
7.1 CONSULTANT shall perform all Services under this Agreement in a skillful and competent manner, consistent with the standards generally recognized as being employed by professionals in the same discipline in the State of California. CONSULTANT represents and maintain s that it is skilled in the professional calling necessary to perform the Services. CONSULTANT warrants that all employees and subconsultants, if any, shall have sufficient skill and experience to perform the Services assigned to them. By delivery of completed work, CONSULTANT certifies that the work conforms to the requirements of this Agreement; all applicable federal, state and local laws; and the professional standard of care.
7.2 CONSULTANT represents and warrants to ANAHEIM that it has, shall obtain, and shall keep in full force in effect during the term hereof, at its sole cost and expense, all licenses, permits, qualifications, insurance and approvals of whatsoever nature that is legally required of CONSULTANT to practice its profession. CONSULT ANT shall maintain a City of Anaheim business license during the term of this Agreement.
8. FAMILIARITY WITH WORK
By executing this Agreement, CONSULTANT represents and warrants that CONSULTANT: (i) has thoroughly investigated and considered the Services to be performed; (ii) has carefully considered how the Services should be provided; and (iii) fully understands the facilities, difficulties and restrictions attending the provision of the Services under this Agreement.
Should CONSULTANT discover any latent or unknown conditions materially differing from those inherent in the provision of such Services or as represented by ANAHEIM, CONSULTANT shall immediately inform ANAHEIM of such fact and shall not proceed except at CONSULTANT's risk until written instructions are received from ANAHEIM.
6 9. INDEPENDENT CONTRACTOR
9.1 Neither ANAHEIM nor any of its employees shall have any control over the manner, mode or means by which CONSULTANT, its agents or employees, perform the services required herein, except as otherwise set forth herein. Except as expressly provided herein, ANAHEIM shall have no voice in the selection, discharge, supervision or control of CONSULTANT's employees, servants, representatives or agents, or in fixing their number, compensation or hours of service. CONSULTANT shall perform all services required herein as an independent contractor of ANAHEIM and shall remain at all times as to ANAHEIM a wholly independent contractor with only such obligations as are consistent with that role. CONSULTANT shall not at any time or in any manner represent that it or any of its agents or employees are agents or employees of ANAHEIM. ANAHEIM shall not in any way or for any purpose become or be deemed to be a partner of CONSULTANT in its business or otherwise o r a joint venture or a member of any joint enterprise with CONSULTANT.
9.2 In consideration for the compensation paid to CONSULTANT by ANAHEIM, CONSULTANT agrees that ANAHEIM shall not be liable or responsible for any benefits, including, but not limited t o, worker's compensation, disability, retirement, life, unemployment, health or any other benefits and CONSULTANT agrees that it shall not sue or file a claim, petition or application therefor e against ANAHEIM or any of its officers, employees, agents, representatives or sureties.
10. INSURANCE
10.1 Without limiting ANAHEIM’s right to indemnification, it is agreed that CONSULTANT shall secure, prior to commencing any activities under this Agreement, and maintain, during the term of this Agreement, insurance coverage as follows:
.01 Workers’ Compensation Insurance as required by California law and Employers Liability Insurance in an amount not less than $1,000,000 and must include a Waiver of Subrogation
.02 Commercial General Liability Insurance, including coverage for Premises and Operat ions, Contractual Liability, Personal Injury Liability, Products/Completed Operations Liability, and Independent Contractor’s Liability (if applicable), in an amount not less than $2,000,000 per occurrence, $4,000,000 annual aggregate. Any deductible or s elf-insured retention in excess of $10,000 must be disclosed to ANAHEIM, in writing, at the inception of this Agreement and is subject to the acceptance of the City’s Risk Manager. .03 Automobile Liability Coverage, as required by California law, including-as applicable -owned, non -owned, and hired autos, in an amount not less than $2,000,000, combined single limit.
.04 Professional Liability, inclusive of Cyber Liability, in an amount not less than $2,000,000, and CONSULTANT shall maintain such coverage for at lea st one (1) year from termination of this Agreement. Any deductible or self-insured retention in excess of $10,000 must be disclosed to ANAHEIM, in writing, at the inception of this Agreement and is subject to the acceptance of the City’s Risk Manager.
7 10.2. CONSULTANT agrees that each insurance policy required by this Agreement shall not be voluntarily cancelled or otherwise limited in scope or coverage, until after thirty (30) days prior written notice has been given to the City Clerk, City of Anaheim, 200 S.
Anaheim Blvd., Anaheim, CA 92805, except in the event of cancellation for non -payment of premium which shall provide for not less than ten (10) days’ notice.
10.3. Each insurance policy required by this Agreement, excepting policies for Professional Liability and Workers’ Compensation, shall contain the following clauses or shall otherwise provide for the following conditions:
.01 “It is agreed that any insurance maintained by CONSULTANT, pursuant to this Agreement, shall be primary to, and not contribute w ith, any insurance or self - insurance maintained by the City of Anaheim.”
.02 “The City of Anaheim, its officers, agents, employees, representatives and ANAHEIM-designated volunteers are added as additional insureds as respects the acts, omissions, operati ons and activities of, or on behalf of, the named insured, in regard to products supplied to, or work or services performed for, or related to, the City of Anaheim.”
10.4. Prior to commencing any work under this Agreement, CONSULTANT shall deliver to ANAHEIM insura nce certificates confirming the existence of the insurance required under this Agreement, and including the applicable clauses referenced above. Also, within thirty (30) days of the execution date of this Agreement, CONSULTANT shall provide ANAHEIM: (i) endorsements to the insurance policies which add to these policies the applicable clauses referenced above; or (ii) in lieu of said endorsements, documentation acceptable to ANAHEIM evidencing that the coverage, terms, and conditions set forth in the above -referenced clauses are otherwise included in said insurance policies. Insurance required hereunder shall be placed with insurers: (i) admitted to write insurance in California; (ii) possessing an A. M. Best’s rating of A VII or higher; or (iii) otherwise acceptable to ANAHEIM, with prior written permission from ANAHEIM. In the event that a claim or other legal action is filed against ANAHEIM, and if ANAHEIM, in its good faith opinion, believes it may have coverage under any of the insurance required herein, then ANAHEIM has the right to demand, and to receive within a reasonable time period, copies of the insurance policies related to such required insurance; provided, however, that this provision shall not apply if the Parties agree that CONSULTANT shall fully def end, hold harmless, and indemnify ANAHEIM against any such claim or other legal action.
10.5. In addition to other remedies ANAHEIM may have if CONSULTANT fails to provide or maintain any insurance policies or policy endorsements to the extent and within the time herein required, ANAHEIM may, at its sole option:
.01 Order CONSULTANT to stop work under this Agreement
and/or withhold any payment(s) which become due to CONSULTANT hereunder until CONSULTANT demonstrates compliance with the requirements hereof; or .02 Terminate this Agreement.
8 Exercise of any of the above remedies, however, is an alternative to other remedies ANAHEIM may have and is not the exclusive remedy for CONSULTANT’s failure to maintain insurance or secure appropriate endorsements.
10.6. In the event CONSULTANT hires other persons or firms to perform some of the work related to this Agreement, CONSULTANT shall ensure, and certify to ANAHEIM in writing that: (i) the acts or omissions of such persons or firms are covered under the above - referenced liability insurance; or (i i) such firms maintain insurance equal to or better than, and subject to the same limits, terms and conditions as, the insurance required of CONSULTANT under this Agreement (except for firms which are not performing professional services-such firms shall not be required to carry the above-referenced professional liability insurance); and in either instance, CONSULTANT shall provide, or cause to be provided, evidence of such insurance coverage, reasonably acceptable to ANAHEIM.
10.7. ANAHEIM’s Risk Manager is hereby authorized to amend or reduce the requirements set forth herein in the event such reduction is in ANAHEIM’s best interest.
11. INDEMNIFICATION
11.1 As respects acts, errors or omissions in the performance of professional services, CONSULTANT agrees to indemnify and hold harmless ANAHEIM, its officials, officers, and employees from and against any and all claims, losses, damages, defense costs, or liability, of any kind or nature, to the extent arising directly out of CONSULTANT’s (or CONSULTANT’s contractors’ or subcontractors’, if any) negligent acts, errors or omissions in the performance of professional services under this Agreement, except those matters arising out of the sole negligence or willful misconduct of the City.
11.2. As respects all acts, errors or omissions which do not arise directly out of the performance of professional services, including but not limited to those acts, errors or omissions typically covered by ISO -based general and automobile liability insurance coverage, CONSULTANT agrees to indemnify, d efend (at ANAHEIM's option), and hold harmless ANAHEIM, its officials, officers, employees, agents, and representatives from and against any and all claims, losses, damages, defense costs, or liability, of any kind or nature (collectively referred to herei nafter as “Claims”), arising out of or in connection with CONSULTANT’s (or CONSULTANT's contractors’ or subcontractors’, if any) acts, errors, omissions, or work, relative to this Agreement; except for those Claims which arise out of the sole negligence or willful misconduct of ANAHEIM.
11.3. The obligations set forth in this indemnification provision (i) shall be in effect without regard to whether or not ANAHEIM, CONSULTANT, or any other person maintains, or fails to maintain, insurance coverage, or a self -insurance program, for any such Claims; and (ii) shall survive the termination of this Agreement.
12. PREVAILING WAGES
Where required pursuant to the provisions of the State of California Labor Code or the Davis Bacon Act, not less than the general prevailing rate of per diem wages including legal holidays, and overtime work for each craft or type of workman needed to execute the work
9 contemplated under this Agreement, shall be paid to all workmen employed on the work to be done according to this contract by CONSULTANT or any approved Subcontractor, and shall be deemed to include employer payments f or health and welfare, pension, vacation and similar purposes. If both the Davis-Bacon Act and State of California prevailing wage laws apply and the federal and state prevailing rate of per diem wages differ, CONSULTANT and Subcontractor, if any, shall pay the higher of the two rates. Said prevailing rate of per diem wages are on file at the City of Anaheim, Office of the City Clerk, 200 South Anaheim Boul evard, Anaheim, California 92805, and are available to any interested party on request.
13. PROGRESS
CONSULTANT is responsible for keeping the Project Administrator and/or his/her duly authorized designee informed on a regular basis regarding the status and progress of the Services, activities performed and planned, and any meetings that have been schedu led or are desired.
14. PROHIBITION AGAINST ASSIGNMENTS AND TRANSFERS
The Parties recognize that a substantial inducement to ANAHEIM for entering into this Agreement is the professional reputation, experience and competence of CONSULTANT.
Neither the whol e nor any interest in, nor any of the rights or privileges granted under this Agreement shall be assigned, transferred or encumbered in any way without the prior written consent of ANAHEIM. Any such purported assignment, transfer, encumbrance, pledge, sub use, or permission given without such consent shall be void as to ANAHEIM. If ANAHEIM approves an assignment or transfer, this Agreement and the covenants and conditions contained herein shall be binding upon and inure to the benefit of and shall apply to the permitted successors and assigns of CONSULTANT.
15. SUBCONTRACTING
Except for those subcontractors set forth in the Scope of Services, if any, CONSULTANT shall not subcontract any portion of the work to be performed under this Agreement without the prior written authorization of ANAHEIM. CONSULTANT shall be fully responsible to ANAHEIM for all acts and omissions of any approved subcontractor. Nothing in this Agreement shall create any contractual relationship between ANAHEIM and subcontractor nor shall it create any obligation on the part of ANAHEIM to pay or to see to the payment of any monies due to any such subcontractor other than as otherwise required by law. ANAHEIM is an intended beneficiary of any work performed by any subcontractor for purpo ses of establishing a duty of care between the subcontractor and ANAHEIM pursuant to this Agreement.
16. USE AND OWNERSHIP OF DOCUMENTS AND DATA
16.1 ANAHEIM shall furnish to CONSULTANT such documents and materials as may be relevant and pertinent to the provision of services hereunder as ANAHEIM may possess or acquire.
16.2 All documents and materials furnished by ANAHEIM to CONSULTANT pursuant to Section 16.1 shall remain the property of ANAHEIM and shall be returned to
10 ANAHEIM upon termination of this A greement, for any reason. All documents or material prepared or caused to be prepared by CONSULTANT, its officers, employees, agents and subcontractors, in the course of implementing this Agreement, shall become the exclusive property of ANAHEIM, and ANAH EIM shall have the sole right to use such materials in its discretion without further compensation to CONSULTANT or any other party. CONSULTANT shall, at CONSULTANT's sole cost and expense, provide such documents and material to ANAHEIM upon prior written request.
Documents and material prepared by CONSULTANT pursuant to this Agreement are not intended or represented to be suitable for reuse by ANAHEIM or others on any other project. Any use of completed documents for other projects and any use of incomplete documents without specific written authorization from CONSULTANT will be at ANAHEIM's sole risk and without liability to CONSULTANT. Further, any and all liability arising out of changes made to CONSULTANT's deliverables under this Agreement by ANAHEI M or persons other than CONSULTANT, is waived against CONSULTANT and ANAHEIM assumes full responsibility for such changes unless ANAHEIM has given CONSULTANT prior notice and has received from CONSULTANT written consent for such changes.
17. CONFIDENTIALITY
All documents, including drafts, preliminary drawings or plans, notes, ideas and communications that result from the Services provided under this Agreement, shall be kept confidential by CONSULTANT unless ANAHEIM authorizes, in writing, the release of said information.
18. INTELLECTUAL PROPERTY INDEMNITY
CONSULTANT shall defend and indemnify ANAHEIM, its agents, officers, representatives and employees against any and all liability, including costs, for infringement of any United States' letters patent, trademark, or copyright infringement, including costs, contained in the work product or documents provided by CONSULTANT to ANAHEIM pursuant to this Agreement.
19. RECORDS
CONSULTANT shall keep records and invoices in connection with the work to be performed under this Agreement. CONSULTANT shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures and disbursements charged to ANAHEIM, for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to CONSULTANT under this Agreement.
All such records and invoices shall be clearly identifiable. CONSULTA NT shall allow a representative of ANAHEIM to examine, audit and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours.
CONSULTANT shall allow inspection of all work, data, Docu ments, proceedings and activities related to this Agreement for a period of three (3) years from the date of final payment to CONSULTANT under this Agreement.
11 20. WITHHOLDINGS
ANAHEIM may withhold payment to CONSULTANT of any disputed sums until satisfaction of the dispute with respect to such payment. Such withholding shall not be deemed to constitute a failure to pay according to the terms of this Agreement. CONSULTANT shall not discontinue work as a result of such withholding. CONSULTANT shall have an immediate right to appeal to the City Manager or his Designee with respect to such disputed sums and his/her decision shall be final. CONSULTANT shall be entitled to receive interest on any withheld sums at the rate of return that ANAHEIM earned on its in vestments during the time period, from the date of withholding of any amounts found to have been improperly withheld.
21. ERRORS AND OMISSIONS
In the event of errors or omissions that are due to the negligence or professional inexperience of CONSULTANT which result in expense to ANAHEIM greater than what would have resulted if there were not errors or omissions in the work accomplished by CONSULTANT, the additional cost and expense shall be borne by CONSULTANT. Nothing in this paragraph is intended to limit ANAHEIM's rights under the law or any other sections of this Agreement.
22. ANAHEIM'S RIGHT TO EMPLOY OTHER CONSULTANTS
CONSULTANT acknowledges and agrees that this Agreement and the provision of services hereunder are nonexclusive and that ANAHEIM may e nter into similar agreements with other entities for the provision of similar services.
23. CONFLICTS OF INTEREST
CONSULTANT or its employees may be subject to the provisions of the California Political Reform Act of 1974 (the “Act”), which (1) requires such persons to disclose any financial interest that may foreseeably be materially affected by the Services performed under this Agreement and (2) prohibits such persons from making, or participating in making, decisions that will foreseeably financially affect such interest. If subject to the Act, CONSULTANT shall conform to all other requirements of the Act that may be applicable. Failure to do so constitutes a material breach and is grounds for immediate termination of this Agreement by ANAHEIM.
CONSULTANT’s Services under this Agreement may now o r in the future involve participation in governmental decision-making processes such that ANAHEIM deems it necessary to designate one or more of CONSULTANT’s employees a filer of a Statement of Economic Interests (“Form 700 Filer”) under the Act. ANAHEIM shall make such designations based on the nature and scope of the Services and requirements of the Act. If CONSULTANT’s employee(s) is designated a Form 700 Filer, such employee(s) shall file under Disclosure Category 1, unle ss otherwise directed by ANAHEIM , and shall periodically complete ethics training as required by ANAHEIM. CONSULTANT shall at its own cost and expense ensure such employee’s compliance with these filing and ethics-training requirements.
CONSULTANT shall indemnify and hold harmless ANAHEIM for any and all claims for damages resulting from CONSULTANT’s violation of this Section.
12 24. NOTICES
All notices, demands or other writings to be made, given or sent hereunder, or which may be so given or made or sent by either ANAHEIM or CONSULTANT to the other shall be deemed to have been given when in writing and personally delivered or if mailed on the third (3rd) day after being deposited in the United States mail, certified or registered, postage prepaid, and addressed to the respective Parties at the following addresses:
If to ANAHEIM: City Clerk
City of Anaheim
200 S. Anaheim Boulevard, 2nd Floor
Anaheim, California 92805
FAX No. (714) 765-4105
With copies to: Director of Public Works
City of Anaheim
200 S. Anaheim Boulevard, 2nd Floor
Anaheim, California 92805
FAX No. (714) 765-5225
To CONSULTANT: Name
Address
25. ENFORCEMENT OF AGREEMENT
25.1 Events of Default.
.01 For purposes of this Section 25, the word "Default" shall mean the failure of CONSULTANT to perform any of CONSULTANT's duties or obligations or the breach by CONSULTANT of any of the terms and conditions set forth in this Agreement. In addition, CONSULTANT shall be deemed to be in Default upon CONSULTANT's (i) application for, consent to, or suffering of, the appointment of a receiver, trustee or liquidator for all or a substantial portion of its assets; (ii) making a general assignment for the benefit of creditors; (iii) being adjudged bankrupt; (iv) filing a voluntary petition or suffering an involunt ary petition under any bankruptcy, arrangement, reorganization or insolvency law (unless in the case of an involuntary petition, the same is dismissed within thirty (30) days of such filing); or (v) suffering or permitting to continue unstayed and in effect for fifteen (15) consecutive days any attachment, levy, execution or seizure of all or a substantial portion of CONSULTANT's assets or of CONSULTANT's interests hereunder.
.02 ANAHEIM shall not be deemed to be in Default in the performance of any obligation required to be performed by ANAHEIM hereunder unless and until ANAHEIM has failed to perform such obligation for a period of thirty (30) days after receipt of written notice from CONSULTANT specifying in reasonable detail the nature and extent of any s uch failure; provided, however, that if the nature of ANAHEIM's obligation is such that more than thirty (30)
13 days are required for its performance, then ANAHEIM shall not be deemed to be in Default if ANAHEIM shall commence to cure such performance within such thirty (30) day period and thereafter diligently prosecute the same to completion.
25.2 Immediate Termination for CONSULTANT's Default. In the event of any Default by CONSULTANT, ANAHEIM may immediately terminate this Agreement. Such termination shall be effective immediately upon receipt by CONSULTANT of written notice from ANAHEIM. In such event, CONSULTANT shall have no further rights hereunder, and ANAHEIM shall have all other rights and remedies as provided by law.
25.3 Termination without Cause. ANAHEIM may terminate this Agreement at any time without the necessity of cause or Default by giving seven (7) days notice in writing to CONSULTANT. In such event, the Parties shall have no further rights hereunder, except that CONSULTANT shall be paid for all services adequately rendered prior to such termination.
CONSULTANT may not terminate this Agreement except for cause.
26. COMPLIANCE WITH ALL LAWS
CONSULTANT shall at its own cost and expense comply with all statutes, ordinances, regulations and requirements of all governmental entities, including federal, state, county or municipal, whether now in force or hereinafter enacted. In addition, all work prepared by CONSULTANT shall conform to applicable local, county, state and federal laws, rul es, regulations and permit requirements and be subject to approval of the Project Administrator.
27. WAIVER
A waiver by either Party of any breach, of any term, covenant or condition contained herein shall not be deemed to be a waiver of any subsequent bre ach of the same or any other term, covenant or condition contained herein, whether of the same or a different character.
28. INTEGRATED CONTRACT
This Agreement and the exhibits hereto contain the entire agreement of ANAHEIM and CONSULTANT with respect to t he matters covered hereby, and no agreement, statement or promise made by either ANAHEIM or CONSULTANT which is not contained herein, shall be valid or binding. No prior agreement, understanding or representation pertaining to any such matter shall be effective for any purpose.
29. CONFLICTS OR INCONSISTENCIES
In the event there are any conflicts or inconsistencies between this Agreement and the Exhibits or any other attachments attached hereto, the terms of this Agreement shall govern.
30. INTERPRETATION
Each Party acknowledges that he / she / it has had the benefit of advice of competent legal counsel with respect to its decision to enter this Agreement. The provisions of this
14 Agreement shall be interpreted to give effect to their fair meaning and sha ll be construed as prepared by both Parties.
31. AMENDMENTS
This Agreement may be modified or amended only by a written document executed by both CONSULTANT and ANAHEIM and approved as to form by the City Attorney.
32. SEVERABILITY
If any term or provision of this Agreement or the application thereof to any person or circumstance shall, to any extent, be held invalid or unenforceable, the remainder of this Agreement, or the application of its terms and provisions to persons and circumstances other than those to which it has been held invalid or unenforceable shall not be affected thereby, and each term and provision of this Agreement shall be valid and enforceable to the fullest extent permitted by law.
33. REMEDIES CUMULATIVE
The remedies given to ANAHEIM and CONSULTANT herein shall be cumulative and are given without impairing any other rights given ANAHEIM or CONSULTANT by statute or law now existing or hereafter enacted and the exercise on any one (1) remedy by ANAHEIM or CONSULTANT shall not exclude the exercise of any other remedy.
34. NO THIRD PARTY BENEFICIARIES
The Parties intend that no rights nor remedies be granted to any third party as a beneficiary of this Agreement or of any covenant, duty, obligation or undertaking established herein.
35. CONTROLLING LAW AND VENUE
The laws of the State of California shall govern this Agreement and all matters relating to it and any action brought relating to this Agreement shall be adjudicated in a court of competent jurisdiction in the County of Orange.
36. DISCRIMINATION
CONSULTANT agrees not to discriminate against any person or class of persons by reason of sex, color, race, creed, religion, marital status, handicap, ancestry, national origin or other prohibited basis in its provision of Services or hiring of subcontractors or employees. To the extent this Agreement provides that CONSULTANT offer accommodations or services to the public, such accommodations or services shall be offered by CONSULTANT to the public on fair and reasonable terms.
15 37. COMMUNITY WORKFORCE AGREEMENT
CONSULTANT agrees to comply with the Community Workforce Agreement (“CWA”) and, if there is conflict between this Agreement and the CWA, CONSULTANT agrees to comply with the terms of the CWA. CONSULTANT shall require each of its subcontractors, of whatever tier, to be bound by the terms of the CWA.
38. AUTHORITY
Each individual executing this Agreement on behalf of a corporation, nonprofit corporation, partnership or other entity or organization, represe nts and warrants the he or she is duly authorized to execute and deliver this Agreement on behalf of such entity or organization and that this Agreement is binding upon the same in accordance with its terms. CONSULTANT shall, at ANAHEIM's request, deliver a certified copy of it governing board's resolution or certificate authorizing or evidencing such execution.
39. EFFECTIVE DATE
This Agreement shall be effective on the date on which this Agreement is executed by ANAHEIM ("Effective Date").
[Signatures on Following Page]
16 IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed on the dates hereinafter respectively set forth.
DATE OF EXECUTION:
CITY OF ANAHEIM
a municipal corporation
By:
Rudy Emami
Director of Public Works
“ANAHEIM”
ATTEST:
By: _
Theresa Bass, City Clerk
DATE OF EXECUTION:
________________, a _______________
By:
Title:
Printed Name:
“CONSULTANT”
APPROVED AS TO FORM:
ROBERT FABELA, CITY ATTORNEY
By:
Bryn M. Morley
Deputy City Attorney
Dated:
Attachments: Exhibit A
155263
1 EXHIBIT A
STARTS AFTER THIS PAGE
EXHIBIT D
COMMUNITY WORKFORCE
AGREEMENT (CWA)
FOR THE CITY OF ANAHEIM
Ao+ p- - 119 ea. B
SECOND AMENDED AND RESTATED
COMMUNITY WORKFORCE AGREEMENT
BY AND BETWEEN THE
CITY OF ANAHEIM
m
LOS ANGELES/ ORANGE COUNTIES
BUILDING AND CONSTRUCTION TRADES COUNCIL
AND THE SIGNATORY CRAFT COUNCILS AND LOCAL UNIONS
SIGNING THIS AGREEMENT
TABLE OF CONTENTS Page
ARTICLE 1 DEFINITIONS 2
ARTICLE 2 SCOPE OF THE AGREEMENT 3
ARTICLE 3 UNION RECOGNITION AND EMPLOYMENT 7
ARTICLE 4 UNION ACCESS AND STEWARDS 11
ARTICLE 5 WAGES AND BENEFITS 12
ARTICLE 6 HOURS OF WORK, OVERTIME, SHIFTS AND HOLIDAYS 12 ARTICLE 7 WORK STOPPAGES AND LOCKOUTS 14
ARTICLE 8 WORK ASSIGNMENTS AND JURISDICTIONAL DISPUTES 18 ARTICLE 9 MANAGEMENT RIGHTS 19
ARTICLE 10 SETTLEMENT OF GRIEVANCES AND DISPUTES 21
ARTICLE 11 REGULATORY COMPLIANCE 22
ARTICLE 12 SAFETY AND PROTECTION OF PERSON AND PROPERTY 23 ARTICLE 13 TRAVEL AND SUBSISTENCE 23
ARTICLE 14 APPRENTICES 24
ARTICLE 15 WORKING CONDITIONS 25
ARTICLE 16 PRE - JOB CONFERENCES 25
ARTICLE 17 LABOR/ MANAGEMENT COOPERATION 25
ARTICLE 18 SAVINGS AND SEPARABILITY 26
ARTICLE 19 WAIVER 26
ARTICLE 20 AMENDMENTS 27
ARTICLE 21 DURATION OF THE AGREEMENT 27
ATTACHMENT A — LETTER OF ASSENT 29
ATTACHMENT B — ORANGE COUNTY ZIP CODES 30
ATTACHMENT C — CRAFT REQUEST FORM 32
ATTACHMENT D — LIST OF NEUTRAL ARBITRATORS 34
ATTACHMENT E — SUBSTANCE ABUSE POLICY 35
Community Workforce Agreement 2 City of Anaheim
COMMUNITY WORKFORCE AGREEMENT
This Second Amended Restated Community Workforce Agreement (" Agreement") is entered into on , 2024 (" Effective Date"), by and between the City of Anaheim, a municipal corporation and charter city (" City"), the Los Angeles/ Orange Counties Building and Construction Trades Council (" Trades Council"), and the signatory Craft Councils and Local Unions signing this Agreement ( collectively, the " Union" or " Unions"). This Agreement establishes the proceduresfor the City, Contractors, andcraft employeesrepresentedby the Unions andengaged in Project Work. The City, Trades Council, and Unions are hereinafter referred to herein, as the context may require, as "Party" or " Parties."
It is understood by the Parties to this Agreement that for the duration of this Agreement, the City agrees that all Project Work ( as defined in Section 2. 2.) will be contracted exclusively to Contractors who agree to execute and be bound by the terms of this Agreement by signing a Letter of Assent ( a form of which is attached as " Attachment A"), and to require each of its subcontractors, of whatever tier, to become so bound. The City shall include, directly or by incorporation by reference, the requirements of this Agreement in the advertisement of and/or specifications for those Project Work contracts to be awarded by the City.
It is further understood that the City shall actively administer and facilitate the enforcement of the obligations of this Agreement to ensure that the benefits envisioned from it flow to all Parties. The City shall therefore designate a "CWA Administrator," either from its own staff or an independent contractor, to serve as the City' s liaison for Contractors and Unions; to monitor compliance with this Agreement; to assist, as the authorized representative of the City, in developing and implementing the programs referenced herein, all of which are critical to fulfilling the intent and purposes of the Parties and this Agreement; and to otherwise implement and administer this Agreement.
RECITALS
WHEREAS, the City desiresto obtain construction, maintenance, repair, abandonment, relocation, and related services in connection with public contracting of its Capital Improvement Program CIP); and
WHEREAS, the public interest, local economy, and general welfare are best served if the CIP activities are implemented without disruption due to labor disputes; and WHEREAS, Construction Contracts entered into by the City and Contractors will be awarded in accordance with applicable provisions of the Charter of the City of Anaheim to the lowest responsive and responsible bidder subject to a competitive bidding process, the California Public Contract Code and Labor Code, including but not limited to payment of prevailing wages; and WHEREAS, the City Council directed City staff at its meeting of March 19, 2019, to develop a Community Workforce Agreement with the Trades Council that includes the benefits of hiring local residentsandotherpriority groupsto perform suchcapital improvements.
WHEREAS, in order to resolve litigation filed in the Orange County Superior Court, the Parties have agreed to amend and restate the Community Workforce Agreement by modifying section
3. 8. 2.
NOW, THEREFORE, IN CONSIDERATION OF THE MUTUAL PROMISES, COVENANTS AND CONDITIONS HEREIN CONTAINED, THE PARTIES AGREE AS FOLLOWS:
ARTICLE 1
DEFINITIONS
Section 1. 1 " Agreement" or " CWA" means this Second Amended and Restated Community Workforce Agreement.
Section 1. 2 " Apprentice" means those craft employees indentured and participating in a Joint Labor/ Management Apprenticeship Program approved by the State of California, Department of Industrial Relations, Division of Apprenticeship Standards.
Section 1. 3 " Construction Contract" or " Construction Contracts" means those contracts entered into by the City, for the construction of Project Work as specified in Section 2.2.
Section 1. 4 " Contractor" means any individual firm, partnership, or corporation, or combination thereof, including joint ventures, which is an independent business enterprise and which has entered into a Construction Contract with the City including any Subcontractors of any tier, with respect to Project Work under this Agreement.
Section 1. 4. 1 " General Construction Contractor" or " GCC" means a prime Contractor retained directly by the City to perform Project Work and has entered into a Construction Contract.
Section 1. 4. 2 " Subcontractor" means a Contractor who is retained by a GCC, or another lower tier Contractor, to perform Project Work.
Section 1. 5 " City" means the City of Anaheim, a municipal corporation.
Section 1.6 " Joint Labor/ Management Apprenticeship Program" means a joint Union and Contractor administered apprenticeship program certified by the State of California, Department of Industrial Relations, Division of Apprenticeship Standards.
Section 1. 7 " Letter of Assent" means the document that each Contractor ( of any tier) must sign and submit to the City before beginning any Project Work, which formally binds such Contractor( s) to adherence to all the forms, requirements, and conditions of this Agreement in the form attached hereto as Attachment A.
Section 1. 8 " CWA Administrator" means the City' s authorized representative who will be the primary liaison between the City, Contractors, and the Unions; responds to inquiries about the Community Workforce Agreement 2 City of Anaheim
CWA; monitors compliance with the CWA, and develops and implements programs set forth in the CWA.
Section 1. 9 " Project", " Project Work" or " City Project" means Capital Improvement Program projectsadministeredthrough the City of AnaheimPublic Works Department, subjectto the State of California public contracting laws, authorizedby the City Council pursuantto a Construction Contract entered into by the City, and as further described in Section 2.2.
Section 1. 10 " Specialty Contracts" means a contract for Project Work with a specialty contractor which is eitherlimited to a particular singletradeor craft or limited to a singular scopeof work.
Section 1. 11 " Master Labor Agreements" means the local collective bargaining agreements of the signatoryUnions having geographicandtradejurisdiction over the Project Work and which have signed this Agreement.
Section 1. 12 " Subscription Agreement" means the contract between a Contractor and a Union' s Labor/ Management Trust Fund( s) that allows the Contractor to make the appropriate fringe benefit contributions in accordance with the terms of the Master Labor Agreements.
Section 1. 13 " Local Hires" means individuals identified in Section 3.5, who are employed by Contractorsascraft employeesto perform Project Work and havepriority in being dispatchedby the respective Unions.
Section 1. 14 The use of masculine or feminine gender or titles in this Agreement should be construedas including both gendersand not as genderlimitations unlessthe Agreementclearly requires a different construction. Further, the use of Article titles and/ or Section headings are for information only and carry no legal significance.
ARTICLE 2
SCOPE OF THE AGREEMENT
Section 2. 1 General This Agreement shall apply to all of the City' s Project Work, as defined in Section 2.2, performed by those Contractor( s) of whatever tier that have contracts awarded for such work, for the development of the City' s facilities which, jointly, constitute the Project, and have been designated by the City for construction or planned rehabilitation. The CWA administrator will submit annual reports to the City Council on this agreement.
Section 2. 2 Specific Project Work covered by this Agreement is defined and limited to:
2. 2. 1 All City Project Work - prime multi -trade constructioncontractsthat exceedfive hundred thousand dollars ($ 500,000) and all subcontracts flowing from these prime multi -trade contracts.
2. 2. 2 All prime " Specialty Contracts," as defined in Section 1. 10 that exceed two hundred thousand dollars ($ 200,000) and all subcontracts flowing from these specialty contracts.
Community Workforce Agreement 3 City of Anaheim
2. 2. 3 The City may, at any time and at its sole discretion, determine to build additional buildings, facilities, andother projects underthis Agreementwhich arenot otherwisecoveredas Project Work.
2. 2. 4 This Agreement is not intended to, and shall not apply to any work advertised for bids or performedat anytime prior to the Effective Date, or after the expiration or termination of this Agreement, except as otherwise provided herein. This Agreement shall in no way limit the City' s right to terminate, modify or rescind any construction contract and/or any related subcontract or agreement. Should the City remove or terminate any contract or agreement for construction that does not fall within the scope of this Agreement and thereafter authorize that work be commenced on any contract for such construction, the contract for construction shall be performedunderthetermsof this Agreementif thework is not excludedper Section2.5.
Section 2. 3 Bundling of Contracts
2. 3. 1 The City, in its sole discretion, may seek to group ( or " bundle") for bidding, contracts not meeting the threshold of Section 2.2 above. ( Small contracts for like types of work, scheduled to be undertaken at the same facility or on the same project site, and within the same timeframe, will be considered for such bundling, consistent with economies of scale, and the purposes of this Agreement); and
2. 3. 2 Project Work will not be intentionally split, divided, or otherwise separated for contract award purposes to avoid application of this Agreement.
Section 2. 4 Applicability This Agreement shall not apply to any work of any Contractor other than that on Project Work specifically covered by this Agreement.
Section 2. 5 Exclusions Items specifically excluded from the scope of this Agreement include the following:
2. 5. 1 Work of non -manual employees, including but not limited to: superintendents; supervisors ( except those covered by Master Labor Agreements above the level of general foreman); staff engineers; time keepers; clerks; office workers; messengers; guards; safety personnel; emergencymedical and first aid technicians; and other professional, engineering, executive, administrative, supervisory and management employees;
2. 5. 2 Equipment and machinery owned, controlled, and operated by the City;
2. 5. 3 All off -site manufacture and handling of materials, equipment or machinery; provided, however, the movementof materialsor goodsbetweena Project site and lay down or storage areas for equipment and materials dedicated solely to the Project are within the scope of this Agreement;
2. 5. 4 All work performed by City employees, the CWA Administrator, design teams including, but not limited to, architects engineers and master planners), or any other consultants for the City ( including, but not limited to, project managers and construction managers and their Community Workforce Agreement 4 City of Anaheim
employees where not engaged in Project Work) and their sub - consultants, and other employees of professional service organizations, not performing manual labor within the scope of this Agreement; provided, however, that it is understood and agreed that Surveyors and Building/ Construction Inspector and Field Soils and Materials Testers (Inspectors) are a covered craft under the Agreement. This inclusion applies to the scope of work defined in the State of California Wage Determination for said Craft. This shall also specifically include such work where it is referred to by utilization of such terms as " quality control" or " quality assurance." Every Surveyor and Inspector performing under the wage classifications of Surveyor and Building/ Construction Inspector and Field Soils and Material Testers under aprofessional services agreement or a construction contract shall be bound to all applicable requirements of the CWA.
Covered Work as defined by this Agreement shall be performed pursuant to the terms and conditions of this Agreement regardless of the manner in which the work was awarded;
2. 5. 5 Any work performed near, or leading to a site of Project Work covered by this Agreement and undertaken by Federal, State, county or other governmental bodies, or their Contractors; or by public utilities, or their Contractors; and/or by adjacent third -party landowners; and/or by the City or its Contractors ( for work which is not within the scope of this Agreement);
2. 5. 6 Off - site maintenance of leased equipment and on - site supervision of such work;
2. 5. 7 It is recognized that certain equipment and systems of a highly technical and specialized nature will have to be installed at the Project. The nature of the equipment and systems, togetherwith requirementsof a manufacturer'swarranty, may dictatethat it beprefabricated, pre - piped, and/or pre -wired andthat it beinstalled underthe supervisionanddirection of theOwner's and/or manufacturer' s personnel. The Unions agree to install such material, equipment and systems without incident, or allow such installation to be performed by the manufacturer' s employees or a contractor certified by the manufacturer where the Unions are unable to perform such work or the warranty requires the work to be performed by the employees of the manufacturer or a contractor certified by the manufacturer. If a warranty on the manufacturer' s specialty or technical equipment or systems purchased by the Owner requires that the installation of such specialty or technical equipment or system be performed by the manufacturer' s own personnel, then such installation may be performed by the manufacturer' s own personnel. If a warranty on the manufacturer' s specialty or technical equipment or systems purchased by the Owner requires that the installation of such specialty or technical equipment or system be performed by a contractor certified by the manufacturer, and there are no Union signatory contractors certified by the manufacturerto install and/or perform suchwork, then suchinstallation may beperformedby such certified contractor. The General Contractor shall notify the Unions at the prejob conference of the use of this provision and shall provide copies of the written warranty that require that the work be performed by the manufacturer' s own personnel, or a contractor certified by the manufacturer, to the affected Union( s). When the warranty does not require installation by the manufacturer' s own personnel or a contractor certified by the manufacturer, the Unions agree to perform and install such work under the supervision and direction of the manufacturer' s representative. This shall not apply to construction equipment If there is any dispute between the manufacturer and the Union on any work that will affect the warranties or guarantees due to the City, the City will make the final determination asto who will perform the work; Community Workforce Agreement 5 City of Anaheim
2. 5. 8 Non -construction support services contracted by the City or City consultants in connection with a Project;
2. 5. 9 Off -site laboratory work for testing.
2. 5. 10 CoveraLe Exception This Agreement shall not apply if the City receives or is reasonablyanticipatedto receive funding or assistancefrom any Federal, State, local or other public entity for the Project if a requirement, condition or otherterm of receiving that funding or assistanceis that the City not requirebidders, contractors, or otherpersonsor entitiesto enterinto an agreement with one or more labor organizations. This provision shall not apply to Projects awardedprior to the City' s applicationand/or receipt of suchfunding or assistance, solong asthis Agreement does not jeopardize such funding or assistance.
2.5.11 Electrical utility and water utility work on high voltage utility equipment, water well construction, Supervisory Control and Data Acquisition ( SCADA) or other computerized equipment, and other specialty utility construction work not covered by the MLAs of the Unions.
Section 2. 6 Awarding of Contracts for Project Work
2. 6. 1 The City and/or the Contractors, as appropriate, havethe absoluteright to award contracts or subcontracts on Project Work to any Contractor notwithstanding the existence or non- existenceof any agreementsbetweensuchContractor and any Union parties, provided only that suchContractoris ready, willing, andableto executeandcomplywith this Agreementshouldsuch Contractor be awarded Project Work covered by this Agreement.
2. 6. 2 It is agreed that all GCCs that have been awarded Construction Contracts, shall be required to accept and be bound to the terms and conditions of this Agreement, and shall evidence their acceptance by the execution of the Letter of Assent set forth in " Attachment A" hereto, prior to the commencement of any Project Work. At the time that any GCC enters into a subcontract with any Subcontractorof any tier providing for the performanceof ProjectWork, the GCC shall provide a copy of this Agreementto said Subcontractorand shall requirethe Subcontractor, asa part of acceptingthe awardfrom the GCC, to agreein writing in the form of a Letter of Assentto be bound by each and every provision of this Agreement prior to the commencement of Project Work. No GCC or Subcontractor shall commence Project Work without having first provided a copyof theLetter of Assentasexecutedby it to the CWA Administrator andto theTradesCouncil before the commencement of Project Work.
Section 2. 7 Master Labor Agreements
2. 7. 1 Theprovisionsof this Agreement, including theMasterLabor Agreementsassuch maybechangedfrom time -to -time andwhich alsoareincorporatedhereinby reference, shallapply to all Contractorsperforming Project Work. This Agreement is not intendedto supersedesuch Master Labor Agreementsbetweenany of the Contractorsperforming constructionwork on the Project and a Union signatory thereto except to the extent the provisions of this Agreement are inconsistent with such Master Labor Agreements, in which event the provisions of this Agreement shall apply. However, suchdoesnot apply to work performedundertheNational Cooling Tower Community Workforce Agreement 6 City of Anaheim
Agreement, the National Stack Agreement, the National Transit Division Agreement ( NTD), work within the jurisdiction of the International Union of Elevator Constructors, and all instrument calibration and loop checkingwork performed under the terms of the UA/IBEW Joint National Agreement for Instrument and Control Systems Technicians except that Article 7 - Work Stoppages and Lock - Outs, Article 8 - Work Assignments and Jurisdictional Disputes, and Article 10 - Settlement of Grievances and Disputes shall apply to such work. Where a subject is covered by the provisions of a Master Labor Agreement and not in conflict with the provisions of this Agreement, the provisions of the Master Labor Agreementshall apply. It is specifically agreed that no later third party agreement shall be deemed to have precedence over this Agreement unless signed by all party' s signatory hereto who are then currently employed or represented at the Project. Any dispute as to the applicable source between this Agreement and any Master Labor Agreements for determining the wages, hours of working conditions of employees on a Project shall be resolved under the procedures established in Article 10.
2. 7. 2 It is understood that this Agreement, together with the referenced Master Labor Agreements, constitutes a self-contained, stand-alone agreement and by virtue of having become bound to this Agreement, the Contractor will not be obligated to sign any other local, area or national collective bargaining agreement as a condition of performing work within the scope of this Agreement ( provided, however, that the Contractor may be required to sign a uniformly applied, non- discriminatory Subscription Agreement at the request of the trustees or administrator of a trust fund establishedpursuantto Section302 of the Labor ManagementRelationsAct, and to which such Contractor is bound to make contributions under this Agreement, provided that such Subscription Agreement does not purport to bind the Contractor beyond the terms and conditions of this Agreement and/or expand its obligation to make contributions pursuant thereto). It shall be the responsibility of each prime Contractor/ GCC to have each of its subcontractors sign the appropriate Subscription Agreement, with the appropriate craft Union prior to the Subcontractor beginning work on Project Work.
Section 2. 8 Binding Signatories Only This Agreement shall only be binding on the signatory Parties hereto, and shall not apply to the parents, affiliates, subsidiaries, or other ventures of any such Party not performing Project Work.
Section 2. 9 Other CitN Work Nothing contained herein shall be interpreted to prohibit, restrict, or interfere with the performance of any other operation, work, or function not covered by this Agreement, which may be performedby City employeesor contractedfor by the City for its own account, on its property or in and around a Project site.
Section 2. 10 Separate Liabilitl It is understood that the liability of the Contractor( s) and the liability of the separate Unions under this Agreement shall be several and not joint. The Unions agreethat this Agreement doesnot have the effect of creating anyjoint employment statusbetween or among the City or CWA Administrator and/or any Contractor.
Section 2. 11 Completed Project Work As areas of Project Work are accepted by the City, this Agreement shall have no further force or effect on such items or areas except where the Contractor is directed by the City or its representatives to engage in repairs, modification, check-out and/or warranties functions required by its contract( s) with the City under the original contract.
Community Workforce Agreement 7 City of Anaheim
ARTICLE 3
UNION RECOGNITION AND CRAFT EMPLOYMENT
Section 3. 1 Recounition The Contractors recognize the Trades Council and the Unions as the sole and exclusive bargaining representative for the craft employees engaged in Project Work.
Contractors further recognize that the Unions shall be the primary source of craft labor employed on the Project Work except as may otherwise be provided for in this Agreement. In the event that a Contractor has its own core workforce, said Contractor shall follow the procedures outlined in Section 3. 8 below.
Section 3. 2 Contractor Selection of Craft Employees The Contractor shall have the right to determine the competency of craft employees, the number of craft employees required, the duties of such craft employees within their craft jurisdiction, and shall have the sole responsibility for selecting craft employees to be laid off, consistentwith Section 3.3 and Section 4.3 of this Agreement. The Contractor shall also have the right to reject any applicant referred by a Union for any reason, subjectto anyreporting pay required by Article 6; provided, however, that suchright is exercised in good faith and not for the purpose of avoiding the Contractor' s commitment to employ qualified craft workers throughtheproceduresidentified in this Agreement.
Section 3. 3 Referral Procedures
3. 3. 1 For signatoryUnions now having ajob referral systemcontainedin aMasterLabor Agreement, the Contractor agreesto comply with such system, and it shall be used exclusively by such Contractor, except as modified by this Agreement. Such job referral system will be operated in a nondiscriminatory manner and in full compliance with Federal, State, and local laws and regulations which require equal employment opportunities and non- discrimination. All of the foregoinghiring procedures, including relatedpracticesaffecting apprenticeship, shallbe operated so asto considerthe goalsof the City to encourageemploymentof Local Hires on Project Work, and to facilitate the ability of all Contractors to meet their employment needs.
3. 3. 2 The local Unions will exert their best efforts to recruit and refer sufficient numbers of skilled craft workers to fulfill the labor requirements of the Contractor, including specific employment obligations to which the Contractor may be legally and/or contractually obligated; and to refer Apprentices as requested to develop a larger, skilled workforce. The Unions will work with their affiliated regional and national unions, and jointly with the CWA Administrator and others designated by the City, to identify and refer competent craft workers as needed for Project Work, and to identify and hire individuals, particularly Local Hires, for entrance into joint labor/managementapprenticeshipprograms, or to participate in other identified programs and proceduresto assist individuals in qualifying and becoming eligible for such apprenticeship programs, all maintainedto increasetheavailablesupply of skilled craft workersfor ProjectWork to be undertaken by the City.
3. 3. 3 The Union shall not knowingly refer a craft employee currently employed by a Contractor on a covered Project to any other Contractor.
Community Workforce Agreement 8 City of Anaheim
Section 3. 4 Non -Discrimination in Referral. Craft Employment. and Construction Contracting The Unions and Contractors agree that they will not discriminate against any craft employee or applicant for employment in hiring and dispatching on the basis of race, color, religion, sex, gender, national origin, age, membership in a labor organization, sexual orientation, political affiliation, marital status or disability.
Section 3. 5 Emplo,, ment of Local Hires
3. 5. 1 The Unions and Contractors agree that, to the extent allowed by law, and as long as they possessthe requisite skills and qualifications, the Unions will exert their bestefforts to refer and/ or recruit sufficient numbers of skilled craft Local Hires to fulfill the requirements of the Contractors. In recognition of the fact that the City and the communities surrounding Project Work will beimpactedby the constructionof theProjectWork, thePartiesagreeto supportthehiring of Local Hires for Project Work as further described in this Section 3. 5.
3. 5. 1. 1 Tier 1:
a) Residents of the City and other Orange County cities or unincorporated County of Orange, as reflected on the list of U. S. Postal Service zip codes attached hereto as Attachment B;
b) Veterans regardless of residency, primarily through, but not limited to, the Helmets to Hardhats program further described in Section 3.7; and
3. 5. 1. 2 Tier 2:
a) Residents of the surrounding cities of Buena Park, Yorba Linda, Placentia, Fullerton, Cypress, Stanton, Garden Grove, and Orange, as reflected in Attachment B; and b) Graduates of high schools located in Anaheim, regardless of residency. c) Individuals who have successfully completed a Building Trades multi -craft core curriculum pre - apprenticeship program (" MC3 Graduates"), regardless of residency.
3. 5. 1. 3 Tier 3:
a) All other residents of Orange County , asreflected in Attachment B; and b) Disadvantaged individuals, regardless of residency within Orange County, that may include, but are not limited to, formerly homeless individuals or referrals from non-profit organizations such as Chrysalis Orange County or The Salvation Army.
3. 5. 2 A goal of 40% of the total work hours shall be performed from Local Hires including 5% from Veterans, Disadvantaged Individuals, and graduates of local high schools as described in Section 3. 5. 1.
Community Workforce Agreement 9 City of Anaheim
3. 5. 3 The Unions agree to support pre -apprentice referral programs in the City or County of Orange. Further, the Unions agree to place on their referral roles or in their apprentice training programs, as appropriate and needed, qualified persons sent to them by designated City organizations or other organizations working with the City to increase construction industry work opportunities for Local Hires. Additionally, Unions agree to collaborate with local non-profit organizations and high schools in Anaheim to inform individuals about career opportunities through apprenticeships and to conduct joint outreach to recent graduates through participation in job fairs or other career events.
Section 3. 6 Reouirements on Contractors To facilitate the dispatch of Local Hires, all Contractors will be required to utilize the Craft Employee Request Form whenever they are requesting the referral of any employee from a Union referral list for Project Work, a sample of which is attached as Attachment C. When Local Hires are requested by Contractors, the Unions will refer such craft workers regardless of their place in the Unions' hiring halls' list and normal referral procedures.
Section 3. 7 Helmets to Hardhats The City, Contractor, and the Unions recognize a desire to facilitate the entry into the building and construction trades of Veterans who are interested in careers in the building and construction industry. The City, Contractor, and Unions agreeto utilize the services of non-profit Veterans support organizations, including but not limited to, the Center for Military Recruitment, Assessment and Veterans Employment ( hereinafter " Center") and the Center' s " Helmets to Hardhats" program to serve as a resource for preliminary orientation, assessmentof construction aptitude, referral to apprenticeship programs or hiring halls, counseling and mentoring, support network, employment opportunities and other needs as identified by the Parties. For purposesof this Agreement, theterm "Eligible Veteran" shallhavethe samemeaning as the term " veteran" as defined under Title 5, Section 2108( 1) of the United States Code as the same may be amended or re -codified from time to time. It shall be the responsibility of each qualified applicant to provide the Unions with proof of their status as an Eligible Veteran.
3. 7. 1 The Unions and Contractors agree to coordinate with non-profit Veteran organizations, including, the Center to create and maintain an integrated database of veterans interested in working on Project Work and the associated apprenticeship and employment opportunities for working on Project Work. To the extent permitted by law, the Unions will give credit to such Veterans for bona fide, provable past experience.
Section 3. 8 Core Emplovees
3. 8. 1 Contractors that not independently signatories to a Master Labor Agreement with the Union( s) that represent the craft employees which the Contractor employs, may hire, asneeded, first, a member of their core workforce, then an employee through a referral from the appropriate Union hiring hall, then a second core employee, then a second employee through the referral system, and so on until a maximum of five ( 5) core employees are employed, thereafter, all additional employees in the affected trade or craft shall be requisitioned from the craft hiring hall in accordance with Section 3. 3. In the laying off of employees, the number of core employees shall not exceed one-half plus one of the work -force for an employer with 10 or fewer employees, assuming the remaining employees are qualified to undertake the work available. As part of this Community Workforce Agreement 10 City of Anaheim
process, and in order to facilitate the contract administration procedures, as well as appropriate fringe benefit fund coverage, all Contractors shall require their core employees and any other persons employed other than through the referral process, to register with the appropriate Union hiring hall, if any, prior to their first day of employment at a Project site.
3. 8. 2 The core work force is comprised of those craft employees whose names appeared on the Contractor' s active payroll for sixty ( 60) of the one hundred ( 100) working days immediately before award of Project Work to the Contractor; who have worked at least two - thousand (2,000) hours in the construction craft in which they are employed, during the prior four 4) years; who possess any license required by State or Federal law for the Project Work to be performed; and who have the ability to safely perform the basic functions of the applicable trade.
3. 8. 3 Prior to each Contractor performing any work on the Project, each Contractor shall provide a list of his core employees to the CWA Administrator and the Trades Council. Failure to do so will prohibit the Contractor from using any core employees. Upon request by any Party to this Agreement, the Contractor hiring any core employee shall provide satisfactory proof ( i.e., payroll records, quarterly tax records, driver' s license, voter registration, postal address and such governmental documentation) evidencing the core employee' s qualification as a core employee to the CWA Administrator and the Trades Council.
Section 3. 9 Time for Referral If any Union' s registration and referral system does not fulfill the requirements for specific classifications requested by any Contractor within forty- eight 48) hours ( excluding Saturdays, Sundays and holidays), that Contractor may use employment sources other than the Union registration and referral services and may employ applicants meeting such classification from any other available source. The Contractors shall inform the Union of any applicants hired from other sources and such applicants shall register with the appropriate hiring hall, if any, before commencing work.
Section 3. 10 Lack of Referral Procedure If a signatory Union does not have a job referral system as set forth in Section 3.3 above, the Contractors shall give the Union equal opportunity to refer applicants. Contractors shall notify the Union of craft employees so hired, as set forth in Section 3. 5.
Section 3. 11 Union Membership Employees are not required to become or remain union members or pay dues or fees as a condition of performing Project Work under this Agreement.
Contractors shall make and transmit all deductions for union dues, fees, and assessments that have been authorized by employees in writing in accordance with the applicable Master Labor Agreement. Nothing in this Section 3.11 is intended to supersede independent requirements of applicable Master Labor Agreements as to those Contractors otherwise signatory to such Master Labor Agreements and as to the employees of those Contractors who areperforming Project Work.
Section 3. 12 Individual Seniority Except as provided in Section 4.3, individual seniority shall not be recognized or applied to craft employees performing Project Work; provided, however, that group and/or classification seniority in a Union' s Master Labor Agreement as of the Effective Date of this Agreement shall be recognized for purposes of layoffs.
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Section 3. 13 Foremen The selection and number of craft foreman and/or general foreman shall be the responsibility of the Contractor. All foremen shall take orders exclusively from the designated Contractor representatives. Craft foreman shall be designated as working foreman at the request of the Contractors.
Section 3. 14 Out of StateWorkers In determining compliancewith the targetedhiring goalsof Section3.5 above, hours of Project Work performed by residentsof statesother than California will be excluded from the calculation.
ARTICLE 4
UNION ACCESS AND STEWARDS
Section 4. 1 Access to Project Sites Authorized representatives of the Union shall have access to Project Work, provided that they do not interfere with the work of craft employees and further provided that suchrepresentativesshallnotify thepersonchargedwith on -site project supervision andfully comply with postedvisitor, securityand safetyrules.
Section 4. 2 Stewards
4. 2. 1 Each signatory Union shall have the right to dispatch a working journeyperson as a steward for each shift and shall notify the Contractor in writing of the identity of the designated stewardor stewardsprior to the assumptionof suchperson's duties assteward. Suchdesignated steward or stewards shall not exercise any supervisory functions. There will be no non -working stewards. Stewards will receive the regular rate of pay for their respective crafts.
4. 2. 2 In addition to their work as a craft employee, the steward should have the right to receive, but not to solicit, complaints or grievances and to discuss and assist in the adjustment of the same with the craft employee' s appropriate supervisor. Each steward should be concerned only with the craft employees of the steward' s Contractor and, if applicable, subcontractor( s), and not with the craft employees of any other Contractor. A Contractor will not discriminate against the steward in the proper performance of their Union duties.
4. 2. 3 When a Contractor has multiple, non- contiguous work locations at one site, the Contractor may request, and the Union shall appoint, such additional working stewards as the Contractorrequeststo provide independentcoverageof oneor more suchlocations. In suchcases, a steward may not service more than one work location without the approval of the Contractor.
4. 2. 4 The stewards shall not have the right to determine when overtime shall be worked or who shall work overtime.
Section 4. 3 Steward Layoff/ DischaMe Contractor agrees to notify the appropriate Union twenty-four (24) hoursbeforethe layoff of a steward, exceptin the caseof disciplinary discharge for just cause. If the stewardis protected againstsuchlayoff by the provisions of the applicable Master Labor Agreement, such provisions shall be recognizedwhen the stewardpossessesthe necessary qualifications to perform the remaining work. In any case in which the steward is dischargedor disciplinedfor just cause, the appropriateUnion will benotified immediatelyby the Community Workforce Agreement 12 City of Anaheim
Contractor, and such discharge or discipline shall not become final ( subject to any later filed grievance) until twenty-four (24) hoursafter suchnotice hasbeengiven.
ARTICLE 5
WAGES AND BENEFITS
Section 5. 1 Wages All craft employees covered by this Agreement shall be classified in accordancewith work performed and paid by the Contractorsthe hourly wage rates for those classifications in compliance with the applicable prevailing wage rate determination established pursuantto applicablelaw. If aprevailing rate increasesunder law, the Contractorshallpay that rate as of its effective date under the law. This Agreement does not relieve Contractors that are direct signatories to a Master Labor Agreement with one of the Unions signing this Agreement from paying all of the wages set forth in such Agreements.
Section 5. 2 Benefits
5. 2. 1 Contractors shall pay contributions to the established craft employee benefit funds in the amounts designated in the appropriate Master Labor Agreement and make all craft employee — authorized deductions in the amounts designated in the appropriate Master Labor Agreement, however, such contributions shall not exceed the contribution amounts set forth in the applicableprevailing wage determination. This Agreementdoesnot relieve Contractorsthat are direct signatories to one or more of the Master Labor Agreements from making all contributions set forth in those Master Labor Agreements without reference to the foregoing.
5. 2. 2 The Contractor adopts and agreesto be bound by the written terms of the applicable, legally established, trust agreement(s) specifying the detailedbasison which paymentsareto be madeinto, andbenefitspaid out of, suchtrust funds for its employees. The Contractorauthorizes the parties to such trust funds to appoint trustees and successor trustees to administer the trust funds and hereby ratifies and accepts the trustees so appointed as if made by the Contractor.
5. 2. 3 Each Contractor is required to certify under penalty of perjury and provide that certification to the CWA Administrator, who may conclusively rely on such certification, that it haspaid all benefit contributionsdue and owing to the appropriatetrust(s). Further, upon timely notification by a Union to the CWA Administrator, the CWA Administrator shall work with any GCC or Subcontractor who is delinquent in such payments to assure that proper benefit contributions are made.
Section 5. 3 WagePremiumsWagepremiums, including but not limited to pay basedon height of work, hazardpay, scaffoldpay, andspecialskills shall not beapplicableto ProjectWork under this Agreement, except to the extent provided for in any applicable prevailing wage determination.
ARTICLE 6
HOURS OF WORK OVERTIME. SHIFTS AND HOLIDAYS
Section 6. 1 Hours of Work Eight ( 8) hours per day between the hours of 6:00 a.m. and 5:30 p. m., plus one-half ( 1/2) hour unpaid lunch approximately mid -way through the shift, shall Community Workforce Agreement 13 City of Anaheim
constitute the standard work day. Forty ( 40) hours per week shall constitute a regular week' s work.
The work week will start on Sunday and conclude on Saturday. The foregoing provisions of this Section are applicable unless otherwise provided in the applicable prevailing wage determination, construction contract neighborhood -friendly policies, as described in the Project specifications or are agreed upon by the Parties. Nothing herein shall be construed as guaranteeing any employee eight (8) hoursper day or forty ( 40) hoursper week, or a Monday through Friday standardwork schedule.
Section 6. 2 Place of Work Craft employees shall be at their place of work ( as designated by the Contractor), at the starting time and shall remain at their place of work, performing their assigned functions, until quitting time. The place of work is defined as the gang or tool -box or equipment at the employee' s assigned work location or the place where the foreman gives instructions. Except as provided in Section 6.6, there shall be no pay for time not worked unless the employee is otherwise engaged at the direction of the Contractor.
Section 6. 3 Overtime Overtime shall be paid in accordance with the requirements of the applicable prevailing wage determination. There shall be no restriction on the Contractor's scheduling of overtime or the nondiscriminatory designation of employees who will work overtime. There shall be no pyramiding of overtime ( payment of more than one form of overtime compensation for the same hour) under any circumstances.
Section 6. 4 Shifts and Alternate Work Schedules
6. 4. 1 Alternate starting and quitting time and/or shift work may be performed at the option of the Contractor subject to the applicable Master Labor Agreement. If two shifts are worked, each shall consist of eight ( 8) hours of continuous work exclusive of a one- half (%) hour non -paid lunch period, for eight ( 8) hours pay. The last shift shall start on or before 6:00 p.m. The first shift starting at or after 6:00 a.m. is designated asthe first shift, with the second shift following.
6. 4. 2 The Parties recognize the economic impact for Project Work being undertaken by the City andagreethat Partiesto this AgreementdesireandintendProjectWork to beundertaken in an effective manner to the highest standard of quality and craftsmanship. The Parties agree that, except to the extent permitted by law, craft employeesperforming Project Work shall not be entitled to any differentials or additional pay based upon the shift or work schedule of the employees. Instead, all employees working on Project Work shall be paid at the same base rate regardless of shift or work schedule worked, unless required under the applicable prevailing wage determination.
6. 4. 3 It is recognized that the City' s operations and/or mitigation obligations may require restructuring of normal work schedules. Except in an emergency or when specified in the Construction Contract, the Contractor shall give affected Union( s) at least three ( 3) days' notice of such schedule changes.
Section 6. 5 Holidays Recognized holidays for Project Work shall be those set forth and governed by the prevailing wage determination( s) applicable to such Project Work.
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Section 6. 6 Show -up Pay
6. 6. 1 Except as otherwise required by State law, craft employees reporting for work and for whom no work is provided, except when given prior notification not to report to work, shall receive pay in accordance with the applicable Master Labor Agreement.
6. 6. 2 A craft employee called out to work outside of their shift shall receive a minimum of two ( 2) hours pay at the appropriate rate. This does not apply to time worked as an extension of before or after) the craft employee' s normal shift.
6. 6. 3 When a craft employee leaves the job or work location of their own volition or is discharged for cause or is not working, the craft employee shall only be paid for actual time worked.
Section 6. 7 Meal Periods The Contractor will schedule a meal period in accordance with the applicable Master Labor Agreement.
Section 6. 8 Make- u . DaN s To the extent permitted by the applicable general wage determination, when a craft employee has been prevented from working for reasons beyond the control of the Contractor, including, but not limited to inclement weather or other natural causes, during the regularly scheduled work week, a make- up day may be worked on a non -regularly scheduled work day subject to prevailing wage law.
ARTICLE 7
WORK STOPPAGES AND LOCK - OUTS
Section 7. 1 No Work Stopliages or Disruptive Activity The Trades Council and the Unions signatory hereto agree that neither they, and each of them, nor their respective officers or agents or representatives, shall incite or encourage, condone or participate in any strike, walk -out, slow- down, picketing, observing picket lines or other activity of any nature or kind whatsoever, for any cause or dispute whatsoever with respect to or in any way related to Project Work, or which interferes with or otherwise disrupts, Project Work, or with respect to or related to the City or Contractors, including, but not limited to, economic strikes, unfair labor practice strikes, safety strikes, sympathy strikes, secondary strikes, sick- out strikes, and jurisdictional strikes whether or not the underlying dispute is arbitrable. Any such actions by the Trades Council, or Unions, or their members, agents, representatives or the employees they represent shall constitute a violation of this Agreement. The Trades Council and the Union shall take all steps necessaryto obtain and maintain compliance with this Article.
Section 7. 2 Employee Violations The Contractor shall discharge any employee violating Section 7.1 above and any such employee will not be eligible for rehire under this Agreement.
Section 7. 3 Standing to Enforce The City or any Contractor affected by an alleged violation of Section 7. 1 shall have standing and the right to enforce the obligations established therein.
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Section 7. 4 Expiration of Master Labor Agreement If the Master Labor Agreement, or any local, regional, and other applicable collective bargaining agreements expire during the term of this Agreement, the Union( s) agreethat there shall be no work disruption of any kind as described in Section 7.1 above asa result of the expiration of any such agreement(s) having application under this Agreement and/or failure of the involved parties to the Master Labor Agreement to enter into a new agreement. Terms and conditions of employment established during the term of the Construction Contract shall remain established and set. Otherwise to the extent that the Master Labor Agreement does expire and the parties to that Master Labor Agreement have failed to enter into a new agreement, work will continue under the terms of the Construction Contract on one of the following two ( 2) options, both of which will be offered by the Unions involved to the Contractors that are independently signatory to the affected Master Labor Agreement ( hereinafter Signatory Contractors"):
7. 4. 1 Each of the Unions with a Master Labor Agreement expiring must offer to its SignatoryContractorsthe right to continueworking on the Projectunder interim agreementsthat retain all the terms of the expiring Master Labor Agreement, except that the Unions involved in such expiring Master Labor Agreement may eachpropose wage rates and Contractor contribution ratesto employee benefit funds under the prior Master Labor Agreement different from what those wage rates and Contractor contributions rates that were under the expiring Master Labor Agreements. The terms of the Union' s interim agreement offered to its Signatory Contractors will be no less favorable than the terms offered by the Union to any other Contractors or group of Contractors covering the sametype of construction work in Orange County.
7. 4. 2 Each of the Unions with a Master Labor Agreement expiring must offer to its Signatory Contractorsthe right to continue working on the Project under all the terms of the expiring MasterLabor Agreement, including thewageratesandemployercontribution ratesto the employee benefit funds, if the Signatory Contractor affected by that expiring Master Labor Agreement agrees to the following retroactive provisions: if a new MLA, local, regional or other applicable labor agreement for the industry having application at the Project is ratified and signed during the term of this Agreementandif suchnew labor agreementprovides for retroactivewage increases, then all affectedSignatoryContractorsshall pay to its craft employeeswho performed work coveredby this Agreementat the Project during the hiatus betweenthe effective datesof such expired and new labor agreements, an amount equal to any such retroactive wage increase established by such new labor agreement, retroactive to whatever date is provided by the new labor agreement for such increase to go into effect, for each craft employee' s hours worked on the Project during the retroactive period. All Parties agree that such affected Signatory Contractors shall be solely responsible for any retroactive payment to its craft employees.
7. 4. 3 Some Signatory Contractors may elect to continue to work on the Project under the terms of the interim agreement option offered under paragraph 7.4.1 and other Signatory Contractors may elect to continue to work on the Project under the retroactivity option offered underparagraph7.4.2. To decidebetweenthe two options, Signatory Contractorswill be given one week after the particular Master Labor Agreement has expired or one week after the Union haspersonally delivered to the Signatory Contractorsin writing its specific offer of termsof the interim agreementpursuant to paragraph 7.4.1, whichever is the later date. If the Signatory Community Workforce Agreement 16 City of Anaheim
Contractor fails to timely select one of the two options, the Signatory Contractor shall be deemed to have selected the provisions of 7.4.2.
Section 7. 5 No Lockouts Contractors shall not cause, incite, encourage, condone or participatein anylock -out of craft employeeswith respectto ProjectWork during theterm of this Agreement. The term " lock -out" refers only to a Contractor' s exclusion of craft employees in order to secure collective bargaining advantage, and does not refer to the discharge, termination or layoff of craft employeesby the Contractor for any reasonin the exerciseof rights pursuantto any provision of this Agreement, or any other agreement, nor does " lock - out" include the City' s decision to stop, suspend or discontinue any Project Work or any portion thereof for any reason.
Section 7. 6 Best Efforts to End Violations
7. 6. 1 If a Contractor contends that there is any violation of this Article, it shall notify, in writing, the Executive Secretaryof the Trades Council, the Senior Executive of the involved Union( s) and the CWA Administrator. The Executive Secretary and the leadership of the involved Union(s) will promptly notify andusetheir bestefforts to causethe cessationof anyviolation of this Article.
7. 6. 2 If the Union contends that any Contractor has violated this Article, it will notify the Contractor and the CWA Administrator, setting forth the facts which the Union contends violate theAgreement, at leasttwenty-four (24) hoursprior to invoking theproceduresof Section7.8.
Section 7. 7 Withholding of Services for Failure to Pay Wages and Fringe Benefits
7. 7. 1 Notwithstanding any provision of this Agreement to the contrary, it shall not be a violation of this Agreement for any Union to withhold the services of its members ( but not the right to picket) from aparticular Contractorwho:
a) fails to timely pay its weekly payroll; or
b) fails to make timely payments to the Union' s Joint Labor/ Management Trust Fund( s) in accordance with the provisions of the applicable Master Labor Agreements. Prior to withholding its members' services for the Contractor' s failure to make timely payments to the Union' s Joint Labor/ Management Trust Fund( s), the Union shall give at least ten ( 10) days (unless a lesserperiod of time is provided in the Union' s Master Labor Agreement, but in no event less than forty- eight ( 48) hours written notice of such failure to pay to the involved Contractor and to the CWA Administrator. Union will meet with the Contractor within the ten ( 10) day period to attempt to resolve the dispute.
7. 7. 2 Upon the paymentof the delinquentContractorof all moniesdue andthenowing for wages and/ or fringe benefit contributions, the Union shall direct its members to return to work and the Contractor shall return all such craft employees back to work. Notwithstanding anything to the contrary, the provisions for liquidated damages or any other delay related damages under the Construction Contract remain in full force and effect.
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Section 7. 8 Expedited Enforcement Procedure Any Party, including the City, which the Parties agree is a Party to the Agreement for purposes of this Article and an intended beneficiary of this Article, or the CWA Administrator, may institute the following procedures, in lieu of or in addition to anyotheraction at law or equity, whenabreachof Section7.1or 7.5, above, or Section
8. 3 is alleged.
7. 8. 1 The Party invoking this procedureshall notify the first arbitrator identified in the List of Arbitrators attached hereto as Attachment D. If this arbitrator identified in Attachment D is unavailable, thePartyinvoking this procedureshallnotify thenext arbitratorlisted. Shouldnone of the named arbitrators be available, an alternate arbitrator mutually agreed upon by the Parties will be selected to hear the matter. Expenses incurred in arbitration shall be borne equally by the Contractor and Unions involved in the arbitration and the decision of the arbitrator shall be final and binding on the Contractorand Unions, provided, however, that the arbitrator shall not have the authority to alter or amendor add to or deletefrom the provisions of this Agreementin any way. Notice to the arbitrator shall beby the mostexpeditiousmeansavailable, with noticesto the Parties alleged to be in violation, and to the Trades Council if it is a Union alleged to be in violation.
For purposesof this Article, written notice may be given by certified mail and will be deemed effective upon receipt.
7. 8. 2 Upon receipt of said notice, the arbitrator selected shall sit and hold a hearing within twenty-four (24) hoursif it is contendedthat theviolation still exists, but not soonerthantwenty- four ( 24) hours after notice has been dispatched to the Executive Secretary and the Senior Official( s) as required by Section 7.6, as above.
7. 8. 3 The arbitrator shall notify the Parties of the place and time chosen for this hearing.
Said hearing shall be completed in one session, which, with appropriate recesses at the arbitrator' s discretion, shall not exceed 24 hours unless otherwise agreed upon by the Contractor and Unions.
A failure of anyContractoror Union to attendsaidhearingsshallnot delaythehearingof evidence or the issuance of any award by the arbitrator.
7. 8. 4 The sole issue at the hearing shall be whether or not a violation of Sections 7.1 or
7.5, or 8.3 has in fact occurred. The arbitrator shall have no authority to consider any matter in justification, explanationor mitigation of such violation. The award shall be issuedin writing within three ( 3) hours after the close of the hearing and may be issued without an opinion. If the Contractor or Unions desires a written opinion, one shall be issued within fifteen ( 15) days, but its issuance shall not delay compliance with, or enforcement of, the award. The arbitrator may order cessation of the violation of the Article and other appropriate relief, and such award shall be served on all Partiesby handor certified mail upon issuance.
7. 8. 5 Such award shall be final and binding on Contractor and Unions and may be enforcedby any court of competentjurisdiction upon the filing of this Agreement andall other relevant documents referred to herein above in the following manner. Written notice of the filing of such enforcementproceedingsshall be given to the affected Contractor and Union. In any judicial proceedingto obtain a temporary order enforcing the arbitrator's award asissuedunder this Article, the Contractor and Unions waive the right to a hearing and agreethat such proceedings may be exparte. Suchagreementdoesnot waive the Contractoror Unions' right to participatein Community Workforce Agreement 18 City of Anaheim
a hearing for a final order of enforcement. The court' s order or orders enforcing the arbitrator' s awardshall be servedon the ContractorandUnions by handor by certified mail.
7. 8. 6 Any rights created by statute or law governing arbitration proceedings inconsistent with the aboveprocedureor which interfere with compliancehereto are hereby waived by the Contractor or Unions to whom they accrue.
7. 8. 7 The fees and expenses of the arbitrator shall be equally divided between the Contractor and Union involved in the matter.
ARTICLE 8
WORK ASSIGNMENTS AND JURISDICTIONAL DISPUTES
Section 8. 1 Assignment of Work The assignment of Project Work will be solely the responsibility of the Contractorperforming thework involved; andsuchwork assignmentswill be in accordance with the Plan for the Settlement of Jurisdictional Disputes in the Construction Industry ( the " Plan") or any successor Plan.
Section 8. 2 The Plan All jurisdictional disputes on Project Work between or among the building and construction trades Unions and the craft employers parties to this Agreement, shall be settled and adjustedaccordingto the presentPlan establishedby the Building and ConstructionTrades Departmentor any other plan or method of procedurethat may be adoptedin the future by the Building and Construction TradesDepartment. Decisions renderedshall be final, binding and conclusive on the Contractor and Unions involved in the dispute.
8. 2. 1 If a dispute arising under this Article involves the Western States Regional Council of Carpentersor any of its subordinatebodies, an Arbitrator shall be chosenby the procedures specified in Article V, Section 5, of the Plan from a list composed of John Kagel, Robert Hirsch, andThomasPagan, andthe Arbitrator' s hearing on the disputeshall be held at the offices of the Trades Council within 14 days of the selection of the Arbitrator. All other procedures shall be as specified in the Plan.
Section 8. 3 No Work Disru otion Over Jurisdiction All jurisdictional disputes shall be resolved without the occurrence of any strike, work stoppage, or slow -down of any nature, and the Contractor' s assignment shall be adhered to until the dispute is resolved. Individuals violating this section shall be subject to immediate discharge.
Section 8. 4 Pre -Job Conferences As provided in Article 16, each Contractor will conduct a prejob conferencewith the appropriateaffectedUnion(s) prior to commencingwork; provided however, at no time shall the City be responsible for additional costs related to, associated with, or resulting from Union( s) jurisdictional disputes. The Trades Council and the CWA Administrator shall be advised in advance of all such conferences and may participate if they wish.
Section 8. 5 Resolution of Jurisdictional Disputes If any actual or threatened strike, sympathy strike, work stoppage, slow down, picketing, hand -billing or otherwise advising the public that a labor disputeexists, or interferencewith theprogressof ProjectWork by reasonof ajurisdictional Community Workforce Agreement 19 City of Anaheim
dispute or disputes occurs, the Parties shall exhaust the expedited procedures set forth in the Plan, if such procedures are in the plan then currently in effect, or otherwise as in Article 7 above.
ARTICLE 9
MANAGEMENT RIGHTS
Section 9. 1 Contractor and Cit% Rights The Contractors and the City have the sole and exclusive right and authority to oversee and manage Project Work activities without any limitations unless expressly limited or required by a specific provision of this Agreement or a Master Labor Agreement. In addition to the following and other rights of the Contractors enumeratedin this Agreement, the Contractorsexpresslyreservetheir managementrights andall the rights conferred upon them by law. The Contractor' s rights include, but are not limited to, the right to:
a) Plan, direct and control all work activities;
b) Hire, promote, transfer and layoff craft employees, respectively, as deemed appropriate to satisfy work and/or skill requirements;
c) Promulgate and require all craft employees to observe reasonable job rules and security and safety regulations;
d) Discharge, suspend or discipline craft employees for just cause; e) Utilize, in accordance with City approval, any work methods, procedures or techniques, and select, use and install any types or kinds of materials, apparatus or equipment, regardless of source of manufacture or construction; assign and schedule work at their discretion; and
f) Assign overtime, determine when it will be worked and the number and identity of employees engaged in such work, subject to such provisions in the applicable Master Labor Agreement( s) requiring such assignments be equalized or otherwise made in a nondiscriminatory manner.
Section 9. 2 Specific City Rights In addition to the following and other rights of the City enumerated in this Agreement, the City expressly reserves its management rights and all the rights conferred on it by law. The City' s rights ( and those of the CWA Administrator on its behalf) include, but are not limited to the right to:
a) Inspect any construction site or facility to ensure that the Contractor follows the applicable safety and other work requirements;
b) Require Contractors to establish a different work week or shift schedule for particular craft employeesas required to meet the operationalneedsof the Project Work at a particular location;
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c) At its sole option, terminate, delay and/or suspend any and all portions of the ProjectWork at anytime; prohibit someor all work on certaindaysor during certainhoursof the day to accommodatethe ongoing City servicesand/or to mitigate the effect of ongoing Project Work on businesses and residents in the neighborhood of the Project site; and/ or require such other operational or schedule changes it deems necessary, in its sole judgment, to effectively maintain City servicelevels andremain a good neighbor to thosein the areaof the Project Work. In order to permit the ContractorsandUnions to make appropriateschedulingplans, the City will provide the CWA Administrator and the affected Contractor( s) and Union( s) with reasonable notice of any changesit requirespursuantto this section; provided, however, that if notice is not provided in time to advise craft employees not to report for work, show -up pay shall be due pursuant to the provision of Article 6.
Section 9. 3 Use of Materials There will be no limitations or restrictions by Unions upon a Contractor' s choice of materials, design, or utilization of equipment, machinery, packaging, precast, prefabricated, prefinished, or preassembledmaterials, tools or otherlabor savingdevices, subject to the application of the State Public Contracts and Labor Codes as required by law. The onsite installation or application of such items shall be performed by the craft having jurisdiction over such work.
Section 9. 4 Special EquiGiment. Warranties, and Guaranties
9. 4. 1 It is recognized that certain equipment of a highly technical and specialized nature as specified by the City or manufacturer may be installed at Project Work sites. The nature of the equipment, together with the requirements for manufacturer' s warranties, may dictate that it be prefabricated, pre -piped and/or pre -wired and that it be installed under the supervision and direction of the City' s and/or manufacturer' s personnel. Unless otherwise required to prevent the loss of or negate manufacturer warranties, the Unions agree to install such equipment without incident and asrequired by the manufacturer( s).
9. 4. 2 The Parties recognize that the Contractor will initiate from time to time the use of new technology, equipment, machinery, tools, and other labor -savings devices and methods of performing ProjectWork. TheUnion agreesthat they will not restrict the implementationof such devices or work methods. The Unions will accept and will not refuse to handle, install or work with any standardized and/or catalogue: parts, assemblies, accessories, prefabricated items, preassembleditems, partially assembleditems, or materialswhatevertheir sourceof manufacture or construction.
9. 4. 3 If any disagreement between the Contractor and the Unions concerning the methods of implementation or installation of any equipment, or device or item, or method of work, arises, or whether a particular part or pre -assembleditem is a standardizedor catalogpart or item, the Project Work will precede as directed by the Contractor and the Parties shall promptly consult over the matter. If the disagreement is not resolved, the affected Union( s) shall have the right to proceed through the procedures set forth in Article 10.
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ARTICLE 10
SETTLEMENT OF GRIEVANCES AND DISPUTES
Section 10. 1 Cooperation and Harmony on Site
10. 1. 1 This Agreement is intended to establish and foster continued close cooperation between the City, Contractors, and Unions. The Trades Council shall assign a representative to this Agreement for the purpose of assisting the local Unions, and working with the CWA Administrator, together with the Contractors, to complete the Project Work efficiently, continuously and without any interruption, delays or work stoppages.
10. 1.2 The Contractors and Unions, will attempt to resolve disputes in accordance with the grievance provisions set forth in this Article or, as appropriate, those of Article 7 or 8.
10.1.3 The CWA Administrator shall facilitate the processing of grievances under Articles 7, 8, and 10, including the scheduling and arrangements of facilities for meetings, and any other administrative matters necessary to facilitate the timely resolution of any dispute; provided, however, it is the responsibility of the Contractors and Unions to any pending grievance to insure the time limits and deadlines are met.
Section 10. 2 Processing Grievances Any questions arising out of and during the term of this Agreementinvolving its interpretationand application, which includes applicableprovisions of the Master Labor Agreement, but not jurisdictional disputes or alleged violations of Section 7.1 and 7.4 and similar provisions, shall be considered a grievance and subject to resolution under the following procedures.
Step 1. Employee Grievances When any craft employee subject to the provisions of this Agreement feels aggrieved by an alleged violation of this Agreement, the craft employee shall, through their local Union business representative or, job steward, within ten ( 10) working daysaftertheoccurrenceof theviolation, give noticeto thework siterepresentativeof theinvolved Contractor stating the provision( s) alleged to have been violated. A business representative of the local Union or the job steward and the work site representative of the involved Contractor shall meet and endeavor to resolve the matter within ten ( 10) working days after timely notice has been given. If they fail to resolvethematterwithin theprescribedperiod, thegrieving party may, within ten ( 10) working days thereafter, pursue Step 2 of this grievance procedure provided the grievance is reduced to writing, setting forth the relevant information, including a short description thereof, the date on which the alleged violation occurred, and the provision( s) of the Agreement alleged to have been violated. Grievances and disputes settled at Step 1 shall be non-precedential except as to the parties directly involved.
Union or Contractor Grievances Should the Union( s) or any Contractor( s) have a dispute and, if after conferring within ten ( 10) working days after the disputing Union( s) or Contractor( s) knew or should have known of the facts or occurrence giving rise to the dispute, a settlement is not reached within five ( 5) working days, the dispute shall be reduced to writing and processedto Step2 in the samemannerasoutlined in Step 1 abovefor the adjustmentof a craft employee complaint.
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Step 2. The business manager of the involved Union or their designee, together with the site representative of the involved Contractor, shall notify the CWA Administrator, and conduct a meeting betweenthe Union andthe Contractorwithin seven (7) working days of the referral of the dispute to this second step to arrive at a satisfactory settlement thereof. If the Union( s) and Contractor( s) fail to reach an agreement, the dispute may be appealed in writing in accordance with the provisions of Step 3 within seven (7) calendar days after the initial meeting at Step 2.
Step 3. ( a) If the grievance shall have been submitted but not resolved under Step 2, either the Union( s) or Contractor( s) may proceed with the selection of an arbitrator from Attachment D, on a rotational basis in the order listed within seven ( 7) calendar days after the initial Step2 meeting. TheUnion(s) andContractor(s) shallnotify the CWA Administrator of the date, time andrequesta meeting location for the hearing. The failure of any party to attend said hearingshall not delay the hearing of evidenceor the issuanceof any decisionby the arbitrator.
The decision of the arbitrator shall be final and binding on all parties. b) Failure of the grieving Party to adhere to the time limits established herein shall render the grievance null and void. The time limits established herein may be extended only by consent of the Union( s) and Contractor( s) involved at the particular step where the extension is agreed upon. The arbitrator shall have the authority to make decisions only on issues presentedand shall not have the authority to change, amend, add to or detractfrom any of the provisions of this Agreement.
c) The fees and expenses incurred by the arbitrator, as well as those jointly utilized by the Union( s) and Contractor( s) in arbitration, shall be divided equally by the Union( s) and Contractor( s) involved. The City is responsible for providing meeting locations where the arbitration takes place.
Section 10. 3 Limit on Use of Procedures The procedures contained in Article 10 shall not be applicable to any alleged violation of Articles 7 or 8, with a single exception that any craft employee discharged for violation of Section 7.2, or Section 8.3, may resort to the procedures of Article 10 to determine only if he/she was, in fact, engaged in that violation.
Section 10. 4 Notice The CWA Administrator ( and the City, in the case of any grievance regarding the Scope of this Agreement), shall be notified by the involved Contractor of all actions at Steps 2 and 3, and further, the CWA Administrator shall, upon their own request, be permitted to participate fully as a party in all proceedings at such steps.
ARTICLE 11
REGULATORY COMPLIANCE
Section l l. 1 Compliance with All Laws The Trades Council and all Unions, Contractors, and their employees shall comply with all applicable federal, and state laws, ordinances and regulations including, but not limited to, those relating to safety and health, employment and applications for employment. All employees shall comply with the safety regulations established by the City, the Community Workforce Agreement 23 City of Anaheim
CWA Administrator or the Contractor. Employees must promptly report any injuries or accidents to a supervisor.
Section 11. 2 Prevailing Wage Compliance All Contractors shall comply with the statelaws and regulations, as well asthe Anaheim City Charter, or resolutions on prevailing wages. Compliance with this obligation may be enforced by the appropriate parties through Article 10 above, or by pursing the remedies available under statelaw through the Labor Commissioner or the Department of Industrial Relations.
Section 11. 3 Violations of Law Should there be a finding by a Court or administrative tribunal of competent jurisdiction that a Contractor has violated federal and/or state law or regulation, he City, uponnotice to the Contractorthat it or its subcontractorsis in suchviolation (including any finding of non-compliance with the California prevailing wage obligations as enforced pursuant to DIR regulations), the City, and in the absence of the Contractor or subcontractor remedying such violation, may take such action as it is permitted by law or contract to encourage that Contractor to come into compliance, including, but not limited to, assessing fines and penalties subject to the applicable Construction Contract and the California Public Contract Code.
ARTICLE 12
SAFETY AND PROTECTION OF PERSON AND PROPERTY
Section 12. 1 Safety
12.1.1 It shall be the responsibility of each Contractor to ensure safe working conditions and craft employee compliance with applicable safety regulations established by the Division of Occupational Safety and Health ( Cal/OSHA), or City safety rules, or Contractor safety rules. It is understood that craft employees have an individual obligation to use diligent care to perform their work in a safemannerandto protect themselvesandtheproperty of the Contractorandthe City.
12.1.2 Craft employees shall be bound by the safety, security and visitor rules established by the Contractorand/or the City. Theserules will be published andposted. A craft employee's failure to satisfy their obligations under this section will subject him/ her to discipline, up to and including discharge.
12.1.3 The Contractor shall comply with the Substance Abuse Policy attached hereto as Attachment E, or utilize their previously established and written policy for work performed under this Agreement.
Section 12. 2 Water and Sanitary Facilities The Contractor shall provide adequate supplies of drinking water and sanitary facilities for all craft employees as required by state law or regulation.
ARTICLE 13
TRAVEL AND SUBSISTENCE
Community Workforce Agreement 24 City of Anaheim
Travel expenses, travel time, subsistence allowances, zone rates, and parking reimbursementsshall bepaid in accordancewith the applicableMaster Labor Agreementunless superseded by the applicable prevailing wage determination.
ARTICLE 14
APPRENTICES
Section 14. 1 Importance of Training, The Parties recognize the need to maintain continuing support of the programs designedto develop adequatenumbers of competentworkers in the construction industry, the obligation to capitalizeon the availability of the Local Hires, and the opportunities to provide continuing work under the construction program. To these ends, the Parties will facilitate, encourage, and assist Local Hires to commence and progress in Labor/ Management Apprenticeship and/or training programs in the construction industry leading to participation in such apprenticeshipprograms. The City and the Trades Council will work cooperatively to identify, or establish and maintain, effective programs and procedures for persons interested in entering the construction industry and which will help prepare them for the formal joint labor/managementapprenticeshipprogramsmaintainedby the signatoryUnions.
Section 14. 2 Use of Apprentices
14. 2. 1 Apprentices used on Projects under this Agreement shall be registered in Joint Labor Management Apprenticeship Programs approved by the State of California. Apprentices may comprise up to thirty percent ( 30%) of each craft' s work force ( calculated by hours worked) at any time, unlessthe standardsof the applicablejoint apprenticeshipcommittee confirmedby the Division of Apprenticeship Standards (" DAS"), establish a lower or higher maximum percentage. Where the standards permit a higher percentage, such percentage shall apply on Project Work. Where the applicable standards establish a lower percentage, the applicable Union will use its best efforts with the Joint Labor Management apprenticeship committee and, if necessary, the DAS to permit up to thirty percent ( 30%) apprentices on the Project.
14.2.2 The Unions agree to cooperate with the Contractor in furnishing Apprentices as requested up to the maximum percentage. The apprentice ratio for each craft shall be in compliance, at a minimum, with the applicable provisions of the Labor Code relating to utilization of apprentices. The City shall encourage such utilization, and, both as to Apprentices and the overall supply of journeyman. The Unions and TradesCouncil will work to provide appropriate and maximum utilization of Apprentices and the continuing availability of both apprentices and journey - level craft workers.
14.2.3 The Parties agree that apprentices will not be dispatched to Contractors working under this Agreement unless there is a journeyman working on the Project where the Apprentice is to be employedwho is qualified to assistand overseethe Apprentice's progressthrough the program in which he/she is participating.
14.2.4 All apprentices shall work under the direct supervision of a journeyman from the trade in which the apprentice is indentured. A journeyman shall be defined as set forth in the California Code of Regulations, Title 8 [apprenticeship] section 205, which defines ajourneyman Community Workforce Agreement 25 City of Anaheim
as a person who has either completed an accredited apprenticeship in his or her craft, or has completed the equivalent of an apprenticeship in length and content of work experience and all other requirements in the craft which has workers classified asjourneyman in the apprenticeable occupation. Should a question arise as to a journeyman' s qualification under this subsection, the Contractorshallprovide adequateproof evidencingtheworker' s qualification asajourneymanto the Trades Council.
ARTICLE 15
WORKING CONDITIONS
Section 15. 1 Working conditions shall be established by the Contractor to meet all Federal, state, and local requirements, as well as those set forth in the Master Labor Agreements.
ARTICLE 16
PRE - JOB CONFERENCES
Section 16. 1 Each Primary Contractor which is awarded a Construction Contract by the City for Project Work shall conduct a Pre - Job conference with the appropriate affected Union( s) at least ten ( 10) days prior to commencing Project Work. All Subcontractors that have been awarded contracts by the GCC shall attend the Pre -Job conference. The Trades Council and the CWA Administrator shall be advisedin advanceof all suchPre -Job conferencesandmay participateif they wish. All work assignments shall be disclosed by the GCC and all Subcontractors at the Pre - Job conference in accordance with industry practice. Should there be any formal jurisdictional dispute raised under Article 8, the CWA Administrator shall be promptly notified. The GCC shall haveavailable at the Pre -Job conferencethe plans and drawing for the work to be performedon the Project. Should additional Project Work not previously included within the scope of the Project Work be added, the Contractors performing such work will conduct a separate Pre -Job conference for suchnewly includedwork. At no time shallthe City beresponsiblefor additional costsrelated to, associated with, or resulting from jurisdictional disputes or newly included work not previously identified in the Construction Contract.
ARTICLE 17
LABOR/ MANAGEMENT COOPERATION
Section 17. 1 Joint Committee The Parties to this Agreement may establish a six ( 6) person Joint Administrative Committee ( JAC). This JAC shall be comprised of three ( 3) representatives selectedby the City and three (3) representativesselectedby the Trades Council to monitor compliance with the terms and conditions of this Agreement and to recommend amendments to this Agreement, with the exception of the dollar threshold specified in Section 2. 2.( a) and the term of this Agreement under Section 22. 1, when doing so would be to the mutual benefit of the Parties.
Any amendmentto this Agreementwill require City Council approval. Eachrepresentativeshall designate an alternate who shall serve in his or her absencefor any purpose contemplated by this Agreement. A quorumwill consistof at leasttwo (2) representativesselectedby the City andat least two ( 2) representatives selected by the Trades Council. For voting purposes, only an equal number of City and Union representatives present may constitute a voting quorum.
Community Workforce Agreement 26 City of Anaheim
Section 17. 2 Functions of Joint Committee The Committee shall meet on a schedule to be determined by the Committee or at the call of the joint chairs, to discuss the administration of the Agreement, the progress of the Project, general labor management problems that may arise, and any other matters consistent with this Agreement. Substantive grievances or disputes arising under Articles 7, 8 or 10 shall not be reviewed or discussed by this Committee, but shall be processed pursuant to the provisions of the appropriate Article. The CWA Administrator shall be responsible for the scheduling of the meetings, the preparation of the agendatopics for the meetings, with input from the Unions, the Contractors, and the City. Notice of the date, time, and place of meetings, shall be given to the Committee members at least three (3) days prior to the meeting. The CWA Administrator shall prepare quarterly reports on apprentice utilization and the training and employment of City residents, and a schedule of Project Work and estimated number of craft workers needed. The Committee or an appropriate subcommittee, may review such reports and make any recommendations for improvement, if necessary, including increasing the availability of skilled trades, and the employment of local residents or other individuals who should be assisted with appropriate training to qualify for apprenticeship programs.
ARTICLE 18
SAVINGS AND SEPARABILITY
Section 18. 1 Savings Clause It is not the intention of the City, the CWA Administrator, Contractor, or the Union parties to violate any laws governing the subject matter of this Agreement.
The Parties hereto agree that in the event any provision of this Agreement is finally held or determined to be illegal or void as being in contravention of any applicable law or regulation, the remainder of the Agreement shall remain in full force and effect unless the part or parts so found to be void are wholly inseparable from the remaining portions of this Agreement. Further, the Parties agree that if and when any provision( s) of this Agreement is finally held or determined to be illegal or void by a court of competent jurisdiction, the Parties will promptly enter into negotiations concerning the substantive effect of such decision for the purposes of achieving conformity with the requirements of any applicable laws and the intent of the Parties hereto. If the legality of this Agreement is challenged and any form of injunctive relief is granted by any court, suspending temporarily or permanently the implementation of this Agreement, then the Parties agree that all Project Work that would otherwise be covered by this Agreement should be continued to be bid and constructed without application of this Agreement so that there is no delay or interference with the ongoing planning, bidding and construction of any Project Work.
Section 18. 2 Effect of Injunctions or Other Court Orders The Parties recognize the right of the City to withdraw, at its absolute discretion, the utilization of the Agreement as part of any bid specification should a Court of competent jurisdiction issue any order, or any applicable statute which could result, temporarily or permanently in delay of the bidding, awarding and/or construction of the Project. Notwithstanding such an action by the City, or such court order or statutory provision, the Parties agree that the Agreement shall remain in full force and effect on covered Project Work; provided however, that the continuance of the Project is not determined to be financially or legally detrimental to the City, at its sole and absolute discretion.
Community Workforce Agreement 27 City of Anaheim
ARTICLE 19
WAIVER
A waiver of or a failure to assertany provisions of this Agreement by any or all of the Parties hereto shall not constitute a waiver of such provision for the future. Any such waiver shall not constitute a modification of the Agreement or change in the terms and conditions of the Agreement and shall not relieve, excuse or release any of the Parties from any of their rights, duties or obligations hereunder.
ARTICLE 20
AMENDMENTS
The provisions of this Agreement can be renegotiated, supplemented, rescinded or otherwise altered only by mutual agreementin writing, hereafter signedby the negotiating Partieshereto. In the event of any conflict or ambiguity betweenthis Agreement and any Attachment or exhibit, the provisions of this Agreement shall govern.
ARTICLE 21
DURATION OF THE AGREEMENT
Section 21. 1 Duration
21. 1.1 This Agreement shall be effective from the initial date of approval by City Council, and shall remain in effect for a period of ten ( 10) years. This Agreement may be terminated by written agreement signed by the Parties; provided however, that any covered Construction Contract approved Any covered Project Work awarded during the term of this Agreement shall continue to be covered hereunder, until completion of the Project Work, notwithstanding the termination or expiration date of this Agreement.
21.1.2 This Agreement may be extendedby amendment, asapprovedby the City Council.
IN WITNESS whereof the Parties have causedthis SecondAmended and Restated Community Workforce Agreement to be executedasof the date and year above stated.
CITY OF ANAHEIM
a municipal corporation
By:
Rudy Emami
Director of Public Works
DATE: O 2 2''
LOS ANGELES/ ORANGE COUNTIES
BUILDING & CONSTRUCTION
TRADES CO
By.
Exe2cutiv Secretary
DATE L'5d / z _
Community Workforce Agreement 28 City of Anaheim
DATE:
APPROVED AS TO FORM:
ANAHEIM CITY ATTORNEY' CE
By:
Bryn . N7orley, Deputy C' orney
Community Workforce Agreement 29 City of Anaheim
Docusign Envelope ID: D6BEFC32- 2498- 42CE- 8BF2- 0119BB7998DF
LOS ANGELES/ ORANGE COUNTIES BUILDING AND CONSTRUCTION
TRADES COUNCIL CRAFT UNIONS AND DISTRICT COUNCILS
0-. 3b. dW.
Asbestos Heat & Frost Insulators ( Local 5)
Boilermakers ( Local 92) r_ shim.Ws
Bricklayers & Allied Craftworkers ( Local 4)
W:.._.
Cement Masons ( Local 500) f
District Council of Laborers FjZpmd- e
Electricians ( Local 441)
Elevator Constructors ( Local 18)
Gunite Workers ( Local 345)
Iron Workers ( Reinforced — Local 416)
Iron Workers ( Structural — Local 433)
Laborers ( Local 300) ( remediation)
Laborers ( Local 652)
Laborers ( Local 1184)
Operating Engineers (Local 12)
OperatingEngineers (Local 12)
Operating Engineers (Local 12)
Painters & Allied Trades DC 36
Pipe Trades ( Steamfitters Local 250)
Pipe Trades ( Local 345)
Pipe Trades ( Plumbers/ Fitters Local 582)
Pipe Trades ( Sprinkler Fitters Local 709)
Plasterers ( Local 200)
Plaster Tenders Local ( 1414)
Roofers & Waterproofers ( Local 220)
Sheet Metal Workers ( Local 105)
Teamsters ( Local 986)
Western States Regional Council of Carpenters
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Workforce Agreement30 City of Anaheim
LOS ANGELES/ ORANGE COUNTIES BUILDING AND CONSTRUCTION
TRADES COUNCIL CRAFT UNIONS AND DISTRICT COUNCILS
Asbestos Heat & Frost Insulators ( Local 5)
Boilermakers ( Local 92)
Bricklayers & Allied Craftworkers ( Local 4)
Cement Masons ( Local 500)
District Council of Laborers
Electricians ( Local 441)
Elevator Constructors ( Local 18)
Gunite Workers ( Local 345)
Iron Workers ( Reinforced — Local 416)
Iron Workers ( Structural — Local 433)
Laborers ( Local 300) ( rernediation)
Laborers ( Local 652)
Laborers ( Local 1184)
OperatingEngineers (Local 12)
OperatingEngineers (Local 12)
OperatingEngineers (Local 12)
Painters & Allied Trades DC 36
Pipe Trades ( Steamfitters Local 250)
Pipe Trades ( Local 345)
Pipe Trades ( Plumbers/ Fitters Local 582)
Pipe Trades ( Sprinkler Fitters Local 709)
Plasterers ( Local 200)
Plaster Tenders Local ( 1414)
Roofers & Waterproofers ( Local 220)
Sheet Metal Workers ( Local 105)
Teamsters ( Local 986)
Western States Regional Council of Carpenters
Community Workforce Agreemem 30 City of Anaheim
ATTACHMENT A
LETTER OF ASSENT
To be signed by all Contractors awarded Project Work covered by the Second Amended and Restated Community Workforce Agreement with the City of Anaheim prior to commencing work.
Contractor' s Letterhead]
CWA Administrator
City of Anaheim Public Works Department
200 S. Anaheim Blvd., Second Floor
Anaheim, CA 92805
Attn: CWA Administrator, Construction Services Division Re: Second Amended and Restated Community Workforce Agreement - Letter of Assent Dear CWA Administrator:
This is to confirm that [nameof company] agreesto beparty to andboundby the SecondAmended and Restated Community Workforce Agreement with the City of Anaheim effective , 2024, as such Agreement may, from time to time, be amended by the negotiating parties or interpretedpursuantto its terms. Suchobligation to be aparry andboundby this Agreementshall extend to all Project Work covered by the Second Amended and Restated Community Workforce Agreement undertaken by [ name of company] on the Project and [name of company] shall require all of its contractors and subcontractors of whatever tier to be similarly bound for all Project Work within the scope of the Second Amended and Restated Community Workforce Agreement by signing andfurnishing to you an identical letter of assentprior to their commencementof work.
Sincerely.
Name of Construction Company]
By: [ j Name andTitle of Authorized Executive
Contractor State License No.:
Copies of this letter must be submitted to the CWA Administrator and to the Trades Council Consistent with Section 2. 6.( b).]
Community Workforce Agreement 31 City of Anaheim
ATTACHMENT B
Tier 1
Anaheim
92801 92807 92816
92802 92808 92817
92803 92809 92825
92804 92812 92899
92805 92814
92806 92815
Tier 2
Buena Park Yorba Linda Placentia Fullerton
90620 92885 92811 92831
90621 92886 92870 92832
90622 92887 92871 92833
90624 92834
92835
92836
92837
92838
Cypress Stanton Garden Grove Orange
90630 90680 92840 92869
92841
92842
92843
Tier 3
Remaining zip codes in Orange County
90623 92602 92614
90631 92603 92615
90632 92604 92616
90633 92605 92617
90720 92606 92618
90721 92607 92619
90740 92609 92620
90742 92610 92623
90743 92612 92624
Community Workforce Agreement 32 City of Anaheim
92625 92673 92711
92626 92674 92712
92627 92675 92728
92628 92676 92735
92629 92677 92780
92630 92678 92781
92637 92679 92782
92646 92683 92799
92647 92684 92821
92648 92685 92822
92649 92688 92823
92650 92690 92844
92651 92691 92845
92652 92692 92846
92653 92693 92850
92654 92694 92856
92655 92697 92857
92656 92698 92859
92657 92701 92861
92658 92702 92862
92659 92703 92863
92660 92704 92864
92661 92705 92865
92662 92706 92866
92663 92707 92867
92672 92708 92868
Community Workforce Agreement 33 City of Anaheim
ATTACHMENT C
CITY OF ANAHEIM CWA
CRAFT REQUEST FORM
TO THE CONTRACTOR: Please complete and submit this form to the applicable Union to request craft workers that fulfill the hiring requirements for this Project. After submitting your request, please call the Union Local to verify receipt and substantiate their capacity to furnish workers asspecified below. Pleasekeep copies for your records.
The SecondAmended andRestatedCommunity Workforce Agreement with the City of Anaheim establishesa goal that 40% of the total work hours shall be from Local Hires, defined in the Agreement as follows: Tier 1: Residents of City of Anaheim, Veterans, regardlessof residency; Tier 2: Residentsof Cities of BuenaPark, Yorba Linda, Placentia, Fullerton, Cypress, Stanton, Garden Grove, and Orange, and graduates of Anaheim High Schools, regardless of residency; and MC3 Graduates, regardless of residency; Tier 3: Residents of the remaining zip codes in Orange County and Disadvantaged Individuals ( defined as " formerly homelessindividuals or referrals from non-profit organizations suchasChrysalis OrangeCounty or The Salvation Army"), regardlessof residency. There is also a goal that 5% of the total work hours shall be from Veterans, DisadvantagedIndividuals, and Anaheim high schools graduates.
TO THE UNION: Please complete the " Union Use Only" section on the next page and fax this form back to the requesting Contractor. Be sure to retain a copy of this form for your records.
To: Union Local #
Cc: CWA Administrator
From: Company:
Contact Phone
CONTRACTOR USE ONLY
Fax#
Issued By:
Contact Fax:
Date:
PLEASE PROVIDE ME WITH THE FOLLOWING UNION CRAFT WORKERS.
Craft Classification
i.e., plumber, painter,
etc.)
Journeyman
or
Apprentice
Local Hire
General Dispatch
Number
workers
needed
Report Date Report Time
TOTAL WORKERS REQUESTED =
Please have worker( s) report to the following work address indicated below:
Project Name:
Report to:
Comment or Special Instructions:
Site:
On - site Tel:
Address:
On - site Fax:
Community Workforce Agreement 34 City of Anaheim
IDate
dispatch request received:
Dispatch received by:
Classification of worker requested:
Classification of worker dispatched:
UNION USE ONLY
WORKER REFERRED
Name:
Date worker was dispatched:
Is the worker referred a: ( check all that apply)
JOURNEYMAN Yes No
APPRENTICE Yes No
LOCAL HIRE Yes No
VETERANS, DISADVANTAGED INDIVIDUALS, AND ANAHEIM
HIGH SCHOOLS GRADUATES
Yes No
GENERAL DISPATCH FROM OUT OF WORK LIST Yes No
Community Workforce Agreement 35 City of Anaheim
ATTACHMENT D
LIST OF ARBITRATORS
Mark Burstein
Fred Horowitz
Najeeb Khoury
Sara Adler
Andrea Dooley
Community Workforce Agreement 36 City of Anaheim
ATTACHMENT E
SUBSTANCE ABUSE POLICY
The Parties recognize the problems which drug and alcohol abusehave created in the construction industry and the need to develop drug and alcohol abuse prevention programs. Accordingly, the Parties agree that in order to enhance the safety of the work place and to maintain a drug and alcohol -free work environment, Contractors may require applicants or employees to undergo drug and alcohol testing.
1. It is understood that the use, possession, transfer or sale of illegal drugs, narcotics, or other unlawful substances, as well as being under the influence of alcohol and the possession or consumingalcohol is absolutelyprohibited while employeesareon the Contractor'sjob premises or while working on anyjobsite in connectionwith work performedunderthe SecondAmended and Restated Community Workforce Agreement (" CWA").
2. No Contractormay implement a drug testingprogram which doesnot conform in all respects to the provisions of this Policy.
3. No Contractormay implement drug testing at anyjobsite unlesswritten notice is given to the Union setting forth the location of the jobsite, a description of the project under construction, and the name and telephone number of the Project Work Supervisor. Said notice shall be addressedto the office of each Union signing the CWA. Said notice shall be delivered in personor by registeredmail beforethe implementationof drugtesting. Failure to give suchnotice shall make any drug testing engagedin by the Contractor a violation of the CWA, and the Contractor may not implement any form of drug testing at suchjobsite for the following six months.
4. A Contractor that elects to implement drug testing pursuant to this Agreement shall require all craft employees on the Project Work to be tested. With respect to individuals who becomeemployed on the Project Work subsequentto the proper implementationof this drug testing program, such test shall be administered upon the commencement of employment on the project, whetherby referral from aUnion DispatchOffice, transferfrom anotherproject, or another method. Individuals who were employedon theproject prior to theproper implementationof this drug testing program may only be subjected to testing for the reasons set forth in Paragraph 5(f) 1) through 5( f) ( 3) of this Policy. Refusal to undergo such testing shall be considered sufficient grounds to deny employment on the project.
The following procedure shall apply to all drug testing:
a. The Contractor may request urine samples only. The applicant or craft employee shall not be observed when the urine specimen is given. An applicant or craft employee, at his or her sole option, shall, upon request, receive a blood test in lieu of a urine test. No craft employee of the Contractor shall draw blood from a bargaining unit craft employee, touch or handle urine specimen, or in any way become involved in the chain of custody of urine or blood specimens. A Union Business Representative, subject to the approval of the individual applicant Community Workforce Agreement 37 City of Anaheim
or Contractor employee, shall be permitted to accompany the applicant or employee to the collection facility to observe the collection, bottling, and sealing of the specimen. b. Thetesting shall bedoneby a laboratoryapprovedby the SubstanceAbuse Mental Health Services Administration ( SAMHSA), which is chosen by the Contractor and the Union.
C. An initial test shall be performed using the Enzyme Multiplied Immunoassay Technique ( EMZT). In the event a question or positive result arises from the initial test, a confirmation test must be utilized before action can be taken against the applicant or employee. The confirmation test will be by Gas Chromatography Mass Spectrometry ( GC/ MS).
Cutoff levels for both the initial test and confirmation test will be those established by the SAMHSA. Should these SAMHSA levels be changed during the course of this agreement or new testingproceduresareapproved, thenthesenewregulationswill bedeemedaspart of this existing agreement. Confirmedpositive sampleswill beretainedby thetesting laboratoryin securedlong- term frozen storage for a minimum of one year. Handling and transportation of each sample must be documented through strict chain of custody procedures. d. In the event of a confirmed positive test result the applicant or craft employee may request, within forty- eight ( 48) hours, a sample of their specimen from the testing laboratoryfor purposesof a secondtestto beperformedat a secondlaboratory, designatedby the Union and approved by SAMHSA. The retest must be performed within ten ( 10) days of the request. Chain of custody for this sample shall be maintained by the Contractor between the original testing laboratory and the Union' s designated laboratory. Retesting shall be performed at the applicant' s or craft employee' s expense. In the event of conflicting test results the Contractor may require a third test.
e. If, as a result of the above testing procedure, it is determined that an applicant or craft employee has tested positive, this shall be considered sufficient grounds to deny the applicant or craft employee their employment on the Project Work. f. No individual who tests negative for drugs or alcohol pursuant to the above procedureand becomesemployedon the Project Work shall again be subjectedto drug testing with the following exceptions:
1. Craft employees who are involved in industrial accidents resulting in damageto plant, property or equipmentor injury to him/herself or othersmaybetestedpursuant to the procedures stated hereinabove.
2. The Contractor may test employees following thirty ( 30) days advance written notice to the craft employee( s) to be tested and to the applicable Union. Notice to the applicable Union shall be as set forth in Paragraph 3 above and such testing shall be pursuant to the procedures stated hereinabove.
3. The Contractor may test a craft employee where the Contractor has reasonable cause to believe that the craft employee is impaired from performing their job.
Community Workforce Agreement 38 City of Anaheim
Reasonable cause shall be defined as exhibiting aberrant or unusual behavior, the type of which is a recognized and accepted symptom of impairment ( i. e., slurred speech, unusual lack of muscular coordination, etc.). Such behavior must be actually observed by at least two persons, one of whom shall be a Supervisor who has been trained to recognize the symptoms of drug abuse or impairment and the other of whom shall be the job steward. If the job steward is unavailable or there is no job stewardon the project the other personshall be a memberof the applicableUnion' s bargaining unit. Testing shall be pursuant to the procedures stated hereinabove. Craft employees who are testedpursuantto the exceptionssetforth in this paragraphandwho testpositive will beremoved from the Contractor' s payroll.
g. Applicants or craft employees who do not test positive shall be paid for all time lost while undergoing drug testing. Payment shall be at the applicable wage and benefit rates set forth in the applicable Union' s Master Labor Agreement. Applicants who have been dispatched from the Union and who are not put to work pending the results of a test will be paid waiting time until suchtime asthey areput to work. It is understoodthat an applicantmust passthe test as a condition of employment. Applicants who are put to work pending the results of a test will be considered probationary employees.
6. The Contractor will be allowed to conduct periodic job site drug testing on the Project under the following conditions:
a. The entire jobsite must be tested, including any craft employee or subcontractor' s craft employee who worked on that project three ( 3) working days before or after the date of the test;
b. Jobsite testing cannot continence sooner than thirty ( 30) days after start of the work on the Project;
C. Prior to start of periodic testing, a business representative will be allowed to conduct an educational period on company time to explain periodic jobsite testing program to affected craft employees;
d. Testing shall be conducted by a SAMHSA certified laboratory, pursuant to the provisions set forth in Paragraph 5 hereinabove.
Only two periodic testsmay beperformed in atwelve-month period.
7. It is understood that the unsafe use of prescribed medication, or where the use of prescribedmedicationimpairsthe employee'sability to perform work, is a basisfor theContractor to remove the craft employee from the jobsite.
8. Any grievance or dispute which may arise out of the application of this Agreement shall be subject to the grievance and arbitration procedures set forth in the CWA.
9. The establishment or operation of this Policy shall not curtail any right of any craft employee found in any law, rule or regulation. Should any part of this Agreement be found Community Workforce Agreement 39 City of Anaheim
unlawful by a court of competent jurisdiction or a public agency having jurisdiction over the parties, the remaining portions of the Agreement shall be unaffected, and the parties shall enter negotiations to replace the affected provision.
10. Present craft employees, if tested positive, shall have the prerogative for rehabilitation programat the craft employee'sexpense. When suchprogramhasbeensuccessfully completed the Contractor shall not discriminate in any way against the craft employee. If work for which the craft employee is qualified exists, he/she shall be reinstated.
11. The Contractor agreesthat results of urine and blood tests performed hereunder will be considered medical records held confidential to the extent permitted or required by law. Such records shall not be released to any persons or entities other than designated Contractor representatives and the applicable Union. Such release to the applicable Union shall only be allowed upon the signing of a written release and the information contained therein shall not be used to discourage the employment of the individual applicant or craft employee on any subsequent occasion.
12. The Contractor shall indemnify and hold the City of Anaheim and Union harmless againstany andall claims, demands, suits, or liabilities thatmay ariseout of the applicationof this AttachmentE and/or anyprogrampermitted hereunder.
13. Craft employees who seek voluntary assistance for substance abuse may not be disciplined for seekingsuchassistance. Requestsfrom craft employeesfor suchassistanceshall remain confidential and shall not be revealed to other employees or management personnel without the employee' s consent. Craft employees enrolled in substance abuseprograms shall be subject to all Contractor rules, regulations and job performance standards with the understanding that an employee enrolled in such a program is receiving treatment for an illness.
14. This policy shall constitute the only Agreement in effect between the parties concerning drug and alcohol abuse, prevention and testing. Any modifications thereto must be accomplished pursuantto collective bargaining negotiationsbetweenthe parties.
Community Workforce Agreement 40 City of Anaheim
DRUG ABUSE PREVENTION AND DETECTION
APPENDIX A
CUTOFF LEVELS
SCREENING SCREENING CONFIRMATION CONFIRMATION
DRUG METHOD LEVEL ** METHOD LEVEL
Alcohol EMIT 0. 02% CG/ MS 0. 02%
Amphetamines EMIT 1000 ng/m* CG/ MS 500 ng/ml*
Barbiturates EMIT 300 ng/ml CG/ MS 200 ng/ml
Benzodiazepines EMIT 300 ng/ml CG/ MS 300 ng/ml
Cocaine EMIT 300 ng/ml* CG/ MS 150 ng/ml*
Methadone EMIT 300 ng/ml CG/ MS 100 ng/ml
Methaqualone EMIT 300 ng/ml CG/ MS 300 ng/ml
Opiates EMIT 2000 ng/ml* CG/ MS 2000 ng/ml*
PCP ( Phencyclidine) EMIT 25 ng/ml* CG/ MS 25 ng/ml*
THC ( Marijuana) EMIT 50 ng/ml* CG/ MS 15 ng/ml*
Propoxyphene EMIT 300 ng/ml CG/ MS 100 ng/ml
SAMHSA specified threshold
A samplereportedpositive containsthe Indicateddrug at or abovethe cutoff level for that drug. A negative sample either contains no drug or contains a drug below the cutoff level.
EMIT - Enzyme Immunoassay
CC/ MS - Gas Chromatography/ Mass Spectrometry
Community Workforce Agreement 41 City of Anaheim
SIDE LETTER OF AGREEMENT
TESTING POLICY FOR DRUG ABUSE
It is hereby agreed between the Unions and Contractors hereto that a Contractor who has otherwise properly implementeddrug testing, as set forth in the Testing Policy for Drug Abuse, shall have the right to offer an applicant or craft employee a "quick" drug screening test. This " quick" screen test shall consist either of the " ICUP" urine screen or similar test or an oral screen test. The applicant or craft employee shall have the absolute right to select either of the two " quick" screen tests, or to reject both and request a full drug test.
An applicant or craft employee who selects one of the quick screen tests, and who passesthe test, shallbeput to work immediately. An applicantor craft employeewho fails the "quick" screentest, or who rejects the quick screen tests, shall be tested pursuant to the procedures set forth in the Testing Policy for Drug Abuse. The sample used for the " quick" screen test shall be discarded immediately upon conclusion of the test. An applicant or craft employee shall not be deprived of any rights granted to them by the Testing Policy for Drug Abuse as a result of any occurrence related to the " quick" screen test.
Community Workforce Agreement 42 City of Anaheim