July 23, 2015
Local Assistance Procedures Manual Exhibit 10-O2
Consultant Contract DBE Commitment
INSTRUCTIONS – CONSULTANT CONTRACT DBE COMMITMENT
CONSULTANT SECTION
1. Local Agency - Enter the name of the local or regional agency that is funding the contract.
2. Contract DBE Goal - Enter the contract DBE goal percentage as it appears on the project advertisement.
3. Project Description - Enter the project description as it appears on the project advertisement (Bridge Rehab, Seismic Rehab, Overlay, Widening, etc).
4. Project Location - Enter the project location as it appears on the project advertisement.
5. Consultant’s Name - Enter the consultant’s firm name.
6. Prime Certified DBE - Check box if prime contractor is a certified DBE.
7. Total Contract Award Amount - Enter the total contract award dollar amount for the prime consultant.
8. Total Dollar Amount for ALL Subconsultants – Enter the total dollar amount for all subcontracted consultants.
SUM = (DBEs + all Non-DBEs). Do not include the prime consultant information in this count.
9. Total number of ALL subconsultants – Enter the total number of all subcontracted consultants. SUM = (DBEs + all Non-DBEs). Do not include the prime consultant information in this count.
10. Description of Work, Services, or Materials Supplied - Enter description of work, services, or materials to be provided. Indicate all work to be performed by DBEs including work performed by the prime consultant’s own forces, if the prime is a DBE. If 100% of the item is not to be performed or furnished by the DBE, describe the exact portion to be performed or furnished by the DBE. See LAPM Chapter 9 to determine how to count the participation of DBE firms.
11. DBE Certification Number - Enter the DBE’s Certification Identification Number. All DBEs must be certified on the date bids are opened.
12. DBE Contact Information - Enter the name, address, and phone number of all DBE subcontracted consultants.
Also, enter the prime consultant’s name and phone number, if the prime is a DBE.
13. DBE Dollar Amount - Enter the subcontracted dollar amount of the work to be performed or service to be provided. Include the prime consultant if the prime is a DBE. See LAPM Chapter 9 for how to count full/partial participation.
14. Total Claimed DBE Participation - $: Enter the total dollar amounts entered in the “DBE Dollar Amount” column. %: Enter the total DBE participation claimed (“Total Participation Dollars Claimed” divided by item “Total Contract Award Amount”). If the total % claimed is less than item “Contract DBE Goal,” an adequately documented Good Faith Effort (GFE) is required (see Exhibit 15-H DBE Information - Good Faith Efforts of the LAPM).
15. Preparer’s Signature - The person completing the DBE commitment form on behalf of the consultant’s firm must sign their name.
16. Date - Enter the date the DBE commitment form is signed by the consultant’s preparer.
17. Preparer’s Name - Enter the name of the person preparing and signing the consultant’s DBE commitment form.
18. Phone - Enter the area code and phone number of the person signing the consultant’s DBE commitment form.
19. Preparer’s Title - Enter the position/title of the person signing the consultant’s DBE commitment form.
LOCAL AGENCY SECTION
20. Local Agency Contract Number - Enter the Local Agency contract number or identifier.
21. Federal-Aid Project Number - Enter the Federal-Aid Project Number.
22. Contract Execution Date - Enter the date the contract was executed.
23. Local Agency Representative’s Signature - The person completing this section of the form for the Local Agency must sign their name to certify that the information in this and the Consultant Section of this form is complete and accurate.
24. Date - Enter the date the DBE commitment form is signed by the Local Agency Representative.
25. Local Agency Representative’s Name - Enter the name of the Local Agency Representative certifying the consultant’s DBE commitment form.
26. Phone - Enter the area code and phone number of the person signing the consultant’s DBE commitment form.
27. Local Agency Representative Title - Enter the position/title of the Local Agency Representative certifying the consultant’s DBE commitment form.
July 23, 2015
Fiscal Year 2022/2023 California Department of Transportation Debarment and Suspension Certification
As required by U.S. DOT regulations on governmentwide Debarment and Suspension (Nonprocurement), 49 CFR 29.100:
1) The Applicant certifies, to the best of its knowledge and belief, that it and its contractors, subcontractors and subrecipients:
a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency;
b) Have not, within the three (3) year period preceding this certification, been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, state, or local) transaction or contract under a public transaction, violation of Federal or state antitrust statutes, or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;
c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, state, or local) with commission of any of the offenses listed in subparagraph (1)(b) of this certification; and d) Have not, within the three (3) year period preceding this certification, had one or more public transactions (Federal, state, and local) terminated for cause or default. 2) The Applicant also certifies that, if Applicant later becomes aware of any information contradicting the statements of paragraph (1) above, it will promptly provide that information to the State.
3) If the Applicant is unable to certify to all statements in paragraphs (1) and (2) of this certification, through those means available to Applicant, including the General Services Administration’s Excluded Parties List System (EPLS), Applicant shall indicate so in its applications, or in the transmittal letter or message accompanying its annual certifications and assurances, and will provide a written explanation to the State.
January 2022
CALIFORNIA DEPARTMENT OF TRANSPORTATION
DEBARMENT AND SUSPENSION CERTIFICATION
FISCAL YEAR 2022/2023
SIGNATURE PAGE
In signing this document, I declare under penalties of perjury that the foregoing certifications and assurances, and any other statements made by me on behalf of the Applicant are true and correct.
Signature Date
Printed Name
As the undersigned Attorney for the above named Applicant, I hereby affirm to the Applicant that it has the authority under state and local law to make and comply with the certifications and assurances as indicated on the foregoing pages. I further affirm that, in my opinion, these certifications and assurances have been legally made and constitute legal and binding obligations of the Applicant.
I further affirm to the Applicant that, to the best of my knowledge, there is no legislation or litigation pending or imminent that might adversely affect the validity of these certifications and assurances or of the performance of the described project.
AFFIRMATION OF APPLICANT’S ATTORNEY
For (Name of Applicant)
DateSignature
Printed Name of Applicant’s Attorney
January 2022
INDIVIDUAL A&E TASK ORDER DBE TRACKING
SHEET
Exhibit 10-GPlease fill out form in order
CONSULTANT NAME CONTRACT NUMBER FEDERAL PROJECT
NUMBER
TASK ORDER NUMBER
ADDRESS
CONSULTANT CONTRACT ADMINISTRATOR
NAME
PROJECT TITLE:
PHONE NUMBER E-MAIL
PROJECT LOCATION:
SCOPE OF WORK
TOTAL MASTER CONTRACT AMOUNT: ______________ END OF CONTRACT DATE:
______________
TASK ORDER AMOUNT: ______________ TASK ORDER BEGIN DATE: ___________ TASK ORDER END DATE:
____________
TOTAL DBE CONTRACT ESTIMATE OF THIS TASK
ORDER AMOUNT
(NON-DBE)
AMOUNT
(DBE)CONSULTANT\SUBCONSULTA
NT
DESCRIPTION OF WORK % OF DBE
0.00%
0.00%
0.00%
0.00%
0.00%
0.00%
0.00%
0.00%
0.00%
0.00%
0.00%
$ 0.00 $ 0.00 0.00%SUBTOTAL
TOTAL TASK ORDER
AMOUNT
COMMENTS ON DBE UTILIZATION DEFICIENCIES (COMMITTED VERSUS MET) AND PLANS TO MEET COMMITTED PERCENTAGES:
(Ifpercent lessthanmastercontractgoal,briefly statewhyin 1-2sentences).
The consultant acknowledges the DBE listed in the DBE Task Order Utilization section above must be used, unless authorized by DLAE.
Approved By:
CONSULTANTCONTRACTMANAGERSSIGNAT
URE
DATE LOCAL
AGENCYADMINSIGNATURE
DATE
ADA NOTICE: For individuals with sensory disabilities, this document is available in alternate formats. For information, call (916) 445-1233, Local Assistance Procedures Manual TTY 711, or write to Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.
LPP 18-01 Page 1 of 1
January 2019
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION
NOTICE TO OWNER - LOCAL ASSISTANCE
LAPM 14-D (NEW 05/2019)
Local Assistance Procedures Manual
(To fill out a Revised Notice to Owner,
click on the following button)
LAPM 14-D-REV Revised Notice to Owner - Local Assistance Number:
(Name of LOCAL AGENCY)
COUNTY ROUTE/STREET POST MILE PROJECT NUMBER
Federal Aid Number:
Owner's Plan Number:
Date: "On-System": YES NO
To: (Name of the Owner)
(Owner Address)
Because of the City of Lancaster transportation project to (project description)
in
(Name of the City and County) , which affects your facilities: (impacted facility) as shown on Map (Number) .
You are hereby ordered to: .
Your work schedule shall be from (beginning date) to (end date) Notify (Name of Project Engineer) at (telephone number) hours prior to initial start of work, and an additional hours notification for subsequent starts when the work schedule is interrupted.
Liability is % Owner (or Agency) pursuant to
Owner Rep:
Public Works Coordinator
(Rep's address if differ from the above)
cc: Resident Engineer
Permits
By
Local Agency Director
THIS NOTICE DOES NOT CONSTITUTE A PERMIT. OBTAIN AN ENCROACHMENT PERMIT BEFORE STARTING WORK.
Distribution: 1) Owner,
4) DLAE - File,
2) Utility Coordinator - File,
5) District Utility Coordinator - File
3) RE - File
For individuals with sensory disabilities, this document is available in alternate formats. For alternate format information, contact the Forms Management Unit at (916) 445-1233, TTY 711, or write to Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.ADA Notice
Local Assistance Procedures Manual Exhibit 17-O
Disadvantaged Business Enterprises (DBE) Certification Status Change EXHIBIT 17-O DISADVANTAGED BUSINESS ENTERPRISES (DBE) CERTIFICATION STATUS CHANGE
1. Local Agency Contract Number
5. Contractor/Consultant
2. Federal-Aid Project Number
6. Business Address
3. Local Agency 4. Contract Completion Date
7. Final Contract Amount
12. Certification/
Decertification
Date
8. Contract
Item
Number
10. DBE
Certification
Number
11. Amount Paid
While Certified9. DBE Contact Information 13. Comments
(Letter Attached)
If there were no changes in the DBE certification of subcontractors/subconsultants, indicate on the form.
I CERTIFY THAT THE ABOVE INFORMATION IS COMPLETE AND CORRECT
14. Contractor/Consultant Representative’s Signature 15. Contractor/Consultant Representative’s Name 16. Phone 17. Date
21. Date
I CERTIFY THAT THE CONTRACTING RECORDS AND ON-SITE PERFORMANCE OF THE DBE(S) HAS BEEN MONITORED
18. Local Agency Representative’s Signature 19. Local Agency Representative’s Name 20. Phone DISTRIBUTION: Original – Local Agency, Copy – Caltrans District Local Assistance Engineer. Include with Final Report of Expenditures ADA NOTICE: For individuals with sensory disabilities, this document is available in alternate formats. For information, call (916) 445-1233, Local Assistance Procedures Manual TTY 711, or write to Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.
July 23, 2015
Local Assistance Procedures Manual Exhibit 17-O
Disadvantaged Business Enterprises (DBE) Certification Status Change INSTRUCTIONS –DISADVANTAGED BUSINESS ENTERPRISES (DBE)
CERTIFICATION STATUS CHANGE
1. Local Agency Contract Number - Enter the Local Agency contract number or identifier.
2. Federal-Aid Project Number - Enter the Federal-Aid Project Number.
3. Local Agency - Enter the name of the local or regional agency that is funding the contract.
4. Contract Completion Date - Enter the date the contract was completed.
5. Contractor/Consultant - Enter the contractor/consultant’s firm name.
6. Business Address - Enter the contractor/consultant’s business address.
7. Final Contract Amount - Enter the total final amount for the contract.
8. Contract Item Number - Enter contract item for work, services, or materials supplied provided. Not applicable for consultant contracts.
9. DBE Contact Information - Enter the name, address, and phone number of all DBE subcontracted contractors/consultants.
10. DBE Certification Number - Enter the DBE’s Certification Identification Number.
11. Amount Paid While Certified - Enter the actual dollar value of the work performed by those subcontractors/subconsultants during the time period they are certified as a DBE.
12. Certification/Decertification Date (Letter Attached) - Enter either the date of the Decertification Letter sent out by the Office of Business and Economic Opportunity (OBEO) or the date of the Certification Certificate mailed out by OBEO.
13. Comments - If needed, provide any additional information in this section regarding any of the above certification status changes.
14. Contractor/Consultant Representative’s Signature - The person completing the form on behalf of the contractor/consultant’s firm must sign their name.
15. Contractor/Consultant Representative’s Name - Enter the name of the person preparing and signing the form.
16. Phone - Enter the area code and telephone number of the person signing the form.
17. Date - Enter the date the form is signed by the contractor’s preparer.
18. Local Agency Representative’s Signature - A Local Agency Representative must sign their name to certify
that the contracting records and on-site performance of the DBE(s) has been monitored.
19. Local Agency Representative’s Name - Enter the name of the Local Agency Representative signing the form.
20. Phone - Enter the area code and telephone number of the person signing the form.
21. Date - Enter the date the form is signed by the Local Agency Representative.
July 23, 2015
Local Assistance Procedures Manual Exhibit 17-F
Final Report-Utilization of Disadvantaged Business Enterprises (DBE) and First-Tier Subcontractors EXHIBIT 17-F FINAL REPORT-UTILIZATION OF DISADVANTAGED BUSINESS ENTERPRISES (DBE) AND FIRST-TIER SUBCONTRACTORS
1. Local Agency Contract Number
5. Contractor/Consultant
2. Federal-Aid Project Number
6. Business Address
3. Local Agency 4. Contract Completion Date
7. Final Contract Amount
8. Contract
Item
Number
11. DBE
Certification
Number
12. Contract Payments
Non-DBE DBE
13. Date
Work
Completed
14. Date of
Final
Payment
9. Description of Work, Service, or
Materials Supplied
10. Company Name and
Business Address
15. ORIGINAL DBE COMMITMENT AMOUNT $ 16. TOTAL
List all first-tier subcontractors/subconsultants and DBEs regardless of tier whether or not the firms were originally listed for goal credit. If actual DBE utilization (or item of work) was different than that approved at the time of award, provide comments on an additional page. List actual amount paid to each entity. If no subcontractors/subconsultants were used on the contract, indicate on the form.
I CERTIFY THAT THE ABOVE INFORMATION IS COMPLETE AND CORRECT
17. Contractor/Consultant Representative’s Signature 18. Contractor/Consultant Representative’s Name 19. Phone 20. Date
24. Date
I CERTIFY THAT THE CONTRACTING RECORDS AND ON-SITE PERFORMANCE OF THE DBE(S) HAS BEEN MONITORED
21. Local Agency Representative’s Signature 22. Local Agency Representative’s Name 23. Phone DISTRIBUTION: Original – Local Agency, Copy – Caltrans District Local Assistance Engineer. Include with Final Report of Expenditures ADA NOTICE: For individuals with sensory disabilities, this document is available in alternate formats. For information, call (916) 445-1233, Local Assistance Procedures Manual TTY 711, or write to Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.
July 23, 2015
Local Assistance Procedures Manual Exhibit 17-F
Final Report-Utilization of Disadvantaged Business Enterprises (DBE) and First-Tier Subcontractors
INSTRUCTIONS – FINAL REPORT-UTILIZATION OF DISADVANTAGED BUSINESS
ENTERPRISES (DBE) AND FIRST-TIER SUBCONTRACTORS
1. Local Agency Contract Number - Enter the Local Agency contract number or identifier.
2. Federal-Aid Project Number - Enter the Federal-Aid Project Number.
3. Local Agency - Enter the name of the local or regional agency that is funding the contract.
4. Contract Completion Date - Enter the date the contract was completed.
5. Contractor/Consultant - Enter the contractor/consultant’s firm name.
6. Business Address - Enter the contractor/consultant’s business address.
7. Final Contract Amount - Enter the total final amount for the contract.
8. Contract Item Number - Enter contract item for work, services, or materials supplied provided. Not applicable for consultant contracts.
9. Description of Work, Services, or Materials Supplied - Enter description of work, services, or materials provided. Indicate all work to be performed by DBEs including work performed by the prime contractor/consultant’s own forces, if the prime is a DBE. If 100% of the item is not to be performed or furnished by the DBE, describe the exact portion to be performed or furnished by the DBE. See LAPM Chapter 9 to determine how to count the participation of DBE firms.
10. Company Name and Business Address - Enter the name, address, and phone number of all subcontracted contractors/consultants. Also, enter the prime contractor/consultant’s name and phone number, if the prime is a DBE.
11. DBE Certification Number - Enter the DBE’s Certification Identification Number. Leave blank if subcontractor is not a DBE.
12. Contract Payments - Enter the subcontracted dollar amount of the work performed or service provided.
Include the prime contractor/consultant if the prime is a DBE. The Non-DBE column is used to enter the dollar value of work performed by firms that are not certified DBE or for work after a DBE becomes decertified.
13. Date Work Completed - Enter the date the subcontractor/subconsultant’s item work was completed.
14. Date of Final Payment - Enter the date when the prime contractor/consultant made the final payment to the subcontractor/subconsultant for the portion of work listed as being completed.
15. Original DBE Commitment Amount - Enter the “Total Claimed DBE Participation Dollars” from Exhibits 15-G or 10-O2 for the contract.
16. Total - Enter the sum of the “Contract Payments” Non-DBE and DBE columns.
17. Contractor/Consultant Representative’s Signature - The person completing the form on behalf of the contractor/consultant’s firm must sign their name.
18. Contractor/Consultant Representative’s Name - Enter the name of the person preparing and signing the form.
19. Phone - Enter the area code and telephone number of the person signing the form.
20. Date - Enter the date the form is signed by the contractor’s preparer.
21. Local Agency Representative’s Signature - A Local Agency Representative must sign their name to certify that the contracting records and on-site performance of the DBE(s) has been monitored.
22. Local Agency Representative’s Name - Enter the name of the Local Agency Representative signing the form.
23. Phone - Enter the area code and telephone number of the person signing the form.
24. Date - Enter the date the form is signed by the Local Agency Representative.
July 23, 2015
PWCP 23‐001 – AVENUE M AT GRADE CROSSING
STAFF REPORT
City of Lancaster
CC 6
5/23/2023
JC
Date: May 23, 2023
To: Mayor Parris and City Council Members
From: Marissa Diaz, Director – Public Works
Sheila Niebla, Senior Engineer – City Engineering
Subject: Approval of Agreement for Design Services for Avenue K At-Grade Crossing (Reference PWCP 23-002)
Recommendation:
Approve a Professional Services Agreement with Kimley-Horn and Associates, Inc., of Los Angeles, California, to provide Design Services for Avenue M At-Grade Crossing in the amount of $934,391.35, with a 10% contingency; and authorize the City Manager, or his designee, to sign all documents.
Fiscal Impact:
$1,027,830.49 (including 10% contingency); sufficient funds are available in Capital Improvements Budget Account Number 399-16ST032-924.
Background:
On October 16, 2020, the State of California, Department of Transportation (Caltrans) Highway Railroad Grade Crossing Safety Program (Section 130) approved Service Contract 50LP276 with the City of Lancaster for safety improvements at the grade crossings located at the intersection of Avenue K and both the Union Pacific Railroad (UPRR), and the Southern California Regional Rail Authority (SCRRA) (collectively referred to as “Railroads”) tracks in the City of Lancaster.
This Section 130 project is a combined effort of improvements between the City of Lancaster and the Railroads. Each Agency is contracted separately with Caltrans for funding, and is responsible for its portion of the improvements. The City of Lancaster is responsible for, and will lead the civil improvements, including but not limited to, grading, roadways, sidewalks, curb ramps, pedestrian channelization, traffic signals, street lighting, utility relocation, traffic signing, striping, and markings, etc. The Railroads are responsible for any railroad related improvements and railroad signal work.
On February 13, 2023, the City advertised Request for Qualifications (RFQ 787-23) for Design Services for Avenue K At-Grade Crossing. The RFQ was listed on the City’s website, and the 1 2
7 4
City’s online bidding service (Planet Bids). On March 6, 2023, the City received only one (1) qualified response to this advertisement. A selection committee consisting of five (5) members reviewed and assessed the Statement of Qualification (SOQ). Due to the complexity and aggressive schedule of this project, the City filed a Non-Competitive Determination for A&E Contracts with the Section 130 Program Manager and received the approval to proceed. On April 19, 2023, the City received the negotiated proposal with Kimley-Horn and Associates, Inc.
The project may trigger the need for drainage-related Regulatory Permits. As such, during negotiations, the Consultant was asked to provide optional pricing for additional services. The amount recommended for approval includes a base total of $859,331.93, plus optional tasks totaling $75,059.42, for a grand total amount of $934,391.35. Optional tasks for Regulatory Permit services will be authorized separately in writing and only if the need arises.
SN:DL/km
Attachments:
Professional Services Agreement
Vicinity Map
AGREEMENT FOR PROFESSIONAL CONSULTANT SERVICES
THIS AGREEMENT FOR CONSULTING SERVICES (this “AGREEMENT”) is made and entered into this _____ day of _____________, 20___, by and between the CITY OF LANCASTER, a municipal corporation and charter city (the “OWNER”), and KIMLEY-HORN AND ASSOCIATES, INC., (the “CONSULTANT”).
RECITALS
WHEREAS, OWNER desires to engage CONSULTANT to perform certain technical and professional services, as provided herein, identified as:
DESIGN SERVICES
AVENUE K AT-GRADE CROSSING (REFERENCE PWCP 23-002)
WHEREAS, the principal members of CONSULTANT are qualified and duly registered/licensed under the laws of the State of California, and CONSULTANT desires to accept such engagement;
NOW, THEREFORE, the parties agree as follows:
1. Parties to the AGREEMENT.
The parties to this AGREEMENT are:
A. OWNER: City of Lancaster
Kimley-Horn and Associates, Inc.B. CONSULTANT:
2. Notices. All written notices required by or related to this AGREEMENT shall be sent by Certified Mail, Return Receipt Requested, postage prepaid and addressed as listed below. Neither party to this AGREEMENT shall refuse to accept such mail; parties to this AGREEMENT shall promptly inform the other party of any changes of address. All notices required by this AGREEMENT are effective on the day of receipt, unless otherwise indicated herein.
OWNER Public Works Director
City of Lancaster
44933 North Fern Avenue
Lancaster, California 93534
CONSULTANT Robert D. Blume, P.E., Vice President
Kimley-Horn and Associates, Inc.
660 South Figueroa Street, Suite 2050
Los Angeles, CA 90017
3. Successors and Assigns. The terms hereof shall be binding upon and inure to the benefit of the successors and assigns of the parties hereto; provided, however, that no party hereto shall assign any of the benefits and burdens hereunder, whether voluntarily or by operation of law, without prior written consent of the other party, and any such assignments without said consent shall be void. - 1 -
4. Incorporation by Reference. The Request for Qualifications – RFQ 787-23 DESIGN SERVICES PWCP 23-002 AVENUE K AT-GRADE CROSSING and CONSULTANT’S Statement of Qualifications and Proposal are hereby incorporated in and made a part of this AGREEMENT.
CONSULTANT agrees to comply with all of the requirements set forth therein.
5. Precedence of AGREEMENT Documents. If there is a conflict between AGREEMENT documents, the document highest in precedence shall control. The precedence shall be:
First:
Second:
This AGREEMENT consisting of 85 pages
Request for Qualifications – RFQ 787-23 DESIGN SERVICES PWCP 23-002 AVENUE K AT-GRADE CROSSING
Third: The CONSULTANT’S Statement of Qualifications and Proposal
6. Description of Work. OWNER hereby engages CONSULTANT, and CONSULTANT accepts such engagement, to perform the technical and professional services set forth in the “Scope of Services” attached hereto as Exhibit “A”. CONSULTANT shall perform and complete, in a manner satisfactory to OWNER, all work and services set forth in Exhibit “A”. The Public Works Director or their designee shall have the right to review and inspect the work during the course of its performance at such times as may be specified by the Public Works Director, or their designee.
7. Obligations of the OWNER.
A. The total compensation to be paid by OWNER to CONSULTANT for all work and services described in Exhibit “A” is not to exceed $859,331.93. CONSULTANT’S fees and charges for the work and services performed shall in no event exceed those set forth in Exhibit “B” attached hereto and made a part hereof.
B. No payment made hereunder by OWNER to CONSULTANT, other than the final payment, shall be construed as an acceptance by OWNER of any work or materials, nor as evidence of satisfactory performance by CONSULTANT of its obligations under this AGREEMENT.
8. Obligations of the CONSULTANT.
A. CONSULTANT shall perform as required by this AGREEMENT.
CONSULTANT also warrants on behalf of itself and all subcontractors engaged for the performance of this AGREEMENT.
B. CONSULTANT shall be responsible for payment of all employees' and subcontractor's wages and benefits, and shall comply with all requirements pertaining to employer's liability, workers' compensation, unemployment insurance, and Social Security.
9. Senate Bill 854.
SB 854 bill signed into law on June 20, 2014, established a new public works contractor registration program to replace prior Compliance Monitoring Unit (CMU) and Labor Compliance Program (LCP) requirements for bond-funded and other specified public works projects.
The Department of Industrial Relations (DIR) requires all contractors and subcontractors who bid or perform work on a public works project (as defined under the Labor Code) be subject to a registration and annual renewal fee. Contractors must apply online and meet minimum qualifications to be registered as eligible to bid and work on public works projects. The requirement to list only registered contractors and subcontractors on bids becomes effective on March 1, 2015. The requirement to only - 2 -
use registered contractors and subcontractors on public works projects applies to all projects awarded on or after April 1, 2015. This project shall comply with the requirement of SB 854.
Coverage is not limited only to work performed at the construction site by the traditional construction trades, but extends broadly to workers employed “in the execution of” the public works contract.
Survey and Geotechnical Services will only need to register if the scope of services provided would require the payment of prevailing wage and be considered to be covered under the California Labor Code. Even though survey and geotechnical services typically are viewed as consultants and generally do not necessarily fit the term “contractor,” compliance with section SB 854 will be required by the Department of Industrial Relations ("DIR"). Essentially, if the services provided by a survey or geotechnical services firm would be considered to be covered under the applicable California Labor Code sections, then they should register. It should be noted that only the firm needs to register and not individual licensed design professional(s).
Attention is directed to the revisions to Labor Code Section 4. 1725.5 and Section 5. 1771.1:
A. SECTION 4 1725.5
“A contractor (consultant) must be registered pursuant to this section in order to be qualified to bid on, be listed in a bid proposal pursuant to Section 4104 of the Public Contract Code, or engage in the performance of any contract for public work that is subject to requirements of this chapter. (a) To qualify for registration under this section, a contractor must do all of the following:
(1) Beginning July 1, 2014, register with the Department of Industrial Relations in the manner prescribed by the department and pay an initial non-refundable application fee of $300 to qualify for registration under this section and an annual renewal fee on or before July 1st each year thereafter. The annual renewal fee shall be in a uniform amount set by the Director of Industrial Relations, and the initial registration and renewal fees may be adjusted no more than annually by the director to support the costs specified in Section 1771.3.
(2) Provide such evidence, disclosures, or releases as are necessary to establish all of the following:
(A) Worker’s Compensation coverage that meets the requirements of Division 4 (commencing with Section 3200) and includes sufficient coverage for any worker who the contractor will employ to perform work that is subject to prevailing wage requirements other than a contractor who, is separately registered under this section.
Coverage may be evidenced by a current and valid Certificate of Workers’ Compensation Insurance or Certification of Self-Insurance required under Section 7125 of the Business and Professions Code.
(B) Where applicable, the contractor is licensed in accordance with Chapter 9 (commencing with Section 7000) of the Business and Professions Code. (C) The contractor does not have any delinquent liability to an employee or the state for any assessment of back wages, or related damages, interest, fines, or penalties pursuant to any final judgment, order, or determination by a court or any federal, state, or local administrative agency, including a confirmed arbitration award. However, for any judgment, order, or determination that is under appeal, provided that the contractor has - 3 -
secured the payment of any amount eventually found due through a bond or other appropriate means.
(D) The contractor is not currently debarred under Section 1777.1 or under any other federal or state law providing for the debarment of contractors from public works. (E) The contractor has not bid on a public works contract, been listed in a bid proposal, or engaged in the performance of a contract for public works without being lawfully registered in accordance with this section, within the preceding 12 months, or since the effective date of the requirements set forth in subdivision (f), whichever is shorter. For a contractor found to be in violation of the requirements of this paragraph only, the period of disqualification shall be waived if: (i) the contractor has not previously been found to be in violation of the requirements of this paragraph within the preceding 12 months; and (ii) the contractor pays an additional non-refundable penalty registration fee of $2,000. (b) Fees received pursuant to this section shall be deposited in the State Public Works Enforcement Fund established pursuant to Section 1771.3 and shall be used only for the purposes specified in subdivision (b) of Section 1771.3 (c) The term “contractor,” as used in this section, shall include any subcontractor or “consultant”, as defined in Section 1722.1.
(d) A contractor who fails to pay the renewal fee required under paragraph (1) of subdivision (a) on or before the expiration of any prior period of registration shall be prohibited from bidding on or engaging in the performance of any contract for public work until once again registered pursuant to this section. A contractor who inadvertently fails to pay the renewal fee may retroactively renew its registration by paying an additional non-refundable penalty renewal fee equal to the amount of the renewal fee within 90 days of the date of the renewal fee.
(e) The requirements of this section shall not apply with respect to any contract, which as a result of a determination by the Director of Industrial Relations pursuant to Section 1773.5 or decision by a court that classifies, after the time at which the body awarding the contract accepts the contractor’s bid or awards the contractor a contract, the work covered by the bid or contract as a “public work,” as defined in this chapter, to which Section 1771 applies, provided that:
(1) The body awarding the contract failed to identify as a public work, in the bid specification or in the contract documents that portion of the work that the determination or decision classifies as a “public work.”
(2) Within twenty (20) days following service of notice on the awarding body of a determination by the Director of Industrial Relations pursuant to Section 1773.5 or a decision by a court that the contract was for public work as defined in this chapter, the contractor and any subcontractors are registered under this section or are replaced by a contractor or subcontractors who are registered under this section. (3) The requirements of this section shall apply prospectively only to any bid, bid proposal, contract, or work performed after the awarding body is served with notice of the determination or decision referred to in paragraph (2) of this subdivision. - 4 -
(f) The requirements of this section shall apply to any bid proposal submitted on or after March 1, 2015, and any contract for public work, as defined in this chapter, entered into on or after April 1, 2015.”
B. SECTION 5 1771.1
(a) No contractor or subcontractor shall be qualified to bid on, be listed in a bid proposal pursuant to Section 4104 of the Public Contract Code, or engage in the performance of any contract for public work, as defined in this chapter, unless currently registered to perform public work pursuant to Section 1725.5 It shall not be a violation of this section for an unregistered contractor to submit a bid that is authorized by Section 7029.1 of the Business and Professions Code or by Sections 10164 or 20103.5 of the public work pursuant to Section 1725.5 at the time the contract is awarded.
(b) Notice of this requirement shall be included in all bid invitations and public works contracts, and no bid shall be accepted nor any contract or subcontract entered into without proof of the contractor or subcontractor’s current eligibility to perform public work pursuant to Section 1725.5.
(c) An inadvertent error in listing a subcontractor who is not registered pursuant to Section 1725.5 in a bid proposal shall not be grounds for filing a bid protest or grounds for considering the bid nonresponsive, provided that any of the following requirements are met:
(1) the subcontractor is registered prior to the bid opening; (2) within 24 hours after the bid opening the subcontractor is registered and has paid the penalty registration fee specified in paragraph (E) of subdivision (2) of Section 1725.5; or (3) the subcontractor is replaced by another registered subcontractor pursuant to Section 4107 of the Public Contract Code. (d) Failure by a subcontractor to be registered to perform public work as required by subdivision (a) of this Section shall be grounds under Section 4107 of the Public Contract Code for the contractor, with the consent of the awarding authority, to substitute a subcontractor who is registered to perform public work pursuant to Section 1725.5 in place of the unregistered subcontractor.
(e) The DIR shall maintain on its website a list of contractors who are currently registered to perform public work pursuant to Section 1725.5.
(f) A contract entered into with any contractor or subcontractor in violation of subdivision (a) shall be subject to cancellation. However, no contract for public work shall be unlawful, void, or voidable solely due to the failure of the awarding body, contractor, or any subcontractor to comply with the requirements of Section 1725.5 or this section.
A. This section shall apply to any bid proposal submitted on or after March 1, 2015, and any contract for public work entered into on or after April 1, 2015. This project shall comply with the requirements of SB 854.
10. Payment of Prevailing Wage.
A. The State of California, Department of Industrial Relations, has ascertained the general prevailing rate of wages and employer payments for health and welfare, vacation, pension, and similar purposes applicable to the field work to be done. These rates shall be the minimum wage rates for this - 5 -
project. These rates are on file with the City of Lancaster and copies will be made available to any interested party upon request.
Attention is directed to the provisions of Section 1777.5 (Chapter 1411, Statutes of 1968) and Section 1777.6 of the Labor Code concerning the employment of apprentices by the CONSULTANT or any subcontractor under him.
Section 1777.5, as amended, requires the CONSULTANT or subcontractor employing tradesmen in any apprenticeable occupation to apply to the joint apprenticeship committee nearest the site of the public works project and which administers the apprenticeship program in that trade for a certificate of approval. The certificate will also fix the ratio of apprentices to journeymen that will be used in the performance of the contract. The ratio of apprentices to journeymen in such cases shall not be less than one to five except:
(A) When unemployment in the area of coverage by the joint apprenticeship committee has exceeded an average of 15% in the 90 days prior to the request for certificate; or (B) When the number of apprentices in training in the area exceeds a ratio of one to five; or (C) When the trade can show that it is replacing at least 1/30 of its membership through apprenticeship training on an annual basis statewide or locally; or (D) When the CONSULTANT provides evidence that he employs registered apprentices on all of his contracts on an annual average of not less than one apprentice to eight journeymen.
The CONSULTANT is required to make contributions to funds established for the administration of apprenticeship programs if he employs registered apprentices or journeymen in any apprenticeable trade on such contracts and if other Contractors on the public works site are making such contributions.
The CONSULTANT and any subcontractor under them shall comply with the requirements of Section 1777.5 and Section 1777.6 in the employment of apprentices.
Information relative to apprenticeship standards, wage schedules, and other requirements may be obtained from the Director of Industrial Relations, ex officio the Administrator of Apprenticeship, San Francisco, California, or from the Division of Apprenticeship Standards and its branch offices.
B. The provisions of subsection A above shall be included in all solicitations or advertisements placed by or on behalf of CONSULTANT for personnel to perform any services under this AGREEMENT. OWNER shall have access to all documents, data and records of CONSULTANT and its subcontractors for purposes of determining compliance with the Prevailing Wage provisions of this Section.
11. Audit. OWNER shall have the option of inspecting and/or auditing all records and other written materials used by CONSULTANT in preparing its statements to OWNER as a condition precedent to any payment to CONSULTANT.
12. Hold Harmless and Indemnification. CONSULTANT agrees to indemnify and hold harmless the OWNER, its officers and employees, from and against any and all claims, losses, obligations, or liabilities whatsoever, including reasonable Attorney’s fees, incurred in or in any manner arising out of or related to CONSULTANT’S negligent or willful wrongful acts, errors or omissions, or those of its employees or agents. CONSULTANT agrees to defend OWNER, it officers and employees, - 6 -
from and against any and all claims arising from any alleged negligent or wrongful acts, errors or omissions on the part of CONSULTANT or on the part of its employees.
13. Amendments. Any amendment, modification, or variation from the terms of this AGREEMENT shall be in writing and shall be effective only upon mutual written approval by the Public Works Director and CONSULTANT.
14. Non-Discrimination and Equal Employment Opportunity.
A. In the performance of this AGREEMENT, CONSULTANT shall not discriminate against any employee, subcontractor, or applicant for employment because of race, color, religion, ancestry, sex, national origin, physical or mental disability or age. CONSULTANT will take affirmative action to ensure that subcontractors and applicants are employed, and that employees are treated during employment without regard to their race, color, religion, ancestry, sex, national origin, physical or mental disability or age. Affirmative action relating to employment shall include, but not be limited to the following: employment, upgrading, demotion or transfer; recruitment; layoff or termination; rates of pay or other forms of compensation; and selection for training including apprenticeship.
B. The provisions of subsection A above shall be included in all solicitations or advertisements placed by or on behalf of CONSULTANT for personnel to perform any services under this AGREEMENT. OWNER shall have access to all documents, data and records of CONSULTANT and its subcontractors for purposes of determining compliance with the equal employment opportunity and non-discrimination provisions of this Section.
15. Termination for Convenience. The governing board of the OWNER may terminate this AGREEMENT at any time without cause by giving fifteen (15) days written notice to CONSULTANT of such termination and specifying the effective date thereof. In that event, all finished or unfinished documents and other materials shall, at the option of OWNER, become the OWNER's property. If this AGREEMENT is terminated by OWNER as provided herein, CONSULTANT will be paid a total amount equal to its costs as of the termination date, plus ten percent (10%) of that amount for profit. In no event shall the amount payable upon termination exceed the total maximum compensation provided for in this AGREEMENT.
16. Termination for Cause.
A. The governing board of the OWNER may, by written notice to CONSULTANT, terminate the whole or any part of this AGREEMENT in any of the following circumstances:
(1) If CONSULTANT fails to perform the services required by this AGREEMENT within the time specified herein or any authorized extension thereof; or (2) If CONSULTANT fails to perform the services called for by this AGREEMENT or so fails to make progress as to endanger performance of this AGREEMENT in accordance with its terms, and in either of these circumstances does not correct such failure within a period of ten (10) days (or such longer period that OWNER may authorize in writing) after receipt of notice from OWNER specifying such failure.
B. In the event OWNER terminates this AGREEMENT in whole or in part as provided above in paragraph A of this Section, OWNER may procure, upon such terms and in such manner as it may deem appropriate, services similar to those terminated. - 7 -
C. If this AGREEMENT is terminated as provided above in paragraph A, OWNER may require CONSULTANT to provide all finished or unfinished documents, data, studies, drawings, maps, photographs, reports, etc., prepared by CONSULTANT. Upon such termination, CONSULTANT shall be paid an amount equal to the contract amount, less the cost of hiring another CONSULTANT to complete CONSULTANT's services. In the event no new CONSULTANT is employed, CONSULTANT shall be paid an amount equal to the value of the work performed. In ascertaining the value of the work performed up to the date of termination, consideration shall be given to completed work and work in progress, complete and incomplete drawings, and other documents whether delivered to OWNER or in possession of CONSULTANT, and authorized reimbursement expenses.
D. If, after notice of termination of the AGREEMENT under the provisions of this Section, it is determined, for any reason, that CONSULTANT was not in default, or that the default was excusable, then the rights and obligations of the parties shall be the same as if the notice of termination had been issued pursuant to Section 15.
17. Independent Contractor. CONSULTANT is an independent contractor and shall have no power or authority to incur any debt, obligation or liability on behalf of the OWNER. It is expressly understood between the parties to this AGREEMENT that no employee/employer relationship is intended; CONSULTANT is an independent contractor.
18. Insurance.
A. The CONSULTANT, at its expense, shall maintain in effect at all times during the term of this AGREEMENT the following coverage and limits of insurance, which shall be maintained with insurers listed "A-, VIII" or better in the Best's Key Rating Guide:
Commercial General Liability
Each Occurrence $5,000,000
Per Project General Aggregate $10,000,000
Including Products/Completed Operations; Contractual Liability/Independent Contractors; Property Damage
(Coverage shall be at least as broad as ISO form CG2010 11/85 or CG2010 07/04 and CG2037 07/04 combined, or an equivalent providing ongoing and completed operations)
Commercial Automobile Liability
Combined Single Limit per Accident for
Bodily Injury and Property Damage $10,000,000
(Coverage shall be at least as broad as ISO form CA00 01) Workers Compensation
As Required by the State of California Statutory Limits Employer’s Liability
Each Accident
Bodily Injury by Disease
Each Employee
$1,000,000
$1,000,000
$1,000,000
(A Waiver of Subrogation must be provided on behalf of the Certificate Holder for the Workers Compensation & Employers’ Liability policies) - 8 -
Professional Liability
Each Occurrence
General Aggregate
$10,000,000
$10,000,000
B. The Consultant’s insurance shall apply separately to each insured against whom claim is made or suit is brought, except with respect to the limits of the insured’s liability.
C. Professional liability insurance written on a “claims made” basis must be renewed for a period of three (3) years after this contract expires or is terminated. Such insurance must have the same coverage and limits as the policy that was in effect during the term of this contract and will cover Consultant for all claims made by the City insured entities arising out of any negligent acts or omissions of Consultant or its officers, employees, or agents during the time this Agreement was in effect.
D. Any deductibles or self-insurance retentions must be declared and approved by the
City. At the City’s option, either the insurer shall reduce or eliminate such deductibles or self- insured
retentions as respects the City insured entities or the insurer shall procure a bond guaranteeing payment
of losses and related investigations, claim administration and defense expenses.
E. All insurance (except professional liability and workers compensation) shall be primary and non-contributory as respects the City insured entities. Any insurance or self-insurance maintained by the City insured entities shall be in excess of the Consultant’s insurance and shall not contribute with it.
F. Consultant shall furnish the City with Certificates of Insurance and with original endorsements effecting coverage required by this Agreement. Certificates of Insurance shall meet the following requirements:
(1) Show that the insurance policy has been endorsed to state that coverage
shall not be suspended, voided, cancelled, reduced in coverage or in limits except after 30 days prior written notice (10 days written notice for non- payment) to the City of Lancaster.
(2) List in the “Descriptions of Operations/Locations/Vehicles” section:
DESIGN SERVICES
PWCP 23-002 AVENUE K AT-GRADE CROSSING
The City of Lancaster, its elected officials, officers, employees, and volunteers are included as additional covered parties, but only insofar as the operations under this contract are concerned.”
(3) List in the “Certificate Holder” section:
The City of Lancaster
44933 Fern Avenue
Lancaster, California 93534
- 9 -
G. Consultant shall include all subcontractors as an insured under its policies or shall furnish separate certificates and endorsements for each subcontractor. Subcontractors are subject to the same insurance requirements as the Consultant.
19. Commencement and Completion of Work. The execution of this AGREEMENT by the parties does not constitute an authorization to proceed. The services of CONSULTANT shall commence when the OWNER, acting by and through its Public Works Director or their designee, has issued the Notice to Proceed.
CONSULTANT shall have no claim for compensation for any services or work which has not been authorized by the OWNER's Notice to Proceed.
20. Extension of Time for Completion of Work.
A. If, at any time, the work is delayed due to suspension order by OWNER, or due to any other cause which, in the reasonable opinion of the OWNER, is unforeseeable and beyond the control and not attributable to the fault or negligence of CONSULTANT, then CONSULTANT shall be entitled to an extension of time equal to said delay, subject to the OWNER's right to terminate this AGREEMENT pursuant to Section 15.
B. CONSULTANT shall submit to OWNER a written request for an extension of time within ten (10) days after commencement of such delay, and failure to do so shall constitute a waiver thereof. OWNER shall, in its sole discretion, determine whether and to what extent any extensions of time shall be permitted.
C. No extension of time requested or granted hereunder shall entitle CONSULTANT to additional compensation unless, as a consequence of such extension, additional work must be performed. In such event, OWNER shall in good faith consider any request for additional compensation submitted by CONSULTANT.
21. Ownership of Documents. All plans, specifications, reports, studies, tracings, maps and other documents prepared or obtained by CONSULTANT in the course of performing the work required by this AGREEMENT shall be the property of the OWNER. Basic survey notes, sketches, charts, computations and similar data prepared or obtained by CONSULTANT under this AGREEMENT shall, upon request, be made available to OWNER without restriction or limitation on their use. Any modification made by the City to any of the Consultants documents, or any use, partial use, or reuse of the documents without written authorization or adaptation by the Consultant will be at the City’s sole risk and without liability to the Consultant.
22. Data Provided to CONSULTANT. OWNER shall provide to CONSULTANT, without charge, all data, including reports, records, maps and other information, now in the OWNER's possession which may facilitate the timely performance of the work described in Exhibit “A”.
23. CONSULTANT's Warranties and Representations.
CONSULTANT warrants and represents to OWNER as follows:
A. CONSULTANT has not employed or retained any person or entity, other than a bona fide employee working exclusively for CONSULTANT, to solicit or obtain this AGREEMENT. - 10 -
B. CONSULTANT has not paid or agreed to pay any person or entity, other than a bona fide employee working exclusively for CONSULTANT, any fee, commission, percentage, gift, or any other consideration contingent upon or resulting from the execution of this AGREEMENT. Upon any breach or violation of this warranty, OWNER shall have the right, in its sole discretion, to terminate this AGREEMENT without further liability, or, in the alternative, to deduct from any sums payable hereunder the full amount or value of any such fee, commission, percentage or gift.
C. CONSULTANT has no knowledge that any officer or employee of the OWNER has any interest, whether contractual, noncontractual, financial, proprietary, or otherwise, in this transaction or in the business of the CONSULTANT, and that if any such interest comes to the knowledge of CONSULTANT at any time, a complete written disclosure of such interest will be made to OWNER, even if such interest would not be deemed a prohibited "conflict of interest" under applicable laws.
D. Upon the execution of this AGREEMENT, CONSULTANT has no interest, direct or indirect, in any transaction or business entity which would conflict with or in any manner hinder the performance of services and work required by this AGREEMENT, nor shall any such interest be acquired during the term of this AGREEMENT.
24. Resolution of Disputes.
A. Disputes regarding the interpretation or application of any provisions of this AGREEMENT shall, to the extent reasonably feasible, be resolved through good faith negotiations between the parties.
B. If the parties cannot resolve the dispute through good faith negotiations, either party may give Notice of Dispute to the other party. The Notice of Dispute shall state the nature of the dispute and the corrective action necessary to remedy the dispute.
After Notice of Dispute, the parties shall first attempt to resolve any disputes by mediation. The parties shall agree on a single mediator. Mediation shall be conducted in Lancaster, California. Each party shall pay its own attorneys’ fees and the costs of mediation shall be split equally between the parties.
If the dispute has not been resolved by mediation within 45 days after Notice of Dispute, or the parties are unable to agree to a mediator, within 15 days after Notice of Dispute, then, the dispute may, upon agreement of the parties be resolved by binding arbitration.
25. Exhibits.
The following exhibits to which reference is made in this AGREEMENT are deemed incorporated herein in their entirety:
Exhibit "A" Scope of Services
Exhibit “B” Term, Payment and Time for Commencement and Completion Clause Exhibit “C” State and Federal Provisions
Exhibit “D” State and Federal Forms
- 11 -
26. Governing Law.
This AGREEMENT shall be governed by the laws of the State of California.
27. Effective Date.
This AGREEMENT shall become effective as of the date set forth below on which the last of the parties, whether OWNER or CONSULTANT, executes said AGREEMENT. - 12 -
IN WITNESS WHEREOF, the parties hereto have caused this AGREEMENT to be executed and attested by their respective officers thereunto duly authorized. “OWNER”
CITY OF LANCASTER
LANCASTER, CALIFORNIA
Approved By Department Head:
By:
Marissa Diaz, Public Works Director
Dated:
By:
Jason Caudle, City Manager
Dated:
"CONSULTANT"
KIMLEY-HORN AND ASSOCIATES, INC.
By:
Robert D. Blume, P.E., Vice President
Dated:
ATTEST:
Andrea Alexander, CMC
City Clerk
APPROVED AS TO FORM:
Allison E. Burns, Esq.
City Attorney
- 13 -
EXHIBIT "A"
SCOPE OF SERVICES
The Consultant shall maintain separate costs for each project and shall identify the costs specific to each project.
The work to be performed under this contract shall include:
SEE ATTACHED
PW-123 (1/14)
EXHIBIT “A”
SCOPE OF SERVICES
PROJECT LOCATION AND DESCRIPTION
PWCP 23-002 – AVENUE K AT-GRADE CROSSING
CPUC ID: 001B-407.10
FED ID: STPLR-7500(276)
CALTRANS ID: 0720000253
The project is located in the City of Lancaster near Sierra Highway, at the grade crossings located at the intersection of Avenue K and both the Union Pacific Railroad (UPRR) and the Southern California Regional Rail Authority (SCRRA).
Project Safety Elements, Expectations:
•
•
Pre-signal to mitigate queue on tracks
Advance preemption time to clear design vehicle from the MUTCD worst-case scenario
•
•
R3-1 blank-out signs to provide additional visual warning to right-turn motorist during crossing activation
ADA compliant sidewalks, full pedestrian treatment with pedestrian gates, emergency egress swing gates to provide pedestrian safety
•
•
Construction of center medians to the current standards Right-of-way fencing to deter trespassing
Proposed Improvements:
• Install pre-signal for westbound Avenue K, and replace existing traffic signal heads to program visibility heads on the existing traffic signal mast for WB traffic. • Install train activated R3-1 No Right Turn blank-out signs on Sierra Hwy northbound signal masts.
• Reconstruct the median islands:
o
o
o
The east median island for approximately 175 feet.
The west median island for approximately 30 feet.
Islands must be a minimum often feet wide at the location of the railroad warning devices.
• Relocate three SCE utility poles [if needed]
• Install concrete sidewalk:
o
o
o
o
In the northeast quadrant for approximately 90 feet.
In the northwest quadrant for approximately 40 feet.
In the southeast quadrant for approximately 90 feet.
In the southwest quadrant for approximately 35 feet.
• Install two pedestrian curb ramps.
• Install detectable warning (tactile strips) on all sidewalk approaches. • Install road striping and CAMUTCD compliant signage.
• Install street lighting.
• Install emergency egress swing gates and channelization in all four quadrants of the crossing.
• Install approximately 500 feet right-of-way-fencing, 250 feet on northeast and 250 feet on the southeast quadrants of the crossings.
• Pavement rehabilitation (Non-Participating)
• Coordinate with Traffic division to plan and prepare Traffic Control plans to isolate the work zone and still providing access to the surrounding areas.
SERVICES TO BE PROVIDED
GENERAL
The work shall comply with the requirements of all of the following without limitation:
1. Federal laws
2. State laws
3. Local laws
4. Rules and regulations of governing utility districts
5. Rules and regulations of other authorities with jurisdiction over the procurement of products
6. Engineering standards of all with jurisdiction
7. Requirements of Caltrans Funding Agreement
TASK 1 PROJECT ADMINISTRATION AND MANAGEMENT
General
The purpose of the Project Management is to deliver projects within scope, schedule and cost, anticipate and respond to issues before they become problems, communicate effectively, manage changes, and manage risks.
The Consultant shall be responsible for project management activities throughout the life of the contract and the scope of activities includes but is not limited to, coordinating and being responsible for scheduling meetings, managing the project schedule, preparing and distributing minutes, field reviews, tracking action items for the City of Lancaster and consultant sub- contractors, and preparing all submissions for the City of Lancaster to submit to Caltrans Local Assistance.
The Consultant shall establish and apply internal accounting methods and procedures acceptable to the City and Caltrans for documenting and monitoring contract costs. The Consultant shall submit a consolidated monthly invoice for each project separately, in a format acceptable to the City and broken down in a manner consistent with the Work Plan. The Consultant shall include with the monthly invoice a progress report that reflects the work completed within the invoice period and projected action items. Payments to the Consultant are to be in arrears. The Consultant must have actually incurred and paid the costs before invoicing the City.
The Consultant shall provide all applicable documentation, mapping, plans, forms and specifications to the City that facilitate successful submittal and approval of the Caltrans Request for Authorization for each phase of work such as Right of Way, Utility Relocation and Construction.
• Stakeholder Coordination and Support
Consultant shall coordinate with various Project stakeholders on various components pertaining to the City of Lancaster portion of the overall Project. This includes:
Railroads (SCRRA and UPRR) –
o The Consultant shall support the City in preparing Agreements between the City and Railroads. These Agreements are required to be executed once the design phase is completed.
o The Consultant shall coordinate with the Railroads to ensure at grade crossings are designed and in compliance with SCRRA’s and UPRR’s latest standards and design criteria. The Consultant shall coordinate with the Railroads to ensure the City’s interconnection traffic signaling system are properly designed and interconnected to the Railroads. The Consultant will confirm the City and the Railroads have agreed on the Advance Preemption Timing (APT) needed for each crossing before commencing the final design. In the preliminary project planning, the City and Railroads have already agreed to keep the APT at or close to 50 seconds of total warning time.
Caltrans – The Consultant shall support the City (as needed) in coordination with Caltrans for NEPA clearance, ROW Certification, construction authorization and the required exhibits and project documentation consistent with federal aid projects in the Caltrans Local Assistance Procedures Manual.
CPUC - It is required that the GO88 application is submitted and approved for each project before construction. The Consultant shall support the City in the GO88 application process including preparing the application, exhibits, drawings, forms, and any other information as requested by CPUC.
City of Lancaster - The Consultant shall coordinate with the following City Divisions during design or as needed: Capital Engineering Division (primary), Community Development Division (Planning Group), City Engineering Division (Traffic Engineering Group), Public Works Division, Utilities Services Division, and Parks, Recreation, and Arts Department. Any correspondence between Consultant and City employees, other than the Project Manager, shall be copied same day to the Project Manager as well as in the final deliverables. • Schedule Management Plan and Progress Report
The Consultant shall prepare and maintain a Critical Path Method (CPM) schedule for each project through the completion of the design. At the start of design, the Consultant is required to submit an electronic and hard copy of the schedule to confirm the milestone dates, detailed schedule assumptions and any additional milestones dates. The City will review and confirm if the schedule is acceptable.
The Consultant shall furnish a monthly schedule update and project status reports to the COL throughout the duration of the project. The monthly reports are critical to forecast resource needs and ensure the appropriate staff and support services are available, when needed, to deliver the project on schedule and within budget. Consultant shall promptly notify the Project Manager of any scope, schedule or budget issues that may arise. • Project Work Plan
The Consultant will prepare a Project Work Plan (PWP). The PWP shall provide details of project work tasks and how the Consultant will manage the project and accomplish the specific work tasks. The PWP shall include a proposed schedule and shall describe how the Consultant will control the schedule. The PWP shall also include a schedule recovery plan for situations when the Consultant fails to meet milestones.
In addition, the PWP shall include summary of organization responsibilities and contacts, task budgets, reporting and invoicing procedures, quality assurance plan, and project filing system.
The Work Plan shall be submitted to the City prior to the first invoice. • Meeting and Coordinating with SCRRA, UPRR, CPUC, and Caltrans The Consultant shall coordinate with the SCRRA, UPRR, CPUC, and Caltrans throughout the design phases of this project, including setting up meetings to discuss the Project early on and to incorporate any design requirements SCRRA, UPRR CPUC and City of Palmdale may have for the Preliminary Design. The Consultant shall prepare meeting agenda and meeting minutes for each meeting.
Meeting Frequency:
o
o
Kick-Off Meeting: shall be held shortly after the issuance of the Notice to Proceed.
Progress and Design Coordination Meetings: shall be held monthly with all the stakeholders. Assume six (6) meetings total for each project. o Additional Meetings: shall be held as required or needed with the City, other agencies, stakeholders or utility companies.
• Quality Assurance/Quality Control (QA/QC) Plan
The Consultant is required to have an effective quality assurance/quality control process, which defines the procedures that govern the initiation, progress and execution of design work. The Consultant shall provide specific information on qualifications, experience and roles of the QA/QC manager and other personnel involved in QA/QC, and have experience in drawing checking, constructability checks, estimating and specifications.
This task is required to verify that no unsafe design changes have been made or proposed, geometric layout has not been critically altered, improvement goals are being met, economy of project is maintained, plans are consistent across improvements, there are no conflicts between trades, and construction integrity of the design is ensured. • Third Party Permits
The Consultant shall prepare for the City's signature permits to enter and any other necessary permits/right of entry from landowners for all research, such as surveying, geotechnical, and any other design-related work.
The Consultant shall also identify all third party permits that may be required to construct the project. The Consultant will prepare and submit permit applications, plans, specifications, details, and other applicable documents to appropriate local authorities for initial review during earlier design progress submittals, preferably at 60% Design submittal. All permit applications shall be prepared and submitted by the Consultant by completion of Final Design. Permits that must be obtained prior to award of the construction project shall be secured by the Consultant in coordination with the Project Manager in advance of project advertising.
• Programmatic Studies and Services
In addition to the Avenue K At-Grade Crossing, the City will design and install concurrent improvements for the Avenue M and Avenue J At-Grade Crossings, each under separate contract. The Consultant shall provide the following programmatic, corridor wide, studies and services:
1. Traffic Forecasting
2. Traffic Circulation Impact Analysis
3. Environmental Setting/Existing Conditions
a. Community and Neighborhoods
b. Biology
c. Cultural Resources
Cost shall be split and apportioned according to the approximate level of effort required for each project.
TASK 2 RESEARCH
• Records, Survey Records, Mapping and Right-of-Way (ROW) The Consultant shall obtain all records search as current sub-surface and overhead utilities, existing easements and dedications, existing right-of-way, survey records, found Monumentation, existing track alignments, existing railroad signal and communications facilities, and other existing improvements in the vicinity of the projects.
Research pertinent record maps, right of way maps and assessor parcel information to compile the right-of-way boundaries.
The City will provide copies (PDF) of available record drawings within the City archives, to include: street plans, storm drain plans for facilities and pipelines, street lighting plans, traffic signal plans, signing and striping plans, LMD, sewer, water and recycled water plans, survey notes, Monumentation notes and Engineer tie sheets.
In general, the design shall make use of existing record drawings that show the property boundaries, streets, utilities, railroad tracks and structures, and other improvements.
• Site Visit and Field Investigation/Evaluation
The Consultant will visit the project site to review existing conditions as needed. The field investigation will be used to document general alignment, visually evaluate any noticeable or potential issues that may affect the design. Data collection will include photographs and sketches to assist in design and will be provided to the City. • Utility Coordination
This task includes coordinating with all impacted utility companies. The objective of this task is to coordinate with the utility companies to obtain information on the existing utilities and facilitate any relocation of the facilities in conjunction with this project. The Consultant shall positively locate all utilities in accordance with underground utilities to determine the depth for clearance and connection points or conflicts for any underground improvements, such as gas lines, sewer lines, storm drains, or water lines.
Research all existing utilities (including dry utilities). The Consultant shall request and obtain atlas maps and record drawings from utility companies by submitting Utility Notification Letter A to utility companies as soon as the Notice to Proceed (NTP) is issued.
At 60% design phase, the Consultant shall submit Utility Notification Letter B with copies of the plans to utility companies. And at 100% design phase, the Consultant to submit Utility Notification Letter C with copies of final signed plans to utility companies.
The Consultant shall prepare a Utility Matrix which summarizes all of the utilities within the project area and identifies whether each utility can be protected-in-place or will require relocation
In addition, utilities shall be identified by the Consultant by:
o Obtaining a list of project-area facilities from Underground Service Alert (DIGALERT) at 1-800-422-4133
o Reviewing past project as-built plans.
o Conducting a field survey to locate all visible utilities and determining location of all poles, manholes, valve boxes, street and traffic lights, and appurtenances o Performing potholing as necessary
Consultant shall identify all utilities within the project footprint and any potholing needs to confirm conflicts with the Project.
• Incidental Research
TASK 3 SURVEYS AND MAPPING
The Consultant shall be responsible for data collection, mapping and surveying necessary for preliminary engineering, design, cost estimates, right-of-way impacts, and the level of environmental clearance. The scope of comprehensive base mapping and surveying includes but is not limited to Control Surveys, Aerial Photogrammetry, Limited Design Level Topographic Surveys, Right-of-Way Retracement, and a Record of Survey.
Field survey shall include all mapping and surveying tasks required to produce a complete topographic map that may be used in support of civil design of improvements at each location for this project including all extended and transition limits for the purpose of striping, signing and markings per the Master Plan for Trails and Bikeways. As a minimum, cost shall include the following:
The Consultant shall perform design surveys to conform to the Caltrans Surveys Manual. Field locate vertical and horizontal controls (monuments and benchmarks.) Perform centerline control survey. All centerline intersections, beginning and ending curves and major control points shall be found (or established if not existing) and measured. If a point must be reset to establish the centerline, a comer record and/or record of survey must be filed with the County for all set points and a copy returned to the City.
Consultant shall conduct the design surveying necessary for the final engineering work.
Topographic base map will be produced by ground survey methods. The base maps shall identify all existing street improvements, drainage structures, fire hydrants, utility facilities, landscaping, striping, markings, signs, street lights, and other appurtenant improvements in each project area.
Consultant’s survey crew shall conduct site visits to gather data and details needed to design the project. For roadway, typical cross sections shall be at 50’ intervals, and shall include, but not be limited to: top of curb, flow-line, edge of gutter, edge of pavement, lane lines, centerline, curb and medians, angle points and curb returns (BCR, ECR and quarter deltas). The latitudinal limits of the survey will be within the street right-of-way and 250’ past the intersection unless otherwise specified. For bulb-outs, Consultant shall provide radial cross sections of existing and proposed grade at BCR, ECR and quarter deltas and shall, as a minimum, extend from the ROW to the street centerline.
All elevations shall be referenced to the closest found City and County benchmark. Flow line elevations along the gutter will be included to determine the limits of removal for curb and gutter. Design cross sections shall be plotted using a 1:4 vertical and a 1:40 horizontal scale at 50’ intervals to depict proposed and existing elevations and cross slope.
Download and compute survey data and prepare an editable AutoCAD drawing file. The mapping will be compiled at a scale of 1"=40' with a 1-foot contour interval. Each surveyed feature will be clearly labeled or noted by symbol as identified in the field.
Aerial mapping will be completed for the areas impacted by the proposed improvements and cross section design surveys will be performed within the limits of existing improvements. This will provide a composite survey of the areas impacted by the project for design purposes and will provide an overall exhibit for the project.
TASK 4 GEOTECHNICAL
It is the Consultant’s responsibility to identify the need for geotechnical investigation and testing in support of their design. The geotechnical investigation will include field investigation and exploration work to obtain representative soil samples and pavement cores for use in performing soil testing and report preparation for the geotechnical analysis of the subsurface material relating to all project excavations and subgrade preparation.
In preparation for the field exploration, Consultant will notify Underground Service Alert (USA) at least 48-hours prior to commencing the field work to locate know underground utilities or services where drilling geotechnical borings.
Geotechnical results shall be well documented and presented in a report in accordance with the City of Lancaster Engineering Design Guidelines, Policies and Procedures Manual. Geotechnical report shall include recommendations for new pavement structural sections. Coring logs shall note thickness of existing asphalt concrete pavement and thickness of existing pavement section aggregate base.
The following is an outline of the work:
a. Coordination with the supervising civil engineer and City of Lancaster staff regarding the scope and schedule of Consultant’s work and select location for pavement core and soil borings.
b. Coordination with the coring contractor and traffic control personnel prior to the start of work.
c. A no fee permit shall be obtained from the City of Lancaster prior to the start of geotechnical work.
d. Coordination and Clearance with underground service alert. e. Completion of cores through the existing asphalt concrete (AC) and/or Portland cement concrete (PCC) pavements.
f. Observations and documentation of subsurface materials exposed along the alignment at each core location. Subgrade soil samples will be collected at each location for lab
testing. Collection of soils may require the use of a hand auger in order to obtain a sufficient amount of soil to perform the testing.
g. Base material and pavement cores shall be immediately replaced/repaired following observation and/or sample collection, to minimize mobilization costs. Hot mix asphalt or Caltrans Set 45 shall be used for pavement repair.
h. Temporary traffic control shall be provided in accordance with the latest California MUTCD.
i. Perform R-value and soil classification testing on soil samples at each location. j. Prepare a report providing pavement design recommendations based on R-Value test results
TASK 5 ENGINEERING PLANS, SPECIFICATIONS AND ESTIMATES
Standards Requirements
The proposed improvements shall, at a minimum, follow the City of Lancaster Engineering Design Guidelines Policies and Procedures Manual and the requirements of a federal aid project, as defined in the current Caltrans Local Assistance Procedures Manual (LAPM).
Wherever the City guidelines are absent of the latest industry updates, standards or details, Consultant shall utilize the latest Standard Specifications and Plans for Public Works Construction (“Green Book”), the Los Angeles County Department of Public Works Design Standards and Caltrans Standards. Wherever there is a conflict in design standards, Consultant shall submit a clarification in writing to the City Project Manager for direction and approval.
In most cases, the more stringent design standards shall apply.
Consultant shall refer to the City’s Master Plan of Trails and Bikeways and Complete Streets for the development of the striping, signing and marking plans.
At grade crossings shall be designed per SCRRA and UPRR crossing standards. SCRRA’s and UPRR’s standards can be found in the link below.
https://metrolinktrains.com/globalassets/about/engineering/4000-grade-xing.pdf https://www.up.com/real_estate/roadxing/industry/index.htm
5.1 Engineering Plans
The final design shall include all the tasks necessary for a construction-ready project, including design surveys; preparation of plans, specifications and estimates; utility coordination and all permitting. The Engineering plans shall include title sheets, sections and details sheet, demolition sheet, street improvement – (plan, profile and cross sections sheets), Street Lighting Plans, and Signing and Striping Plans.
Cross sections are considered necessary to design the improvements, illustrate transitions and join to existing improvements, evaluate drainage, and to accurately establish the earthwork volumes and extent of construction or reconstruction beyond the ROW lines onto private property where, and if, necessary. Cross sections shall be prepared at a scale and frequency approved by the City and detailed herein.
The following plan sheets are anticipated to be included in the design:
a. Title Sheet - Includes project information, vicinity map, location map, benchmark, sheet index and City and utility contact information.
b. Notes - Contains City’s and Engineer’s standard notes, legend, and abbreviations. c. Survey Control – Contains Surveyor’s notes and benchmark information, control data, curve and line tables, and plan showing control points and start/end construction labeled in cyan and right-of-way lines labeled in proper colors per City of Lancaster standards. d. Sections and Details - Contains typical roadway sections, sheet layouts, and details for work described on the plans.
e. Demolition Sheet - Shows items to be removed, relocated, or protected. f. Plan and Profile Sheets – For the street improvements, standard roadway plan and profile sheets shall be used. The plan view will be prepared at a scale of 1”=40' for horizontal and 1”=10’ for vertical. The plans will identify the required work to construct the improvements of this project with stations, offsets, and elevations. Utility modifications to relocate clear of the proposed improvements shall also be shown on the plan view of the sheets. Where necessary, show utility relocations in details and profiles for better clarification. Bulb-out and curb profiles shall be included. The sheets will provide the appropriate construction callouts, including limits of the project, pavement areas, curb, gutter and sidewalk, bulb-outs, ramps, driveway conforms, and other details necessary to construct the project. The plans will include sufficient detail to locate the improvements based on roadway station callouts and horizontal line and curve data. The plan will include the right-of-way clearly marked and adjacent properties identified by parcel number and property owner.
g. Construction Details – Project details will be included as necessary. Details may include pavement section details, drainage details, utility relocation details, new utility construction details, etc. for the project design. However, details may also include curb return conforms or grading details. In addition, specific design criteria will be provided to accommodate and create safe and ADA compliant pedestrian facilities. Pavement structural section shall be designed to match existing intersection pavement or based on
a resulting Geotechnical Report R-values and Testing and Traffic Index as provided by the City.
h. Storm Drainage Improvement Plans - are not expected and outside of the scope of work.
Minor adjustments and relocations to existing drainage facilities shall be included with the street improvement plans.
i. Water System Improvement Plans – are not expected and outside of the scope of work.
Minor adjustments and relocations to existing water mainline and services facilities shall be included with the street improvement plans.
j. LS-3 Rate Schedule Electrical and Street Lighting Plans - A street lighting plan shall be produced for segment of street to receive street lighting. Plans shall consist of street light type and location, conduits, pull boxes, meter boxes & meter, electrical design and ties to existing circuits or service points and shall be prepared per City of Lancaster requirements for LS-3 Rate Schedule Street Lights. SCE preliminary work order maps shall be obtained and included with 60% PS&E and updated as needed with 90% PS&E.
Street light layout shall be prepared and stamped by a licensed Civil Engineer while electrical plans shall be prepared and stamped by a licensed Electrical Engineer. Meter pedestal addresses shall be obtained from the City and included on the plans. City standard street lights, street light design and street light layouts do not necessitate photometric calculations and will not be required.
Note: Consultant shall determine if existing overhead utilities will conflict with any proposed improvements and include an SCE approved high voltage contractor in the provisions of the improvement plans, specifications and estimate. k. Striping, Signing and Marking Plans - The plans will use California MUTCD references and detail numbers, where applicable and available, and specific information to specify signing, striping or pavement markings not included in the current manual. A schedule of proposed striping and a schedule of pavement markings will be shown on the plans.
Project limits to include all required approach striping. For Signs, the size, shape, lettering type and size, colors, and symbols, to specify signs not included in the current manual. A schedule of proposed signs will be shown on the plan. Project limits to include all required approach signing.
l. Electrical and Pedestrian Signal Improvement Plans – An electrical and pedestrian signal improvement plan shall be produced for any new installations, signal upgrades, removals or relocations, luminaires, fiber-optic, pedestrian signals, pull boxes, traffic utility controllers, meter boxes, conduit, connectivity and re-wiring. Plans shall consist of plan views of proposed signal/electrical locations (scale: 1” = 20’) with pole and equipment schedules, conductor schedules, pedestrian signal and electrical general notes, signal- phase diagrams, signal standard details, construction notes, legends and details.
All electrical and pedestrian signal design work shall be done in accordance with the Caltrans Standard Specifications and Standard Plans, dated 2015 and all amendments thereto, COL Standard Plans for Traffic Signal Systems, the National Electrical Code (2020 or latest adopted addition), the National Electrical Manufacturer’s Associate (NEMA), Underwriter’s Laboratories, Inc. (UL) and marked on equipment, requirements of the servicing utility companies and requirements of Federal, State or County agencies having jurisdiction. Consultant shall coordinate with SCE, Frontier, Time Warner, City Traffic Group and any other affected utility agency or property owners to determine all needed improvements/upgrades so electrical and pedestrian signal improvement plans are total and complete. SCE Preliminary Maps are required when revising, changing or adding new points of contact for power Consultant shall add all routes necessary to accommodate all points of contact. Electrical and signal plans shall be prepared and stamped by a licensed California Electrical Engineer. Addresses for meter and/or signal controller boxes shall be obtained from the City and included on the plans.
Traffic signal plans will be prepared at a 1” = 20’ scale using field review data, proposed improvement plans, and available as-builts.
m. Miscellaneous Utility Plans – Placeholders for utility relocation and utility work order plans prepared and provided by appropriate utility company. Consultant shall coordinate and obtain any utility work order maps required and shall be included on these sheets. n. Traffic Control Plans: Consultant shall coordinate with Traffic division to plan and prepare Traffic Control plans to isolate the work zone and still providing access to the surrounding areas.
5.1.1 Diagnostic Refresh and Preliminary Design and Engineering Plans (30%) The Consultant shall coordinate, schedule and attend a Diagnostic Refresh field review meeting with Caltrans, UPRR, SCRRA, CPUC, City of Palmdale, and FRA (Federal Railroad Administration) to confirm final scope of improvements prior to preparing refresh of 30% Plans. Consultant shall prepare Diagnostic Refresh meeting agenda, meeting minutes and meeting attendance sheet.
The Consultant shall prepare and submit 30% plans to include but not limited to the following:
• Confirm conceptual layout, scope of improvements, and framework of consolidated plan set.
• Determine the constructability and functional feasibility of the projects. • Establish construction centerline and stationing along the entire street alignment. • Identify Right-of-Way limits, requirements or conflict. • Preliminary typical sections.
• Coordinate with other agencies (SCRRA, UPRR, CPUC and City of Palmdale) early on to discuss and incorporate any design requirements they may have for the Preliminary Design.
• Confirm if any technical study is required for the CEQA clearance.
During this phase, the Consultant shall also provide necessary environmental support for the NEPA clearance. This will include preparing required attachments or exhibit as listed in the Preliminary Environmental Study (PES) form.
The City will review the 30% Plans and provide comments to the Consultant in three to four week-time frame.
The City will forward any addition comments from other stakeholders/agencies to the Consultant so that all comments to be addressed and incorporated in the following plans’ submittal.
5.1.2 Design PS&E (60%)
The Consultant shall prepare 60% design plan set and address all comments on the 30% plans. The 60% design submittal will include but not limited to the following:
• Horizontal control and call-outs to sufficiently layout the design elements (proposed pavement, curb, gutter, sidewalk, landscape, etc.) • Centerline profile to identify any major drainage issues for locations that require street widening (i.e., low points).
• Critical elevations, offsets and dimensions.
• Confirm and prepare final Right-of-Way requirements map for project limits. • Incorporate Geotechnical findings, potholing information. Potholing information shall be submitted to the City after completion of this task. If an area of possible conflict was not potholed, the Consultant shall pothole the area to verify the conflicts at no additional cost to the City. The Consultant shall depict existing utilities on plans for any necessary utility relocation. • Traffic Signal plans and Signing and Striping plans
• Confirm with other agencies (SCRRA, UPRR, CPUC and City of Palmdale) have agreed to the design approaches in order to advance to final design. • Confirm/identify conflict and affected utilities. Confirm with affected utility companies by coordinating and sending Letter B as stated under Task 2-Utility Coordination.
• Identify all third party permit requirements.
• Prepare and submit CEQA clearance application.
• Continue to support the City on the NEPA approval.
The Consultant shall prepare and submit a draft specifications and preliminary cost estimate per section 5.2 and 5.3 below.
The City will review the 60% Plans, draft Specification and Cost Estimate and provide comments to the Consultant in three to four week-time frame.
5.1.3 Pre-Final Design PS&E (90%)
The Consultant shall address all comments per 60% design review and prepare the submittal documents to a 90% level of design. Some components of the design may be progressed to 100% design. The submittal documents shall include plans, draft specifications and cost estimate.
The City will review and determine if the submittal is acceptable to proceed to the Final design (100%). If the Pre-Final Design (90%) submittals (plans, specifications and cost estimate) found to contain errors, omissions, deficiencies, incomplete, poor quality or poorly coordinated work, etc., the City will require the re-submittal of the Pre-Final Design (90%) for a second review. The Consultant shall be responsible for promptly revising and correcting those errors, based on the second review, at no additional cost to the City.
The Pre-Final Design (90%) shall include but not limited to the following:
• All final design has been confirmed and agreed with all the stakeholders. • All required Right-of-Way impacts are identified (including temporary easements, acquisitions).
• All required utility conflicts are identified (protection or relocation). • CEQA and NEPA Clearance approved.
• Right-of-Way Certification should have been submitted for approval. • Specifications and Cost Estimate are completed at 90% level. • Third party permit applications are complete.
5.1.4 Final Design PS&E (100%) Signed for Bid
The Consultant shall address all comments per (90%) review and incorporate any additional final comments for the 100% design. The Consultant shall ensure all agency comments are addressed before signing the final plans. The 100% design documents will include plans, estimates and final specifications and be ready for bidding and construction.
5.2 Specifications
The City shall prepare the main body of the specifications (boiler plate); specifications expected
from the Consultant shall be limited to details, cut sheets and written specifications beyond those provided in the Green Book and required Federal-Aid Contract Language that must be incorporated into the construction contracts. Draft specifications shall be provided with plan submittals as noted in Task 5.1.
5.3 Cost Estimate
The Consultant shall compile and prepare the Cost Estimate based on all biddable construction items identified in the design package and consistent with the latest City bid forms. The estimated quantities shall be arranged and grouped as agreed with the City Project Manager. Computations showing estimated quantities and costs for each location of work, as well as the sum totals, shall be submitted to the City. Cost Estimates shall be provided with plan submittals as noted in Task
5.1. Quantities and costs shall be updated and in agreement with each plan submittal.
5.4 Submittal Requirements
The Consultant shall submit PS&E for City review as noted in Task 5.1. Submittals shall be electronic PDF format and shall include previous check prints.
The design drawings should be as complete, accurate, and error-free as possible prior to submittal.
Likewise, for Reports, Special Provisions, Cost Estimates, etc.
The Consultant shall, at no additional cost to the City, correct errors, omissions, and unworkable and/or improper design/drafting on the original drawings subsequent to the completion of the plan checking process.
Reports, Plans, Specifications, and Estimate shall be in English units and must conform to Caltrans, Federal, City, and County standards, regulations, policies, procedures, manuals, and practices. The Consultant shall provide clear, concise, and complete plans, specifications and cost estimates. The Consultant shall include other details that are of benefit to and/or requested by the City, such as details of private improvements to be constructed, reconstructed, or relocated, consisting of driveways, landscaping, irrigation, fences, etc.
All drawings shall be prepared in AutoCAD per City Standards and deliverables shall be in accordance with the City’s CAD Deliverables Standard.
TASK 6 CALTRANS SUPPORT
6.1 Environmental Clearance
CEQA: The Consultant shall provide service for CEQA clearance includes preparing technical studies (if required) and filing documents. It’s anticipated that these projects would qualify as CEQA Exemption.
NEPA: The Consultant shall support in preparing draft Preliminary Environmental Study (PES) form and providing required exhibits or attachments as listed in the PES form. Caltrans will lead the NEPA evaluation and provide NEPA determination. It’s anticipated that these projects would qualify as Categorical Exclusion (CE).
6.2 Right-of-Way (ROW) Certification
The City will take the lead in preparing the ROW certification package for Caltrans acceptance. It is assumed that Caltrans Exhibit 13-B will be required. The Consultant shall provide the following:
• Coordination with the Railroads to confirm any ROW conflict • Caltrans Exhibit 14-D_Notice to Owner, for each affected utility company • Copies and record of Utility Notification Letter A, B, C • Utility adjustments/relocations summary (for Caltrans Exhibit 13-B) • Copies of Utility coordination notes/diary, communications, logs etc. to be kept and maintained per Caltrans LAPM Chapters 13 and 14.
• Stamped and signed exhibit maps and plans as needed to accompany Caltrans submittal for ROW Certification.
CERTIFICATION”
Stamped and signed plans shall be labeled “FOR ROW
If during ROW Certification review additional utility notifications are required and/or additional notes are required on the plans, the Consultant shall comply and provide additional documentation and plan revisions, as needed at no additional cost to the City. As a minimum, plans and maps for ROW Certification shall include and address the following:
• Begin and end limits (start and end) for construction for all components of work shall be clearly labeled in cyan with stationing listed.
• Existing ROW shall appear in red and shall be clearly labeled, “Existing City Right-of- Way”.
• Proposed ROW shall appear in green and shall be clearly labeled, “Proposed City Right-of-Way” (if same as existing, shall appear red).
• Utilities and appurtenant facilities to be relocated, removed and/or to remain and protected in place shall be clearly labelled.
• Service facilities shall be clearly identified as such to differentiate them from mainline utility facilities (i.e. meter boxes, fire hydrants, etc.) • All sheets shall include the following, “All work to be in City of Lancaster Right-Of-Way”.
The Consultant shall be responsible for obtaining the latest versions of all required Caltrans’ Exhibits as stated above, from Caltrans, Local Assistance website.
6.3 Request for Authorization (RFA) for Construction
The City will take the lead in preparing Caltrans Request for Authorization to Proceed with Construction submittal package; however, the Consultant shall provide supporting data and documentation the City needs to complete Caltrans forms. Data and documentation need shall support the completion and submittal of the following items, but is not limited to:
• 100% cost estimate for construction for participating and non-participating items • DBE Implementation Agreement (Exhibit 9-A)
• PS&E checklist, stamped and signed (Caltrans Exhibit 12-D) • Local Agency Contract Administration checklist (Caltrans Exhibit 15-A) • 100% stamped and signed plans labeled “FOR CONSTRUCTION AUTHORIZATION (RFA)”
• 100% Specifications per section 5.2 above.
If during RFA review, revisions to plans and specifications are required, Consultant shall comply as directed by the City and construction cost estimates shall be adjusted accordingly.
TASK 7 DELIVERABLES
Consultant shall provide to the City deliverables in hardcopy and electronic format for all phases shown below and as detailed in the Capital Program Division’s Standards for CAD Deliverables, WORD (Specifications) and EXCEL (Estimate) files. Provide hard copies in numbers as stated.
Cost of the following deliverables shall include reimbursable costs including but not limited to shipping, supplies, etc.:
7.1 Project Administration and Management
a. PDF of Work Plan
b. PDF and MICROSOFT PROJECT PROFESSIONAL FOR GANTT CHART of Detailed Critical Path Project Schedule
c. PDF of Kick-off Meeting (Agenda and Minutes)
d. PDF of Progress Meetings (Agenda and Minutes for 30%, 60% and 90%) e. PDF of Progress Meetings (100% PS&E’s Bid Set and closing items) f. PDF of all Utility Contact Logs, Utility Meetings, Coordination Calls/Emails, and Correspondence
g. PDF and WORD file of Notification Letter(s) A
h. PDF of Permit Documentation/Correspondence/Notices
7.2 Research
a. PDF of all record maps not issued by City (street, storm, sewer, electrical, etc.) b. PDF of all Utility atlas/utility record maps issued through Letter A, B & C process c. PDF of all of survey records, tie sheets, field books, monument records, etc. (not d. provided by City)
e. PDF of boundary and ROW maps obtained
f. PDF of Site Visit and Field Investigation Notes
g. Field pictures
h. PDF of all record maps, vesting deeds and Assessor Parcel information (not provided by City)
i. PDF of all incidental research documents (not provided by City)
7.3 Surveys and Mapping
a. PDF plot of the topographic mapping/survey control signed and sealed by a California Licensed Land Surveyor. If the survey and mapping work are more than two (2) sheets, then one (1) electronic copy per the City’s Standards for CAD Deliverable. b. Consultant shall provide to the City deliverables in hardcopy and electronic format as detailed in the Capital Program Divisions Standards for CAD Deliverables c. A USB flash drive containing digital photos taken during the field survey d. PDF of all maps/exhibits/data obtained during the course of the survey e. Excel file and PDF of list of APN’s and identification of areas where ROW acquisition will be needed.
f. A USB flash drive containing copies of all survey records from tie sheets, field books and monumentation recovery notes not issued by City (if recording of monumentation was required during the course of the fieldwork).
g. PDF of all geotechnical documents, reports, field samples, photos and correspondences h. PDF of all potholing documents, reports, photos and correspondences i. Geometric Layout Traffic Analysis Report
j. Electronic design file (AutoCAD 2010) containing the Geometric Layout tasks described herein such as the horizontal design (curbs and striping) with typical notes and layers identifying the critical design parameters and truck templates as well as the placements and recommendation notes on the signing, striping, lighting, CID grading, landscaping parameters, circulatory cross slopes, and other tasks noted. k. Geometric Layout Supplementary Signing Report containing additional design information and placement of the recommended signing for this project. l. Geometric Layout Supplementary Landscaping Report containing additional information and placement of the recommended landscaping parameters for this project.
m. Geometric Layout QA/QC review notes, as warranted, by the review and assistance to City of PS&E documents.
7.4 Geotechnical
a. PDF and (2) hard copies of the Geotechnical report.
7.5 Engineering Plans, Specification and Estimate
a. 30% Design: PDF and (3) hard copies of Plan set.
b. 60% Design: PDF and (3) hard copies of Plan set, Specs and Estimates. c. 90% Pre Final Design: PDF and (3) hard copies of Plan set, Specs and Estimates. d. 100% Final Design: Stamped and Signed PDF and (3) hard copies of Plan set, Specs and Estimate/Bid Schedule.
e. PDF and WORD file of Notification Letter(s) (A, B and C) TASK 8 TRAFFIC CIRCULATION IMPACT ANALYSIS
Based on the proposed improvements listed herein and conceptual exhibits provided at the end of this attachment, the Consultant shall develop and conduct a comprehensive traffic operational analysis for each project including, but not limited to the following:
• Impact of the pre-signal on traffic circulation, capacity, delay, queue, and traffic signal operations. Conduct a close examination on how the pre-signal will impact the westbound right turn movements and eastbound queues.
• Assess impact on adjacent signalized intersections at Sierra Highway and Division Street. • Assess traffic signal phasing operation.
• Assess the potential Impact of lane reduction with Class II bike lanes on Avenue K. • Recommend mitigation measures.
• Recommend other design options.
• Recommend grade crossing and intersection operation enhancement options.
TASK 9 CONSTRUCTION SUPPORT SERVICES
Consultant shall provide construction support services of these projects during construction.
Services shall include, but will not be limited to the following:
• Attend pre-construction meeting/conference.
• Provide project management and coordination (including external Stakeholders). • Review contractor’s construction submittals for conformance with the contract documents. • Provide engineering assistance related to Change Orders and Change Order Memoranda on a time and material basis. Consultant time and expenses to address design errors and oversights shall not be compensated by the City.
• Review and respond to contractors’ Request for Information (RFI). • Consultant shall be responsible for keeping records and organizing construction submittals and RFI. These records will be delivered to the City during the closeout of the project.
• Assist the City Construction Manager with inspection of constructed facilities as needed. • Assist the City Construction Manager with development of “punch list” as needed. • Consultant shall prepare as-builts drawings from the contractor mark ups, submittals and other supplied information. Consultant shall also perform a cursory review of the Railroads’ as-built plans to ensure all changes have been addressed on the final as-built plans. Consultant shall submit a draft as-built plans for review and approval before it’s signed.
Construction services shall be in accordance with City policies and Procedures and Caltrans Construction Manual.
SCHEDULE
Milestone schedule shall be as listed below:
MILESTONES DATES*
November 2023
December 2023
December 2023
Railroads and City Agreements Executed
100% PS&E
CPUC- GO88B Executed
* City and Stakeholder’s review periods shall be a minimum of four (4) weeks and are included in this schedule; no additional time will be awarded for allowable time with City.
Scope of Work Adjustments
The Kimley-Horn team will complete surveys, geotechnical site investigations, right-of-way support, and environmental documentation for the rail corridor and intersections along Sierra Highway using a broader program approach to allow efficiencies in coordination, development, environmental clearance, final design and construction of the individual crossings to ensure consistency and allow for improved coordination to help reduce duplication of effort. This approach will help provide efficiencies by combining aerial mapping flight mobilization and preparation, Geotechnical Materials Reports, and helping to streamline the environmental process by preparing combined technical studies to support all three of the crossing improvements. . This allows for combined field reviews, research efforts, document preparation, and document reviews. The City will benefit from an economy and can manage all three of the crossing projects together as a program to help scale related cost and schedule coordination.
The Scope of Work and Project Deliverables will be per Exhibit “A” in Appendix B of the City’s Request for Qualifications with the following additional considerations. The Kimley-Horn team proposes the scope with the following considerations:
For Task 1 (General), the Kimley-Horn team will discuss project issues with the City to develop agreed- upon solutions prior to major milestone submittals (30% Preliminary Design and Engineering Plans, 60% Design PS&E, 90% Pre-Final Design PS&E, and 100% Final Design PS&E) and incorporate those solutions into each milestone submittal.
For Task 1 (Third Party Permits), the Kimley-Horn team will identify third party permits needed with utility and local agencies and stakeholders to construct the project. Potential regulatory permitting is included in task 6 as optional as they may not be needed.
For Task 2 (Records, Survey Records, Mapping, and ROW), the Kimley-Horn team will obtain records for sub-surface and overhead utilities, existing easements and dedications, existing right-of-way, survey records, found monumentation, existing track alignments, existing railroad signal and communication facilities within the project limits.
For Task 2 (Utility Coordination), the Kimley-Horn team will coordinate with utility companies that have existing facilities conflicting with the proposed improvements and positively locate utilities within the project limits that are identified as potential conflicts in the 30% Preliminary Design and Engineering Plans deliverable.
Adding Task 1.8 Railroad Agreements, The Kimley-Horn team will coordinate with UPRR and SCRRA to develop new railroad agreements and provide required exhibits and documentation.
For Task 3 Surveys and Mapping, the Kimley-Horn team will develop plat and legal descriptions (assume 6) for proposed dedications of right-of-way from UPRR and/or LA Metro to the City of Lancaster where there is proposed sidewalk.
For Task 5 Engineering Plans, the Kimley-Horn team will provide one submittal each for Preliminary Design and Engineering Plans (30%), Design PS&E (60%), Pre-Final Design PS&E (90%), and Final Design PS&E (100%) Signed for Bid. The Kimley-Horn team is available to provide additional submittals under an additional scope of work and budget.
1 For Task 6.1 Environmental Clearance, the Kimley-Horn team will provide technical studies (Biological Resources: Natural Environment Study, Hazards, and Hazardous Materials: Phase I Initial Site Assessment, Cultural Resources, and Historic Resources) that will support both CEQA/ NEPA Environmental Clearance.
It is assumed that Caltrans will not be conducting technical studies and the Kimley-Horn team will provide Section 106 documents, hazardous materials studies, and other technical studies that would be required for issuance of the NEPA CE. Caltrans is the NEPA Lead Agency and will prepare the NEPA CE, but the Kimley-Horn team will expect to prepare the PES and technical studies to support the documents. All technical studies required for NEPA approval would be completed by the Kimley-Horn team in accordance with the Caltrans’ Standard Environmental Reference (SER) guidelines and Local Assistance Procedures Manual (LAPM) and will be combined into one technical study to support each project.
Aquatic Resources Delineation (Optional Task) - It is assumed a single technical study can be prepared to include all three intersection projects. Based on initial research, it appears there may be wetlands within the project area in the drainage ditch; however, this will be verified during field surveys. If required, the Kimley-Horn team will conduct an Aquatic Resources Delineation (ARD) to support the CEQA/NEPA and regulatory permitting process.
The Kimley-Horn team will delineate wetlands and other waters of the state. The Kimley-Horn team will identify wetlands, ordinary high-water mark, and other jurisdictional limits within the project area. The presence or absence of wetlands will be verified through the presence of hydrologic conditions, hydrophytic vegetation, and hydric soils pursuant to the United States Army Corps of Engineers (USACE) 2008 Regional Supplement to the Corps of Engineers Wetland Delineation Manual: Arid West Region and its 1987 Corps of Engineers Wetlands Manual. The spatial limits of all wetlands and/or other waters of the state will be mapped according to USACE’s minimum mapping standards and current Regional Water Quality Control Board (RWQCB) and California Department of Fish and Wildlife (CDFW) definitions.
The Kimley-Horn team will summarize the existing regulatory setting, project area conditions, and delineated wetlands and waters of the state in an ARD report. The report will be used to (1) assist the design team in avoiding impacts to jurisdictional areas; (2) provide the jurisdictional information necessary for the supporting project environmental documentation; and (3) support the regulatory permitting process.
Deliverables: One electronic copy of the draft and final Aquatic Resources Delineation for all three intersection projects combined
Endangered Species and Consultation (Optional Task)
Federal Endangered Species Act Consultation - Under the Federal Endangered Species Act (FESA), if the project may affect a listed species or designated critical habitat, Section 7 consultation with the USFWS is required. Project-level surveys are required to determine the potential for state-listed species to be in the project area, including the federally threatened desert tortoise. If required, Kimley-Horn team will prepare the Section 7 Consultation initiation package, including the Biological Assessment, and will coordinate as needed for review and submittal of the Section 7 consultation initiation package to USFWS. If requested, the Kimley-Horn team will attend internal meetings and/or agency meetings held as part of the consultation process.
California Endangered Species Act - Under the California Endangered Species Act (CESA). If the project may result in take of a listed species, consultation with the California Department of Fish and Wildlife (CDFW) would be required. Project-level surveys are required to determine the potential for state-listed 2 species to be in the project area, including the state threatened desert tortoise and Mojave ground squirrel. If required, the Kimley-Horn team will prepare the request for a Consistency Determination or Incidental Take Permit and will coordinate as needed for review and submittal of the consultation initiation package to CDFW. The Kimley-Horn team will also coordinate to complete the CESA consultation process. If requested, the Kimley-Horn team will attend internal meetings and/or agency meetings held as part of the consultation process.
The Kimley-Horn team will provide ongoing support to the city to streamline the FESA and CESA consultation processes, including preparation of supplemental information requested by any of the agencies. The Kimley-Horn team will also provide technical assistance to the design engineers and City to refine impact avoidance, minimization, and mitigation measures, as required by resource agencies to reduce project impacts on listed species to the maximum extent feasible.
Deliverables: One electronic copy of the draft and final FESA/CESA consultation packages for all three projects combined to obtain the 1602 Streambed Alteration Agreement.
One electronic copy of the draft and final 1602Streambed Alteration Agreement Notification Package and Waste Discharge Requirements application package for all three projects combined
Regulatory Permits (Optional Task) - If work in the drainage is necessary, regulatory permitting may be required. Because the drainage within the project area is not a traditional navigable waterway, a tributary to such waters, or adjacent as defined by the United States Army Corps of Engineers (USACE), it is not expected to fall under their jurisdiction. Therefore, a Section 404 permit from the USACE will not be required for the project.
Waste Discharge Requirements under the Porter-Cologne Act The Porter-Cologne Act establishes state policy on water quality control. The Regional Water Quality Control Board (RWQCB) has jurisdiction over waters of the state under the Porter-Cologne Act. Waste Discharge Requirements are required for activities that could affect the quality of waters of the state within non-federal waters. Dredge or fill activities with the potential to affect water quality must comply with Waste Discharge Requirements issued by the RWQCB. The RWQCB typically takes jurisdiction over all surface and ground waters in the state of California; therefore, the drainage is waters of the state and Waste Discharge Requirements are anticipated. The Kimley-Horn team will prepare an application for Waste Discharge Requirements for submittal to the RWQCB. The application will include location information, a description of the discharge, best management practices to minimize impacts, a site map, and other pertinent project information, as required by the RWQCB.
Section 1602 Streambed Alternation Agreement
Section 1602 of the California Fish and Game Code requires submittal of a Lake or Streambed Alteration Notification to CDFW for any activity that may substantially divert or obstruct the natural flow or substantially change the bed, channel, or bank of any river, stream, or lake. Streams (and rivers) are defined by the presence of a channel bed and banks and at least an intermittent flow of water; therefore, the drainage within the project area is expected to fall under CDFW jurisdiction. The Kimley-Horn team will prepare a Lake or Streambed Alteration Notification package for submittal to the CDFW. The notification will include a brief description of the project, identify best management practices that will be employed, and other pertinent project information, as required by the CDFW. The Kimley-Horn team will coordinate with the city and the CDFW if required.
3 Additional Studies/Investigations - The Kimley-Horn team will include potholing (assume 15), support for right-of-way dedications, and structural pavement investigations under this task. Right-of-way dedications support will include procurement and review of preliminary title reports, preparation of dedication letter with easement deed, support negotiations between the Owner and the City, and submittal of deed to the City for acceptance. Structural pavement investigations will be in the form of testing, analysis, and rehabilitation design along the existing travel lanes east and west of Avenue J at-grade crossing to probable improvement strategies in conjunction with developing, where feasible, cost effect design alternatives for structural improvements with designed structural replacement sections in accordance with the California Highway Design manual for Flexible Pavement and Roadway Rehabilitation. 4 STATEMENT OF QUALIFICATIONS, RFQ #787-23 FOR DESIGN SERVICES FOR Avenue M, K, J At-Grade Crossings
Matt Stewart, P.E., Traffic/Lighting Design. Matt has experience in traffic engineering, transportation planning, and traffic safety analysis. His experience includes data analysis, traffic signal operations and design, and traffic impact analysis. Matt has worked on several traffic signal synchronization projects in Los Angeles, Ventura, and Orange Counties.
Stephanie Wagner, PLS, Survey. Stephanie is a well-known leader in the civil engineering and land surveying professions. She is the dedicated founder of her firm and has managed civil design and construction surveys for LAUSD, Caltrans, Metro, Alameda Corridor East, City and County of Los Angeles, and numerous other municipalities. She has a diverse project and task management background with over 40 years of experience. Her knowledge in mapping and field survey formats, boundary establishments, datum compatibility, and design and construction methods are an invaluable asset.
Mike Kapuskar, P.E., G.E., Geotechnical. With 34 years of experience, Mike’s responsibilities include project procurement and management, overseeing geotechnical investigations, laboratory testing, foundation analysis and design, report preparation, and construction support. His experience includes more than 300 bridge, rail, tunnel, port, roadway, channel, off-shore, and storm water pollution management projects. He is experienced with Lancaster, County of Los Angeles, Caltrans District 7, and railroad agency procedures, design codes, and review processes as well as FHWA and AASHTO/LRFD codes.
Erinn Silva, Environmental. Erin has worked on public and private projects throughout California since 2003. At GPA, she oversees preparation of all levels of technical study and environmental documentation, leads coastal permitting efforts through local agencies and the California Coastal Commission, and manages the environmental process for various phases of highly complex transportation projects, specifically in Caltrans Districts 3, 5, 6, 7, 8, and 12. She has experience in directing, researching, writing, and editing environmental documents pursuant to both NEPA and CEQA, with a focus on compliance with Caltrans’ Standard Environmental Reference and Local Assistance Procedures Manual requirements. Much of her experience is related to local transportation projects processed through Caltrans’ Local Assistance Program.
Kelly Dewitt, Right-of-Way. As a right-of-way project manager, Kelly provides extensive experience in right-of-way acquisition, real estate transactions, and the mortgage industry, including a solid background in the escrow process. He brings to the OPC team over 35 years of real estate experience, including title research of real property pertaining to Resolution of Liens. Kelly is knowledgeable of both federal and state regulations relating to the acquisition process. He is proficient in the preparation of acquisition and relocation documents needed for resolution and closure of acquisition and relocation cases. 3b. Team Organization Chart
PROJECT MANAGER
Bob Blume, P.E.
QC/QA
Kevin Aguigui, P.E., T.E., E.E., CSEP
RAIL SPECIALIST
Brent Ogden, P.E., T.E., PTOE
DEPUTY PROJECT MANAGER/
ENGINEERING LEAD
Eugene Huang, P.E.
DESIGN LEAD DESIGN LEAD DESIGN LEAD
Yiota Georgalis, P.E. Brandon Friedman, P.E. Clarissa Stevenson, EIT
TRAFFIC LEAD
Sri Chakravarthy, P.E., T.E.
TRAFFIC ANALYSIS
Sowmya Chandrasekhar, P.E.,
T.E., PTOE
TRAFFIC/LIGHTING DESIGN
Matt Stewart, P.E.
SUPPORT SERVICES
SURVEY
Stephanie Wagner, PLS
GEOTECHNICAL ENVIRONMENTAL RIGHT-OF-WAY
Kelly Dewitt1 Mike Kapuskar, PE, GE2 Erinn Silva 3 4
Subconsultants:
1. Wagner Engineering & Survey, Inc. (DBE) 2. Earth Mechanics, Inc. (DBE) 3. GPA Consulting (DBE) 4. Overland, Pacific, & Cutter (OPC Services, LLC) City of Lancaster . RSRD96005.2023 . ꢀ8
City of Lancaster
Avenue K Grade Crossing
ID Task
Mode
Task Name Duration Start Finish Predecessors Qtr 3, 2023 Jul
Qtr 4, 2023 Qtr 1, 2024
May Jun Aug Sep Oct Nov Dec Jan Feb Mar
1 Notice to Proceed 0 days Mon 6/12/23
Mon 6/12/23
Mon 6/12/23
Mon 6/12/23
Fri 6/16/23
Mon 6/12/23
Thu 2/15/24
Mon 6/12/23
Fri 6/16/23
6/12
2 TASK 1: Project Administration and Management
Kick-Off Meeting
179 days
0 days3 1 6/12
4 Develop Project Work Plan
Field Diagnostic Meeting
City and Stakeholder Coordination Meetings
City Progress Meetings
5 days 3
5 0 days Fri 6/16/23 4 6/16
6 179 days
179 days
179 days
179 days
120 days
145 days
3 days
Mon 6/12/23
Mon 6/12/23
Mon 6/12/23
Mon 6/12/23
Mon 6/12/23
Mon 6/12/23
Mon 6/12/23
Wed 6/14/23
Mon 6/12/23
Tue 10/3/23
Fri 12/29/23
Wed 10/4/23
Mon 6/12/23
Mon 6/12/23
Mon 6/12/23
Mon 6/19/23
Mon 6/12/23
Mon 6/12/23
Mon 6/26/23
Wed 6/21/23
Wed 6/21/23
Wed 6/21/23
Wed 8/2/23
Fri 8/4/23
Thu 2/15/24
Thu 2/15/24
Thu 2/15/24
Thu 2/15/24
Fri 11/24/23
Fri 12/29/23
Wed 6/14/23
Wed 6/14/23
Fri 6/16/23
3,68FF
3,68FF
3,68FF
3,68FF
3 7
8 Project Management
9 QC/QA
10 11
12 13
14 15
16 17
18 19
20 21
22 23
24 25
26 27
28 29
30 31
32 33
34 35
36 37
38 39
40 41
42 43
44 45
46 47
48 49
50 51
52 53
54 55
56 57
58 59
60 61
62 63
64 Permits
TASK 2: Research
Obtain As-Built Drawings/ROW Maps/PTRs
Field Walk
3 0 days 12
3 6/14
Utility A Letters 5 days
Utility B Letters 0 days Tue 10/3/23
Fri 12/29/23
Tue 10/10/23
Tue 6/20/23
Fri 6/16/23
39 56
15 10/3
Utility C Letters 0 days 12/29
Potholing Investigations
TASK 3: Surveys and Mapping
Aerial Topography
5 days
7 days
5 days 3
Design Topographic Surveys
Base Mapping Development
TASK 4: Geotechnical
5 days Fri 6/16/23 3
2 days Tue 6/20/23
Fri 7/7/23
20,12,14
20 days
10 days
10 days
138 days
50 days
30 days
2 days
Geotechnical Field Investigations
Pavement Design Recommendations
TASK 5: Engineering Plans, Specifications, and Estimates 30% Plans and Estimates
Draft 30% Plans
Fri 6/23/23 3
Fri 7/7/23 23
Fri 12/29/23
Tue 8/29/23
Tue 8/1/23 21
Draft 30% Estimate Thu 8/3/23 27
Internal 30% QC 1 day Fri 8/4/23 28
30% QC Revisions 2 days Mon 8/7/23
Tue 8/8/23
Tue 8/8/23 29
Submit 30% P&E to City 0 days Tue 8/8/23 30 8/8
30% P&E City Review 15 days
0 days
Wed 8/9/23
Tue 8/29/23
Wed 8/30/23
Wed 8/30/23
Wed 9/27/23
Fri 9/29/23
Tue 8/29/23
Tue 8/29/23
Wed 10/25/23
Tue 9/26/23
Thu 9/28/23
Fri 9/29/23
31,64
3230% P&E Comments Resolution Meeting
60% Plans, Specs and Estimates
Draft 60% Plans
8/29
41 days
20 days
2 days
33 35
36 37
38 39
40 41
Draft 60% Estimate and Specifications
Internal 60% QC 1 day
60% QC Revisions 2 days Mon 10/2/23
Tue 10/3/23
Wed 10/4/23
Tue 10/24/23
Wed 10/25/23
Thu 10/26/23
Thu 10/26/23
Thu 11/16/23
Mon 11/20/23
Tue 11/21/23
Wed 11/22/23
Thu 11/23/23
Wed 12/13/23
Thu 12/14/23
Fri 12/15/23
Fri 12/15/23
Thu 12/28/23
Fri 12/29/23
Fri 12/29/23
Mon 6/12/23
Mon 6/12/23
Mon 6/12/23
Mon 11/13/23
Fri 12/29/23
Mon 1/1/24
Wed 6/28/23
Wed 6/28/23
Tue 10/3/23
Tue 10/3/23
Tue 10/24/23
Tue 10/24/23
Wed 10/25/23
Thu 12/14/23
Wed 11/15/23
Fri 11/17/23
Mon 11/20/23
Wed 11/22/23
Wed 11/22/23
Wed 12/13/23
Wed 12/13/23
Thu 12/14/23
Fri 12/29/23
Wed 12/27/23
Thu 12/28/23
Fri 12/29/23
Fri 12/29/23
Fri 1/26/24
Fri 11/10/23
Fri 11/10/23
Fri 12/29/23
Fri 12/29/23
Fri 1/26/24
Submit 60% PS&E to City
60% PS&E City, SCRRA, UPRR, CPUC Review
60% PS&E City Comments Resolution Meeting
60% PS&E RR Comments Resolution Meeting
90% Plans, Specs and Estimates
Draft 90% Plans
0 days 10/3
15 days
0 days 10/24
1 day
36 days
15 days
2 days
42,17
44Draft 90% Estimate and Specifications
Internal 90% QC 1 day 45
90% QC Revisions 2 days 46
Submit 90% PS&E to City
90% PS&E City, SCRRA, UPRR, CPUC Review
90% PS&E City Comments Resolution Meeting
90% PS&E RR Comments Resolution Meeting
100% Plans, Specs, and Estimates
Address 90% City Comments
Internal 100% QC
0 days 47 11/22
15 days
0 days
48 49 12/13
1 day 50
11 days
9 days 51
53 54
55 1 day
100% QC Revisions 1 day
Signed 100% PS&E 0 days 12/29
12/29
TASK 6: Caltrans Support
CEQA Clearance
165 days
110 days
110 days
35 days
0 days
3 NEPA Clearance 3
RFA For ROW 59
ROW Certification 60
Request for Authorization (RFA)
TASK 8: Traffic Circulation Impact Analysis
20 days
75 days
67,61,56,58,59,66
Tue 10/10/23
Tue 8/8/23Draft Traffic Circulation Impact Analysis (submit with 30% 30 days P&E)
21,31FF
33,39FF65 Final Draft Circulation Impact Analysis (submit with 60% PS&E)
30 days Wed 8/30/23 Tue 10/10/23
66 67
68 69
Railroads and City Agreements
CPUC-GO88B
25 days
85 days
0 days
Thu 10/26/23
Wed 8/30/23
Fri 1/26/24
Wed 11/29/23
Tue 12/26/23
Fri 1/26/24
42 33
62 68
Construction Authorization
Advertise
1/26
30 days Mon 1/29/24 Fri 3/8/24
Task Milestone Summary Progress Critical
EXHIBIT "B"
TERM, PAYMENT AND TIME FOR COMMENCEMENT AND COMPLETION CLAUSE Term
This Agreement shall become effective and shall be in full force and effect upon the execution of the Agreement by the City and the CONSULTANT. This Agreement shall continue in full force and effect for a period of three (3) years from the effective date of the Agreement (the “Term), unless the Agreement is sooner terminated in accordance with the Terms and Conditions in the Agreement; provided, however, that the City and the CONSULTANT may mutually agree in writing to extend the Term of this Agreement.
Payment
The City of Lancaster shall reimburse the CONSULTANT for actual costs, including labor costs and employee benefits incurred by the CONSULTANT in performance of the work, in an amount not to exceed $859,331.93. Actual costs shall not exceed the estimated wage rates and other costs as set forth in the CONSULTANT’S proposal. Source documentation supporting billed costs must be submitted with invoice. CONSULTANT shall provide a cost breakdown with hourly rates for each office and field function in the event that additional work is required beyond the not to exceed amount specified above.
Any additional work will require a separate Authorization for Consultant Services signed by both parties.
CONSULTANT will be reimbursed, as promptly as fiscal procedures will permit, upon receipt by the City of itemized invoices. Invoices shall be submitted no later than forty-five (45) calendar days after the performance of work for which CONSULTANT is billing. Invoices shall detail the work performed on each milestone, on each project, as applicable. Invoices shall follow the format stipulated for the Cost Proposal and shall reference this contract number and project title. Final invoice must contain the final cost and all credits due City. The final invoice should be submitted within sixty (60) calendar days after completion of CONSULTANT’s work.
Consultant shall not be reimbursed for actual travel expenses incurred in the performance of the work.
Time for Commencement and Completion
CONSULTANT shall commence performance of the work no later than three (3) calendar days following issuance of Notice to Proceed. It is anticipated that performance of the work will be completed by June 30, 2025. In no event shall performance of the work be completed later than June 30, 2025 without the prior written authorization of the City. If Consultant fails to complete the work in this time period, City may avail itself of any and all remedies provided for in this Agreement.
Robert D. Blume, P.E., Vice President
Kimley-Horn and Associates, Inc.
PW-125 (1/14)
Design Services
PWCP 23-002 Avenue K
Cꢀssing
FORM B: COST PꢂOPOSAL*
TASK
NO. DESCRIPTION PRICE
$157,849.211. PꢂOJECT ADMINISTꢂATION AND MANAGꢀMꢀNT
1.1 Project Management and Coordination
1.2 Stakeholders Coordination and Support
1,3 Schedule Management Plan & Progress Report
1.4 Project Work Plan
1.5 Meetings and Coordination
1.6 Quality Assurance & Quality Control Plan
1.7 Third Party Permits
1.8 Railroad Agreements
2. ꢂꢀSꢀARCH $ 31,328.96
2.1 Records, Survey Records, Mapping and Right-of-Way (ROW)
2.2 Site Visit and Field Investigation/Evaluation
2.3 Utility Coordination
2.4 Incidental Research
3. SUꢂVꢀYS AND MAPPING $ 98,127.00
$ 12,331.84
$ 281,659.28
4. GꢀOTꢀCHꢁCAL
5. ꢀNGINꢀꢀꢂꢃG PS&ꢀ
5.1 Engineering Plans
5.1.1 Preliminary Design (30%)
5.1.2 Design PS&E (60%)
5.1.3 Pre-Final Design PS&E (90%)
5.1.4 Final Design PS&E (100%) Signed for Bid
5.2 Specifications
5.3 Cost Estimate
5.4 Submittal Requirements
6. CALTꢂANS SUPPOꢂT $107,329.63
$44,829.33
6.1 Environmental CEQA and NEPA Clearance
6.2 Right ofWay (ROW) Ce1iification
6.3 Request for Authorization (RFA) for Construction
7. DꢀLIVꢀꢂABLꢀS
8. TRAFFIC CIꢂCULATION IꢄACT ANALYSIS
9. CONSTꢂUCTION SUPPOꢂT SꢀꢂVICꢀS
$15,515.34
$58,198.69
Design Seꢀices
PWCP 23-002 Avenue K Cꢁssing
FORM B: COST PROPOSAL*
TASK
NO. DESCRIPTION PRICE
$ 52,162.65ADDITIONAL STUDIESꢀVESTIGATION
Potholing (assume 5 for proposal purposes)
Total Cost $859,331.93
$ 75,059.42TASK 6.1 ENVꢁONMENTAL OPTIONAL TASKS
6.1.1 Aquatic Resources Delineation
6.1.2 Endangered Species Act Consultation
6.1.3 Regulatory Permits
(Optional Tasks require written authorization)
TOTAL COST*
TIME AND MATERIALS NOT TOEXCEED $934,391.35
(total includes expenses and escalation, cost by
taskabove is laboronly)
TOTAL COST AMOUNT WRITTEN IN WORDS
Nine hundred thirty-ꢀur thousand, three hundred ninety-one dollars and thirty-five cents * In support of Form B, Consultant shall provide two fee grids (in table ꢀrmat), with an itemized breakdown by:
a. Hours** and Personnel
b. Rate and Personnel
* In support of Form B, Consultant shall provide rate sheets including but not limited to Unit Rate ꢀr Potholing (EA) ** Hours are ꢀr progress tracking purposes only. This is a lump sum not to exceed contract to provide services as described in Exhibit "A", Scope of Services, complete. Additional hours and associated costs will only be considered ꢀr change in scope and must be authorized in writing prior to expenditure. 2 23-002
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26 40 40 60 10 16 20 lS0 112 • 4 4 6 0 626
0 28
88 202
4 63,157.13CALTRANS SUPPORT
Eꢃviꣂꢁꢃmeꢃꢇal ꢀlꢝaꢂaꢃꢟe - ꢀEꢚꢖNEPA
Pꢂꢁjeꢩꢇ Iꢃiꢄaꢄꢁꢛ Pꢂꢁjeꢓꢍ ꢜꢝꢞꢟꢠꢘpꢡꢁꢃ
Preꢱimiꢃarꢕ Eꢃvꢭꢠꢁꢛmeꢃꢇaꢦ Sꢍꢢꢣ
Naꢇꢨꣂaꢱ Eꢃviꢂꢁꢃmeꢃꢍaꢱ Sꢍꢅdy ꢮꢊiꢃimaꢦ Impaꢟꢍs)
Pꢴase ꢱ ꢤꢃiꢥꢍaꢦ Siꢍeꢧssꢉꢞmeꢛꢍ
ꢀuꢦꢍꢅꢂal Rꢉꢁꢨꢂꢟes
4 8
2 2
2 2
2 4
B
10 2
2 2
2 6
8 12
8 4
6 24
s
$
$
$
$
$
3,312.61
8.421.88
19,724.24
698.41
40 4
6 12
746 28 60
4 698.41
Hisꢇꢁꢂiꢟ Rꢉꢁꢢꢂꢩes
NEPA ꢀE
ꢀEQAꢀE
6 8 4 4 6 32
16 54
4,161.81
1,820.53
4.854.84
8 32
s
10 s
sAqꢅaꢄꢟ Rꢉꢁꢅꢂꢪes ꢜeꢦiꢃꢝaꢫꢁꢃ(ꢬpꢎꢁꢛaꢔ)
Eꢃdaꢃgꢝꢂed Speꢟꢭꢉ Acꢇ ꢀꢁꢃsꢅꢤꢇaꢄꢁꢛ ꢮOꢯꢰꢁꢃaꢱ)
Righꢇ-ꢁf-Waꢕ(ROW) ꢀeꢂꢎꢲꢘꢟaꢡꢁꢃ
24 8
4 6
4 6
14 16
32 32
24 28
102
96 0
10,514.60
9,650.49s
6.2 6.3
6.4 6.5
s
Reqꢅꢉꢇ fꢁr Aꢳꢍꢴꢁꢂꢵzaꢎꢁꢃ (RFA) fꢁꢂ ꢀꢁꢃsꢇꢶꢅꢟꢷꢁꢃ 0 $
s0
62 •• 40
2,518.56
60 4,122.19
10 687.03
9,339.43
16 2,656.11
20 2,976.74
58 7,303.82
lS0
11,252.07
112
9,233.70
8 4 4 6 12
928.74
720
s0
TOTAL HOURS
SubttalLabr: $ 12,777.30 $ 12,308.45 $ $ $ $ $ $ 1,190.70 $ 489.99 $ 403.03 $ 601.40 $ $ 78,789.24 $20,&09.9S
$0.00
$ $ $ $
Other Direct Cs
ar Escalatio
ꢜꢅke ꢀꢅꢦꢇꢳꢂaꢔ Rꢉꢁꢅꢂꢩeꢒ ꢊaꢃagemeꢃꢍ
ꢀꢂawfꢁꢂd &ꢧssꢁꢸaꢍꢉ, Iꢃꢟ.
ꢊiꢔeaꢈe
$ 8,675.00
s 11,713.75
371.20
50.00 s
$
$
$
ꢀEQA Fiꢔiꢃꢈ Fee
TOTAL COST: 99,599.19
CITY OF LANCASTER
Design Services for Contract# PWCP 2302
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AVENUE K CROSSING
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22 ,31071
4,310.78Project Managemen and Alnll!o
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28 74
76 82
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u 22
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s s 1,683, s s sSubto1 : S 6,53.S $ $ $ $ 2,ClC.42OD
r
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s 01
s
ss
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TOTAL COST: $ 4!,n476
EXHIBIT "C"
STATE AND FEDERAL PROVISIONS
Sections 1 through 27 of the AGREEMENT shall be supplemented with State and Federal Provisions:
SEE ATTACHED
PW-123 (1/14)
EXHIBIT "C"
STATE AND FEDERAL PROVISIONS
1. This agreement shall include and incorporate all State and Federal Provisions included herein.
Where these provisions conflict with City provisions, State and Federal provisions shall control.
2. Required State and Federal Forms are included in Exhibit “D”. These forms and other required State and Federal documentation shall be completed and submitted by the CONSULTANT in accordance with Caltrans Local Assistance Procedures Manual (LAPM).
3. State and Federal Provisions
A. Retention of Records/Audit. For the purpose of determining compliance with Gov. Code § 8546.7, the CONSULTANT, Subconsultants, and LOCAL AGENCY shall maintain all books, documents, papers, accounting records, Independent CPA Audited Indirect Cost Rate workpapers, and other evidence pertaining to the performance of the AGREEMENT including, but not limited to, the costs of administering the AGREEMENT. All parties, including the CONSULTANT’s Independent CPA, shall make such workpapers and materials available at their respective offices at all reasonable times during the AGREEMENT period and for three (3) years from the date of final payment under the AGREEMENT and records for real property and equipment acquired with federal funds must be retained for three (3) years after final disposition. LOCAL AGENCY, Caltrans Auditor, FHWA, or any duly authorized representative of the Federal government having jurisdiction under Federal laws or regulations (including the basis of Federal funding in whole or in part) shall have access to any books, records, and documents of the CONSULTANT, Subconsultants, and the CONSULTANT’s Independent CPA, that are pertinent to the AGREEMENT for audits, examinations, workpaper review, excerpts, and transactions, and copies thereof shall be furnished if requested without limitation.
B. Audit Review Procedures
i. Any dispute concerning a question of fact arising under an interim or post audit of this AGREEMENT that is not disposed of by AGREEEMNT, shall be reviewed by LOCAL AGENCY’S Chief Financial Officer.
ii. Not later than 30 days after issuance of the final audit report, CONSULTANT may request a review by LOCAL AGENCY’S Chief Financial Officer of unresolved audit issues. The request for review will be submitted in writing.
iii. Neither the pendency of a dispute nor its consideration by LOCAL AGENCY will excuse CONSULTANT from full and timely performance, in accordance with the terms of this AGREEMENT.
iv. CONSULTANT and subconsultant AGREEMENTs, including cost proposals and Indirect Cost Rates (ICR), may be subject to audits or reviews such as, but not limited to, an AGREEMENT audit, an incurred cost audit, an ICR Audit, or a CPA ICR audit work paper review. If selected for audit or review, the AGREEMENT, cost proposal and ICR and related work papers, if
applicable, will be reviewed to verify compliance with 48 CFR 31 and other related laws and regulations. In the instances of a CPA ICR audit work paper review it is CONSULTANT’s responsibility to ensure federal, LOCAL AGENCY, or local government officials are allowed full access to the CPA’s work papers including making copies as necessary. The AGREEMENT, cost proposal, and ICR shall be adjusted by CONSULTANT and approved by LOCAL AGENCY Contract Administrator to conform to the audit or review recommendations. CONSULTANT agrees that individual terms of costs identified in the audit report shall be incorporated into the AGREEMENT by this reference if directed by LOCAL AGENCY at its sole discretion. Refusal by CONSULTANT to incorporate audit or review recommendations, or to ensure that the federal, LOCAL AGENCY or local governments have access to CPA work papers, will be considered a breach of AGREEMENT terms and cause for termination of the AGREEMENT and disallowance of prior reimbursed costs. v. CONSULTANT’s Cost Proposal may be subject to a CPA ICR Audit Work Paper Review and/or audit by the Independent Office of Audits and Investigations (IOAI). IOAI, at its sole discretion, may review and/or audit and approve the CPA ICR documentation. The Cost Proposal shall be adjusted by the CONSULTANT and approved by the LOCAL AGENCY Contract Administrator to conform to the Work Paper Review recommendations included in the management letter or audit recommendations included in the audit report. Refusal by the CONSULTANT to incorporate the Work Paper Review recommendations included in the management letter or audit recommendations included in the audit report will be considered a breach of the AGREEMENT terms and cause for termination of the AGREEMENT and disallowance of prior reimbursed costs.
1. During IOAI’s review of the ICR audit work papers created by the CONSULTANT’s independent CPA, IOAI will work with the CPA and/or CONSULTANT toward a resolution of issues that arise during the review. Each party agrees to use its best efforts to resolve any audit disputes in a timely manner. If IOAI identifies significant issues during the review and is unable to issue a cognizant approval letter, LOCAL AGENCY will reimburse the CONSULTANT at an accepted ICR until a FAR (Federal Acquisition Regulation) compliant ICR {e.g. 48 CFR Part 31; GAGAS (Generally Accepted Auditing Standards); CAS (Cost Accounting Standards), if applicable; in accordance with procedures and guidelines of the American Association of State Highways and Transportation Officials (AASHTO) Audit Guide; and other applicable procedures and guidelines}is received and approved by IOAI.
Accepted rates will be as follows:
a. If the proposed rate is less than one hundred fifty percent (150%) - the accepted rate reimbursed will be ninety percent (90%) of the proposed rate.
b. If the proposed rate is between one hundred fifty percent (150%) and two hundred percent (200%) - the accepted rate will be eighty-five percent (85%) of the proposed rate. c. If the proposed rate is greater than two hundred percent (200%) - the accepted rate will be seventy-five percent (75%) of the proposed rate.
2. If IOAI is unable to issue a cognizant letter per paragraph E.1. above, IOAI may require CONSULTANT to submit a revised independent CPA-audited ICR and audit report within three (3) months of the effective date of the management letter. IOAI will then have up to six (6) months to review the CONSULTANT’s and/or the independent CPA’s revisions.
3. If the CONSULTANT fails to comply with the provisions of this paragraph E, or if IOAI is still unable to issue a cognizant approval letter after the revised independent CPA audited ICR is submitted, overhead cost reimbursement will be limited to the accepted ICR that was established upon initial rejection of the ICR and set forth in paragraph E.1. above for all rendered services. In this event, this accepted ICR will become the actual and final ICR for reimbursement purposes under this AGREEMENT.
4. CONSULTANT may submit to LOCAL AGENCY final invoice only when all of the following items have occurred: (1) IOAI accepts or adjusts the original or revised independent CPA audited ICR; (2) all work under this AGREEMENT has been completed to the satisfaction of LOCAL AGENCY; and, (3) IOAI has issued its final ICR review letter. The CONSULTANT MUST SUBMIT ITS FINAL INVOICE TO LOCAL AGENCY no later than sixty (60) calendar days after occurrence of the last of these items. The accepted ICR will apply to this AGREEMENT and all other agreements executed between LOCAL AGENCY and the CONSULTANT, either as a prime or subconsultant, with the same fiscal period ICR.
C. Non-Discrimination Clause.
i. The CONSULTANT’s signature affixed herein and dated shall constitute a certification under penalty of perjury under the laws of the State of California that the CONSULTANT has, unless exempt, complied with the nondiscrimination program requirements of Gov. Code §12990 and 2 CCR § 8103.
ii. During the performance of this AGREEMENT, CONSULTANT and its subconsultants shall not deny the AGREEMENT’s benefits to any person on the basis of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, or military and veteran status, nor shall they unlawfully discriminate, harass, or allow harassment against any employee or applicant for employment because of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, or military and veteran status.
CONSULTANT and subconsultants shall insure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment. iii. CONSULTANT and subconsultants shall comply with the provisions of the Fair Employment and Housing Act (Gov. Code §12990 et seq.), the applicable regulations promulgated there under (2 CCR §11000 et seq.), the provisions of Gov. Code §§11135-11139.5, and the regulations or standards adopted by LOCAL AGENCY to implement such article. The applicable regulations of the Fair Employment and Housing Commission implementing Gov. Code §12990 (a-f), set forth 2 CCR §§8100-8504, are incorporated into this AGREEMENT by reference and made a part hereof as if set forth in full.
iv. CONSULTANT shall permit access by representatives of the Department of Fair Employment and Housing and the LOCAL AGENCY upon reasonable notice at any time during the normal business hours, but in no case less than twenty-four (24) hours’ notice, to such of its books, records, accounts, and all other sources of information and its facilities as said Department or LOCAL AGENCY shall require to ascertain compliance with this clause.
v. CONSULTANT and its subconsultants shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other Agreement.
vi. CONSULTANT shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under this AGREEMENT. vii. The CONSULTANT, with regard to the work performed under this AGREEMENT, shall act in accordance with Title VI of the Civil Rights Act of 1964 (42 U.S.C. §2000d et seq.). Title VI provides that the recipients of federal assistance will implement and maintain a policy of nondiscrimination in which no person in the United States shall, on the basis of race, color, national origin, religion, sex, age, disability, be excluded from participation in, denied the benefits of or subject to discrimination under any program or activity by the recipients of federal assistance or their assignees and successors in interest.
viii. The CONSULTANT shall comply with regulations relative to non-discrimination in federally-assisted programs of the U.S. Department of Transportation (49 CFR 21 - Effectuation of Title VI of the Civil Rights Act of 1964). Specifically, the CONSULTANT shall not participate either directly or indirectly in the discrimination prohibited by 49 CFR §21.5, including employment practices and the selection and retention of Subconsultants.
ix. CONSULTANT, subrecipient or subconsultant will never exclude any person from participation in, deny any person the benefits of, or otherwise discriminate against anyone in connection with the award and performance of any contract covered by 49 CFR 26 on the basis of race, color, sex, or national origin. In administering the LOCAL AGENCY components of the DBE Program Plan, CONSULTANT, subrecipient or subconsultant will not, directly, or through contractual or other arrangements, use criteria or methods of administration that have the effect of defeating or substantially impairing accomplishment of the objectives of the DBE Program Plan with respect to individuals of a particular race, color, sex, or national origin.
D. Ownership of Data
i. It is mutually agreed that all materials prepared by CONSULTANT under this AGREEMENT shall become the property of City, and CONSULTANT shall have no property right therein whatsoever. Immediately upon termination, City shall be entitled to, and CONSULTANT shall deliver to City, reports, investigations, appraisals, inventories, studies, analyses, drawings and data estimates performed to that date, whether completed or not, and other such materials as may have been prepared or accumulated to date by CONSULTANT in performing this AGREEMENT which is not CONSULTANT’s privileged information, as defined by law, or CONSULTANT’s personnel information, along with all other property belonging exclusively to City which is in CONSULTANT’s possession. Publication of the information derived from work performed or data obtained in connection with services rendered under this AGREEMENT must be approved in writing by City. ii. Additionally, it is agreed that the Parties intend this to be an AGREEMENT for services and each considers the products and results of the services to be rendered by CONSULTANT hereunder to be work made for hire. CONSULTANT acknowledges and agrees that the work (and all
rights therein, including, without limitation, copyright) belongs to and shall be the sole and exclusive property of City without restriction or limitation upon its use or dissemination by City. iii. Nothing herein shall constitute or be construed to be any representation by CONSULTANT that the work product is suitable in any way for any other project except the one detailed in this Contract. Any reuse by City for another project or project location shall be at City’s sole risk.
iv. Applicable patent rights provisions regarding rights to inventions shall be included in the contracts as appropriate (48 CFR 27 Subpart 27.3 - Patent Rights under Government Contracts for federalaid contracts).
v. LOCAL AGENCY may permit copyrighting reports or other agreement products.
If copyrights are permitted; the AGREEMENT shall provide that the FHWA shall have the royalty-free nonexclusive and irrevocable right to reproduce, publish, or otherwise use; and to authorize others to use, the work for government purposes.
E. Allowable Costs and Payments
i. The method of payment for this AGREEMENT will be based on lump sum. The total lump sum price paid to CONSULTANT will include compensation for all work and deliverables, including travel and equipment described in Exhibit “A”. No additional compensation will be paid to CONSULTANT, unless there is a change in the scope of the work or the scope of the project. In the instance of a change in the scope of work or scope of the project, adjustment to the total lump sum compensation will be negotiated between CONSULTANT and LOCAL AGENCY. Adjustment in the total lump sum compensation will not be effective until authorized by AGREEMENT amendment and approved by LOCAL AGENCY.
ii. Progress payments may be made monthly in arrears based on the percentage of work completed by CONSULTANT. If CONSULTANT fails to submit the required deliverable items according to the schedule set forth in Article III Statement of Work, LOCAL AGENCY shall have the right to delay payment or terminate this AGREEMENT in accordance with the provisions of City Sections 15 and 16.
iii. CONSULTANT shall not commence performance of work or services until this AGREEMENT has been approved by LOCAL AGENCY and notification to proceed has been issued by LOCAL AGENCY’S Contract Administrator. No payment will be made prior to approval of any work, or for any work performed prior to approval of this AGREEMENT. iv. CONSULTANT will be reimbursed within thirty (30) days upon receipt by LOCAL AGENCY’S Contract Administrator of itemized invoices in duplicate. Invoices shall be submitted no later than thirty (30) calendar days after the performance of work for which CONSULTANT is billing. Invoices shall detail the work performed on each milestone, on each project as applicable. Invoices shall follow the format stipulated for the approved Cost Proposal and shall reference this AGREEMENT number and project title. Final invoice must contain the final cost and all credits due LOCAL AGENCY that include any equipment purchased under the provisions of Subsection
3.J. herein. The final invoice must be submitted within sixty (60) calendar days after completion of
CONSULTANT’s work unless a later date is approved by the LOCAL AGENCY. Invoices shall be mailed to LOCAL AGENCY’s Project Manager at the following address:
Dao La, City of Lancaster
44933 Fern Avenue
Lancaster, California 93534
v. The total amount payable by LOCAL AGENCY shall not exceed amount listed in Exhibit “B”.
F. Cost Principles
i. The CONSULTANT agrees that 48 CFR 31, Contract Cost Principles and Procedures, shall be used to determine the allowability of individual terms of cost. ii. The CONSULTANT also agrees to comply with Federal procedures in accordance with 2 CFR 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.
iii. Any costs for which payment has been made to the CONSULTANT that are determined by subsequent audit to be unallowable under 48 CFR 31 or 2 CFR 200 are subject to repayment by the CONSULTANT to LOCAL AGENCY.
iv. When a CONSULTANT or Subconsultant is a Non-Profit Organization or an Institution of Higher Education, the Cost Principles for Title 2 CFR 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards shall apply.
G. Disadvantaged Business Enterprises (DBE) Participation. i. Consultant, subrecipient (LOCAL AGENCY), or subconsultant shall take necessary and reasonable steps to ensure that DBEs have opportunities to participate in the contract (49 CFR 26). To ensure equal participation of DBEs provided in 49 CFR 26.5, the LOCAL AGENCY shows a contract goal for DBEs. CONSULTANT shall make work available to DBEs and select work parts consistent with available DBE subconsultants and suppliers.
CONSULTANT shall meet the DBE goal shown elsewhere in these special provisions or demonstrate that they made adequate good faith efforts to meet this goal. It is CONSULTANT’s responsibility to verify at date of proposal opening that the DBE firm is certified as a DBE by using the California Unified Certification Program (CUCP) database and possesses the most specific available North American Industry Classification System (NAICS) codes or work code applicable to the type of work the firm will perform on the contract. Additionally, the CONSULTANT is responsible to document the verification record by printing out the CUCP data for each DBE firm. A list of DBEs certified by the CUCP can be found at https://dot.ca.gov/programs/civil-rights/dbe- search.
All DBE participation will count toward the California Department of Transportation’s federally mandated statewide overall DBE goal. Credit for materials or supplies CONSULTANT purchases from DBEs counts towards the goal in the following manner:
•
•
•
100 percent counts if the materials or supplies are obtained from a DBE manufacturer. 60 percent counts if the materials or supplies are purchased from a DBE regular dealer.
Only fees, commissions, and charges for assistance in the procurement and delivery of materials or supplies count if obtained from a DBE that is neither a manufacturer nor regular dealer. 49 CFR 26.55 defines "manufacturer" and "regular dealer." This AGREEMENT is subject to 49 CFR 26 entitled “Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs”. CONSULTANTs who enter into a federally-funded agreement will assist the LOCAL AGENCY in a good faith effort to achieve California's statewide overall DBE goal.
ii. The goal for DBE participation for this AGREEMENT is 16.0%. Participation by DBE CONSULTANT or subconsultants shall be in accordance with information contained in Exhibit 10- O2: Consultant Contract DBE Commitment attached hereto and incorporated as part of the AGREEMENT. If a DBE subconsultant is unable to perform, CONSULTANT must make a good faith effort to replace him/her with another DBE subconsultant, if the goal is not otherwise met. iii. CONSULTANT can meet the DBE participation goal by either documenting commitments to DBEs to meet the AGREEMENT goal, or by documenting adequate good faith efforts to meet the AGREEMENT goal. An adequate good faith effort means that the CONSULTANT must show that it took all necessary and reasonable steps to achieve a DBE goal that, by their scope, intensity, and appropriateness to the objective, could reasonably be expected to meet the DBE goal. If CONSULTANT has not met the DBE goal, complete and submit Exhibit 15-H: DBE Information – Good Faith Efforts to document efforts to meet the goal. Refer to 49 CFR 26 for guidance regarding evaluation of good faith efforts to meet the DBE goal.
iv. Contract Assurance
Under 49 CFR 26.13(b): CONSULTANT, subrecipient or subconsultant shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. CONSULTANT shall carry out applicable requirements of 49 CFR 26 in the award and administration of federal-aid contracts.
Failure by the CONSULTANT to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the recipient deems appropriate, which may include, but is not limited to:
(1) Withholding monthly progress payments;
(2) Assessing sanctions;
(3) Liquidated damages; and/or
(4) Disqualifying CONSULTANT from future proposing as non-responsible v. Termination and Substitution of DBE Subconsultants
CONSULTANT shall utilize the specific DBEs listed to perform the work and supply the materials for which each is listed unless CONSULTANT or DBE subconsultant obtains the LOCAL AGENCY’s written consent. CONSULTANT shall not terminate or substitute a listed DBE for convenience and perform the work with their own forces or obtain materials from other sources without authorization from the LOCAL AGENCY. Unless the LOCAL AGENCY’s consent is provided, the CONSULTANT
shall not be entitled to any payment for work or material unless it is performed or supplied by the listed DBE on the Exhibit 10-02: Consultant Contract DBE Commitment form, included in the Bid.
The LOCAL AGENCY authorizes a request to use other forces or sources of materials if CONSULTANT shows any of the following justifications:
1. 2.
Listed DBE fails or refuses to execute a written contract based on plans and specifications for the project.
The LOCAL AGENCY stipulated that a bond is a condition of executing the subcontract and the listed DBE fails to meet the LOCAL AGENCY’s bond requirements.
3. 4.
Work requires a consultant's license and listed DBE does not have a valid license under Contractors License Law.
Listed DBE fails or refuses to perform the work or furnish the listed materials (failing or refusing to perform is not an allowable reason to remove a DBE if the failure or refusal is a result of bad faith or discrimination).
5. 6.
7. 8.
9. Listed DBE's work is unsatisfactory and not in compliance with the contract.
Listed DBE is ineligible to work on the project because of suspension or debarment.
Listed DBE becomes bankrupt or insolvent.
Listed DBE voluntarily withdraws with written notice from the Contract Listed DBE is ineligible to receive credit for the type of work required.
10. Listed DBE owner dies or becomes disabled resulting in the inability to perform the work on the Contract.
11. The LOCAL AGENCY determines other documented good cause.
CONSULTANT shall notify the original DBE of the intent to use other forces or material sources and provide the reasons and provide the DBE with 5 days to respond to the notice and advise CONSULTANT and the LOCAL AGENCY of the reasons why the use of other forces or sources of materials should not occur. CONSULTANT’s request to use other forces or material sources must include:
1. One or more of the reasons listed in the preceding paragraph.
2. Notices from CONSULTANT to the DBE regarding the request.
3. Notices from the DBEs to CONSULTANT regarding the request.
If a listed DBE is terminated or substituted, CONSULTANT must make good faith efforts to find another DBE to substitute for the original DBE. The substitute DBE must perform at least the same amount of work as the original DBE under the contract to the extent needed to meet or exceed the DBE goal.
vi. Commitment and Utilization
The LOCAL AGENCY’s DBE program must include a monitoring and enforcement mechanism to ensure that DBE commitments reconcile to DBE utilization.
The LOCAL AGENCY shall request CONSULTANT to:
1. Notify the LOCAL AGENCY’s contract administrator or designated representative of any changes to its anticipated DBE participation
2. Provide this notification before starting the affected work
3. Maintain records including:
•
•
Name and business address of each 1st -tier subconsultant Name and business address of each DBE subconsultant, DBE vendor, and DBE trucking company, regardless of tier
• Date of payment and total amount paid to each business (see Exhibit 10-G) If CONSULTANT is a DBE CONSULTANT, they shall include the date of work performed by their own forces and the corresponding value of the work.
If a DBE is decertified before completing its work, the DBE must notify CONSULTANT in writing of the decertification date. If a business becomes a certified DBE before completing its work, the business must notify CONSULTANT in writing of the certification date. CONSULTANT shall submit the notifications to the LOCAL AGENCY. On work completion, CONSULTANT shall complete a Disadvantaged Business Enterprises (DBE) Certification Status Change, Exhibit 17-O, form and submit the form to the LOCAL AGENCY within 30 days of contract acceptance.
Upon work completion, CONSULTANT shall complete Exhibit 17-F: Final Report – Utilization of Disadvantaged Business Enterprises (DBE), First-Tier Subcontractors and submit it to the LOCAL AGENCY within 90 days of contract acceptance. The LOCAL AGENCY will withhold $10,000 until the form is submitted. The LOCAL AGENCY will release the withhold upon submission of the completed form.
In the LOCAL AGENCY’s reports of DBE participation to Caltrans, the LOCAL AGENCY must display both commitments and attainments.
vii. A DBE is only eligible to be counted toward the AGREEMENT goal if it performs a commercially useful function (CUF) on the AGREEMENT. CUF must be evaluated on an agreement by agreement basis. A DBE performs a CUF when it is responsible for execution of the work of the AGREEMENT and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a CUF, the DBE must also be responsible, with respect to materials and supplies used on the AGREEMENT, for negotiating price, determining quality and quantity, ordering the material and installing (where applicable), and paying for the material itself. To determine whether a DBE is performing a CUF, evaluate the amount of work subcontracted, industry practices, whether the amount the firm is to be paid under the AGREEMENT is commensurate with the work it is actually performing, and other relevant factors. viii. A DBE does not perform a CUF if its role is limited to that of an extra participant in a transaction, AGREEMENT, or project through which funds are passed in order to obtain the appearance of DBE participation. In determining whether a DBE is such an extra participant, examine similar transactions, particularly those in which DBEs do not participate.
ix. If a DBE does not perform or exercise responsibility for at least thirty percent (30%) of the total cost of its AGREEMENT with its own work force, or the DBE subcontracts a greater portion of the work of the AGREEMENT than would be expected on the basis of normal industry practice for the type of work involved, it will be presumed that it is not performing a CUF. x. CONSULTANT shall maintain records of materials purchased or supplied from all subcontracts entered into with certified DBEs. The records shall show the name and business address of each DBE or vendor and the total dollar amount actually paid each DBE or vendor, regardless of tier.
The records shall show the date of payment and the total dollar figure paid to all firms. DBE CONSULTANT’s shall also show the date of work performed by their own forces along with the corresponding dollar value of the work.
xi. If a DBE subconsultant is decertified during the life of the AGREEMENT, the decertified subconsultant shall notify CONSULTANT in writing with the date of decertification. If a subconsultant becomes a certified DBE during the life of the AGREEMENT, the subconsultant shall notify CONSULTANT in writing with the date of certification. Any changes should be reported to LOCAL AGENCY’s Contract Administrator within thirty (30) calendar days. xii. After submitting an invoice for reimbursement that includes a payment to a DBE, but no later than the 10th of the following month, the prime contractor/consultant shall complete and email the Exhibit 10-G to [email protected] with a copy to the Agency. xiii. Any subcontract entered into as a result of this AGREEMENT shall contain all of the provisions of this section.
H. Subconsultants [Subcontracting]
i. Nothing contained in this AGREEMENT or otherwise, shall create any contractual relation between the LOCAL AGENCY and any Subconsultants, and no subagreement shall relieve the CONSULTANT of its responsibilities and obligations hereunder. The CONSULTANT agrees to be as fully responsible to the LOCAL AGENCY for the acts and omissions of its Subconsultants and of persons either directly or indirectly employed by any of them as it is for the acts and omissions of persons directly employed by the CONSULTANT. The CONSULTANT's obligation to pay its Subconsultants is an independent obligation from the LOCAL AGENCY's obligation to make payments to the CONSULTANT.
ii. The CONSULTANT shall perform the work contemplated with resources available within its own organization and no portion of the work shall be subcontracted without written authorization by the LOCAL AGENCY Contract Administrator, except that which is expressly identified in the CONSULTANT’s approved Cost Proposal.
iii. Any subagreement entered into as a result of this AGREEMENT, shall contain all the provisions stipulated in this entire AGREEMENT to be applicable to Subconsultants unless otherwise noted.
iv. CONSULTANT shall pay its Subconsultants within Fifteen (15) calendar days from receipt of each payment made to the CONSULTANT by the LOCAL AGENCY.
v. Any substitution of Subconsultants must be approved in writing by the LOCAL AGENCY Contract Administrator in advance of assigning work to a substitute Subconsultant. vi. Prompt Progress Payment
CONSULTANT or subconsultant shall pay to any subconsultant, not later than fifteen (15) days after receipt of each progress payment, unless otherwise agreed to in writing, the respective amounts allowed CONSULTANT on account of the work performed by the subconsultants, to the extent of each subconsultant’s interest therein. In the event that there is a good faith dispute over all or any portion of the amount due on a progress payment from CONSULTANT or subconsultant to a subconsultant, CONSULTANT or subconsultant may withhold no more than 150 percent of the disputed amount. Any violation of this requirement shall constitute a cause for disciplinary action and shall subject the licensee to a penalty, payable to the subconsultant, of 2 percent of the amount due per month for every month that payment is not made.
In any action for the collection of funds wrongfully withheld, the prevailing party shall be entitled to his or her attorney’s fees and costs. The sanctions authorized under this requirement shall be separate from, and in addition to, all other remedies, either civil, administrative, or criminal. This clause applies to both DBE and non-DBE subconsultants.
vii. Prompt Payment of Withheld Funds to Subconsultants The LOCAL AGENCY may hold retainage from CONSULTANT and shall make prompt and regular incremental acceptances of portions, as determined by the LOCAL AGENCY, of the contract work, and pay retainage to CONSULTANT based on these acceptances. The LOCAL AGENCY shall designate one of the methods below in the contract to ensure prompt and full payment of any retainage kept by CONSULTANT or subconsultant to a subconsultant.
No retainage will be held by the LOCAL AGENCY from progress payments due to CONSULTANT.
CONSULTANTS and subconsultants are prohibited from holding retainage from subconsultants. Any delay or postponement of payment may take place only for good cause and with the LOCAL AGENCY’s prior written approval. Any violation of these provisions shall subject the violating CONSULTANT or subconsultant to the penalties, sanctions, and other remedies specified in Section 3321 of the California Civil Code. This requirement shall not be construed to limit or impair any contractual, administrative or judicial remedies, otherwise available to CONSULTANT or subconsultant in the event of a dispute involving late payment or nonpayment by CONSULTANT, deficient subconsultant performance and/or noncompliance by a subconsultant. This clause applies to both DBE and non-DBE subconsultants.
Any violation of these provisions shall subject the violating CONSULTANT or subconsultant to the penalties, sanctions and other remedies specified therein. These requirements shall not be construed to limit or impair any contractual, administrative, or judicial remedies otherwise available to CONSULTANT or subconsultant in the event of a dispute involving late payment or nonpayment by CONSULTANT, deficient subcontract performance, or noncompliance by a subconsultant.
I. Contingent Fee. CONSULTANT warrants, by execution of this AGREEMENT that no person or selling agency has been employed, or retained, to solicit or secure this AGREEMENT upon an agreement or understanding, for a commission, percentage, brokerage, or contingent fee, excepting bona
fide employees, or bona fide established commercial or selling agencies maintained by CONSULTANT for the purpose of securing business. For breach or violation of this warranty, LOCAL AGENCY has the right to annul this AGREEMENT without liability; pay only for the value of the work actually performed, or in its discretion to deduct from the AGREEMENT price or consideration, or otherwise recover the full amount of such commission, percentage, brokerage, or contingent fee.
J. Equipment Purchase
i. Prior authorization in writing by LOCAL AGENCY’s Contract Administrator shall be required before CONSULTANT enters into any unbudgeted purchase order, or subcontract exceeding five thousand dollars ($5,000) for supplies, equipment, or CONSULTANT services.
CONSULTANT shall provide an evaluation of the necessity or desirability of incurring such costs. ii. For purchase of any item, service, or consulting work not covered in CONSULTANT’s approved Cost Proposal and exceeding five thousand dollars ($5,000), with prior authorization by LOCAL AGENCY’s Contract Administrator, three competitive quotations must be submitted with the request, or the absence of proposal must be adequately justified. iii. Any equipment purchased with funds provided under the terms of this AGREEMENT is subject to the following:
1. CONSULTANT shall maintain an inventory of all nonexpendable property.
Nonexpendable property is defined as having a useful life of at least two years and an acquisition cost of five thousand dollars ($5,000) or more. If the purchased equipment needs replacement and is sold or traded in, LOCAL AGENCY shall receive a proper refund or credit at the conclusion of the AGREEMENT, or if the AGREEMENT is terminated, CONSULTANT may either keep the equipment and credit LOCAL AGENCY in an amount equal to its fair market value, or sell such equipment at the best price obtainable at a public or private sale, in accordance with established LOCAL AGENCY procedures; and credit LOCAL AGENCY in an amount equal to the sales price. If CONSULTANT elects to keep the equipment, fair market value shall be determined at CONSULTANT’s expense, on the basis of a competent independent appraisal of such equipment. Appraisals shall be obtained from an appraiser mutually agreeable to by LOCAL AGENCY and CONSULTANT, if it is determined to sell the equipment, the terms and conditions of such sale must be approved in advance by LOCAL AGENCY.
2. Regulation 2 CFR 200 requires a credit to Federal funds when participating equipment with a fair market value greater than five thousand dollars ($5,000) is credited to the project.
K. Inspection of Work. CONSULTANT and any subconsultant shall permit LOCAL AGENCY, the State, and the FHWA if federal participating funds are used in this AGREEMENT; to review and inspect the project activities and files at all reasonable times during the performance period of this AGREEMENT.
L. Safety
i. CONSULTANT shall comply with OSHA regulations applicable to CONSULTANT regarding necessary safety equipment or procedures. CONSULTANT shall comply with safety instructions issued by LOCAL AGENCY Safety Officer and other LOCAL AGENCY representatives. CONSULTANT personnel shall wear hard hats and safety vests at all times while working on the construction project site.
ii. Pursuant to the authority contained in Vehicle Code §591, LOCAL AGENCY has determined that such areas are within the limits of the project and are open to public traffic.
CONSULTANT shall comply with all of the requirements set forth in Divisions 11, 12, 13, 14, and 15 of the Vehicle Code. CONSULTANT shall take all reasonably necessary precautions for safe operation of its vehicles and the protection of the traveling public from injury and damage from such vehicles. iii. Any subcontract entered into as a result of this contract, shall contain all of the provisions of this Article.
iv. CONSULTANT must have a Division of Occupational Safety and Health (CAL- OSHA) permit(s), as outlined in Labor Code §6500 and §6705, prior to the initiation of any practices, work, method, operation, or process related to the construction or excavation of trenches which are five (5) feet or deeper.
M. Confidentiality of Data
i. All financial, statistical, personal, technical, or other data and information relative to LOCAL AGENCY’s operations, which are designated confidential by LOCAL AGENCY and made available to CONSULTANT in order to carry out this AGREEMENT, shall be protected by CONSULTANT from unauthorized use and disclosure.
ii. Permission to disclose information on one occasion, or public hearing held by LOCAL AGENCY relating to the AGREEMENT, shall not authorize CONSULTANT to further disclose such information, or disseminate the same on any other occasion. iii. CONSULTANT shall not comment publicly to the press or any other media regarding the AGREEMENT or LOCAL AGENCY’s actions on the same, except to LOCAL AGENCY’s staff, CONSULTANT’s own personnel involved in the performance of this AGREEMENT, at public hearings, or in response to questions from a Legislative committee. iv. CONSULTANT shall not issue any news release or public relations item of any nature, whatsoever, regarding work performed or to be performed under this AGREEMENT without prior review of the contents thereof by LOCAL AGENCY, and receipt of LOCAL AGENCY’S written permission.
v. Any subcontract entered into as a result of this contract shall contain all of the provisions of this Article.
vi. All information related to the construction estimate is confidential, and shall not be disclosed by CONSULTANT to any entity, other than LOCAL AGENCY, Caltrans, and/or FHWA.
All of the materials prepared or assembled by CONSULTANT pursuant to performance of this Contract are confidential and CONSULTANT agrees that they shall not be made available to any individual or organization without the prior written approval of City or except by court order. If CONSULTANT or any of its officers, employees, or subcontractors does voluntarily provide information in violation of this Contract, City has the right to reimbursement and indemnity from CONSULTANT for any damages caused by CONSULTANT releasing the information, including, but not limited to, City’s attorney’s fees and disbursements, including without limitation experts’ fees and disbursements N. National Labor Relations Board Certification. In accordance with Public Contract Code §10296, CONSULTANT hereby states under penalty of perjury that no more than one final unappealable finding of contempt of court by a federal court has been issued against CONSULTANT within the immediately preceding two-year period, because of CONSULTANT’s failure to comply with an order of a federal court that orders CONSULTANT to comply with an order of the National Labor Relations Board.
O. Evaluation of Consultant. CONSULTANT’s performance will be evaluated by LOCAL AGENCY. A copy of the evaluation will be sent to CONSULTANT for comments. The evaluation together with the comments shall be retained as part of the AGREEMENT record.
P. Debarment and Suspension Certification
i. The CONSULTANT’s signature affixed herein shall constitute a certification under penalty of perjury under the laws of the State of California, that the CONSULTANT or any person associated therewith in the capacity of owner, partner, director, officer or manager:
1. Is not currently under suspension, debarment, voluntary exclusion, or determination of ineligibility by any federal agency;
2. Has not been suspended, debarred, voluntarily excluded, or determined ineligible by any federal agency within the past three (3) years;
3. Does not have a proposed debarment pending; and
4. Has not been indicted, convicted, or had a civil judgment rendered against it by a court of competent jurisdiction in any matter involving fraud or official misconduct within the past three (3) years.
ii. Any exceptions to this certification must be disclosed to LOCAL AGENCY.
Exceptions will not necessarily result in denial of recommendation for award, but will be considered in determining responsibility. Disclosures must indicate the party to whom the exceptions apply, the initiating agency, and the dates of agency action.
iii. Exceptions to the Federal Government excluded parties (https://sam.gov/content/home) maintained by the U.S. General Services Administration are to be determined by FHWA.
Q. Conflict of Interest
i. During the term of this AGREEMENT, the CONSULTANT shall disclose any financial, business, or other relationship with LOCAL AGENCY that may have an impact upon the
outcome of this AGREEMENT or any ensuing LOCAL AGENCY construction project. The CONSULTANT shall also list current clients who may have a financial interest in the outcome of this AGREEMENT or any ensuing LOCAL AGENCY construction project which will follow. ii. CONSULTANT certifies that it has disclosed to LOCAL AGENCY any actual, apparent, or potential conflicts of interest that may exist relative to the services to be provided pursuant to this AGREEMENT. CONSULTANT agrees to advise LOCAL AGENCY of any actual, apparent or potential conflicts of interest that may develop subsequent to the date of execution of this AGREEMENT. CONSULTANT further agrees to complete any statements of economic interest if required by either LOCAL AGENCY ordinance or State law. iii. The CONSULTANT hereby certifies that it does not now have nor shall it acquire any financial or business interest that would conflict with the performance of services under this AGREEMENT.
iv. The CONSULTANT hereby certifies that the CONSULTANT or subconsultant and any firm affiliated with the CONSULTANT or subconsultant that bids on any construction contract or on any Agreement to provide construction inspection for any construction project resulting from this AGREEMENT, has established necessary controls to ensure a conflict of interest does not exist. An affiliated firm is one, which is subject to the control of the same persons, through joint ownership or otherwise.
R. Rebates, Kickbacks or other Unlawful Consideration. The CONSULTANT warrants that this AGREEMENT was not obtained or secured through rebates, kickbacks or other unlawful consideration either promised or paid to any LOCAL AGENCY employee. For breach or violation of this warranty, LOCAL AGENCY shall have the right, in its discretion, to terminate this AGREEMENT without liability, to pay only for the value of the work actually performed, or to deduct from this AGREEMENT price or otherwise recover the full amount of such rebate, kickback or other unlawful consideration.
S. Prohibition of Expending State or Federal Funds for Lobbying i. The CONSULTANT certifies to the best of his or her knowledge and belief that:
1. No State, Federal, or LOCAL AGENCY appropriated funds have been paid or will be paid, by or on behalf of the CONSULTANT, to any person for influencing or attempting to influence an officer or employee of any local, State, or Federal agency, a Member of the State Legislature or United States Congress, an officer or employee of the Legislature or Congress, or any employee of a Member of the Legislature or Congress in connection with the awarding or making of this AGREEMENT, or with the extension, continuation, renewal, amendment, or modification of this AGREEMENT.
2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this AGREEMENT, the CONSULTANT shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.
ii. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. §1352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than ten thousand dollars ($10,000) and not more than one hundred thousand dollars ($100,000) for each such failure. iii. The CONSULTANT also agrees by signing this document that he or she shall require that the language of this certification be included in all lower tier subagreements, which exceed one hundred thousand dollars ($100,000), and that all such subrecipients shall certify and disclose accordingly.
T. Funding Requirements
i. It is mutually understood between the parties that this AGREEMENT may have been written before ascertaining the availability of funds or appropriation of funds, for the mutual benefit of both parties, in order to avoid program and fiscal delays that would occur if the AGREEMENT were executed after that determination was made. ii. This AGREEMENT is valid and enforceable only if sufficient funds are made available to LOCAL AGENCY for the purpose of this AGREEMENT. In addition, this AGREEMENT is subject to any additional restrictions, limitations, conditions, or any statute enacted by the Congress, State Legislature, or LOCAL AGENCY governing board that may affect the provisions, terms, or funding of this AGREEMENT in any manner.
iii. It is mutually agreed that if sufficient funds are not appropriated, this AGREEMENT may be amended to reflect any reduction in funds. iv. Local AGENCY has the option to terminate the AGREEMENT pursuant to Article VI Termination, or by mutual agreement to amend the AGREEMENT to reflect any reduction of funds.
U. Claims filed by Local Agency’s Construction Contractor i. If claims are filed by LOCAL AGENCY’s construction contractor relating to work performed by CONSULTANT’s personnel, and additional information or assistance from CONSULTANT’s personnel is required in order to evaluate or defend against such claims; CONSULTANT agrees to make its personnel available for consultation with LOCAL AGENCY’S construction contract administration and legal staff and for testimony, if necessary, at depositions and at trial or arbitration proceedings.
ii. CONSULTANT’s personnel that LOCAL AGENCY considers essential to assist in defending against construction contractor claims will be made available on reasonable notice from LOCAL AGENCY. Consultation or testimony will be reimbursed at the same rates, including travel costs that are being paid for CONSULTANT’s personnel services under this AGREEMENT.
iii. Services of CONSULTANT’s personnel in connection with LOCAL AGENCY’s construction contractor claims will be performed pursuant to a written contract amendment, if necessary, extending the termination date of this AGREEMENT in order to resolve the construction claims.
V. Prompt Payment from the Local Agency to Consultant
The LOCAL AGENCY shall make any progress payment within 30 days after receipt of an undisputed and properly submitted payment request from CONSULTANT on a professional service contract. If the LOCAL AGENCY fails to pay promptly, the LOCAL AGENCY shall pay interest to the contractor, which accrues at the rate of 10 percent per annum on the principal amount of a money judgment remaining unsatisfied. Upon receipt of a payment request, the LOCAL AGENCY shall act in accordance with both of the following:
(1) Each payment request shall be reviewed by the LOCAL AGENCY as soon as practicable after receipt for the purpose of determining that the payment request is a proper payment request.
(2) Any payment request determined not to be a proper payment request suitable for payment shall be returned to CONSULTANT as soon as practicable, but not later than seven (7) days, after receipt. A request returned pursuant to this paragraph shall be accompanied by a document setting forth in writing the reasons why the payment request is not proper.
W. Title VI Assurances
i. The U.S. Department of Transportation Order No.1050.2A requires all federal-aid Department of Transportation contracts between an agency and a consultant to contain Appendices A and E, and Appendices B, C, and D (as applicable) of the Title VI Assurances. As such, Appendices A- E of the Title VI Assurances, as listed below, are hereby made a part of this AGREEMENT. ii. The CONSULTANT must include the Title VI Assurances Appendices A and E, and if applicable Appendices B, C, and D in all subcontracts to perform work under the contract. iii. The clauses of Appendix B of this Assurance shall be included as a covenant running with the land, in any deed from the United States effecting or recording a transfer of real property, structures, use, or improvements thereon or interest therein to a LOCAL AGENCY. iv. The clauses set forth in Appendix C and Appendix D of this Assurance shall be included as a covenant running with the land, in any future deeds, leases, licenses, permits, or similar instruments entered into by the LOCAL AGENCY with other parties:
a. for the subsequent transfer of real property acquired or improved under the applicable activity, project, or program; and
b. for the construction or use of, or access to, space on, over, or under real property acquired or improved under the applicable activity, project, or program.
APPENDICES A - E of the TITLE VI ASSURANCES:
APPENDIX A
During the performance of this Agreement, the contractor, for itself, its assignees and successors in interest (hereinafter collectively referred to as CONSULTANT) agrees as follows:
a. Compliance with Regulations: CONSULTANT shall comply with the regulations relative to nondiscrimination in federally assisted programs of the Department of Transportation, Title 49, Code of Federal Regulations, Part 21, as they may be amended from time to time, (hereinafter referred to as the REGULATIONS), which are herein incorporated by reference and made a part of this agreement. b. Nondiscrimination: CONSULTANT, with regard to the work performed by it during the AGREEMENT, shall not discriminate on the grounds of race, color, sex, national origin, religion, age, or disability in the selection and retention of sub-applicants, including procurements of materials and leases of equipment. CONSULTANT shall not participate either directly or indirectly in the discrimination prohibited by Section 21.5 of the Regulations, including employment practices when the agreement covers a program set forth in Appendix B of the Regulations. c. Solicitations for Sub-agreements, Including Procurements of Materials and Equipment: In all solicitations either by competitive bidding or negotiation made by CONSULTANT for work to be performed under a Sub- agreement, including procurements of materials or leases of equipment, each potential sub-applicant or supplier shall be notified by CONSULTANT of the CONSULTANT’S obligations under this Agreement and the Regulations relative to nondiscrimination on the grounds of race, color, or national origin.
d. Information and Reports: CONSULTANT shall provide all information and reports required by the Regulations, or directives issued pursuant thereto, and shall permit access to its books, records, accounts, other sources of information, and its facilities as may be determined by the recipient or FHWA to be pertinent to ascertain compliance with such Regulations or directives. Where any information required of CONSULTANT is in the exclusive possession of another who fails or refuses to furnish this information, CONSULTANT shall so certify to the recipient or FHWA as appropriate, and shall set forth what efforts CONSULTANT has made to obtain the information. e. Sanctions for Noncompliance: In the event of CONSULTANT’s noncompliance with the nondiscrimination provisions of this agreement, the recipient shall impose such agreement sanctions as it or the FHWA may determine to be appropriate, including, but not limited to:
i. withholding of payments to CONSULTANT under the Agreement within a reasonable period of time, not to exceed 90 days; and/or
ii. cancellation, termination or suspension of the Agreement, in whole or in part. f. Incorporation of Provisions: CONSULTANT shall include the provisions of paragraphs (1) through (6) in every sub-agreement, including procurements of materials and leases of equipment, unless exempt by the Regulations, or directives issued pursuant thereto.
APPENDIX B
CLAUSES FOR DEEDS TRANSFERRING UNITED STATES PROPERTY
The following clauses will be included in deeds effecting or recording the transfer of real property, structures, or improvements thereon, or granting interest therein from the United States pursuant to the provisions of Assurance 4:
NOW THEREFORE, the U.S. Department of Transportation as authorized by law and upon the condition that the recipient will accept title to the lands and maintain the project constructed thereon in accordance with Title 23 U.S.C., the regulations for the administration of the preceding statute, and the policies and procedures prescribed by the FHWA of the U.S. Department of Transportation in accordance and in compliance with all requirements imposed by Title 49, Code of Federal Regulations, U.S. Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Non-discrimination in Federally-assisted programs of the U.S. Department of Transportation pertaining to and effectuating the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252; 42 U.S.C. § 2000d to 2000d-4), does hereby remise, release, quitclaim and convey unto the recipient all the right, title and interest of the U.S. Department of Transportation in and to said lands described in Exhibit A attached hereto and made a part hereof.
(HABENDUM CLAUSE)
TO HAVE AND TO HOLD said lands and interests therein unto the recipient and its successors forever, subject, however, to the covenants, conditions, restrictions and reservations herein contained as follows, which will remain in effect for the period during which the real property or structures are used for a purpose for which Federal financial assistance is extended or for another purpose involving the provision of similar services or benefits and will be binding on the recipient, its successors and assigns.
The recipient, in consideration of the conveyance of said lands and interest in lands, does hereby covenant and agree as a covenant running with the land for itself, its successors and assigns, that (1) no person will on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination with regard to any facility located wholly or in part on, over, or under such lands hereby conveyed [,] [and]* (2) that the recipient will use the lands and interests in lands and interest in lands so conveyed, in compliance with all requirements imposed by or pursuant to Title 49, Code of Federal Regulations, U.S. Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Non-discrimination in Federally-assisted programs of the U.S.
Department of Transportation, Effectuation of Title VI of the Civil Rights Act of 1964, and as said Regulations and Acts may be amended [, and (3) that in the event of breach of any of the above- mentioned non-discrimination conditions, the Department will have a right to enter or re-enter said lands and facilities on said lands, and that above described land and facilities will thereon revert to and vest in and become the absolute property of the U.S. Department of Transportation and its assigns as such interest existed prior to this instruction].*
(*Reverter clause and related language to be used only when it is determined that such a clause is necessary in order to make clear the purpose of Title VI.)
APPENDIX C
CLAUSES FOR TRANSFER OF REAL PROPERTY ACQUIRED OR IMPROVED UNDER
THE ACTIVITY, FACILITY, OR PROGRAM
The following clauses will be included in deeds, licenses, leases, permits, or similar instruments entered into by the recipient pursuant to the provisions of Assurance 7(a):
A. The (grantee, lessee, permittee, etc. as appropriate) for himself/herself, his/her heirs, personal representatives, successors in interest, and assigns, as a part of the consideration hereof, does hereby covenant and agree [in the case of deeds and leases add “as a covenant running with the land”] that:
1. In the event facilities are constructed, maintained, or otherwise operated on the property described in this (deed, license, lease, permit, etc.) for a purpose for which a U.S. Department of Transportation activity, facility, or program is extended or for another purpose involving the provision of similar services or benefits, the (grantee, licensee, lessee, permittee, etc.) will maintain and operate such facilities and services in compliance with all requirements imposed by the Acts and Regulations(as may be amended) such that no person on the grounds of race, color, or national origin, will be excluded from participation in, denied the benefits of, or be otherwise subjected to discrimination in the use of said facilities.
B. With respect to licenses, leases, permits, etc., in the event of breach of any of the above Non- discrimination covenants, the recipient will have the right to terminate the (lease, license, permit, etc.) and to enter, re-enter, and repossess said lands and facilities thereon, and hold the same as if the (lease, license, permit, etc.) had never been made or issued.*
C. With respect to a deed, in the event of breach of any of the above Non-discrimination covenants, the recipient will have the right to enter or re-enter the lands and facilities thereon, and the above described lands and facilities will there upon revert to and vest in and become the absolute property of the recipient and its assigns.*
(*Reverter clause and related language to be used only when it is determined that such a clause is necessary to make clear the purpose of Title VI.)
APPENDIX D
CLAUSES FOR CONSTRUCTION/USE/ACCESS TO REAL PROPERTY ACQUIRED UNDER
THE ACTIVITY, FACILITY OR PROGRAM
The following clauses will be included in deeds, licenses, permits, or similar instruments/agreements entered into by the recipient pursuant to the provisions of Assurance 7(b):
A. The (grantee, licensee, permittee, etc., as appropriate) for himself/herself, his/her heirs, personal representatives, successors in interest ,and assigns, as a part of the consideration hereof, does hereby covenant and agree (in the case of deeds and leases add, “as a covenant running with the land”) that (1) no person on the ground of race, color, or national origin, will be excluded from participation in, denied the benefits of, or be otherwise subjected to discrimination in the use of said facilities, (2) that in the construction of any improvements on, over, or under such land, and the furnishings of services thereon, no person on the ground of race, color, or national origin, will be excluded from participation in, denied the benefits or, or otherwise be subjected to discrimination, (3) that the (grantee, licensee, lessee,
permittee, etc.) will use the premises in compliance with all other requirements imposed by or pursuant to the Acts and Regulations, as amended, set forth in this Assurance.
B. With respect to (licenses, leases, permits, etc.) in the event of breach of any of the above of the above Non-discrimination covenants, the recipient will have the right to terminate the (license, permits, etc., as appropriate) and to enter or re-enter and repossess said land and the facilities thereon, and hold the same as if said (license, permit, etc., as appropriate) had never been made or issued.* C. With respect to deeds, in the event of breach of any of the above Non-discrimination covenants, the recipient will there upon revert to and vest in and become the absolute property of the recipient and its assigns.
APPENDIX E
During the performance of this contract, the CONSULTANT, for itself, its assignees, and successors in interest (hereinafter referred to as the “CONSULTANT”) agrees to comply with the following non- discrimination statutes and authorities, including, but not limited to:
Pertinent Non-Discrimination Authorities:
• Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252), prohibits discrimination on the basis of race, color, national origin); and 49 CFR Part 21. • The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, (42 U.S.C. § 4601), (prohibits unfair treatment of persons displaced or whose property has been acquired because of Federal or Federal-aid programs and projects);
• Federal-Aid Highway Act of 1973, (23 U.S.C. § 324 et seq.), prohibits discrimination on the basis of sex;
• Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794 et seq.), as amended, (prohibits discrimination on the basis of disability); and 49 CR Part 27; • The Age Discrimination Act of 1975, as amended, (42 U.S.C. § 6101 et seq.), prohibits discrimination on the basis of age);
• Airport and Airway Improvement Act of 1982, (49 U.S.C. § 471, Section 47123), as amended, (prohibits discrimination based on race, creed, color, national origin, or sex); • The Civil Rights Restoration Act of 1987, (PL 100-209), (Broadened the scope, coverage and applicability of Title VI of the Civil Rights Act of 1964, The Age Discrimination Act of 1975 and Section 504 of the Rehabilitation Act of 1973, by expanding the definition of the terms “programs or activities” to include all of the programs or activities of the Federal-aid recipients, sub-recipients and contractors, whether such programs or activities are Federally funded or not); • Titles II and III of the Americans with Disabilities Act, which prohibit discrimination of the basis of disability in the operation of public entities, public and private transportation systems, places of public
accommodation, and certain testing entities (42 U.S.C. §§ 12131 – 12189) as implemented by Department of Transportation regulations 49 C.F.R. parts 37 and 38; • The Federal Aviation Administration’s Non-discrimination statute (49 U.S.C. § 47123) (prohibits discrimination on the basis of race, color, national origin, and sex); • Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations, which ensures discrimination against minority populations by discouraging programs, policies, and activities with disproportionately high and adverse human health or environmental effects on minority and low-income populations; • Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency, and resulting agency guidance, national origin discrimination includes discrimination because of Limited English Proficiency (LEP). To ensure compliance with Title VI, you must take reasonable steps to ensure that LEP persons have meaningful access to your programs (70 Fed. Reg. at 74087 to 74100); • Title IX of the Education Amendments of 1972, as amended, which prohibits you from discriminating because of sex in education programs or activities (20 U.S.C.1681 et seq).
EXHIBIT "D"
STATE AND FEDERAL FORMS
Required State and Federal Forms are attached. These forms and other required State and Federal Documentation per Exhibit “C” shall be completed and submitted by the Consultant.
List of Attached Forms
Consultant shall complete and submit the following forms within ten (10) days of Agreement execution:
-
-
Exhibit 10-O2 (LAPM) Local Agency Proposer DBE Information (Consultant Contracts) Debarment and Suspension Certification
Consultant shall complete and submit the following forms in accordance with Caltrans Local Assistance Procedures Manual:
-
-
-
-
Caltrans Exhibit 10-G (LAPM) Individual A&E Task Order DBE Tracking Sheet Caltrans Exhibit 14-D (LAPM) Notice to Owner-Local Assitance Caltrans Exhibit 17-O (LAPM) DBE Certification Status Change Caltrans Exhibit 17-F (LAPM) Final Report Utilization of DBE PW-123 (1/14)
Local Assistance Procedures Manual Exhibit 10-O2
Consultant Contract DBE Commitment
EXHIBIT 10-O2 CONSULTANT CONTRACT DBE COMMITMENT
1. Local Agency: 2. Contract DBE Goal:
3. Project Description:
4. Project Location:
5. Consultant's Name: 6. Prime Certified DBE: 7. Total Contract Award Amount:
8. Total Dollar Amount for ALL Subconsultants: 9. Total Number of ALL Subconsultants:
11. DBE
Certification
Number
13. DBE
Dollar
Amount
10. Description of Work, Service, or Materials
Supplied 12. DBE Contact Information
Local Agency to Complete this Section
$20. Local Agency Contract
14. TOTAL CLAIMED DBE PARTICIPATION
21. Federal-Aid Project Number:
%22. Contract Execution
Date:
Local Agency certifies that all DBE certifications are valid and information on this form is complete and accurate.
IMPORTANT: Identify all DBE firms being claimed for credit, regardless of tier. Written confirmation of each listed DBE is required.
23. Local Agency Representative's Signature
25. Local Agency Representative's Name
24. Date 15. Preparer's Signature
17. Preparer's Name
19. Preparer's Title
16. Date
26. Phone 18. Phone
27. Local Agency Representative's Title
DISTRIBUTION: 1. Original – Local Agency
2. Copy – Caltrans District Local Assistance Engineer (DLAE). Failure to submit to DLAE within 30 days of contract execution may result in de-obligation of federal funds on contract.
ADA Notice: For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 654-6410 or TDD (916) 654- 3880 or write Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.
July 23, 2015
Local Assistance Procedures Manual Exhibit 10-O2
Consultant Contract DBE Commitment
INSTRUCTIONS – CONSULTANT CONTRACT DBE COMMITMENT
CONSULTANT SECTION
1. Local Agency - Enter the name of the local or regional agency that is funding the contract.
2. Contract DBE Goal - Enter the contract DBE goal percentage as it appears on the project advertisement.
3. Project Description - Enter the project description as it appears on the project advertisement (Bridge Rehab, Seismic Rehab, Overlay, Widening, etc).
4. Project Location - Enter the project location as it appears on the project advertisement.
5. Consultant’s Name - Enter the consultant’s firm name.
6. Prime Certified DBE - Check box if prime contractor is a certified DBE.
7. Total Contract Award Amount - Enter the total contract award dollar amount for the prime consultant.
8. Total Dollar Amount for ALL Subconsultants – Enter the total dollar amount for all subcontracted consultants.
SUM = (DBEs + all Non-DBEs). Do not include the prime consultant information in this count.
9. Total number of ALL subconsultants – Enter the total number of all subcontracted consultants. SUM = (DBEs + all Non-DBEs). Do not include the prime consultant information in this count.
10. Description of Work, Services, or Materials Supplied - Enter description of work, services, or materials to be provided. Indicate all work to be performed by DBEs including work performed by the prime consultant’s own forces, if the prime is a DBE. If 100% of the item is not to be performed or furnished by the DBE, describe the exact portion to be performed or furnished by the DBE. See LAPM Chapter 9 to determine how to count the participation of DBE firms.
11. DBE Certification Number - Enter the DBE’s Certification Identification Number. All DBEs must be certified on the date bids are opened.
12. DBE Contact Information - Enter the name, address, and phone number of all DBE subcontracted consultants.
Also, enter the prime consultant’s name and phone number, if the prime is a DBE.
13. DBE Dollar Amount - Enter the subcontracted dollar amount of the work to be performed or service to be provided. Include the prime consultant if the prime is a DBE. See LAPM Chapter 9 for how to count full/partial participation.
14. Total Claimed DBE Participation - $: Enter the total dollar amounts entered in the “DBE Dollar Amount” column. %: Enter the total DBE participation claimed (“Total Participation Dollars Claimed” divided by item “Total Contract Award Amount”). If the total % claimed is less than item “Contract DBE Goal,” an adequately documented Good Faith Effort (GFE) is required (see Exhibit 15-H DBE Information - Good Faith Efforts of the LAPM).
15. Preparer’s Signature - The person completing the DBE commitment form on behalf of the consultant’s firm must sign their name.
16. Date - Enter the date the DBE commitment form is signed by the consultant’s preparer.
17. Preparer’s Name - Enter the name of the person preparing and signing the consultant’s DBE commitment form.
18. Phone - Enter the area code and phone number of the person signing the consultant’s DBE commitment form.
19. Preparer’s Title - Enter the position/title of the person signing the consultant’s DBE commitment form.
LOCAL AGENCY SECTION
20. Local Agency Contract Number - Enter the Local Agency contract number or identifier.
21. Federal-Aid Project Number - Enter the Federal-Aid Project Number.
22. Contract Execution Date - Enter the date the contract was executed.
23. Local Agency Representative’s Signature - The person completing this section of the form for the Local Agency must sign their name to certify that the information in this and the Consultant Section of this form is complete and accurate.
24. Date - Enter the date the DBE commitment form is signed by the Local Agency Representative.
25. Local Agency Representative’s Name - Enter the name of the Local Agency Representative certifying the consultant’s DBE commitment form.
26. Phone - Enter the area code and phone number of the person signing the consultant’s DBE commitment form.
27. Local Agency Representative Title - Enter the position/title of the Local Agency Representative certifying the consultant’s DBE commitment form.
July 23, 2015
Fiscal Year 2022/2023 California Department of Transportation Debarment and Suspension Certification
As required by U.S. DOT regulations on governmentwide Debarment and Suspension (Nonprocurement), 49 CFR 29.100:
1) The Applicant certifies, to the best of its knowledge and belief, that it and its contractors, subcontractors and subrecipients:
a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency;
b) Have not, within the three (3) year period preceding this certification, been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, state, or local) transaction or contract under a public transaction, violation of Federal or state antitrust statutes, or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;
c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, state, or local) with commission of any of the offenses listed in subparagraph (1)(b) of this certification; and d) Have not, within the three (3) year period preceding this certification, had one or more public transactions (Federal, state, and local) terminated for cause or default. 2) The Applicant also certifies that, if Applicant later becomes aware of any information contradicting the statements of paragraph (1) above, it will promptly provide that information to the State.
3) If the Applicant is unable to certify to all statements in paragraphs (1) and (2) of this certification, through those means available to Applicant, including the General Services Administration’s Excluded Parties List System (EPLS), Applicant shall indicate so in its applications, or in the transmittal letter or message accompanying its annual certifications and assurances, and will provide a written explanation to the State.
January 2022
CALIFORNIA DEPARTMENT OF TRANSPORTATION
DEBARMENT AND SUSPENSION CERTIFICATION
FISCAL YEAR 2022/2023
SIGNATURE PAGE
In signing this document, I declare under penalties of perjury that the foregoing certifications and assurances, and any other statements made by me on behalf of the Applicant are true and correct.
Signature Date
Printed Name
As the undersigned Attorney for the above named Applicant, I hereby affirm to the Applicant that it has the authority under state and local law to make and comply with the certifications and assurances as indicated on the foregoing pages. I further affirm that, in my opinion, these certifications and assurances have been legally made and constitute legal and binding obligations of the Applicant.
I further affirm to the Applicant that, to the best of my knowledge, there is no legislation or litigation pending or imminent that might adversely affect the validity of these certifications and assurances or of the performance of the described project.
AFFIRMATION OF APPLICANT’S ATTORNEY
For (Name of Applicant)
DateSignature
Printed Name of Applicant’s Attorney
January 2022
Reset
Exhibit 10-GINDIVIDUAL A&E TASK ORDER DBE TRACKING
SHEET
Please fill out form in order
CONSULTANT NAME CONTRACT NUMBER FEDERAL PROJECT
NUMBER
TASK ORDER NUMBER
ADDRESS
CONSULTANT CONTRACT ADMINISTRATOR
NAME
PROJECT TITLE:
PHONE NUMBER E-MAIL
PROJECT LOCATION:
SCOPE OF WORK
TOTAL MASTER CONTRACT AMOUNT: ______________ END OF CONTRACT DATE:
______________
TASK ORDER AMOUNT: ______________ TASK ORDER BEGIN DATE: ___________ TASK ORDER END DATE:
____________
TOTAL DBE CONTRACT ESTIMATE OF THIS TASK
ORDER AMOUNT
(NON-DBE)
AMOUNT
(DBE)CONSULTANT\SUBCONSULTA
NT
DESCRIPTION OF WORK % OF DBE
0.00%
0.00%
0.00%
0.00%
0.00%
0.00%
0.00%
0.00%
0.00%
0.00%
0.00%
$ 0.00 $ 0.00 0.00%SUBTOTAL
TOTAL TASK ORDER
AMOUNT
COMMENTS ON DBE UTILIZATION DEFICIENCIES (COMMITTED VERSUS MET) AND PLANS TO MEET COMMITTED PERCENTAGES:
(Ifpercent lessthanmastercontractgoal,briefly statewhyin 1-2sentences).
The consultant acknowledges the DBE listed in the DBE Task Order Utilization section above must be used, unless authorized by DLAE.
Approved By:
CONSULTANTCONTRACTMANAGERSSIGNAT
URE
DATE LOCAL
AGENCYADMINSIGNATURE
DATE
ADA NOTICE: For individuals with sensory disabilities, this document is available in alternate formats. For information, call (916) 445-1233, Local Assistance Procedures Manual TTY 711, or write to Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.
LPP 18-01 Page 1 of 1
January 2019
STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION
NOTICE TO OWNER - LOCAL ASSISTANCE
LAPM 14-D (NEW 05/2019)
Local Assistance Procedures Manual
(To fill out a Revised Notice to Owner,
click on the following button)
LAPM 14-D-REV Revised Notice to Owner - Local Assistance Number:
(Name of LOCAL AGENCY)
COUNTY ROUTE/STREET POST MILE PROJECT NUMBER
Federal Aid Number:
Owner's Plan Number:
Date: "On-System": YES NO
To: (Name of the Owner)
(Owner Address)
Because of the City of Lancaster transportation project to (project description)
in
(Name of the City and County) , which affects your facilities: (impacted facility) as shown on Map (Number) .
You are hereby ordered to: .
Your work schedule shall be from (beginning date) to (end date) Notify (Name of Project Engineer) at (telephone number) hours prior to initial start of work, and an additional hours notification for subsequent starts when the work schedule is interrupted.
Liability is % Owner (or Agency) pursuant to
Owner Rep:
Public Works Coordinator
(Rep's address if differ from the above)
cc: Resident Engineer
Permits
By
Local Agency Director
THIS NOTICE DOES NOT CONSTITUTE A PERMIT. OBTAIN AN ENCROACHMENT PERMIT BEFORE STARTING WORK.
Distribution: 1) Owner,
4) DLAE - File,
2) Utility Coordinator - File,
5) District Utility Coordinator - File
3) RE - File
For individuals with sensory disabilities, this document is available in alternate formats. For alternate format information, contact the Forms Management Unit at (916) 445-1233, TTY 711, or write to Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.ADA Notice
Local Assistance Procedures Manual Exhibit 17-O
Disadvantaged Business Enterprises (DBE) Certification Status Change EXHIBIT 17-O DISADVANTAGED BUSINESS ENTERPRISES (DBE) CERTIFICATION STATUS CHANGE
1. Local Agency Contract Number
5. Contractor/Consultant
2. Federal-Aid Project Number
6. Business Address
3. Local Agency 4. Contract Completion Date
7. Final Contract Amount
12. Certification/
Decertification
Date
8. Contract
Item
Number
10. DBE
Certification
Number
11. Amount Paid
While Certified9. DBE Contact Information 13. Comments
(Letter Attached)
If there were no changes in the DBE certification of subcontractors/subconsultants, indicate on the form.
I CERTIFY THAT THE ABOVE INFORMATION IS COMPLETE AND CORRECT
14. Contractor/Consultant Representative’s Signature 15. Contractor/Consultant Representative’s Name 16. Phone 17. Date
21. Date
I CERTIFY THAT THE CONTRACTING RECORDS AND ON-SITE PERFORMANCE OF THE DBE(S) HAS BEEN MONITORED
18. Local Agency Representative’s Signature 19. Local Agency Representative’s Name 20. Phone DISTRIBUTION: Original – Local Agency, Copy – Caltrans District Local Assistance Engineer. Include with Final Report of Expenditures ADA NOTICE: For individuals with sensory disabilities, this document is available in alternate formats. For information, call (916) 445-1233, Local Assistance Procedures Manual TTY 711, or write to Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.
July 23, 2015
Local Assistance Procedures Manual Exhibit 17-O
Disadvantaged Business Enterprises (DBE) Certification Status Change INSTRUCTIONS –DISADVANTAGED BUSINESS ENTERPRISES (DBE)
CERTIFICATION STATUS CHANGE
1. Local Agency Contract Number - Enter the Local Agency contract number or identifier.
2. Federal-Aid Project Number - Enter the Federal-Aid Project Number.
3. Local Agency - Enter the name of the local or regional agency that is funding the contract.
4. Contract Completion Date - Enter the date the contract was completed.
5. Contractor/Consultant - Enter the contractor/consultant’s firm name.
6. Business Address - Enter the contractor/consultant’s business address.
7. Final Contract Amount - Enter the total final amount for the contract.
8. Contract Item Number - Enter contract item for work, services, or materials supplied provided. Not applicable for consultant contracts.
9. DBE Contact Information - Enter the name, address, and phone number of all DBE subcontracted contractors/consultants.
10. DBE Certification Number - Enter the DBE’s Certification Identification Number.
11. Amount Paid While Certified - Enter the actual dollar value of the work performed by those subcontractors/subconsultants during the time period they are certified as a DBE.
12. Certification/Decertification Date (Letter Attached) - Enter either the date of the Decertification Letter sent out by the Office of Business and Economic Opportunity (OBEO) or the date of the Certification Certificate mailed out by OBEO.
13. Comments - If needed, provide any additional information in this section regarding any of the above certification status changes.
14. Contractor/Consultant Representative’s Signature - The person completing the form on behalf of the contractor/consultant’s firm must sign their name.
15. Contractor/Consultant Representative’s Name - Enter the name of the person preparing and signing the form.
16. Phone - Enter the area code and telephone number of the person signing the form.
17. Date - Enter the date the form is signed by the contractor’s preparer.
18. Local Agency Representative’s Signature - A Local Agency Representative must sign their name to certify
that the contracting records and on-site performance of the DBE(s) has been monitored.
19. Local Agency Representative’s Name - Enter the name of the Local Agency Representative signing the form.
20. Phone - Enter the area code and telephone number of the person signing the form.
21. Date - Enter the date the form is signed by the Local Agency Representative.
July 23, 2015
Local Assistance Procedures Manual Exhibit 17-F
Final Report-Utilization of Disadvantaged Business Enterprises (DBE) and First-Tier Subcontractors EXHIBIT 17-F FINAL REPORT-UTILIZATION OF DISADVANTAGED BUSINESS ENTERPRISES (DBE) AND FIRST-TIER SUBCONTRACTORS
1. Local Agency Contract Number
5. Contractor/Consultant
2. Federal-Aid Project Number
6. Business Address
3. Local Agency 4. Contract Completion Date
7. Final Contract Amount
8. Contract
Item
Number
11. DBE
Certification
Number
12. Contract Payments
Non-DBE DBE
13. Date
Work
Completed
14. Date of
Final
Payment
9. Description of Work, Service, or
Materials Supplied
10. Company Name and
Business Address
15. ORIGINAL DBE COMMITMENT AMOUNT $ 16. TOTAL
List all first-tier subcontractors/subconsultants and DBEs regardless of tier whether or not the firms were originally listed for goal credit. If actual DBE utilization (or item of work) was different than that approved at the time of award, provide comments on an additional page. List actual amount paid to each entity. If no subcontractors/subconsultants were used on the contract, indicate on the form.
I CERTIFY THAT THE ABOVE INFORMATION IS COMPLETE AND CORRECT
17. Contractor/Consultant Representative’s Signature 18. Contractor/Consultant Representative’s Name 19. Phone 20. Date
24. Date
I CERTIFY THAT THE CONTRACTING RECORDS AND ON-SITE PERFORMANCE OF THE DBE(S) HAS BEEN MONITORED
21. Local Agency Representative’s Signature 22. Local Agency Representative’s Name 23. Phone DISTRIBUTION: Original – Local Agency, Copy – Caltrans District Local Assistance Engineer. Include with Final Report of Expenditures ADA NOTICE: For individuals with sensory disabilities, this document is available in alternate formats. For information, call (916) 445-1233, Local Assistance Procedures Manual TTY 711, or write to Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.
July 23, 2015
Local Assistance Procedures Manual Exhibit 17-F
Final Report-Utilization of Disadvantaged Business Enterprises (DBE) and First-Tier Subcontractors
INSTRUCTIONS – FINAL REPORT-UTILIZATION OF DISADVANTAGED BUSINESS
ENTERPRISES (DBE) AND FIRST-TIER SUBCONTRACTORS
1. Local Agency Contract Number - Enter the Local Agency contract number or identifier.
2. Federal-Aid Project Number - Enter the Federal-Aid Project Number.
3. Local Agency - Enter the name of the local or regional agency that is funding the contract.
4. Contract Completion Date - Enter the date the contract was completed.
5. Contractor/Consultant - Enter the contractor/consultant’s firm name.
6. Business Address - Enter the contractor/consultant’s business address.
7. Final Contract Amount - Enter the total final amount for the contract.
8. Contract Item Number - Enter contract item for work, services, or materials supplied provided. Not applicable for consultant contracts.
9. Description of Work, Services, or Materials Supplied - Enter description of work, services, or materials provided. Indicate all work to be performed by DBEs including work performed by the prime contractor/consultant’s own forces, if the prime is a DBE. If 100% of the item is not to be performed or furnished by the DBE, describe the exact portion to be performed or furnished by the DBE. See LAPM Chapter 9 to determine how to count the participation of DBE firms.
10. Company Name and Business Address - Enter the name, address, and phone number of all subcontracted contractors/consultants. Also, enter the prime contractor/consultant’s name and phone number, if the prime is a DBE.
11. DBE Certification Number - Enter the DBE’s Certification Identification Number. Leave blank if subcontractor is not a DBE.
12. Contract Payments - Enter the subcontracted dollar amount of the work performed or service provided.
Include the prime contractor/consultant if the prime is a DBE. The Non-DBE column is used to enter the dollar value of work performed by firms that are not certified DBE or for work after a DBE becomes decertified.
13. Date Work Completed - Enter the date the subcontractor/subconsultant’s item work was completed.
14. Date of Final Payment - Enter the date when the prime contractor/consultant made the final payment to the subcontractor/subconsultant for the portion of work listed as being completed.
15. Original DBE Commitment Amount - Enter the “Total Claimed DBE Participation Dollars” from Exhibits 15-G or 10-O2 for the contract.
16. Total - Enter the sum of the “Contract Payments” Non-DBE and DBE columns.
17. Contractor/Consultant Representative’s Signature - The person completing the form on behalf of the contractor/consultant’s firm must sign their name.
18. Contractor/Consultant Representative’s Name - Enter the name of the person preparing and signing the form.
19. Phone - Enter the area code and telephone number of the person signing the form.
20. Date - Enter the date the form is signed by the contractor’s preparer.
21. Local Agency Representative’s Signature - A Local Agency Representative must sign their name to certify that the contracting records and on-site performance of the DBE(s) has been monitored.
22. Local Agency Representative’s Name - Enter the name of the Local Agency Representative signing the form.
23. Phone - Enter the area code and telephone number of the person signing the form.
24. Date - Enter the date the form is signed by the Local Agency Representative.
July 23, 2015
PWCP 23‐002 – AVENUE K AT GRADE CROSSING
STAFF REPORT
City of Lancaster
CC 7
5/23/2023
JC
Date: May 23, 2023
To: Mayor Parris and City Council Members
From: Marissa Diaz, Director – Public Works
Sheila Niebla, Senior Engineer – City Engineering
Subject: Approval of Agreement for Design Services for Avenue J At-Grade Crossing (Reference PWCP 24-001)
Recommendation:
Approve a Professional Services Agreement with Kimley-Horn and Associates, Inc., of Los Angeles, California, to provide Design Services for Avenue J At-Grade Crossing in the amount of $935,762.22, with a 10% contingency; and authorize the City Manager, or his designee, to sign all documents.
Fiscal Impact:
$1,029,338.44 (including 10% contingency); sufficient funds are available in Capital Improvements Budget Account Number 399-16ST031-924.
Background:
On June 11, 2021, the State of California, Department of Transportation (Caltrans) Highway Railroad Grade Crossing Safety Program (Section 130) approved Service Contract 50LP287 with the City of Lancaster for safety improvements at-grade crossings located at the intersection of Avenue J and both the Union Pacific Railroad (UPRR), and the Southern California Regional Rail Authority (SCRRA) (collectively referred to as “Railroads”) tracks in the City of Lancaster.
This Section 130 project is a combined effort of improvements between the City of Lancaster and the Railroads. Each Agency is contracted separately with Caltrans for funding, and is responsible for its portion of the improvements. The City of Lancaster is responsible for, and will lead the civil improvements including but not limited to, grading, roadways, sidewalks, curb ramps, pedestrian channelization, traffic signals, street lighting, utility relocation, traffic signing, striping, and markings, etc. The Railroads are responsible for any railroad related improvements and railroad signal work.
On February 13, 2023, the City advertised Request for Qualifications (RFQ &P 787-23) for Design 1 2
7 5
Services for Avenue J At-Grade Crossing. The RFQ was listed on the City’s website, and the City’s online bidding service (PlanetBids). On March 6, 2023, the City received only one (1) qualified response to this advertisement. A selection committee consisting of five (5) members reviewed and assessed the Statement of Qualifications (SOQ). Due to the complexity and aggressive schedule of this project, the City filed a Non-Competitive Determination for A&E Contracts with the Section 130 Program Manager and received the approval to proceed. On April 19, 2023, the City received the negotiated proposal with Kimley-Horn and Associates, Inc.
The project may trigger the need for drainage-related Regulatory Permits. As such, during negotiations, the Consultant was asked to provide optional pricing for additional services. The amount recommended for approval includes a base total of $860,635.89, plus optional tasks totaling $75,126.33, for a grand total amount of $935,762.22. Optional tasks for Regulatory Permit services will be authorized separately in writing and only if the need arises.
SN:DL/km
Attachments:
Professional Services Agreement
Vicinity Map
AGREEMENT FOR PROFESSIONAL CONSULTANT SERVICES
THIS AGREEMENT FOR CONSULTING SERVICES (this “AGREEMENT”) is made and entered into this _____ day of _____________, 20___, by and between the CITY OF LANCASTER, a municipal corporation and charter city (the “OWNER”), and KIMLEY-HORN AND ASSOCIATES, INC., (the “CONSULTANT”).
RECITALS
WHEREAS, OWNER desires to engage CONSULTANT to perform certain technical and professional services, as provided herein, identified as:
DESIGN SERVICES
AVENUE J AT-GRADE CROSSING (REFERENCE PWCP 24-001)
WHEREAS, the principal members of CONSULTANT are qualified and duly registered/licensed under the laws of the State of California, and CONSULTANT desires to accept such engagement;
NOW, THEREFORE, the parties agree as follows:
1. Parties to the AGREEMENT.
The parties to this AGREEMENT are:
A. OWNER: City of Lancaster
Kimley-Horn and Associates, Inc.B. CONSULTANT:
2. Notices. All written notices required by or related to this AGREEMENT shall be sent by Certified Mail, Return Receipt Requested, postage prepaid and addressed as listed below. Neither party to this AGREEMENT shall refuse to accept such mail; parties to this AGREEMENT shall promptly inform the other party of any changes of address. All notices required by this AGREEMENT are effective on the day of receipt, unless otherwise indicated herein.
OWNER Public Works Director
City of Lancaster
44933 North Fern Avenue
Lancaster, California 93534
CONSULTANT Robert D. Blume, P.E., Vice President
Kimley-Horn and Associates, Inc.
660 South Figueroa Street, Suite 2050
Los Angeles, CA 90017
3. Successors and Assigns. The terms hereof shall be binding upon and inure to the benefit of the successors and assigns of the parties hereto; provided, however, that no party hereto shall assign any of the benefits and burdens hereunder, whether voluntarily or by operation of law, without prior written consent of the other party, and any such assignments without said consent shall be void. - 1 -
4. Incorporation by Reference. The Request for Qualifications – RFQ 787-23 DESIGN SERVICES PWCP 24-001 AVENUE J AT-GARDE CROSSING and CONSULTANT’S Statement of Qualifications and Proposal are hereby incorporated in and made a part of this AGREEMENT.
CONSULTANT agrees to comply with all of the requirements set forth therein.
5. Precedence of AGREEMENT Documents. If there is a conflict between AGREEMENT documents, the document highest in precedence shall control. The precedence shall be:
First:
Second:
This AGREEMENT consisting of 85 pages
Request for Qualifications – RFQ 787-23 DESIGN SERVICES PWCP 24-001 AVENUE J AT-GRADE CROSSING
Third: The CONSULTANT’S Statement of Qualifications and Proposal
6. Description of Work. OWNER hereby engages CONSULTANT, and CONSULTANT accepts such engagement, to perform the technical and professional services set forth in the “Scope of Services” attached hereto as Exhibit “A”. CONSULTANT shall perform and complete, in a manner satisfactory to OWNER, all work and services set forth in Exhibit “A”. The Public Works Director or their designee shall have the right to review and inspect the work during the course of its performance at such times as may be specified by the Public Works Director, or their designee.
7. Obligations of the OWNER.
A. The total compensation to be paid by OWNER to CONSULTANT for all work and services described in Exhibit “A” is not to exceed $860,635.89. CONSULTANT’S fees and charges for the work and services performed shall in no event exceed those set forth in Exhibit “B” attached hereto and made a part hereof.
B. No payment made hereunder by OWNER to CONSULTANT, other than the final payment, shall be construed as an acceptance by OWNER of any work or materials, nor as evidence of satisfactory performance by CONSULTANT of its obligations under this AGREEMENT.
8. Obligations of the CONSULTANT.
A. CONSULTANT shall perform as required by this AGREEMENT.
CONSULTANT also warrants on behalf of itself and all subcontractors engaged for the performance of this AGREEMENT.
B. CONSULTANT shall be responsible for payment of all employees' and subcontractor's wages and benefits, and shall comply with all requirements pertaining to employer's liability, workers' compensation, unemployment insurance, and Social Security.
9. Senate Bill 854.
SB 854 bill signed into law on June 20, 2014, established a new public works contractor registration program to replace prior Compliance Monitoring Unit (CMU) and Labor Compliance Program (LCP) requirements for bond-funded and other specified public works projects.
The Department of Industrial Relations (DIR) requires all contractors and subcontractors who bid or perform work on a public works project (as defined under the Labor Code) be subject to a registration and annual renewal fee. Contractors must apply online and meet minimum qualifications to be registered as eligible to bid and work on public works projects. The requirement to list only registered contractors and subcontractors on bids becomes effective on March 1, 2015. The requirement to only - 2 -
use registered contractors and subcontractors on public works projects applies to all projects awarded on or after April 1, 2015. This project shall comply with the requirement of SB 854.
Coverage is not limited only to work performed at the construction site by the traditional construction trades, but extends broadly to workers employed “in the execution of” the public works contract.
Survey and Geotechnical Services will only need to register if the scope of services provided would require the payment of prevailing wage and be considered to be covered under the California Labor Code. Even though survey and geotechnical services typically are viewed as consultants and generally do not necessarily fit the term “contractor,” compliance with section SB 854 will be required by the Department of Industrial Relations ("DIR"). Essentially, if the services provided by a survey or geotechnical services firm would be considered to be covered under the applicable California Labor Code sections, then they should register. It should be noted that only the firm needs to register and not individual licensed design professional(s).
Attention is directed to the revisions to Labor Code Section 4. 1725.5 and Section 5. 1771.1:
A. SECTION 4 1725.5
“A contractor (consultant) must be registered pursuant to this section in order to be qualified to bid on, be listed in a bid proposal pursuant to Section 4104 of the Public Contract Code, or engage in the performance of any contract for public work that is subject to requirements of this chapter. (a) To qualify for registration under this section, a contractor must do all of the following:
(1) Beginning July 1, 2014, register with the Department of Industrial Relations in the manner prescribed by the department and pay an initial non-refundable application fee of $300 to qualify for registration under this section and an annual renewal fee on or before July 1st each year thereafter. The annual renewal fee shall be in a uniform amount set by the Director of Industrial Relations, and the initial registration and renewal fees may be adjusted no more than annually by the director to support the costs specified in Section 1771.3.
(2) Provide such evidence, disclosures, or releases as are necessary to establish all of the following:
(A) Worker’s Compensation coverage that meets the requirements of Division 4 (commencing with Section 3200) and includes sufficient coverage for any worker who the contractor will employ to perform work that is subject to prevailing wage requirements other than a contractor who, is separately registered under this section.
Coverage may be evidenced by a current and valid Certificate of Workers’ Compensation Insurance or Certification of Self-Insurance required under Section 7125 of the Business and Professions Code.
(B) Where applicable, the contractor is licensed in accordance with Chapter 9 (commencing with Section 7000) of the Business and Professions Code. (C) The contractor does not have any delinquent liability to an employee or the state for any assessment of back wages, or related damages, interest, fines, or penalties pursuant to any final judgment, order, or determination by a court or any federal, state, or local administrative agency, including a confirmed arbitration award. However, for any judgment, order, or determination that is under appeal, provided that the contractor has - 3 -
secured the payment of any amount eventually found due through a bond or other appropriate means.
(D) The contractor is not currently debarred under Section 1777.1 or under any other federal or state law providing for the debarment of contractors from public works. (E) The contractor has not bid on a public works contract, been listed in a bid proposal, or engaged in the performance of a contract for public works without being lawfully registered in accordance with this section, within the preceding 12 months, or since the effective date of the requirements set forth in subdivision (f), whichever is shorter. For a contractor found to be in violation of the requirements of this paragraph only, the period of disqualification shall be waived if: (i) the contractor has not previously been found to be in violation of the requirements of this paragraph within the preceding 12 months; and (ii) the contractor pays an additional non-refundable penalty registration fee of $2,000. (b) Fees received pursuant to this section shall be deposited in the State Public Works Enforcement Fund established pursuant to Section 1771.3 and shall be used only for the purposes specified in subdivision (b) of Section 1771.3 (c) The term “contractor,” as used in this section, shall include any subcontractor or “consultant”, as defined in Section 1722.1.
(d) A contractor who fails to pay the renewal fee required under paragraph (1) of subdivision (a) on or before the expiration of any prior period of registration shall be prohibited from bidding on or engaging in the performance of any contract for public work until once again registered pursuant to this section. A contractor who inadvertently fails to pay the renewal fee may retroactively renew its registration by paying an additional non-refundable penalty renewal fee equal to the amount of the renewal fee within 90 days of the date of the renewal fee.
(e) The requirements of this section shall not apply with respect to any contract, which as a result of a determination by the Director of Industrial Relations pursuant to Section 1773.5 or decision by a court that classifies, after the time at which the body awarding the contract accepts the contractor’s bid or awards the contractor a contract, the work covered by the bid or contract as a “public work,” as defined in this chapter, to which Section 1771 applies, provided that:
(1) The body awarding the contract failed to identify as a public work, in the bid specification or in the contract documents that portion of the work that the determination or decision classifies as a “public work.”
(2) Within twenty (20) days following service of notice on the awarding body of a determination by the Director of Industrial Relations pursuant to Section 1773.5 or a decision by a court that the contract was for public work as defined in this chapter, the contractor and any subcontractors are registered under this section or are replaced by a contractor or subcontractors who are registered under this section. (3) The requirements of this section shall apply prospectively only to any bid, bid proposal, contract, or work performed after the awarding body is served with notice of the determination or decision referred to in paragraph (2) of this subdivision. - 4 -
(f) The requirements of this section shall apply to any bid proposal submitted on or after March 1, 2015, and any contract for public work, as defined in this chapter, entered into on or after April 1, 2015.”
B. SECTION 5 1771.1
(a) No contractor or subcontractor shall be qualified to bid on, be listed in a bid proposal pursuant to Section 4104 of the Public Contract Code, or engage in the performance of any contract for public work, as defined in this chapter, unless currently registered to perform public work pursuant to Section 1725.5 It shall not be a violation of this section for an unregistered contractor to submit a bid that is authorized by Section 7029.1 of the Business and Professions Code or by Sections 10164 or 20103.5 of the public work pursuant to Section 1725.5 at the time the contract is awarded.
(b) Notice of this requirement shall be included in all bid invitations and public works contracts, and no bid shall be accepted nor any contract or subcontract entered into without proof of the contractor or subcontractor’s current eligibility to perform public work pursuant to Section 1725.5.
(c) An inadvertent error in listing a subcontractor who is not registered pursuant to Section 1725.5 in a bid proposal shall not be grounds for filing a bid protest or grounds for considering the bid nonresponsive, provided that any of the following requirements are met:
(1) the subcontractor is registered prior to the bid opening; (2) within 24 hours after the bid opening the subcontractor is registered and has paid the penalty registration fee specified in paragraph (E) of subdivision (2) of Section 1725.5; or (3) the subcontractor is replaced by another registered subcontractor pursuant to Section 4107 of the Public Contract Code. (d) Failure by a subcontractor to be registered to perform public work as required by subdivision (a) of this Section shall be grounds under Section 4107 of the Public Contract Code for the contractor, with the consent of the awarding authority, to substitute a subcontractor who is registered to perform public work pursuant to Section 1725.5 in place of the unregistered subcontractor.
(e) The DIR shall maintain on its website a list of contractors who are currently registered to perform public work pursuant to Section 1725.5.
(f) A contract entered into with any contractor or subcontractor in violation of subdivision (a) shall be subject to cancellation. However, no contract for public work shall be unlawful, void, or voidable solely due to the failure of the awarding body, contractor, or any subcontractor to comply with the requirements of Section 1725.5 or this section.
A. This section shall apply to any bid proposal submitted on or after March 1, 2015, and any contract for public work entered into on or after April 1, 2015. This project shall comply with the requirements of SB 854.
10. Payment of Prevailing Wage.
A. The State of California, Department of Industrial Relations, has ascertained the general prevailing rate of wages and employer payments for health and welfare, vacation, pension, and similar purposes applicable to the field work to be done. These rates shall be the minimum wage rates for this - 5 -
project. These rates are on file with the City of Lancaster and copies will be made available to any interested party upon request.
Attention is directed to the provisions of Section 1777.5 (Chapter 1411, Statutes of 1968) and Section 1777.6 of the Labor Code concerning the employment of apprentices by the CONSULTANT or any subcontractor under him.
Section 1777.5, as amended, requires the CONSULTANT or subcontractor employing tradesmen in any apprenticeable occupation to apply to the joint apprenticeship committee nearest the site of the public works project and which administers the apprenticeship program in that trade for a certificate of approval. The certificate will also fix the ratio of apprentices to journeymen that will be used in the performance of the contract. The ratio of apprentices to journeymen in such cases shall not be less than one to five except:
(A) When unemployment in the area of coverage by the joint apprenticeship committee has exceeded an average of 15% in the 90 days prior to the request for certificate; or (B) When the number of apprentices in training in the area exceeds a ratio of one to five; or (C) When the trade can show that it is replacing at least 1/30 of its membership through apprenticeship training on an annual basis statewide or locally; or (D) When the CONSULTANT provides evidence that he employs registered apprentices on all of his contracts on an annual average of not less than one apprentice to eight journeymen.
The CONSULTANT is required to make contributions to funds established for the administration of apprenticeship programs if he employs registered apprentices or journeymen in any apprenticeable trade on such contracts and if other Contractors on the public works site are making such contributions.
The CONSULTANT and any subcontractor under them shall comply with the requirements of Section 1777.5 and Section 1777.6 in the employment of apprentices.
Information relative to apprenticeship standards, wage schedules, and other requirements may be obtained from the Director of Industrial Relations, ex officio the Administrator of Apprenticeship, San Francisco, California, or from the Division of Apprenticeship Standards and its branch offices.
B. The provisions of subsection A above shall be included in all solicitations or advertisements placed by or on behalf of CONSULTANT for personnel to perform any services under this AGREEMENT. OWNER shall have access to all documents, data and records of CONSULTANT and its subcontractors for purposes of determining compliance with the Prevailing Wage provisions of this Section.
11. Audit. OWNER shall have the option of inspecting and/or auditing all records and other written materials used by CONSULTANT in preparing its statements to OWNER as a condition precedent to any payment to CONSULTANT.
12. Hold Harmless and Indemnification. CONSULTANT agrees to indemnify and hold harmless the OWNER, its officers and employees, from and against any and all claims, losses, obligations, or liabilities whatsoever, including reasonable Attorney’s fees, incurred in or in any manner arising out of or related to CONSULTANT’S negligent or willful wrongful acts, errors or omissions, or those of its employees or agents. CONSULTANT agrees to defend OWNER, it officers and employees, - 6 -
from and against any and all claims arising from any alleged negligent or wrongful acts, errors or omissions on the part of CONSULTANT or on the part of its employees.
13. Amendments. Any amendment, modification, or variation from the terms of this AGREEMENT shall be in writing and shall be effective only upon mutual written approval by the Public Works Director and CONSULTANT.
14. Non-Discrimination and Equal Employment Opportunity.
A. In the performance of this AGREEMENT, CONSULTANT shall not discriminate against any employee, subcontractor, or applicant for employment because of race, color, religion, ancestry, sex, national origin, physical or mental disability or age. CONSULTANT will take affirmative action to ensure that subcontractors and applicants are employed, and that employees are treated during employment without regard to their race, color, religion, ancestry, sex, national origin, physical or mental disability or age. Affirmative action relating to employment shall include, but not be limited to the following: employment, upgrading, demotion or transfer; recruitment; layoff or termination; rates of pay or other forms of compensation; and selection for training including apprenticeship.
B. The provisions of subsection A above shall be included in all solicitations or advertisements placed by or on behalf of CONSULTANT for personnel to perform any services under this AGREEMENT. OWNER shall have access to all documents, data and records of CONSULTANT and its subcontractors for purposes of determining compliance with the equal employment opportunity and non-discrimination provisions of this Section.
15. Termination for Convenience. The governing board of the OWNER may terminate this AGREEMENT at any time without cause by giving fifteen (15) days written notice to CONSULTANT of such termination and specifying the effective date thereof. In that event, all finished or unfinished documents and other materials shall, at the option of OWNER, become the OWNER's property. If this AGREEMENT is terminated by OWNER as provided herein, CONSULTANT will be paid a total amount equal to its costs as of the termination date, plus ten percent (10%) of that amount for profit. In no event shall the amount payable upon termination exceed the total maximum compensation provided for in this AGREEMENT.
16. Termination for Cause.
A. The governing board of the OWNER may, by written notice to CONSULTANT, terminate the whole or any part of this AGREEMENT in any of the following circumstances:
(1) If CONSULTANT fails to perform the services required by this AGREEMENT within the time specified herein or any authorized extension thereof; or (2) If CONSULTANT fails to perform the services called for by this AGREEMENT or so fails to make progress as to endanger performance of this AGREEMENT in accordance with its terms, and in either of these circumstances does not correct such failure within a period of ten (10) days (or such longer period that OWNER may authorize in writing) after receipt of notice from OWNER specifying such failure.
B. In the event OWNER terminates this AGREEMENT in whole or in part as provided above in paragraph A of this Section, OWNER may procure, upon such terms and in such manner as it may deem appropriate, services similar to those terminated. - 7 -
C. If this AGREEMENT is terminated as provided above in paragraph A, OWNER may require CONSULTANT to provide all finished or unfinished documents, data, studies, drawings, maps, photographs, reports, etc., prepared by CONSULTANT. Upon such termination, CONSULTANT shall be paid an amount equal to the contract amount, less the cost of hiring another CONSULTANT to complete CONSULTANT's services. In the event no new CONSULTANT is employed, CONSULTANT shall be paid an amount equal to the value of the work performed. In ascertaining the value of the work performed up to the date of termination, consideration shall be given to completed work and work in progress, complete and incomplete drawings, and other documents whether delivered to OWNER or in possession of CONSULTANT, and authorized reimbursement expenses.
D. If, after notice of termination of the AGREEMENT under the provisions of this Section, it is determined, for any reason, that CONSULTANT was not in default, or that the default was excusable, then the rights and obligations of the parties shall be the same as if the notice of termination had been issued pursuant to Section 15.
17. Independent Contractor. CONSULTANT is an independent contractor and shall have no power or authority to incur any debt, obligation or liability on behalf of the OWNER. It is expressly understood between the parties to this AGREEMENT that no employee/employer relationship is intended; CONSULTANT is an independent contractor.
18. Insurance.
A. The CONSULTANT, at its expense, shall maintain in effect at all times during the term of this AGREEMENT the following coverage and limits of insurance, which shall be maintained with insurers listed "A-, VIII" or better in the Best's Key Rating Guide:
Commercial General Liability
Each Occurrence $5,000,000
Per Project General Aggregate $10,000,000
Including Products/Completed Operations; Contractual Liability/Independent Contractors; Property Damage
(Coverage shall be at least as broad as ISO form CG2010 11/85 or CG2010 07/04 and CG2037 07/04 combined, or an equivalent providing ongoing and completed operations)
Commercial Automobile Liability
Combined Single Limit per Accident for
Bodily Injury and Property Damage $10,000,000
(Coverage shall be at least as broad as ISO form CA00 01) Workers Compensation
As Required by the State of California Statutory Limits Employer’s Liability
Each Accident
Bodily Injury by Disease
Each Employee
$1,000,000
$1,000,000
$1,000,000
(A Waiver of Subrogation must be provided on behalf of the Certificate Holder for the Workers Compensation & Employers’ Liability policies) - 8 -
Professional Liability
Each Occurrence
General Aggregate
$10,000,000
$10,000,000
B. The Consultant’s insurance shall apply separately to each insured against whom claim is made or suit is brought, except with respect to the limits of the insured’s liability.
C. Professional liability insurance written on a “claims made” basis must be renewed for a period of three (3) years after this contract expires or is terminated. Such insurance must have the same coverage and limits as the policy that was in effect during the term of this contract and will cover Consultant for all claims made by the City insured entities arising out of any negligent acts or omissions of Consultant or its officers, employees, or agents during the time this Agreement was in effect.
D. Any deductibles or self-insurance retentions must be declared and approved by the
City. At the City’s option, either the insurer shall reduce or eliminate such deductibles or self- insured
retentions as respects the City insured entities or the insurer shall procure a bond guaranteeing payment
of losses and related investigations, claim administration and defense expenses.
E. All insurance (except professional liability and workers compensation) shall be primary and non-contributory as respects the City insured entities. Any insurance or self-insurance maintained by the City insured entities shall be in excess of the Consultant’s insurance and shall not contribute with it.
F. Consultant shall furnish the City with Certificates of Insurance and with original endorsements effecting coverage required by this Agreement. Certificates of Insurance shall meet the following requirements:
(1) Show that the insurance policy has been endorsed to state that coverage
shall not be suspended, voided, cancelled, reduced in coverage or in limits except after 30 days prior written notice (10 days written notice for non- payment) to the City of Lancaster.
(2) List in the “Descriptions of Operations/Locations/Vehicles” section:
DESIGN SERVICES
PWCP 24-001 AVENUE J AT-GRADE CROSSING
The City of Lancaster, its elected officials, officers, employees, and volunteers are included as additional covered parties, but only insofar as the operations under this contract are concerned.”
(3) List in the “Certificate Holder” section:
The City of Lancaster
44933 Fern Avenue
Lancaster, California 93534
- 9 -
G. Consultant shall include all subcontractors as an insured under its policies or shall furnish separate certificates and endorsements for each subcontractor. Subcontractors are subject to the same insurance requirements as the Consultant.
19. Commencement and Completion of Work. The execution of this AGREEMENT by the parties does not constitute an authorization to proceed. The services of CONSULTANT shall commence when the OWNER, acting by and through its Public Works Director or their designee, has issued the Notice to Proceed.
CONSULTANT shall have no claim for compensation for any services or work which has not been authorized by the OWNER's Notice to Proceed.
20. Extension of Time for Completion of Work.
A. If, at any time, the work is delayed due to suspension order by OWNER, or due to any other cause which, in the reasonable opinion of the OWNER, is unforeseeable and beyond the control and not attributable to the fault or negligence of CONSULTANT, then CONSULTANT shall be entitled to an extension of time equal to said delay, subject to the OWNER's right to terminate this AGREEMENT pursuant to Section 15.
B. CONSULTANT shall submit to OWNER a written request for an extension of time within ten (10) days after commencement of such delay, and failure to do so shall constitute a waiver thereof. OWNER shall, in its sole discretion, determine whether and to what extent any extensions of time shall be permitted.
C. No extension of time requested or granted hereunder shall entitle CONSULTANT to additional compensation unless, as a consequence of such extension, additional work must be performed. In such event, OWNER shall in good faith consider any request for additional compensation submitted by CONSULTANT.
21. Ownership of Documents. All plans, specifications, reports, studies, tracings, maps and other documents prepared or obtained by CONSULTANT in the course of performing the work required by this AGREEMENT shall be the property of the OWNER. Basic survey notes, sketches, charts, computations and similar data prepared or obtained by CONSULTANT under this AGREEMENT shall, upon request, be made available to OWNER without restriction or limitation on their use. Any modification made by the City to any of the Consultants documents, or any use, partial use, or reuse of the documents without written authorization or adaptation by the Consultant will be at the City’s sole risk and without liability to the Consultant.
22. Data Provided to CONSULTANT. OWNER shall provide to CONSULTANT, without charge, all data, including reports, records, maps and other information, now in the OWNER's possession which may facilitate the timely performance of the work described in Exhibit “A”.
23. CONSULTANT's Warranties and Representations.
CONSULTANT warrants and represents to OWNER as follows:
A. CONSULTANT has not employed or retained any person or entity, other than a bona fide employee working exclusively for CONSULTANT, to solicit or obtain this AGREEMENT. - 10 -
B. CONSULTANT has not paid or agreed to pay any person or entity, other than a bona fide employee working exclusively for CONSULTANT, any fee, commission, percentage, gift, or any other consideration contingent upon or resulting from the execution of this AGREEMENT. Upon any breach or violation of this warranty, OWNER shall have the right, in its sole discretion, to terminate this AGREEMENT without further liability, or, in the alternative, to deduct from any sums payable hereunder the full amount or value of any such fee, commission, percentage or gift.
C. CONSULTANT has no knowledge that any officer or employee of the OWNER has any interest, whether contractual, noncontractual, financial, proprietary, or otherwise, in this transaction or in the business of the CONSULTANT, and that if any such interest comes to the knowledge of CONSULTANT at any time, a complete written disclosure of such interest will be made to OWNER, even if such interest would not be deemed a prohibited "conflict of interest" under applicable laws.
D. Upon the execution of this AGREEMENT, CONSULTANT has no interest, direct or indirect, in any transaction or business entity which would conflict with or in any manner hinder the performance of services and work required by this AGREEMENT, nor shall any such interest be acquired during the term of this AGREEMENT.
24. Resolution of Disputes.
A. Disputes regarding the interpretation or application of any provisions of this AGREEMENT shall, to the extent reasonably feasible, be resolved through good faith negotiations between the parties.
B. If the parties cannot resolve the dispute through good faith negotiations, either party may give Notice of Dispute to the other party. The Notice of Dispute shall state the nature of the dispute and the corrective action necessary to remedy the dispute.
After Notice of Dispute, the parties shall first attempt to resolve any disputes by mediation. The parties shall agree on a single mediator. Mediation shall be conducted in Lancaster, California. Each party shall pay its own attorneys’ fees and the costs of mediation shall be split equally between the parties.
If the dispute has not been resolved by mediation within 45 days after Notice of Dispute, or the parties are unable to agree to a mediator, within 15 days after Notice of Dispute, then, the dispute may, upon agreement of the parties be resolved by binding arbitration.
25. Exhibits.
The following exhibits to which reference is made in this AGREEMENT are deemed incorporated herein in their entirety:
Exhibit "A" Scope of Services
Exhibit “B” Term, Payment and Time for Commencement and Completion Clause Exhibit “C” State and Federal Provisions
Exhibit “D” State and Federal Forms
- 11 -
26. Governing Law.
This AGREEMENT shall be governed by the laws of the State of California.
27. Effective Date.
This AGREEMENT shall become effective as of the date set forth below on which the last of the parties, whether OWNER or CONSULTANT, executes said AGREEMENT. - 12 -
IN WITNESS WHEREOF, the parties hereto have caused this AGREEMENT to be executed and attested by their respective officers thereunto duly authorized. “OWNER”
CITY OF LANCASTER
LANCASTER, CALIFORNIA
Approved By Department Head:
By:
Marissa Diaz, Public Works Director
Dated:
By:
Jason Caudle, City Manager
Dated:
"CONSULTANT"
KIMLEY-HORN AND ASSOCIATES, INC.
By:
Robert D. Blume, P.E., Vice President
Dated:
ATTEST:
Andrea Alexander, CMC
City Clerk
APPROVED AS TO FORM:
Allison E. Burns, Esq.
City Attorney
- 13 -
EXHIBIT "A"
SCOPE OF SERVICES
The Consultant shall maintain separate costs for each project and shall identify the costs specific to each project.
The work to be performed under this contract shall include:
SEE ATTACHED
PW-123 (1/14)
EXHIBIT “A”
SCOPE OF SERVICES
PROJECT LOCATION AND DESCRIPTION
PWCP 24-001 – AVENUE J AT-GRADE CROSSING
CPUC ID: 001B-406.10
FED ID: STPLR-7500(287)
CALTRANS ID: 0721000027
The project is located in the City of Lancaster near Sierra Highway, at the grade crossings located at the intersection of Avenue J and both the Union Pacific Railroad (UPRR) and the Southern California Regional Rail Authority (SCRRA).
Project Safety Elements, Expectations:
•
•
Pre-signal to mitigate queue on tracks
Advance preemption time to clear design vehicle from the MUTCD worst-case scenario
•
•
R3-1 blank-out signs to provide additional visual warning to right-turn motorist during crossing activation
ADA compliant sidewalks, full pedestrian treatment with pedestrian gates, emergency egress swing gates to provide pedestrian safety
•
•
Construction of center medians to the current standards Right-of-way fencing to deter trespassing
Proposed Improvements:
•
•
•
Install pre-signal for westbound Avenue J, and replace existing traffic signal heads to program visibility heads on the existing traffic signal mast for WB traffic.
Install train activated R3- l No Right Tum blank-out signs on Sierra Hwy northbound signal masts.
Reconstruct the median islands:
o The east median island for approximately 350 feet.
o The west median island for approximately 40 feet.
o Islands must be a minimum of ten feet wide at the location of the railroad warning devices.
•
•
Utility Relocation.
Install concrete sidewalk:
o In the northeast quadrant for approximately 125 feet. o In the northwest quadrant for approximately 40 feet.
o In the southeast quadrant for approximately 265 feet. o In the southwest quadrant for approximately 35 feet.
Install one pedestrian curb ramp.
Install detectable warning (tactile strips) on all sidewalk approaches.
Install road striping and signage
Install street lighting.
Install emergency egress swing gates and channelization in all four quadrants of the crossing.
•
•
•
•
•
•
•
Install approximately 300 feet of fencing.
Pavement rehabilitation (Non-Participating)
Crossing improvements shall be designed to meet SCRRA Engineering standard - ES 4011.
SERVICES TO BE PROVIDED
GENERAL
The work shall comply with the requirements of all of the following without limitation:
1. Federal laws
2. State laws
3. Local laws
4. Rules and regulations of governing utility districts
5. Rules and regulations of other authorities with jurisdiction over the procurement of products
6. Engineering standards of all with jurisdiction
7. Requirements of Caltrans Funding Agreement
TASK 1 PROJECT ADMINISTRATION AND MANAGEMENT
General
The purpose of the Project Management is to deliver projects within scope, schedule and cost, anticipate and respond to issues before they become problems, communicate effectively, manage changes, and manage risks.
The Consultant shall be responsible for project management activities throughout the life of the contract and the scope of activities includes but is not limited to, coordinating and being responsible for scheduling meetings, managing the project schedule, preparing and distributing minutes, field reviews, tracking action items for the City of Lancaster and consultant sub-
contractors, and preparing all submissions for the City of Lancaster to submit to Caltrans Local Assistance.
The Consultant shall establish and apply internal accounting methods and procedures acceptable to the City and Caltrans for documenting and monitoring contract costs. The Consultant shall submit a consolidated monthly invoice for each project separately, in a format acceptable to the City and broken down in a manner consistent with the Work Plan. The Consultant shall include with the monthly invoice a progress report that reflects the work completed within the invoice period and projected action items. Payments to the Consultant are to be in arrears. The Consultant must have actually incurred and paid the costs before invoicing the City.
The Consultant shall provide all applicable documentation, mapping, plans, forms and specifications to the City that facilitate successful submittal and approval of the Caltrans Request for Authorization for each phase of work such as Right of Way, Utility Relocation and Construction.
• Stakeholder Coordination and Support
Consultant shall coordinate with various Project stakeholders on various components pertaining to the City of Lancaster portion of the overall Project. This includes:
Railroads (SCRRA and UPRR) –
o The Consultant shall support the City in preparing Agreements between the City and Railroads. These Agreements are required to be executed once the design phase is completed.
o The Consultant shall coordinate with the Railroads to ensure at grade crossings are designed and in compliance with SCRRA’s and UPRR’s latest standards and design criteria. The Consultant shall coordinate with the Railroads to ensure the City’s interconnection traffic signaling system are properly designed and interconnected to the Railroads. The Consultant will confirm the City and the Railroads have agreed on the Advance Preemption Timing (APT) needed for each crossing before commencing the final design. In the preliminary project planning, the City and Railroads have already agreed to keep the APT at or close to 50 seconds of total warning time.
Caltrans – The Consultant shall support the City (as needed) in coordination with Caltrans for NEPA clearance, ROW Certification, construction authorization and the required exhibits and project documentation consistent with federal aid projects in the Caltrans Local Assistance Procedures Manual.
CPUC - It is required that the GO88 application is submitted and approved for each project before construction. The Consultant shall support the City in the GO88 application process including preparing the application, exhibits, drawings, forms, and any other information as requested by CPUC.
City of Lancaster - The Consultant shall coordinate with the following City Divisions during design or as needed: Capital Engineering Division (primary), Community Development Division (Planning Group), City Engineering Division (Traffic Engineering Group), Public Works Division, Utilities Services Division, and Parks, Recreation, and Arts Department. Any correspondence between Consultant and City employees, other than the Project Manager, shall be copied same day to the Project Manager as well as in the final deliverables. • Schedule Management Plan and Progress Report
The Consultant shall prepare and maintain a Critical Path Method (CPM) schedule for each project through the completion of the design. At the start of design, the Consultant is required to submit an electronic and hard copy of the schedule to confirm the milestone dates, detailed schedule assumptions and any additional milestones dates. The City will review and confirm if the schedule is acceptable.
The Consultant shall furnish a monthly schedule update and project status reports to the COL throughout the duration of the project. The monthly reports are critical to forecast resource needs and ensure the appropriate staff and support services are available, when needed, to deliver the project on schedule and within budget. Consultant shall promptly notify the Project Manager of any scope, schedule or budget issues that may arise. • Project Work Plan
The Consultant will prepare a Project Work Plan (PWP). The PWP shall provide details of project work tasks and how the Consultant will manage the project and accomplish the specific work tasks. The PWP shall include a proposed schedule and shall describe how the Consultant will control the schedule. The PWP shall also include a schedule recovery plan for situations when the Consultant fails to meet milestones.
In addition, the PWP shall include summary of organization responsibilities and contacts, task budgets, reporting and invoicing procedures, quality assurance plan, and project filing system.
The Work Plan shall be submitted to the City prior to the first invoice.
• Meeting and Coordinating with SCRRA, UPRR, CPUC, and Caltrans The Consultant shall coordinate with the SCRRA, UPRR, CPUC, and Caltrans throughout the design phases of this project, including setting up meetings to discuss the Project early on and to incorporate any design requirements SCRRA, UPRR CPUC and City of Palmdale may have for the Preliminary Design. The Consultant shall prepare meeting agenda and meeting minutes for each meeting.
Meeting Frequency:
o
o
Kick-Off Meeting: shall be held shortly after the issuance of the Notice to Proceed.
Progress and Design Coordination Meetings: shall be held monthly with all the stakeholders. Assume six (6) meetings total for each project. o Additional Meetings: shall be held as required or needed with the City, other agencies, stakeholders or utility companies.
• Quality Assurance/Quality Control (QA/QC) Plan
The Consultant is required to have an effective quality assurance/quality control process, which defines the procedures that govern the initiation, progress and execution of design work. The Consultant shall provide specific information on qualifications, experience and roles of the QA/QC manager and other personnel involved in QA/QC, and have experience in drawing checking, constructability checks, estimating and specifications.
This task is required to verify that no unsafe design changes have been made or proposed, geometric layout has not been critically altered, improvement goals are being met, economy of project is maintained, plans are consistent across improvements, there are no conflicts between trades, and construction integrity of the design is ensured. • Third Party Permits
The Consultant shall prepare for the City's signature permits to enter and any other necessary permits/right of entry from landowners for all research, such as surveying, geotechnical, and any other design-related work.
The Consultant shall also identify all third party permits that may be required to construct the project. The Consultant will prepare and submit permit applications, plans, specifications, details, and other applicable documents to appropriate local authorities for initial review during earlier design progress submittals, preferably at 60% Design submittal. All permit applications shall be prepared and submitted by the Consultant by completion of Final Design. Permits that
must be obtained prior to award of the construction project shall be secured by the Consultant in coordination with the Project Manager in advance of project advertising. • Programmatic Studies and Services
In addition to the Avenue J At-Grade Crossing, the City will design and install concurrent improvements for the Avenue M and Avenue K At-Grade Crossings, each under separate contract. The Consultant shall provide the following programmatic, corridor wide, studies and services:
1. Traffic Forecasting
2. Traffic Circulation Impact Analysis
3. Environmental Setting/Existing Conditions
a. Community and Neighborhoods
b. Biology
c. Cultural Resources
Cost shall be split and apportioned according to the approximate level of effort required for each project.
TASK 2 RESEARCH
• Records, Survey Records, Mapping and Right-of-Way (ROW) The Consultant shall obtain all records search as current sub-surface and overhead utilities, existing easements and dedications, existing right-of-way, survey records, found Monumentation, existing track alignments, existing railroad signal and communications facilities, and other existing improvements in the vicinity of the projects.
Research pertinent record maps, right of way maps and assessor parcel information to compile the right-of-way boundaries.
The City will provide copies (PDF) of available record drawings within the City archives, to include: street plans, storm drain plans for facilities and pipelines, street lighting plans, traffic signal plans, signing and striping plans, LMD, sewer, water and recycled water plans, survey notes, Monumentation notes and Engineer tie sheets.
In general, the design shall make use of existing record drawings that show the property boundaries, streets, utilities, railroad tracks and structures, and other improvements.
• Site Visit and Field Investigation/Evaluation
The Consultant will visit the project site to review existing conditions as needed. The field investigation will be used to document general alignment, visually evaluate any noticeable or potential issues that may affect the design. Data collection will include photographs and sketches to assist in design and will be provided to the City. • Utility Coordination
This task includes coordinating with all impacted utility companies. The objective of this task is to coordinate with the utility companies to obtain information on the existing utilities and facilitate any relocation of the facilities in conjunction with this project. The Consultant shall positively locate all utilities in accordance with underground utilities to determine the depth for clearance and connection points or conflicts for any underground improvements, such as gas lines, sewer lines, storm drains, or water lines.
Research all existing utilities (including dry utilities). The Consultant shall request and obtain atlas maps and record drawings from utility companies by submitting Utility Notification Letter A to utility companies as soon as the Notice to Proceed (NTP) is issued.
At 60% design phase, the Consultant shall submit Utility Notification Letter B with copies of the plans to utility companies. And at 100% design phase, the Consultant to submit Utility Notification Letter C with copies of final signed plans to utility companies.
The Consultant shall prepare a Utility Matrix which summarizes all of the utilities within the project area and identifies whether each utility can be protected-in-place or will require relocation
In addition, utilities shall be identified by the Consultant by:
o Obtaining a list of project-area facilities from Underground Service Alert (DIGALERT) at 1-800-422-4133
o Reviewing past project as-built plans.
o Conducting a field survey to locate all visible utilities and determining location of all poles, manholes, valve boxes, street and traffic lights, and appurtenances o Performing potholing as necessary
Consultant shall identify all utilities within the project footprint and any potholing needs to confirm conflicts with the Project.
• Incidental Research
TASK 3 SURVEYS AND MAPPING
The Consultant shall be responsible for data collection, mapping and surveying necessary for preliminary engineering, design, cost estimates, right-of-way impacts, and the level of environmental clearance. The scope of comprehensive base mapping and surveying includes but is not limited to Control Surveys, Aerial Photogrammetry, Limited Design Level Topographic Surveys, Right-of-Way Retracement, and a Record of Survey.
Field survey shall include all mapping and surveying tasks required to produce a complete topographic map that may be used in support of civil design of improvements at each location for this project including all extended and transition limits for the purpose of striping, signing and markings per the Master Plan for Trails and Bikeways. As a minimum, cost shall include the following:
The Consultant shall perform design surveys to conform to the Caltrans Surveys Manual. Field locate vertical and horizontal controls (monuments and benchmarks.) Perform centerline control survey. All centerline intersections, beginning and ending curves and major control points shall be found (or established if not existing) and measured. If a point must be reset to establish the centerline, a comer record and/or record of survey must be filed with the County for all set points and a copy returned to the City.
Consultant shall conduct the design surveying necessary for the final engineering work.
Topographic base map will be produced by ground survey methods. The base maps shall identify all existing street improvements, drainage structures, fire hydrants, utility facilities, landscaping, striping, markings, signs, street lights, and other appurtenant improvements in each project area.
Consultant’s survey crew shall conduct site visits to gather data and details needed to design the project. For roadway, typical cross sections shall be at 50’ intervals, and shall include, but not be limited to: top of curb, flow-line, edge of gutter, edge of pavement, lane lines, centerline, curb and medians, angle points and curb returns (BCR, ECR and quarter deltas). The latitudinal limits of the survey will be within the street right-of-way and 250’ past the intersection unless otherwise specified. For bulb-outs, Consultant shall provide radial cross sections of existing and proposed grade at BCR, ECR and quarter deltas and shall, as a minimum, extend from the ROW to the street centerline.
All elevations shall be referenced to the closest found City and County benchmark. Flow line elevations along the gutter will be included to determine the limits of removal for curb and gutter. Design cross sections shall be plotted using a 1:4 vertical and a 1:40 horizontal scale at 50’ intervals to depict proposed and existing elevations and cross slope.
Download and compute survey data and prepare an editable AutoCAD drawing file. The mapping will be compiled at a scale of 1"=40' with a 1-foot contour interval. Each surveyed feature will be clearly labeled or noted by symbol as identified in the field.
Aerial mapping will be completed for the areas impacted by the proposed improvements and cross section design surveys will be performed within the limits of existing improvements. This will provide a composite survey of the areas impacted by the project for design purposes and will provide an overall exhibit for the project.
TASK 4 GEOTECHNICAL
It is the Consultant’s responsibility to identify the need for geotechnical investigation and testing in support of their design. The geotechnical investigation will include field investigation and exploration work to obtain representative soil samples and pavement cores for use in performing soil testing and report preparation for the geotechnical analysis of the subsurface material relating to all project excavations and subgrade preparation.
In preparation for the field exploration, Consultant will notify Underground Service Alert (USA) at least 48-hours prior to commencing the field work to locate know underground utilities or services where drilling geotechnical borings.
Geotechnical results shall be well documented and presented in a report in accordance with the City of Lancaster Engineering Design Guidelines, Policies and Procedures Manual. Geotechnical report shall include recommendations for new pavement structural sections. Coring logs shall note thickness of existing asphalt concrete pavement and thickness of existing pavement section aggregate base.
The following is an outline of the work:
a. Coordination with the supervising civil engineer and City of Lancaster staff regarding the scope and schedule of Consultant’s work and select location for pavement core and soil borings.
b. Coordination with the coring contractor and traffic control personnel prior to the start of work.
c. A no fee permit shall be obtained from the City of Lancaster prior to the start of geotechnical work.
d. Coordination and Clearance with underground service alert. e. Completion of cores through the existing asphalt concrete (AC) and/or Portland cement concrete (PCC) pavements.
f. Observations and documentation of subsurface materials exposed along the alignment at each core location. Subgrade soil samples will be collected at each location for lab
testing. Collection of soils may require the use of a hand auger in order to obtain a sufficient amount of soil to perform the testing.
g. Base material and pavement cores shall be immediately replaced/repaired following observation and/or sample collection, to minimize mobilization costs. Hot mix asphalt or Caltrans Set 45 shall be used for pavement repair.
h. Temporary traffic control shall be provided in accordance with the latest California MUTCD.
i. Perform R-value and soil classification testing on soil samples at each location. j. Prepare a report providing pavement design recommendations based on R-Value test results
TASK 5 ENGINEERING PLANS, SPECIFICATIONS AND ESTIMATES
Standards Requirements
The proposed improvements shall, at a minimum, follow the City of Lancaster Engineering Design Guidelines Policies and Procedures Manual and the requirements of a federal aid project, as defined in the current Caltrans Local Assistance Procedures Manual (LAPM).
Wherever the City guidelines are absent of the latest industry updates, standards or details, Consultant shall utilize the latest Standard Specifications and Plans for Public Works Construction (“Green Book”), the Los Angeles County Department of Public Works Design Standards and Caltrans Standards. Wherever there is a conflict in design standards, Consultant shall submit a clarification in writing to the City Project Manager for direction and approval.
In most cases, the more stringent design standards shall apply.
Consultant shall refer to the City’s Master Plan of Trails and Bikeways and Complete Streets for the development of the striping, signing and marking plans.
At grade crossings shall be designed per SCRRA and UPRR crossing standards. SCRRA’s and UPRR’s standards can be found in the link below.
https://metrolinktrains.com/globalassets/about/engineering/4000-grade-xing.pdf https://www.up.com/real_estate/roadxing/industry/index.htm
5.1 Engineering Plans
The final design shall include all the tasks necessary for a construction-ready project, including design surveys; preparation of plans, specifications and estimates; utility coordination and all permitting. The Engineering plans shall include title sheets, sections and details sheet, demolition sheet, street improvement – (plan, profile and cross sections sheets), Street Lighting Plans, and Signing and Striping Plans.
Cross sections are considered necessary to design the improvements, illustrate transitions and join to existing improvements, evaluate drainage, and to accurately establish the earthwork volumes and extent of construction or reconstruction beyond the ROW lines onto private property where, and if, necessary. Cross sections shall be prepared at a scale and frequency approved by the City and detailed herein.
The following plan sheets are anticipated to be included in the design:
a. Title Sheet - Includes project information, vicinity map, location map, benchmark, sheet index and City and utility contact information.
b. Notes - Contains City’s and Engineer’s standard notes, legend, and abbreviations. c. Survey Control – Contains Surveyor’s notes and benchmark information, control data, curve and line tables, and plan showing control points and start/end construction labeled in cyan and right-of-way lines labeled in proper colors per City of Lancaster standards. d. Sections and Details - Contains typical roadway sections, sheet layouts, and details for work described on the plans.
e. Demolition Sheet - Shows items to be removed, relocated, or protected. f. Plan and Profile Sheets – For the street improvements, standard roadway plan and profile sheets shall be used. The plan view will be prepared at a scale of 1”=40' for horizontal and 1”=10’ for vertical. The plans will identify the required work to construct the improvements of this project with stations, offsets, and elevations. Utility modifications to relocate clear of the proposed improvements shall also be shown on the plan view of the sheets. Where necessary, show utility relocations in details and profiles for better clarification. Bulb-out and curb profiles shall be included. The sheets will provide the appropriate construction callouts, including limits of the project, pavement areas, curb, gutter and sidewalk, bulb-outs, ramps, driveway conforms, and other details necessary to construct the project. The plans will include sufficient detail to locate the improvements based on roadway station callouts and horizontal line and curve data. The plan will include the right-of-way clearly marked and adjacent properties identified by parcel number and property owner.
g. Construction Details – Project details will be included as necessary. Details may include pavement section details, drainage details, utility relocation details, new utility construction details, etc. for the project design. However, details may also include curb return conforms or grading details. In addition, specific design criteria will be provided to accommodate and create safe and ADA compliant pedestrian facilities. Pavement structural section shall be designed to match existing intersection pavement or based on
a resulting Geotechnical Report R-values and Testing and Traffic Index as provided by the City.
h. Storm Drainage Improvement Plans - are not expected and outside of the scope of work.
Minor adjustments and relocations to existing drainage facilities shall be included with the street improvement plans.
i. Water System Improvement Plans – are not expected and outside of the scope of work.
Minor adjustments and relocations to existing water mainline and services facilities shall be included with the street improvement plans.
j. LS-3 Rate Schedule Electrical and Street Lighting Plans - A street lighting plan shall be produced for segment of street to receive street lighting. Plans shall consist of street light type and location, conduits, pull boxes, meter boxes & meter, electrical design and ties to existing circuits or service points and shall be prepared per City of Lancaster requirements for LS-3 Rate Schedule Street Lights. SCE preliminary work order maps shall be obtained and included with 60% PS&E and updated as needed with 90% PS&E.
Street light layout shall be prepared and stamped by a licensed Civil Engineer while electrical plans shall be prepared and stamped by a licensed Electrical Engineer. Meter pedestal addresses shall be obtained from the City and included on the plans. City standard street lights, street light design and street light layouts do not necessitate photometric calculations and will not be required.
Note: Consultant shall determine if existing overhead utilities will conflict with any proposed improvements and include an SCE approved high voltage contractor in the provisions of the improvement plans, specifications and estimate. k. Striping, Signing and Marking Plans - The plans will use California MUTCD references and detail numbers, where applicable and available, and specific information to specify signing, striping or pavement markings not included in the current manual. A schedule of proposed striping and a schedule of pavement markings will be shown on the plans.
Project limits to include all required approach striping. For Signs, the size, shape, lettering type and size, colors, and symbols, to specify signs not included in the current manual. A schedule of proposed signs will be shown on the plan. Project limits to include all required approach signing.
l. Electrical and Pedestrian Signal Improvement Plans – An electrical and pedestrian signal improvement plan shall be produced for any new installations, signal upgrades, removals or relocations, luminaires, fiber-optic, pedestrian signals, pull boxes, traffic utility controllers, meter boxes, conduit, connectivity and re-wiring. Plans shall consist of plan views of proposed signal/electrical locations (scale: 1” = 20’) with pole and equipment schedules, conductor schedules, pedestrian signal and electrical general notes, signal- phase diagrams, signal standard details, construction notes, legends and details.
All electrical and pedestrian signal design work shall be done in accordance with the Caltrans Standard Specifications and Standard Plans, dated 2015 and all amendments thereto, COL Standard Plans for Traffic Signal Systems, the National Electrical Code (2020 or latest adopted addition), the National Electrical Manufacturer’s Associate (NEMA), Underwriter’s Laboratories, Inc. (UL) and marked on equipment, requirements of the servicing utility companies and requirements of Federal, State or County agencies having jurisdiction. Consultant shall coordinate with SCE, Frontier, Time Warner, City Traffic Group and any other affected utility agency or property owners to determine all needed improvements/upgrades so electrical and pedestrian signal improvement plans are total and complete. SCE Preliminary Maps are required when revising, changing or adding new points of contact for power Consultant shall add all routes necessary to accommodate all points of contact. Electrical and signal plans shall be prepared and stamped by a licensed California Electrical Engineer. Addresses for meter and/or signal controller boxes shall be obtained from the City and included on the plans.
Traffic signal plans will be prepared at a 1” = 20’ scale using field review data, proposed improvement plans, and available as-builts.
m. Miscellaneous Utility Plans – Placeholders for utility relocation and utility work order plans prepared and provided by appropriate utility company. Consultant shall coordinate and obtain any utility work order maps required and shall be included on these sheets.
5.1.1 Diagnostic Refresh and Preliminary Design and Engineering Plans (30%) The Consultant shall coordinate, schedule and attend a Diagnostic Refresh field review meeting with Caltrans, UPRR, SCRRA, CPUC, City of Palmdale, and FRA (Federal Railroad Administration) to confirm final scope of improvements prior to preparing refresh of 30% Plans. Consultant shall prepare Diagnostic Refresh meeting agenda, meeting minutes and meeting attendance sheet.
The Consultant shall prepare and submit 30% plans to include but not limited to the following:
• Confirm conceptual layout, scope of improvements, and framework of consolidated plan set.
• Determine the constructability and functional feasibility of the projects. • Establish construction centerline and stationing along the entire street alignment. • Identify Right-of-Way limits, requirements or conflict. • Preliminary typical sections.
• Coordinate with other agencies (SCRRA, UPRR, CPUC and City of Palmdale) early on to discuss and incorporate any design requirements they may have for the Preliminary Design.
• Confirm if any technical study is required for the CEQA clearance.
During this phase, the Consultant shall also provide necessary environmental support for the NEPA clearance. This will include preparing required attachments or exhibit as listed in the Preliminary Environmental Study (PES) form.
The City will review the 30% Plans and provide comments to the Consultant in three to four week-time frame.
The City will forward any addition comments from other stakeholders/agencies to the Consultant so that all comments to be addressed and incorporated in the following plans’ submittal.
5.1.2 Design PS&E (60%)
The Consultant shall prepare 60% design plan set and address all comments on the 30% plans. The 60% design submittal will include but not limited to the following:
• Horizontal control and call-outs to sufficiently layout the design elements (proposed pavement, curb, gutter, sidewalk, landscape, etc.) • Centerline profile to identify any major drainage issues for locations that require street widening (i.e., low points).
• Critical elevations, offsets and dimensions.
• Confirm and prepare final Right-of-Way requirements map for project limits. • Incorporate Geotechnical findings, potholing information. Potholing information shall be submitted to the City after completion of this task. If an area of possible conflict was not potholed, the Consultant shall pothole the area to verify the conflicts at no additional cost to the City. The Consultant shall depict existing utilities on plans for any necessary utility relocation. • Traffic Signal plans and Signing and Striping plans
• Confirm with other agencies (SCRRA, UPRR, CPUC and City of Palmdale) have agreed to the design approaches in order to advance to final design. • Confirm/identify conflict and affected utilities. Confirm with affected utility companies by coordinating and sending Letter B as stated under Task 2-Utility Coordination.
• Identify all third party permit requirements.
• Prepare and submit CEQA clearance application.
• Continue to support the City on the NEPA approval.
The Consultant shall prepare and submit a draft specifications and preliminary cost estimate per section 5.2 and 5.3 below.
The City will review the 60% Plans, draft Specification and Cost Estimate and provide comments to the Consultant in three to four week-time frame.
5.1.3 Pre-Final Design PS&E (90%)
The Consultant shall address all comments per 60% design review and prepare the submittal documents to a 90% level of design. Some components of the design may be progressed to 100% design. The submittal documents shall include plans, draft specifications and cost estimate.
The City will review and determine if the submittal is acceptable to proceed to the Final design (100%). If the Pre-Final Design (90%) submittals (plans, specifications and cost estimate) found to contain errors, omissions, deficiencies, incomplete, poor quality or poorly coordinated work, etc., the City will require the re-submittal of the Pre-Final Design (90%) for a second review. The Consultant shall be responsible for promptly revising and correcting those errors, based on the second review, at no additional cost to the City.
The Pre-Final Design (90%) shall include but not limited to the following:
• All final design has been confirmed and agreed with all the stakeholders. • All required Right-of-Way impacts are identified (including temporary easements, acquisitions).
• All required utility conflicts are identified (protection or relocation). • CEQA and NEPA Clearance approved.
• Right-of-Way Certification should have been submitted for approval. • Specifications and Cost Estimate are completed at 90% level. • Third party permit applications are complete.
5.1.4 Final Design PS&E (100%) Signed for Bid
The Consultant shall address all comments per (90%) review and incorporate any additional final comments for the 100% design. The Consultant shall ensure all agency comments are addressed before signing the final plans. The 100% design documents will include plans, estimates and final specifications and be ready for bidding and construction.
5.2 Specifications
The City shall prepare the main body of the specifications (boiler plate); specifications expected from the Consultant shall be limited to details, cut sheets and written specifications beyond those provided in the Green Book and required Federal-Aid Contract Language that must be incorporated into the construction contracts. Draft specifications shall be provided with plan submittals as noted in Task 5.1.
5.3 Cost Estimate
The Consultant shall compile and prepare the Cost Estimate based on all biddable construction items identified in the design package and consistent with the latest City bid forms. The estimated quantities shall be arranged and grouped as agreed with the City Project Manager. Computations showing estimated quantities and costs for each location of work, as well as the sum totals, shall be submitted to the City. Cost Estimates shall be provided with plan submittals as noted in Task
5.1. Quantities and costs shall be updated and in agreement with each plan submittal.
5.4 Submittal Requirements
The Consultant shall submit PS&E for City review as noted in Task 5.1. Submittals shall be electronic PDF format and shall include previous check prints.
The design drawings should be as complete, accurate, and error-free as possible prior to submittal.
Likewise, for Reports, Special Provisions, Cost Estimates, etc.
The Consultant shall, at no additional cost to the City, correct errors, omissions, and unworkable and/or improper design/drafting on the original drawings subsequent to the completion of the plan checking process.
Reports, Plans, Specifications, and Estimate shall be in English units and must conform to Caltrans, Federal, City, and County standards, regulations, policies, procedures, manuals, and practices. The Consultant shall provide clear, concise, and complete plans, specifications and cost estimates. The Consultant shall include other details that are of benefit to and/or requested by the City, such as details of private improvements to be constructed, reconstructed, or relocated, consisting of driveways, landscaping, irrigation, fences, etc.
All drawings shall be prepared in AutoCAD per City Standards and deliverables shall be in accordance with the City’s CAD Deliverables Standard.
TASK 6 CALTRANS SUPPORT
6.1 Environmental Clearance
CEQA: The Consultant shall provide service for CEQA clearance includes preparing technical studies (if required) and filing documents. It’s anticipated that these projects would qualify as CEQA Exemption.
NEPA: The Consultant shall support in preparing draft Preliminary Environmental Study (PES) form and providing required exhibits or attachments as listed in the PES form. Caltrans will lead the NEPA evaluation and provide NEPA determination. It’s anticipated that these projects would qualify as Categorical Exclusion (CE).
6.2 Right-of-Way (ROW) Certification
The City will take the lead in preparing the ROW certification package for Caltrans acceptance. It is assumed that Caltrans Exhibit 13-B will be required. The Consultant shall provide the following:
• Coordination with the Railroads to confirm any ROW conflict • Caltrans Exhibit 14-D_Notice to Owner, for each affected utility company • Copies and record of Utility Notification Letter A, B, C • Utility adjustments/relocations summary (for Caltrans Exhibit 13-B) • Copies of Utility coordination notes/diary, communications, logs etc. to be kept and maintained per Caltrans LAPM Chapters 13 and 14.
• Stamped and signed exhibit maps and plans as needed to accompany Caltrans submittal for ROW Certification.
CERTIFICATION”
Stamped and signed plans shall be labeled “FOR ROW
If during ROW Certification review additional utility notifications are required and/or additional notes are required on the plans, the Consultant shall comply and provide additional documentation and plan revisions, as needed at no additional cost to the City. As a minimum, plans and maps for ROW Certification shall include and address the following:
• Begin and end limits (start and end) for construction for all components of work shall be clearly labeled in cyan with stationing listed.
• Existing ROW shall appear in red and shall be clearly labeled, “Existing City Right-of- Way”.
• Proposed ROW shall appear in green and shall be clearly labeled, “Proposed City Right-of-Way” (if same as existing, shall appear red).
• Utilities and appurtenant facilities to be relocated, removed and/or to remain and protected in place shall be clearly labelled.
• Service facilities shall be clearly identified as such to differentiate them from mainline utility facilities (i.e. meter boxes, fire hydrants, etc.) • All sheets shall include the following, “All work to be in City of Lancaster Right-Of-Way”.
The Consultant shall be responsible for obtaining the latest versions of all required Caltrans’ Exhibits as stated above, from Caltrans, Local Assistance website.
6.3 Request for Authorization (RFA) for Construction
The City will take the lead in preparing Caltrans Request for Authorization to Proceed with Construction submittal package; however, the Consultant shall provide supporting data and documentation the City needs to complete Caltrans forms. Data and documentation need shall support the completion and submittal of the following items, but is not limited to:
• 100% cost estimate for construction for participating and non-participating items • DBE Implementation Agreement (Exhibit 9-A)
• PS&E checklist, stamped and signed (Caltrans Exhibit 12-D) • Local Agency Contract Administration checklist (Caltrans Exhibit 15-A) • 100% stamped and signed plans labeled “FOR CONSTRUCTION AUTHORIZATION (RFA)”
• 100% Specifications per section 5.2 above.
If during RFA review, revisions to plans and specifications are required, Consultant shall comply as directed by the City and construction cost estimates shall be adjusted accordingly.
TASK 7 DELIVERABLES
Consultant shall provide to the City deliverables in hardcopy and electronic format for all phases shown below and as detailed in the Capital Program Division’s Standards for CAD Deliverables, WORD (Specifications) and EXCEL (Estimate) files. Provide hard copies in numbers as stated.
Cost of the following deliverables shall include reimbursable costs including but not limited to shipping, supplies, etc.:
7.1 Project Administration and Management
a. PDF of Work Plan
b. PDF and MICROSOFT PROJECT PROFESSIONAL FOR GANTT CHART of Detailed Critical Path Project Schedule
c. PDF of Kick-off Meeting (Agenda and Minutes)
d. PDF of Progress Meetings (Agenda and Minutes for 30%, 60% and 90%) e. PDF of Progress Meetings (100% PS&E’s Bid Set and closing items) f. PDF of all Utility Contact Logs, Utility Meetings, Coordination Calls/Emails, and Correspondence
g. PDF and WORD file of Notification Letter(s) A
h. PDF of Permit Documentation/Correspondence/Notices
7.2 Research
a. PDF of all record maps not issued by City (street, storm, sewer, electrical, etc.) b. PDF of all Utility atlas/utility record maps issued through Letter A, B & C process c. PDF of all of survey records, tie sheets, field books, monument records, etc. (not d. provided by City)
e. PDF of boundary and ROW maps obtained
f. PDF of Site Visit and Field Investigation Notes
g. Field pictures
h. PDF of all record maps, vesting deeds and Assessor Parcel information (not provided by City)
i. PDF of all incidental research documents (not provided by City)
7.3 Surveys and Mapping
a. PDF plot of the topographic mapping/survey control signed and sealed by a California Licensed Land Surveyor. If the survey and mapping work are more than two (2) sheets, then one (1) electronic copy per the City’s Standards for CAD Deliverable. b. Consultant shall provide to the City deliverables in hardcopy and electronic format as detailed in the Capital Program Divisions Standards for CAD Deliverables c. A USB flash drive containing digital photos taken during the field survey d. PDF of all maps/exhibits/data obtained during the course of the survey e. Excel file and PDF of list of APN’s and identification of areas where ROW acquisition will be needed.
f. A USB flash drive containing copies of all survey records from tie sheets, field books and monumentation recovery notes not issued by City (if recording of monumentation was required during the course of the fieldwork).
g. PDF of all geotechnical documents, reports, field samples, photos and correspondences h. PDF of all potholing documents, reports, photos and correspondences i. Geometric Layout Traffic Analysis Report
j. Electronic design file (AutoCAD 2010) containing the Geometric Layout tasks described herein such as the horizontal design (curbs and striping) with typical notes and layers identifying the critical design parameters and truck templates as well as the placements and recommendation notes on the signing, striping, lighting, CID grading, landscaping parameters, circulatory cross slopes, and other tasks noted. k. Geometric Layout Supplementary Signing Report containing additional design information and placement of the recommended signing for this project. l. Geometric Layout Supplementary Landscaping Report containing additional information and placement of the recommended landscaping parameters for this project.
m. Geometric Layout QA/QC review notes, as warranted, by the review and assistance to City of PS&E documents.
7.4 Geotechnical
a. PDF and (2) hard copies of the Geotechnical report.
7.5 Engineering Plans, Specification and Estimate
a. 30% Design: PDF and (3) hard copies of Plan set.
b. 60% Design: PDF and (3) hard copies of Plan set, Specs and Estimates. c. 90% Pre Final Design: PDF and (3) hard copies of Plan set, Specs and Estimates. d. 100% Final Design: Stamped and Signed PDF and (3) hard copies of Plan set, Specs and Estimate/Bid Schedule.
e. PDF and WORD file of Notification Letter(s) (A, B and C) TASK 8 TRAFFIC CIRCULATION IMPACT ANALYSIS
Based on the proposed improvements listed herein and conceptual exhibits provided at the end of this attachment, the Consultant shall develop and conduct a comprehensive traffic operational analysis for each project including, but not limited to the following:
• Impact of the pre-signal on traffic circulation, capacity, delay, queue, and traffic signal operations. Conduct a close examination on how the pre-signal will impact the westbound right turn movements and eastbound queues.
• Assess impact on adjacent signalized intersections at Sierra Highway and Division Street. • Assess traffic signal phasing operation.
• Recommend mitigation measures.
• Recommend other design options.
• Recommend grade crossing and intersection operation enhancement options.
TASK 9 CONSTRUCTION SUPPORT SERVICES
Consultant shall provide construction support services of these projects during construction.
Services shall include, but will not be limited to the following:
• Attend pre-construction meeting/conference.
• Provide project management and coordination (including external Stakeholders). • Review contractor’s construction submittals for conformance with the contract documents. • Provide engineering assistance related to Change Orders and Change Order Memoranda on a time and material basis. Consultant time and expenses to address design errors and oversights shall not be compensated by the City.
• Review and respond to contractors’ Request for Information (RFI).
• Consultant shall be responsible for keeping records and organizing construction submittals and RFI. These records will be delivered to the City during the closeout of the project. • Assist the City Construction Manager with inspection of constructed facilities as needed. • Assist the City Construction Manager with development of “punch list” as needed. • Consultant shall prepare as-builts drawings from the contractor mark ups, submittals and other supplied information. Consultant shall also perform a cursory review of the Railroads’ as-built plans to ensure all changes have been addressed on the final as-built plans. Consultant shall submit a draft as-built plans for review and approval before it’s signed.
Construction services shall be in accordance with City policies and Procedures and Caltrans Construction Manual.
SCHEDULE
Milestone schedule shall be as listed below:
MILESTONES DATES*
November 2023
December 2023
December 2023
Railroads and City Agreements Executed
100% PS&E
CPUC- GO88B Executed
* City and Stakeholder’s review periods shall be a minimum of four (4) weeks and are included in this schedule; no additional time will be awarded for allowable time with City.
Scope of Work Adjustments
The Kimley-Horn team will complete surveys, geotechnical site investigations, right-of-way support, and environmental documentation for the rail corridor and intersections along Sierra Highway using a broader program approach to allow efficiencies in coordination, development, environmental clearance, final design and construction of the individual crossings to ensure consistency and allow for improved coordination to help reduce duplication of effort. This approach will help provide efficiencies by combining aerial mapping flight mobilization and preparation, Geotechnical Materials Reports, and helping to streamline the environmental process by preparing combined technical studies to support all three of the crossing improvements. . This allows for combined field reviews, research efforts, document preparation, and document reviews. The City will benefit from an economy and can manage all three of the crossing projects together as a program to help scale related cost and schedule coordination.
The Scope of Work and Project Deliverables will be per Exhibit “A” in Appendix B of the City’s Request for Qualifications with the following additional considerations. The Kimley-Horn team proposes the scope with the following considerations:
For Task 1 (General), the Kimley-Horn team will discuss project issues with the City to develop agreed- upon solutions prior to major milestone submittals (30% Preliminary Design and Engineering Plans, 60% Design PS&E, 90% Pre-Final Design PS&E, and 100% Final Design PS&E) and incorporate those solutions into each milestone submittal.
For Task 1 (Third Party Permits), the Kimley-Horn team will identify third party permits needed with utility and local agencies and stakeholders to construct the project. Potential regulatory permitting is included in task 6 as optional as they may not be needed.
For Task 2 (Records, Survey Records, Mapping, and ROW), the Kimley-Horn team will obtain records for sub-surface and overhead utilities, existing easements and dedications, existing right-of-way, survey records, found monumentation, existing track alignments, existing railroad signal and communication facilities within the project limits.
For Task 2 (Utility Coordination), the Kimley-Horn team will coordinate with utility companies that have existing facilities conflicting with the proposed improvements and positively locate utilities within the project limits that are identified as potential conflicts in the 30% Preliminary Design and Engineering Plans deliverable.
Adding Task 1.8 Railroad Agreements, The Kimley-Horn team will coordinate with UPRR and SCRRA to develop new railroad agreements and provide required exhibits and documentation.
For Task 3 Surveys and Mapping, the Kimley-Horn team will develop plat and legal descriptions (assume 6) for proposed dedications of right-of-way from UPRR and/or LA Metro to the City of Lancaster where there is proposed sidewalk.
For Task 5 Engineering Plans, the Kimley-Horn team will provide one submittal each for Preliminary Design and Engineering Plans (30%), Design PS&E (60%), Pre-Final Design PS&E (90%), and Final Design PS&E (100%) Signed for Bid. The Kimley-Horn team is available to provide additional submittals under an additional scope of work and budget.
1 For Task 6.1 Environmental Clearance, the Kimley-Horn team will provide technical studies (Biological Resources: Natural Environment Study, Hazards, and Hazardous Materials: Phase I Initial Site Assessment, Cultural Resources, and Historic Resources) that will support both CEQA/ NEPA Environmental Clearance.
It is assumed that Caltrans will not be conducting technical studies and the Kimley-Horn team will provide Section 106 documents, hazardous materials studies, and other technical studies that would be required for issuance of the NEPA CE. Caltrans is the NEPA Lead Agency and will prepare the NEPA CE, but the Kimley-Horn team will expect to prepare the PES and technical studies to support the documents. All technical studies required for NEPA approval would be completed by the Kimley-Horn team in accordance with the Caltrans’ Standard Environmental Reference (SER) guidelines and Local Assistance Procedures Manual (LAPM) and will be combined into one technical study to support each project.
Aquatic Resources Delineation (Optional Task) - It is assumed a single technical study can be prepared to include all three intersection projects. Based on initial research, it appears there may be wetlands within the project area in the drainage ditch; however, this will be verified during field surveys. If required, the Kimley-Horn team will conduct an Aquatic Resources Delineation (ARD) to support the CEQA/NEPA and regulatory permitting process.
The Kimley-Horn team will delineate wetlands and other waters of the state. The Kimley-Horn team will identify wetlands, ordinary high-water mark, and other jurisdictional limits within the project area. The presence or absence of wetlands will be verified through the presence of hydrologic conditions, hydrophytic vegetation, and hydric soils pursuant to the United States Army Corps of Engineers (USACE) 2008 Regional Supplement to the Corps of Engineers Wetland Delineation Manual: Arid West Region and its 1987 Corps of Engineers Wetlands Manual. The spatial limits of all wetlands and/or other waters of the state will be mapped according to USACE’s minimum mapping standards and current Regional Water Quality Control Board (RWQCB) and California Department of Fish and Wildlife (CDFW) definitions.
The Kimley-Horn team will summarize the existing regulatory setting, project area conditions, and delineated wetlands and waters of the state in an ARD report. The report will be used to (1) assist the design team in avoiding impacts to jurisdictional areas; (2) provide the jurisdictional information necessary for the supporting project environmental documentation; and (3) support the regulatory permitting process.
Deliverables: One electronic copy of the draft and final Aquatic Resources Delineation for all three intersection projects combined
Endangered Species and Consultation (Optional Task)
Federal Endangered Species Act Consultation - Under the Federal Endangered Species Act (FESA), if the project may affect a listed species or designated critical habitat, Section 7 consultation with the USFWS is required. Project-level surveys are required to determine the potential for state-listed species to be in the project area, including the federally threatened desert tortoise. If required, Kimley-Horn team will prepare the Section 7 Consultation initiation package, including the Biological Assessment, and will coordinate as needed for review and submittal of the Section 7 consultation initiation package to USFWS. If requested, the Kimley-Horn team will attend internal meetings and/or agency meetings held as part of the consultation process.
California Endangered Species Act - Under the California Endangered Species Act (CESA). If the project may result in take of a listed species, consultation with the California Department of Fish and Wildlife (CDFW) would be required. Project-level surveys are required to determine the potential for state-listed 2 species to be in the project area, including the state threatened desert tortoise and Mojave ground squirrel. If required, the Kimley-Horn team will prepare the request for a Consistency Determination or Incidental Take Permit and will coordinate as needed for review and submittal of the consultation initiation package to CDFW. The Kimley-Horn team will also coordinate to complete the CESA consultation process. If requested, the Kimley-Horn team will attend internal meetings and/or agency meetings held as part of the consultation process.
The Kimley-Horn team will provide ongoing support to the city to streamline the FESA and CESA consultation processes, including preparation of supplemental information requested by any of the agencies. The Kimley-Horn team will also provide technical assistance to the design engineers and City to refine impact avoidance, minimization, and mitigation measures, as required by resource agencies to reduce project impacts on listed species to the maximum extent feasible.
Deliverables: One electronic copy of the draft and final FESA/CESA consultation packages for all three projects combined to obtain the 1602 Streambed Alteration Agreement.
One electronic copy of the draft and final 1602Streambed Alteration Agreement Notification Package and Waste Discharge Requirements application package for all three projects combined
Regulatory Permits (Optional Task) - If work in the drainage is necessary, regulatory permitting may be required. Because the drainage within the project area is not a traditional navigable waterway, a tributary to such waters, or adjacent as defined by the United States Army Corps of Engineers (USACE), it is not expected to fall under their jurisdiction. Therefore, a Section 404 permit from the USACE will not be required for the project.
Waste Discharge Requirements under the Porter-Cologne Act The Porter-Cologne Act establishes state policy on water quality control. The Regional Water Quality Control Board (RWQCB) has jurisdiction over waters of the state under the Porter-Cologne Act. Waste Discharge Requirements are required for activities that could affect the quality of waters of the state within non-federal waters. Dredge or fill activities with the potential to affect water quality must comply with Waste Discharge Requirements issued by the RWQCB. The RWQCB typically takes jurisdiction over all surface and ground waters in the state of California; therefore, the drainage is waters of the state and Waste Discharge Requirements are anticipated. The Kimley-Horn team will prepare an application for Waste Discharge Requirements for submittal to the RWQCB. The application will include location information, a description of the discharge, best management practices to minimize impacts, a site map, and other pertinent project information, as required by the RWQCB.
Section 1602 Streambed Alternation Agreement
Section 1602 of the California Fish and Game Code requires submittal of a Lake or Streambed Alteration Notification to CDFW for any activity that may substantially divert or obstruct the natural flow or substantially change the bed, channel, or bank of any river, stream, or lake. Streams (and rivers) are defined by the presence of a channel bed and banks and at least an intermittent flow of water; therefore, the drainage within the project area is expected to fall under CDFW jurisdiction. The Kimley-Horn team will prepare a Lake or Streambed Alteration Notification package for submittal to the CDFW. The notification will include a brief description of the project, identify best management practices that will be employed, and other pertinent project information, as required by the CDFW. The Kimley-Horn team will coordinate with the city and the CDFW if required.
3 Additional Studies/Investigations - The Kimley-Horn team will include potholing (assume 15), support for right-of-way dedications, and structural pavement investigations under this task. Right-of-way dedications support will include procurement and review of preliminary title reports, preparation of dedication letter with easement deed, support negotiations between the Owner and the City, and submittal of deed to the City for acceptance. Structural pavement investigations will be in the form of testing, analysis, and rehabilitation design along the existing travel lanes east and west of Avenue J at-grade crossing to probable improvement strategies in conjunction with developing, where feasible, cost effect design alternatives for structural improvements with designed structural replacement sections in accordance with the California Highway Design manual for Flexible Pavement and Roadway Rehabilitation. 4 STATEMENT OF QUALIFICATIONS, RFQ #787-23 FOR DESIGN SERVICES FOR Avenue M, K, J At-Grade Crossings
Matt Stewart, P.E., Traffic/Lighting Design. Matt has experience in traffic engineering, transportation planning, and traffic safety analysis. His experience includes data analysis, traffic signal operations and design, and traffic impact analysis. Matt has worked on several traffic signal synchronization projects in Los Angeles, Ventura, and Orange Counties.
Stephanie Wagner, PLS, Survey. Stephanie is a well-known leader in the civil engineering and land surveying professions. She is the dedicated founder of her firm and has managed civil design and construction surveys for LAUSD, Caltrans, Metro, Alameda Corridor East, City and County of Los Angeles, and numerous other municipalities. She has a diverse project and task management background with over 40 years of experience. Her knowledge in mapping and field survey formats, boundary establishments, datum compatibility, and design and construction methods are an invaluable asset.
Mike Kapuskar, P.E., G.E., Geotechnical. With 34 years of experience, Mike’s responsibilities include project procurement and management, overseeing geotechnical investigations, laboratory testing, foundation analysis and design, report preparation, and construction support. His experience includes more than 300 bridge, rail, tunnel, port, roadway, channel, off-shore, and storm water pollution management projects. He is experienced with Lancaster, County of Los Angeles, Caltrans District 7, and railroad agency procedures, design codes, and review processes as well as FHWA and AASHTO/LRFD codes.
Erinn Silva, Environmental. Erin has worked on public and private projects throughout California since 2003. At GPA, she oversees preparation of all levels of technical study and environmental documentation, leads coastal permitting efforts through local agencies and the California Coastal Commission, and manages the environmental process for various phases of highly complex transportation projects, specifically in Caltrans Districts 3, 5, 6, 7, 8, and 12. She has experience in directing, researching, writing, and editing environmental documents pursuant to both NEPA and CEQA, with a focus on compliance with Caltrans’ Standard Environmental Reference and Local Assistance Procedures Manual requirements. Much of her experience is related to local transportation projects processed through Caltrans’ Local Assistance Program.
Kelly Dewitt, Right-of-Way. As a right-of-way project manager, Kelly provides extensive experience in right-of-way acquisition, real estate transactions, and the mortgage industry, including a solid background in the escrow process. He brings to the OPC team over 35 years of real estate experience, including title research of real property pertaining to Resolution of Liens. Kelly is knowledgeable of both federal and state regulations relating to the acquisition process. He is proficient in the preparation of acquisition and relocation documents needed for resolution and closure of acquisition and relocation cases. 3b. Team Organization Chart
PROJECT MANAGER
Bob Blume, P.E.
QC/QA
Kevin Aguigui, P.E., T.E., E.E., CSEP
RAIL SPECIALIST
Brent Ogden, P.E., T.E., PTOE
DEPUTY PROJECT MANAGER/
ENGINEERING LEAD
Eugene Huang, P.E.
DESIGN LEAD DESIGN LEAD DESIGN LEAD
Yiota Georgalis, P.E. Brandon Friedman, P.E. Clarissa Stevenson, EIT
TRAFFIC LEAD
Sri Chakravarthy, P.E., T.E.
TRAFFIC ANALYSIS
Sowmya Chandrasekhar, P.E.,
T.E., PTOE
TRAFFIC/LIGHTING DESIGN
Matt Stewart, P.E.
SUPPORT SERVICES
SURVEY
Stephanie Wagner, PLS
GEOTECHNICAL ENVIRONMENTAL RIGHT-OF-WAY
Kelly Dewitt1 Mike Kapuskar, PE, GE2 Erinn Silva 3 4
Subconsultants:
1. Wagner Engineering & Survey, Inc. (DBE) 2. Earth Mechanics, Inc. (DBE) 3. GPA Consulting (DBE) 4. Overland, Pacific, & Cutter (OPC Services, LLC) City of Lancaster . RSRD96005.2023 . ꢀ8
City of Lancaster
Avenue K Grade Crossing
ID Task
Mode
Task Name Duration Start Finish Predecessors Qtr 3, 2023 Jul
Qtr 4, 2023 Qtr 1, 2024
May Jun Aug Sep Oct Nov Dec Jan Feb Mar
1 Notice to Proceed 0 days Mon 6/12/23
Mon 6/12/23
Mon 6/12/23
Mon 6/12/23
Fri 6/16/23
Mon 6/12/23
Thu 2/15/24
Mon 6/12/23
Fri 6/16/23
6/12
2 TASK 1: Project Administration and Management
Kick-Off Meeting
179 days
0 days3 1 6/12
4 Develop Project Work Plan
Field Diagnostic Meeting
City and Stakeholder Coordination Meetings
City Progress Meetings
5 days 3
5 0 days Fri 6/16/23 4 6/16
6 179 days
179 days
179 days
179 days
120 days
145 days
3 days
Mon 6/12/23
Mon 6/12/23
Mon 6/12/23
Mon 6/12/23
Mon 6/12/23
Mon 6/12/23
Mon 6/12/23
Wed 6/14/23
Mon 6/12/23
Tue 10/3/23
Fri 12/29/23
Wed 10/4/23
Mon 6/12/23
Mon 6/12/23
Mon 6/12/23
Mon 6/19/23
Mon 6/12/23
Mon 6/12/23
Mon 6/26/23
Wed 6/21/23
Wed 6/21/23
Wed 6/21/23
Wed 8/2/23
Fri 8/4/23
Thu 2/15/24
Thu 2/15/24
Thu 2/15/24
Thu 2/15/24
Fri 11/24/23
Fri 12/29/23
Wed 6/14/23
Wed 6/14/23
Fri 6/16/23
3,68FF
3,68FF
3,68FF
3,68FF
3 7
8 Project Management
9 QC/QA
10 11
12 13
14 15
16 17
18 19
20 21
22 23
24 25
26 27
28 29
30 31
32 33
34 35
36 37
38 39
40 41
42 43
44 45
46 47
48 49
50 51
52 53
54 55
56 57
58 59
60 61
62 63
64 Permits
TASK 2: Research
Obtain As-Built Drawings/ROW Maps/PTRs
Field Walk
3 0 days 12
3 6/14
Utility A Letters 5 days
Utility B Letters 0 days Tue 10/3/23
Fri 12/29/23
Tue 10/10/23
Tue 6/20/23
Fri 6/16/23
39 56
15 10/3
Utility C Letters 0 days 12/29
Potholing Investigations
TASK 3: Surveys and Mapping
Aerial Topography
5 days
7 days
5 days 3
Design Topographic Surveys
Base Mapping Development
TASK 4: Geotechnical
5 days Fri 6/16/23 3
2 days Tue 6/20/23
Fri 7/7/23
20,12,14
20 days
10 days
10 days
138 days
50 days
30 days
2 days
Geotechnical Field Investigations
Pavement Design Recommendations
TASK 5: Engineering Plans, Specifications, and Estimates 30% Plans and Estimates
Draft 30% Plans
Fri 6/23/23 3
Fri 7/7/23 23
Fri 12/29/23
Tue 8/29/23
Tue 8/1/23 21
Draft 30% Estimate Thu 8/3/23 27
Internal 30% QC 1 day Fri 8/4/23 28
30% QC Revisions 2 days Mon 8/7/23
Tue 8/8/23
Tue 8/8/23 29
Submit 30% P&E to City 0 days Tue 8/8/23 30 8/8
30% P&E City Review 15 days
0 days
Wed 8/9/23
Tue 8/29/23
Wed 8/30/23
Wed 8/30/23
Wed 9/27/23
Fri 9/29/23
Tue 8/29/23
Tue 8/29/23
Wed 10/25/23
Tue 9/26/23
Thu 9/28/23
Fri 9/29/23
31,64
3230% P&E Comments Resolution Meeting
60% Plans, Specs and Estimates
Draft 60% Plans
8/29
41 days
20 days
2 days
33 35
36 37
38 39
40 41
Draft 60% Estimate and Specifications
Internal 60% QC 1 day
60% QC Revisions 2 days Mon 10/2/23
Tue 10/3/23
Wed 10/4/23
Tue 10/24/23
Wed 10/25/23
Thu 10/26/23
Thu 10/26/23
Thu 11/16/23
Mon 11/20/23
Tue 11/21/23
Wed 11/22/23
Thu 11/23/23
Wed 12/13/23
Thu 12/14/23
Fri 12/15/23
Fri 12/15/23
Thu 12/28/23
Fri 12/29/23
Fri 12/29/23
Mon 6/12/23
Mon 6/12/23
Mon 6/12/23
Mon 11/13/23
Fri 12/29/23
Mon 1/1/24
Wed 6/28/23
Wed 6/28/23
Tue 10/3/23
Tue 10/3/23
Tue 10/24/23
Tue 10/24/23
Wed 10/25/23
Thu 12/14/23
Wed 11/15/23
Fri 11/17/23
Mon 11/20/23
Wed 11/22/23
Wed 11/22/23
Wed 12/13/23
Wed 12/13/23
Thu 12/14/23
Fri 12/29/23
Wed 12/27/23
Thu 12/28/23
Fri 12/29/23
Fri 12/29/23
Fri 1/26/24
Fri 11/10/23
Fri 11/10/23
Fri 12/29/23
Fri 12/29/23
Fri 1/26/24
Submit 60% PS&E to City
60% PS&E City, SCRRA, UPRR, CPUC Review
60% PS&E City Comments Resolution Meeting
60% PS&E RR Comments Resolution Meeting
90% Plans, Specs and Estimates
Draft 90% Plans
0 days 10/3
15 days
0 days 10/24
1 day
36 days
15 days
2 days
42,17
44Draft 90% Estimate and Specifications
Internal 90% QC 1 day 45
90% QC Revisions 2 days 46
Submit 90% PS&E to City
90% PS&E City, SCRRA, UPRR, CPUC Review
90% PS&E City Comments Resolution Meeting
90% PS&E RR Comments Resolution Meeting
100% Plans, Specs, and Estimates
Address 90% City Comments
Internal 100% QC
0 days 47 11/22
15 days
0 days
48 49 12/13
1 day 50
11 days
9 days 51
53 54
55 1 day
100% QC Revisions 1 day
Signed 100% PS&E 0 days 12/29
12/29
TASK 6: Caltrans Support
CEQA Clearance
165 days
110 days
110 days
35 days
0 days
3 NEPA Clearance 3
RFA For ROW 59
ROW Certification 60
Request for Authorization (RFA)
TASK 8: Traffic Circulation Impact Analysis
20 days
75 days
67,61,56,58,59,66
Tue 10/10/23
Tue 8/8/23Draft Traffic Circulation Impact Analysis (submit with 30% 30 days P&E)
21,31FF
33,39FF65 Final Draft Circulation Impact Analysis (submit with 60% PS&E)
30 days Wed 8/30/23 Tue 10/10/23
66 67
68 69
Railroads and City Agreements
CPUC-GO88B
25 days
85 days
0 days
Thu 10/26/23
Wed 8/30/23
Fri 1/26/24
Wed 11/29/23
Tue 12/26/23
Fri 1/26/24
42 33
62 68
Construction Authorization
Advertise
1/26
30 days Mon 1/29/24 Fri 3/8/24
Task Milestone Summary Progress Critical
EXHIBIT "B"
TERM, PAYMENT AND TIME FOR COMMENCEMENT AND COMPLETION CLAUSE Term
This Agreement shall become effective and shall be in full force and effect upon the execution of the Agreement by the City and the CONSULTANT. This Agreement shall continue in full force and effect for a period of three (3) years from the effective date of the Agreement (the “Term), unless the Agreement is sooner terminated in accordance with the Terms and Conditions in the Agreement; provided, however, that the City and the CONSULTANT may mutually agree in writing to extend the Term of this Agreement.
Payment
The City of Lancaster shall reimburse the CONSULTANT for actual costs, including labor costs and employee benefits incurred by the CONSULTANT in performance of the work, in an amount not to exceed $860,635.89. Actual costs shall not exceed the estimated wage rates and other costs as set forth in the CONSULTANT’S proposal. Source documentation supporting billed costs must be submitted with invoice. CONSULTANT shall provide a cost breakdown with hourly rates for each office and field function in the event that additional work is required beyond the not to exceed amount specified above.
Any additional work will require a separate Authorization for Consultant Services signed by both parties.
CONSULTANT will be reimbursed, as promptly as fiscal procedures will permit, upon receipt by the City of itemized invoices. Invoices shall be submitted no later than forty-five (45) calendar days after the performance of work for which CONSULTANT is billing. Invoices shall detail the work performed on each milestone, on each project, as applicable. Invoices shall follow the format stipulated for the Cost Proposal and shall reference this contract number and project title. Final invoice must contain the final cost and all credits due City. The final invoice should be submitted within sixty (60) calendar days after completion of CONSULTANT’s work.
Consultant shall not be reimbursed for actual travel expenses incurred in the performance of the work.
Time for Commencement and Completion
CONSULTANT shall commence performance of the work no later than three (3) calendar days following issuance of Notice to Proceed. It is anticipated that performance of the work will be completed by June 30, 2025. In no event shall performance of the work be completed later than June 30, 2025 without the prior written authorization of the City. If Consultant fails to complete the work in this time period, City may avail itself of any and all remedies provided for in this Agreement.
Robert D. Blume, P.E., Vice President
Kimley-Horn and Associates, Inc.
PW-125 (1/14)
EXHIBIT "C"
STATE AND FEDERAL PROVISIONS
Sections 1 through 27 of the AGREEMENT shall be supplemented with State and Federal Provisions:
SEE ATTACHED
PW-123 (1/14)
EXHIBIT "C"
STATE AND FEDERAL PROVISIONS
1. This agreement shall include and incorporate all State and Federal Provisions included herein.
Where these provisions conflict with City provisions, State and Federal provisions shall control.
2. Required State and Federal Forms are included in Exhibit “D”. These forms and other required State and Federal documentation shall be completed and submitted by the CONSULTANT in accordance with Caltrans Local Assistance Procedures Manual (LAPM).
3. State and Federal Provisions
A. Retention of Records/Audit. For the purpose of determining compliance with Gov. Code § 8546.7, the CONSULTANT, Subconsultants, and LOCAL AGENCY shall maintain all books, documents, papers, accounting records, Independent CPA Audited Indirect Cost Rate workpapers, and other evidence pertaining to the performance of the AGREEMENT including, but not limited to, the costs of administering the AGREEMENT. All parties, including the CONSULTANT’s Independent CPA, shall make such workpapers and materials available at their respective offices at all reasonable times during the AGREEMENT period and for three (3) years from the date of final payment under the AGREEMENT and records for real property and equipment acquired with federal funds must be retained for three (3) years after final disposition. LOCAL AGENCY, Caltrans Auditor, FHWA, or any duly authorized representative of the Federal government having jurisdiction under Federal laws or regulations (including the basis of Federal funding in whole or in part) shall have access to any books, records, and documents of the CONSULTANT, Subconsultants, and the CONSULTANT’s Independent CPA, that are pertinent to the AGREEMENT for audits, examinations, workpaper review, excerpts, and transactions, and copies thereof shall be furnished if requested without limitation.
B. Audit Review Procedures
i. Any dispute concerning a question of fact arising under an interim or post audit of this AGREEMENT that is not disposed of by AGREEEMNT, shall be reviewed by LOCAL AGENCY’S Chief Financial Officer.
ii. Not later than 30 days after issuance of the final audit report, CONSULTANT may request a review by LOCAL AGENCY’S Chief Financial Officer of unresolved audit issues. The request for review will be submitted in writing.
iii. Neither the pendency of a dispute nor its consideration by LOCAL AGENCY will excuse CONSULTANT from full and timely performance, in accordance with the terms of this AGREEMENT.
iv. CONSULTANT and subconsultant AGREEMENTs, including cost proposals and Indirect Cost Rates (ICR), may be subject to audits or reviews such as, but not limited to, an AGREEMENT audit, an incurred cost audit, an ICR Audit, or a CPA ICR audit work paper review. If selected for audit or review, the AGREEMENT, cost proposal and ICR and related work papers, if
applicable, will be reviewed to verify compliance with 48 CFR 31 and other related laws and regulations. In the instances of a CPA ICR audit work paper review it is CONSULTANT’s responsibility to ensure federal, LOCAL AGENCY, or local government officials are allowed full access to the CPA’s work papers including making copies as necessary. The AGREEMENT, cost proposal, and ICR shall be adjusted by CONSULTANT and approved by LOCAL AGENCY Contract Administrator to conform to the audit or review recommendations. CONSULTANT agrees that individual terms of costs identified in the audit report shall be incorporated into the AGREEMENT by this reference if directed by LOCAL AGENCY at its sole discretion. Refusal by CONSULTANT to incorporate audit or review recommendations, or to ensure that the federal, LOCAL AGENCY or local governments have access to CPA work papers, will be considered a breach of AGREEMENT terms and cause for termination of the AGREEMENT and disallowance of prior reimbursed costs. v. CONSULTANT’s Cost Proposal may be subject to a CPA ICR Audit Work Paper Review and/or audit by the Independent Office of Audits and Investigations (IOAI). IOAI, at its sole discretion, may review and/or audit and approve the CPA ICR documentation. The Cost Proposal shall be adjusted by the CONSULTANT and approved by the LOCAL AGENCY Contract Administrator to conform to the Work Paper Review recommendations included in the management letter or audit recommendations included in the audit report. Refusal by the CONSULTANT to incorporate the Work Paper Review recommendations included in the management letter or audit recommendations included in the audit report will be considered a breach of the AGREEMENT terms and cause for termination of the AGREEMENT and disallowance of prior reimbursed costs.
1. During IOAI’s review of the ICR audit work papers created by the CONSULTANT’s independent CPA, IOAI will work with the CPA and/or CONSULTANT toward a resolution of issues that arise during the review. Each party agrees to use its best efforts to resolve any audit disputes in a timely manner. If IOAI identifies significant issues during the review and is unable to issue a cognizant approval letter, LOCAL AGENCY will reimburse the CONSULTANT at an accepted ICR until a FAR (Federal Acquisition Regulation) compliant ICR {e.g. 48 CFR Part 31; GAGAS (Generally Accepted Auditing Standards); CAS (Cost Accounting Standards), if applicable; in accordance with procedures and guidelines of the American Association of State Highways and Transportation Officials (AASHTO) Audit Guide; and other applicable procedures and guidelines}is received and approved by IOAI.
Accepted rates will be as follows:
a. If the proposed rate is less than one hundred fifty percent (150%) - the accepted rate reimbursed will be ninety percent (90%) of the proposed rate.
b. If the proposed rate is between one hundred fifty percent (150%) and two hundred percent (200%) - the accepted rate will be eighty-five percent (85%) of the proposed rate. c. If the proposed rate is greater than two hundred percent (200%) - the accepted rate will be seventy-five percent (75%) of the proposed rate.
2. If IOAI is unable to issue a cognizant letter per paragraph E.1. above, IOAI may require CONSULTANT to submit a revised independent CPA-audited ICR and audit report within three (3) months of the effective date of the management letter. IOAI will then have up to six (6) months to review the CONSULTANT’s and/or the independent CPA’s revisions.
3. If the CONSULTANT fails to comply with the provisions of this paragraph E, or if IOAI is still unable to issue a cognizant approval letter after the revised independent CPA audited ICR is submitted, overhead cost reimbursement will be limited to the accepted ICR that was established upon initial rejection of the ICR and set forth in paragraph E.1. above for all rendered services. In this event, this accepted ICR will become the actual and final ICR for reimbursement purposes under this AGREEMENT.
4. CONSULTANT may submit to LOCAL AGENCY final invoice only when all of the following items have occurred: (1) IOAI accepts or adjusts the original or revised independent CPA audited ICR; (2) all work under this AGREEMENT has been completed to the satisfaction of LOCAL AGENCY; and, (3) IOAI has issued its final ICR review letter. The CONSULTANT MUST SUBMIT ITS FINAL INVOICE TO LOCAL AGENCY no later than sixty (60) calendar days after occurrence of the last of these items. The accepted ICR will apply to this AGREEMENT and all other agreements executed between LOCAL AGENCY and the CONSULTANT, either as a prime or subconsultant, with the same fiscal period ICR.
C. Non-Discrimination Clause.
i. The CONSULTANT’s signature affixed herein and dated shall constitute a certification under penalty of perjury under the laws of the State of California that the CONSULTANT has, unless exempt, complied with the nondiscrimination program requirements of Gov. Code §12990 and 2 CCR § 8103.
ii. During the performance of this AGREEMENT, CONSULTANT and its subconsultants shall not deny the AGREEMENT’s benefits to any person on the basis of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, or military and veteran status, nor shall they unlawfully discriminate, harass, or allow harassment against any employee or applicant for employment because of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, or military and veteran status.
CONSULTANT and subconsultants shall insure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment. iii. CONSULTANT and subconsultants shall comply with the provisions of the Fair Employment and Housing Act (Gov. Code §12990 et seq.), the applicable regulations promulgated there under (2 CCR §11000 et seq.), the provisions of Gov. Code §§11135-11139.5, and the regulations or standards adopted by LOCAL AGENCY to implement such article. The applicable regulations of the Fair Employment and Housing Commission implementing Gov. Code §12990 (a-f), set forth 2 CCR §§8100-8504, are incorporated into this AGREEMENT by reference and made a part hereof as if set forth in full.
iv. CONSULTANT shall permit access by representatives of the Department of Fair Employment and Housing and the LOCAL AGENCY upon reasonable notice at any time during the normal business hours, but in no case less than twenty-four (24) hours’ notice, to such of its books, records, accounts, and all other sources of information and its facilities as said Department or LOCAL AGENCY shall require to ascertain compliance with this clause.
v. CONSULTANT and its subconsultants shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other Agreement.
vi. CONSULTANT shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under this AGREEMENT. vii. The CONSULTANT, with regard to the work performed under this AGREEMENT, shall act in accordance with Title VI of the Civil Rights Act of 1964 (42 U.S.C. §2000d et seq.). Title VI provides that the recipients of federal assistance will implement and maintain a policy of nondiscrimination in which no person in the United States shall, on the basis of race, color, national origin, religion, sex, age, disability, be excluded from participation in, denied the benefits of or subject to discrimination under any program or activity by the recipients of federal assistance or their assignees and successors in interest.
viii. The CONSULTANT shall comply with regulations relative to non-discrimination in federally-assisted programs of the U.S. Department of Transportation (49 CFR 21 - Effectuation of Title VI of the Civil Rights Act of 1964). Specifically, the CONSULTANT shall not participate either directly or indirectly in the discrimination prohibited by 49 CFR §21.5, including employment practices and the selection and retention of Subconsultants.
ix. CONSULTANT, subrecipient or subconsultant will never exclude any person from participation in, deny any person the benefits of, or otherwise discriminate against anyone in connection with the award and performance of any contract covered by 49 CFR 26 on the basis of race, color, sex, or national origin. In administering the LOCAL AGENCY components of the DBE Program Plan, CONSULTANT, subrecipient or subconsultant will not, directly, or through contractual or other arrangements, use criteria or methods of administration that have the effect of defeating or substantially impairing accomplishment of the objectives of the DBE Program Plan with respect to individuals of a particular race, color, sex, or national origin.
D. Ownership of Data
i. It is mutually agreed that all materials prepared by CONSULTANT under this AGREEMENT shall become the property of City, and CONSULTANT shall have no property right therein whatsoever. Immediately upon termination, City shall be entitled to, and CONSULTANT shall deliver to City, reports, investigations, appraisals, inventories, studies, analyses, drawings and data estimates performed to that date, whether completed or not, and other such materials as may have been prepared or accumulated to date by CONSULTANT in performing this AGREEMENT which is not CONSULTANT’s privileged information, as defined by law, or CONSULTANT’s personnel information, along with all other property belonging exclusively to City which is in CONSULTANT’s possession. Publication of the information derived from work performed or data obtained in connection with services rendered under this AGREEMENT must be approved in writing by City. ii. Additionally, it is agreed that the Parties intend this to be an AGREEMENT for services and each considers the products and results of the services to be rendered by CONSULTANT hereunder to be work made for hire. CONSULTANT acknowledges and agrees that the work (and all
rights therein, including, without limitation, copyright) belongs to and shall be the sole and exclusive property of City without restriction or limitation upon its use or dissemination by City. iii. Nothing herein shall constitute or be construed to be any representation by CONSULTANT that the work product is suitable in any way for any other project except the one detailed in this Contract. Any reuse by City for another project or project location shall be at City’s sole risk.
iv. Applicable patent rights provisions regarding rights to inventions shall be included in the contracts as appropriate (48 CFR 27 Subpart 27.3 - Patent Rights under Government Contracts for federalꢀaid contracts).
v. LOCAL AGENCY may permit copyrighting reports or other agreement products.
If copyrights are permitted; the AGREEMENT shall provide that the FHWA shall have the royalty-free nonexclusive and irrevocable right to reproduce, publish, or otherwise use; and to authorize others to use, the work for government purposes.
E. Allowable Costs and Payments
i. The method of payment for this AGREEMENT will be based on lump sum. The total lump sum price paid to CONSULTANT will include compensation for all work and deliverables, including travel and equipment described in Exhibit “A”. No additional compensation will be paid to CONSULTANT, unless there is a change in the scope of the work or the scope of the project. In the instance of a change in the scope of work or scope of the project, adjustment to the total lump sum compensation will be negotiated between CONSULTANT and LOCAL AGENCY. Adjustment in the total lump sum compensation will not be effective until authorized by AGREEMENT amendment and approved by LOCAL AGENCY.
ii. Progress payments may be made monthly in arrears based on the percentage of work completed by CONSULTANT. If CONSULTANT fails to submit the required deliverable items according to the schedule set forth in Article III Statement of Work, LOCAL AGENCY shall have the right to delay payment or terminate this AGREEMENT in accordance with the provisions of City Sections 15 and 16.
iii. CONSULTANT shall not commence performance of work or services until this AGREEMENT has been approved by LOCAL AGENCY and notification to proceed has been issued by LOCAL AGENCY’S Contract Administrator. No payment will be made prior to approval of any work, or for any work performed prior to approval of this AGREEMENT. iv. CONSULTANT will be reimbursed within thirty (30) days upon receipt by LOCAL AGENCY’S Contract Administrator of itemized invoices in duplicate. Invoices shall be submitted no later than thirty (30) calendar days after the performance of work for which CONSULTANT is billing. Invoices shall detail the work performed on each milestone, on each project as applicable. Invoices shall follow the format stipulated for the approved Cost Proposal and shall reference this AGREEMENT number and project title. Final invoice must contain the final cost and all credits due LOCAL AGENCY that include any equipment purchased under the provisions of Subsection
3.J. herein. The final invoice must be submitted within sixty (60) calendar days after completion of
CONSULTANT’s work unless a later date is approved by the LOCAL AGENCY. Invoices shall be mailed to LOCAL AGENCY’s Project Manager at the following address:
Dao La, City of Lancaster
44933 Fern Avenue
Lancaster, California 93534
v. The total amount payable by LOCAL AGENCY shall not exceed amount listed in Exhibit “B”.
F. Cost Principles
i. The CONSULTANT agrees that 48 CFR 31, Contract Cost Principles and Procedures, shall be used to determine the allowability of individual terms of cost. ii. The CONSULTANT also agrees to comply with Federal procedures in accordance with 2 CFR 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.
iii. Any costs for which payment has been made to the CONSULTANT that are determined by subsequent audit to be unallowable under 48 CFR 31 or 2 CFR 200 are subject to repayment by the CONSULTANT to LOCAL AGENCY.
iv. When a CONSULTANT or Subconsultant is a Non-Profit Organization or an Institution of Higher Education, the Cost Principles for Title 2 CFR 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards shall apply.
G. Disadvantaged Business Enterprises (DBE) Participation. i. Consultant, subrecipient (LOCAL AGENCY), or subconsultant shall take necessary and reasonable steps to ensure that DBEs have opportunities to participate in the contract (49 CFR 26). To ensure equal participation of DBEs provided in 49 CFR 26.5, the LOCAL AGENCY shows a contract goal for DBEs. CONSULTANT shall make work available to DBEs and select work parts consistent with available DBE subconsultants and suppliers.
CONSULTANT shall meet the DBE goal shown elsewhere in these special provisions or demonstrate that they made adequate good faith efforts to meet this goal. It is CONSULTANT’s responsibility to verify at date of proposal opening that the DBE firm is certified as a DBE by using the California Unified Certification Program (CUCP) database and possesses the most specific available North American Industry Classification System (NAICS) codes or work code applicable to the type of work the firm will perform on the contract. Additionally, the CONSULTANT is responsible to document the verification record by printing out the CUCP data for each DBE firm. A list of DBEs certified by the CUCP can be found at https://dot.ca.gov/programs/civil-rights/dbe- search.
All DBE participation will count toward the California Department of Transportation’s federally mandated statewide overall DBE goal. Credit for materials or supplies CONSULTANT purchases from DBEs counts towards the goal in the following manner:
•
•
•
100 percent counts if the materials or supplies are obtained from a DBE manufacturer. 60 percent counts if the materials or supplies are purchased from a DBE regular dealer.
Only fees, commissions, and charges for assistance in the procurement and delivery of materials or supplies count if obtained from a DBE that is neither a manufacturer nor regular dealer. 49 CFR 26.55 defines "manufacturer" and "regular dealer." This AGREEMENT is subject to 49 CFR 26 entitled “Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs”. CONSULTANTs who enter into a federally-funded agreement will assist the LOCAL AGENCY in a good faith effort to achieve California's statewide overall DBE goal.
ii. The goal for DBE participation for this AGREEMENT is 16.0%. Participation by DBE CONSULTANT or subconsultants shall be in accordance with information contained in Exhibit 10- O2: Consultant Contract DBE Commitment attached hereto and incorporated as part of the AGREEMENT. If a DBE subconsultant is unable to perform, CONSULTANT must make a good faith effort to replace him/her with another DBE subconsultant, if the goal is not otherwise met. iii. CONSULTANT can meet the DBE participation goal by either documenting commitments to DBEs to meet the AGREEMENT goal, or by documenting adequate good faith efforts to meet the AGREEMENT goal. An adequate good faith effort means that the CONSULTANT must show that it took all necessary and reasonable steps to achieve a DBE goal that, by their scope, intensity, and appropriateness to the objective, could reasonably be expected to meet the DBE goal. If CONSULTANT has not met the DBE goal, complete and submit Exhibit 15-H: DBE Information – Good Faith Efforts to document efforts to meet the goal. Refer to 49 CFR 26 for guidance regarding evaluation of good faith efforts to meet the DBE goal.
iv. Contract Assurance
Under 49 CFR 26.13(b): CONSULTANT, subrecipient or subconsultant shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. CONSULTANT shall carry out applicable requirements of 49 CFR 26 in the award and administration of federal-aid contracts.
Failure by the CONSULTANT to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the recipient deems appropriate, which may include, but is not limited to:
(1) Withholding monthly progress payments;
(2) Assessing sanctions;
(3) Liquidated damages; and/or
(4) Disqualifying CONSULTANT from future proposing as non-responsible v. Termination and Substitution of DBE Subconsultants
CONSULTANT shall utilize the specific DBEs listed to perform the work and supply the materials for which each is listed unless CONSULTANT or DBE subconsultant obtains the LOCAL AGENCY’s written consent. CONSULTANT shall not terminate or substitute a listed DBE for convenience and perform the work with their own forces or obtain materials from other sources without authorization from the LOCAL AGENCY. Unless the LOCAL AGENCY’s consent is provided, the CONSULTANT
shall not be entitled to any payment for work or material unless it is performed or supplied by the listed DBE on the Exhibit 10-02: Consultant Contract DBE Commitment form, included in the Bid.
The LOCAL AGENCY authorizes a request to use other forces or sources of materials if CONSULTANT shows any of the following justifications:
1. 2.
Listed DBE fails or refuses to execute a written contract based on plans and specifications for the project.
The LOCAL AGENCY stipulated that a bond is a condition of executing the subcontract and the listed DBE fails to meet the LOCAL AGENCY’s bond requirements.
3. 4.
Work requires a consultant's license and listed DBE does not have a valid license under Contractors License Law.
Listed DBE fails or refuses to perform the work or furnish the listed materials (failing or refusing to perform is not an allowable reason to remove a DBE if the failure or refusal is a result of bad faith or discrimination).
5. 6.
7. 8.
9. Listed DBE's work is unsatisfactory and not in compliance with the contract.
Listed DBE is ineligible to work on the project because of suspension or debarment.
Listed DBE becomes bankrupt or insolvent.
Listed DBE voluntarily withdraws with written notice from the Contract Listed DBE is ineligible to receive credit for the type of work required.
10. Listed DBE owner dies or becomes disabled resulting in the inability to perform the work on the Contract.
11. The LOCAL AGENCY determines other documented good cause.
CONSULTANT shall notify the original DBE of the intent to use other forces or material sources and provide the reasons and provide the DBE with 5 days to respond to the notice and advise CONSULTANT and the LOCAL AGENCY of the reasons why the use of other forces or sources of materials should not occur. CONSULTANT’s request to use other forces or material sources must include:
1. One or more of the reasons listed in the preceding paragraph.
2. Notices from CONSULTANT to the DBE regarding the request.
3. Notices from the DBEs to CONSULTANT regarding the request.
If a listed DBE is terminated or substituted, CONSULTANT must make good faith efforts to find another DBE to substitute for the original DBE. The substitute DBE must perform at least the same amount of work as the original DBE under the contract to the extent needed to meet or exceed the DBE goal.
vi. Commitment and Utilization
The LOCAL AGENCY’s DBE program must include a monitoring and enforcement mechanism to ensure that DBE commitments reconcile to DBE utilization.
The LOCAL AGENCY shall request CONSULTANT to:
1. Notify the LOCAL AGENCY’s contract administrator or designated representative of any changes to its anticipated DBE participation
2. Provide this notification before starting the affected work
3. Maintain records including:
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•
Name and business address of each 1st -tier subconsultant Name and business address of each DBE subconsultant, DBE vendor, and DBE trucking company, regardless of tier
• Date of payment and total amount paid to each business (see Exhibit 10-G) If CONSULTANT is a DBE CONSULTANT, they shall include the date of work performed by their own forces and the corresponding value of the work.
If a DBE is decertified before completing its work, the DBE must notify CONSULTANT in writing of the decertification date. If a business becomes a certified DBE before completing its work, the business must notify CONSULTANT in writing of the certification date. CONSULTANT shall submit the notifications to the LOCAL AGENCY. On work completion, CONSULTANT shall complete a Disadvantaged Business Enterprises (DBE) Certification Status Change, Exhibit 17-O, form and submit the form to the LOCAL AGENCY within 30 days of contract acceptance.
Upon work completion, CONSULTANT shall complete Exhibit 17-F: Final Report – Utilization of Disadvantaged Business Enterprises (DBE), First-Tier Subcontractors and submit it to the LOCAL AGENCY within 90 days of contract acceptance. The LOCAL AGENCY will withhold $10,000 until the form is submitted. The LOCAL AGENCY will release the withhold upon submission of the completed form.
In the LOCAL AGENCY’s reports of DBE participation to Caltrans, the LOCAL AGENCY must display both commitments and attainments.
vii. A DBE is only eligible to be counted toward the AGREEMENT goal if it performs a commercially useful function (CUF) on the AGREEMENT. CUF must be evaluated on an agreement by agreement basis. A DBE performs a CUF when it is responsible for execution of the work of the AGREEMENT and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a CUF, the DBE must also be responsible, with respect to materials and supplies used on the AGREEMENT, for negotiating price, determining quality and quantity, ordering the material and installing (where applicable), and paying for the material itself. To determine whether a DBE is performing a CUF, evaluate the amount of work subcontracted, industry practices, whether the amount the firm is to be paid under the AGREEMENT is commensurate with the work it is actually performing, and other relevant factors. viii. A DBE does not perform a CUF if its role is limited to that of an extra participant in a transaction, AGREEMENT, or project through which funds are passed in order to obtain the appearance of DBE participation. In determining whether a DBE is such an extra participant, examine similar transactions, particularly those in which DBEs do not participate.
ix. If a DBE does not perform or exercise responsibility for at least thirty percent (30%) of the total cost of its AGREEMENT with its own work force, or the DBE subcontracts a greater portion of the work of the AGREEMENT than would be expected on the basis of normal industry practice for the type of work involved, it will be presumed that it is not performing a CUF. x. CONSULTANT shall maintain records of materials purchased or supplied from all subcontracts entered into with certified DBEs. The records shall show the name and business address of each DBE or vendor and the total dollar amount actually paid each DBE or vendor, regardless of tier.
The records shall show the date of payment and the total dollar figure paid to all firms. DBE CONSULTANT’s shall also show the date of work performed by their own forces along with the corresponding dollar value of the work.
xi. If a DBE subconsultant is decertified during the life of the AGREEMENT, the decertified subconsultant shall notify CONSULTANT in writing with the date of decertification. If a subconsultant becomes a certified DBE during the life of the AGREEMENT, the subconsultant shall notify CONSULTANT in writing with the date of certification. Any changes should be reported to LOCAL AGENCY’s Contract Administrator within thirty (30) calendar days. xii. After submitting an invoice for reimbursement that includes a payment to a DBE, but no later than the 10th of the following month, the prime contractor/consultant shall complete and email the Exhibit 10-G to [email protected] with a copy to the Agency. xiii. Any subcontract entered into as a result of this AGREEMENT shall contain all of the provisions of this section.
H. Subconsultants [Subcontracting]
i. Nothing contained in this AGREEMENT or otherwise, shall create any contractual relation between the LOCAL AGENCY and any Subconsultants, and no subagreement shall relieve the CONSULTANT of its responsibilities and obligations hereunder. The CONSULTANT agrees to be as fully responsible to the LOCAL AGENCY for the acts and omissions of its Subconsultants and of persons either directly or indirectly employed by any of them as it is for the acts and omissions of persons directly employed by the CONSULTANT. The CONSULTANT's obligation to pay its Subconsultants is an independent obligation from the LOCAL AGENCY's obligation to make payments to the CONSULTANT.
ii. The CONSULTANT shall perform the work contemplated with resources available within its own organization and no portion of the work shall be subcontracted without written authorization by the LOCAL AGENCY Contract Administrator, except that which is expressly identified in the CONSULTANT’s approved Cost Proposal.
iii. Any subagreement entered into as a result of this AGREEMENT, shall contain all the provisions stipulated in this entire AGREEMENT to be applicable to Subconsultants unless otherwise noted.
iv. CONSULTANT shall pay its Subconsultants within Fifteen (15) calendar days from receipt of each payment made to the CONSULTANT by the LOCAL AGENCY.
v. Any substitution of Subconsultants must be approved in writing by the LOCAL AGENCY Contract Administrator in advance of assigning work to a substitute Subconsultant. vi. Prompt Progress Payment
CONSULTANT or subconsultant shall pay to any subconsultant, not later than fifteen (15) days after receipt of each progress payment, unless otherwise agreed to in writing, the respective amounts allowed CONSULTANT on account of the work performed by the subconsultants, to the extent of each subconsultant’s interest therein. In the event that there is a good faith dispute over all or any portion of the amount due on a progress payment from CONSULTANT or subconsultant to a subconsultant, CONSULTANT or subconsultant may withhold no more than 150 percent of the disputed amount. Any violation of this requirement shall constitute a cause for disciplinary action and shall subject the licensee to a penalty, payable to the subconsultant, of 2 percent of the amount due per month for every month that payment is not made.
In any action for the collection of funds wrongfully withheld, the prevailing party shall be entitled to his or her attorney’s fees and costs. The sanctions authorized under this requirement shall be separate from, and in addition to, all other remedies, either civil, administrative, or criminal. This clause applies to both DBE and non-DBE subconsultants.
vii. Prompt Payment of Withheld Funds to Subconsultants The LOCAL AGENCY may hold retainage from CONSULTANT and shall make prompt and regular incremental acceptances of portions, as determined by the LOCAL AGENCY, of the contract work, and pay retainage to CONSULTANT based on these acceptances. The LOCAL AGENCY shall designate one of the methods below in the contract to ensure prompt and full payment of any retainage kept by CONSULTANT or subconsultant to a subconsultant.
No retainage will be held by the LOCAL AGENCY from progress payments due to CONSULTANT.
CONSULTANTS and subconsultants are prohibited from holding retainage from subconsultants. Any delay or postponement of payment may take place only for good cause and with the LOCAL AGENCY’s prior written approval. Any violation of these provisions shall subject the violating CONSULTANT or subconsultant to the penalties, sanctions, and other remedies specified in Section 3321 of the California Civil Code. This requirement shall not be construed to limit or impair any contractual, administrative or judicial remedies, otherwise available to CONSULTANT or subconsultant in the event of a dispute involving late payment or nonpayment by CONSULTANT, deficient subconsultant performance and/or noncompliance by a subconsultant. This clause applies to both DBE and non-DBE subconsultants.
Any violation of these provisions shall subject the violating CONSULTANT or subconsultant to the penalties, sanctions and other remedies specified therein. These requirements shall not be construed to limit or impair any contractual, administrative, or judicial remedies otherwise available to CONSULTANT or subconsultant in the event of a dispute involving late payment or nonpayment by CONSULTANT, deficient subcontract performance, or noncompliance by a subconsultant.
I. Contingent Fee. CONSULTANT warrants, by execution of this AGREEMENT that no person or selling agency has been employed, or retained, to solicit or secure this AGREEMENT upon an agreement or understanding, for a commission, percentage, brokerage, or contingent fee, excepting bona
fide employees, or bona fide established commercial or selling agencies maintained by CONSULTANT for the purpose of securing business. For breach or violation of this warranty, LOCAL AGENCY has the right to annul this AGREEMENT without liability; pay only for the value of the work actually performed, or in its discretion to deduct from the AGREEMENT price or consideration, or otherwise recover the full amount of such commission, percentage, brokerage, or contingent fee.
J. Equipment Purchase
i. Prior authorization in writing by LOCAL AGENCY’s Contract Administrator shall be required before CONSULTANT enters into any unbudgeted purchase order, or subcontract exceeding five thousand dollars ($5,000) for supplies, equipment, or CONSULTANT services.
CONSULTANT shall provide an evaluation of the necessity or desirability of incurring such costs. ii. For purchase of any item, service, or consulting work not covered in CONSULTANT’s approved Cost Proposal and exceeding five thousand dollars ($5,000), with prior authorization by LOCAL AGENCY’s Contract Administrator, three competitive quotations must be submitted with the request, or the absence of proposal must be adequately justified. iii. Any equipment purchased with funds provided under the terms of this AGREEMENT is subject to the following:
1. CONSULTANT shall maintain an inventory of all nonexpendable property.
Nonexpendable property is defined as having a useful life of at least two years and an acquisition cost of five thousand dollars ($5,000) or more. If the purchased equipment needs replacement and is sold or traded in, LOCAL AGENCY shall receive a proper refund or credit at the conclusion of the AGREEMENT, or if the AGREEMENT is terminated, CONSULTANT may either keep the equipment and credit LOCAL AGENCY in an amount equal to its fair market value, or sell such equipment at the best price obtainable at a public or private sale, in accordance with established LOCAL AGENCY procedures; and credit LOCAL AGENCY in an amount equal to the sales price. If CONSULTANT elects to keep the equipment, fair market value shall be determined at CONSULTANT’s expense, on the basis of a competent independent appraisal of such equipment. Appraisals shall be obtained from an appraiser mutually agreeable to by LOCAL AGENCY and CONSULTANT, if it is determined to sell the equipment, the terms and conditions of such sale must be approved in advance by LOCAL AGENCY.
2. Regulation 2 CFR 200 requires a credit to Federal funds when participating equipment with a fair market value greater than five thousand dollars ($5,000) is credited to the project.
K. Inspection of Work. CONSULTANT and any subconsultant shall permit LOCAL AGENCY, the State, and the FHWA if federal participating funds are used in this AGREEMENT; to review and inspect the project activities and files at all reasonable times during the performance period of this AGREEMENT.
L. Safety
i. CONSULTANT shall comply with OSHA regulations applicable to CONSULTANT regarding necessary safety equipment or procedures. CONSULTANT shall comply with safety instructions issued by LOCAL AGENCY Safety Officer and other LOCAL AGENCY representatives. CONSULTANT personnel shall wear hard hats and safety vests at all times while working on the construction project site.
ii. Pursuant to the authority contained in Vehicle Code §591, LOCAL AGENCY has determined that such areas are within the limits of the project and are open to public traffic.
CONSULTANT shall comply with all of the requirements set forth in Divisions 11, 12, 13, 14, and 15 of the Vehicle Code. CONSULTANT shall take all reasonably necessary precautions for safe operation of its vehicles and the protection of the traveling public from injury and damage from such vehicles. iii. Any subcontract entered into as a result of this contract, shall contain all of the provisions of this Article.
iv. CONSULTANT must have a Division of Occupational Safety and Health (CAL- OSHA) permit(s), as outlined in Labor Code §6500 and §6705, prior to the initiation of any practices, work, method, operation, or process related to the construction or excavation of trenches which are five (5) feet or deeper.
M. Confidentiality of Data
i. All financial, statistical, personal, technical, or other data and information relative to LOCAL AGENCY’s operations, which are designated confidential by LOCAL AGENCY and made available to CONSULTANT in order to carry out this AGREEMENT, shall be protected by CONSULTANT from unauthorized use and disclosure.
ii. Permission to disclose information on one occasion, or public hearing held by LOCAL AGENCY relating to the AGREEMENT, shall not authorize CONSULTANT to further disclose such information, or disseminate the same on any other occasion. iii. CONSULTANT shall not comment publicly to the press or any other media regarding the AGREEMENT or LOCAL AGENCY’s actions on the same, except to LOCAL AGENCY’s staff, CONSULTANT’s own personnel involved in the performance of this AGREEMENT, at public hearings, or in response to questions from a Legislative committee. iv. CONSULTANT shall not issue any news release or public relations item of any nature, whatsoever, regarding work performed or to be performed under this AGREEMENT without prior review of the contents thereof by LOCAL AGENCY, and receipt of LOCAL AGENCY’S written permission.
v. Any subcontract entered into as a result of this contract shall contain all of the provisions of this Article.
vi. All information related to the construction estimate is confidential, and shall not be disclosed by CONSULTANT to any entity, other than LOCAL AGENCY, Caltrans, and/or FHWA.
All of the materials prepared or assembled by CONSULTANT pursuant to performance of this Contract are confidential and CONSULTANT agrees that they shall not be made available to any individual or organization without the prior written approval of City or except by court order. If CONSULTANT or any of its officers, employees, or subcontractors does voluntarily provide information in violation of this Contract, City has the right to reimbursement and indemnity from CONSULTANT for any damages caused by CONSULTANT releasing the information, including, but not limited to, City’s attorney’s fees and disbursements, including without limitation experts’ fees and disbursements N. National Labor Relations Board Certification. In accordance with Public Contract Code §10296, CONSULTANT hereby states under penalty of perjury that no more than one final unappealable finding of contempt of court by a federal court has been issued against CONSULTANT within the immediately preceding two-year period, because of CONSULTANT’s failure to comply with an order of a federal court that orders CONSULTANT to comply with an order of the National Labor Relations Board.
O. Evaluation of Consultant. CONSULTANT’s performance will be evaluated by LOCAL AGENCY. A copy of the evaluation will be sent to CONSULTANT for comments. The evaluation together with the comments shall be retained as part of the AGREEMENT record.
P. Debarment and Suspension Certification
i. The CONSULTANT’s signature affixed herein shall constitute a certification under penalty of perjury under the laws of the State of California, that the CONSULTANT or any person associated therewith in the capacity of owner, partner, director, officer or manager:
1. Is not currently under suspension, debarment, voluntary exclusion, or determination of ineligibility by any federal agency;
2. Has not been suspended, debarred, voluntarily excluded, or determined ineligible by any federal agency within the past three (3) years;
3. Does not have a proposed debarment pending; and
4. Has not been indicted, convicted, or had a civil judgment rendered against it by a court of competent jurisdiction in any matter involving fraud or official misconduct within the past three (3) years.
ii. Any exceptions to this certification must be disclosed to LOCAL AGENCY.
Exceptions will not necessarily result in denial of recommendation for award, but will be considered in determining responsibility. Disclosures must indicate the party to whom the exceptions apply, the initiating agency, and the dates of agency action.
iii. Exceptions to the Federal Government excluded parties (https://sam.gov/content/home) maintained by the U.S. General Services Administration are to be determined by FHWA.
Q. Conflict of Interest
i. During the term of this AGREEMENT, the CONSULTANT shall disclose any financial, business, or other relationship with LOCAL AGENCY that may have an impact upon the
outcome of this AGREEMENT or any ensuing LOCAL AGENCY construction project. The CONSULTANT shall also list current clients who may have a financial interest in the outcome of this AGREEMENT or any ensuing LOCAL AGENCY construction project which will follow. ii. CONSULTANT certifies that it has disclosed to LOCAL AGENCY any actual, apparent, or potential conflicts of interest that may exist relative to the services to be provided pursuant to this AGREEMENT. CONSULTANT agrees to advise LOCAL AGENCY of any actual, apparent or potential conflicts of interest that may develop subsequent to the date of execution of this AGREEMENT. CONSULTANT further agrees to complete any statements of economic interest if required by either LOCAL AGENCY ordinance or State law. iii. The CONSULTANT hereby certifies that it does not now have nor shall it acquire any financial or business interest that would conflict with the performance of services under this AGREEMENT.
iv. The CONSULTANT hereby certifies that the CONSULTANT or subconsultant and any firm affiliated with the CONSULTANT or subconsultant that bids on any construction contract or on any Agreement to provide construction inspection for any construction project resulting from this AGREEMENT, has established necessary controls to ensure a conflict of interest does not exist. An affiliated firm is one, which is subject to the control of the same persons, through joint ownership or otherwise.
R. Rebates, Kickbacks or other Unlawful Consideration. The CONSULTANT warrants that this AGREEMENT was not obtained or secured through rebates, kickbacks or other unlawful consideration either promised or paid to any LOCAL AGENCY employee. For breach or violation of this warranty, LOCAL AGENCY shall have the right, in its discretion, to terminate this AGREEMENT without liability, to pay only for the value of the work actually performed, or to deduct from this AGREEMENT price or otherwise recover the full amount of such rebate, kickback or other unlawful consideration.
S. Prohibition of Expending State or Federal Funds for Lobbying i. The CONSULTANT certifies to the best of his or her knowledge and belief that:
1. No State, Federal, or LOCAL AGENCY appropriated funds have been paid or will be paid, by or on behalf of the CONSULTANT, to any person for influencing or attempting to influence an officer or employee of any local, State, or Federal agency, a Member of the State Legislature or United States Congress, an officer or employee of the Legislature or Congress, or any employee of a Member of the Legislature or Congress in connection with the awarding or making of this AGREEMENT, or with the extension, continuation, renewal, amendment, or modification of this AGREEMENT.
2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this AGREEMENT, the CONSULTANT shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.
ii. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. §1352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than ten thousand dollars ($10,000) and not more than one hundred thousand dollars ($100,000) for each such failure. iii. The CONSULTANT also agrees by signing this document that he or she shall require that the language of this certification be included in all lower tier subagreements, which exceed one hundred thousand dollars ($100,000), and that all such subrecipients shall certify and disclose accordingly.
T. Funding Requirements
i. It is mutually understood between the parties that this AGREEMENT may have been written before ascertaining the availability of funds or appropriation of funds, for the mutual benefit of both parties, in order to avoid program and fiscal delays that would occur if the AGREEMENT were executed after that determination was made. ii. This AGREEMENT is valid and enforceable only if sufficient funds are made available to LOCAL AGENCY for the purpose of this AGREEMENT. In addition, this AGREEMENT is subject to any additional restrictions, limitations, conditions, or any statute enacted by the Congress, State Legislature, or LOCAL AGENCY governing board that may affect the provisions, terms, or funding of this AGREEMENT in any manner.
iii. It is mutually agreed that if sufficient funds are not appropriated, this AGREEMENT may be amended to reflect any reduction in funds. iv. Local AGENCY has the option to terminate the AGREEMENT pursuant to Article VI Termination, or by mutual agreement to amend the AGREEMENT to reflect any reduction of funds.
U. Claims filed by Local Agency’s Construction Contractor i. If claims are filed by LOCAL AGENCY’s construction contractor relating to work performed by CONSULTANT’s personnel, and additional information or assistance from CONSULTANT’s personnel is required in order to evaluate or defend against such claims; CONSULTANT agrees to make its personnel available for consultation with LOCAL AGENCY’S construction contract administration and legal staff and for testimony, if necessary, at depositions and at trial or arbitration proceedings.
ii. CONSULTANT’s personnel that LOCAL AGENCY considers essential to assist in defending against construction contractor claims will be made available on reasonable notice from LOCAL AGENCY. Consultation or testimony will be reimbursed at the same rates, including travel costs that are being paid for CONSULTANT’s personnel services under this AGREEMENT.
iii. Services of CONSULTANT’s personnel in connection with LOCAL AGENCY’s construction contractor claims will be performed pursuant to a written contract amendment, if necessary, extending the termination date of this AGREEMENT in order to resolve the construction claims.
V. Prompt Payment from the Local Agency to Consultant
The LOCAL AGENCY shall make any progress payment within 30 days after receipt of an undisputed and properly submitted payment request from CONSULTANT on a professional service contract. If the LOCAL AGENCY fails to pay promptly, the LOCAL AGENCY shall pay interest to the contractor, which accrues at the rate of 10 percent per annum on the principal amount of a money judgment remaining unsatisfied. Upon receipt of a payment request, the LOCAL AGENCY shall act in accordance with both of the following:
(1) Each payment request shall be reviewed by the LOCAL AGENCY as soon as practicable after receipt for the purpose of determining that the payment request is a proper payment request.
(2) Any payment request determined not to be a proper payment request suitable for payment shall be returned to CONSULTANT as soon as practicable, but not later than seven (7) days, after receipt. A request returned pursuant to this paragraph shall be accompanied by a document setting forth in writing the reasons why the payment request is not proper.
W. Title VI Assurances
i. The U.S. Department of Transportation Order No.1050.2A requires all federal-aid Department of Transportation contracts between an agency and a consultant to contain Appendices A and E, and Appendices B, C, and D (as applicable) of the Title VI Assurances. As such, Appendices A- E of the Title VI Assurances, as listed below, are hereby made a part of this AGREEMENT. ii. The CONSULTANT must include the Title VI Assurances Appendices A and E, and if applicable Appendices B, C, and D in all subcontracts to perform work under the contract. iii. The clauses of Appendix B of this Assurance shall be included as a covenant running with the land, in any deed from the United States effecting or recording a transfer of real property, structures, use, or improvements thereon or interest therein to a LOCAL AGENCY. iv. The clauses set forth in Appendix C and Appendix D of this Assurance shall be included as a covenant running with the land, in any future deeds, leases, licenses, permits, or similar instruments entered into by the LOCAL AGENCY with other parties:
a. for the subsequent transfer of real property acquired or improved under the applicable activity, project, or program; and
b. for the construction or use of, or access to, space on, over, or under real property acquired or improved under the applicable activity, project, or program.
APPENDICES A - E of the TITLE VI ASSURANCES:
APPENDIX A
During the performance of this Agreement, the contractor, for itself, its assignees and successors in interest (hereinafter collectively referred to as CONSULTANT) agrees as follows:
a. Compliance with Regulations: CONSULTANT shall comply with the regulations relative to nondiscrimination in federally assisted programs of the Department of Transportation, Title 49, Code of Federal Regulations, Part 21, as they may be amended from time to time, (hereinafter referred to as the REGULATIONS), which are herein incorporated by reference and made a part of this agreement. b. Nondiscrimination: CONSULTANT, with regard to the work performed by it during the AGREEMENT, shall not discriminate on the grounds of race, color, sex, national origin, religion, age, or disability in the selection and retention of sub-applicants, including procurements of materials and leases of equipment. CONSULTANT shall not participate either directly or indirectly in the discrimination prohibited by Section 21.5 of the Regulations, including employment practices when the agreement covers a program set forth in Appendix B of the Regulations. c. Solicitations for Sub-agreements, Including Procurements of Materials and Equipment: In all solicitations either by competitive bidding or negotiation made by CONSULTANT for work to be performed under a Sub- agreement, including procurements of materials or leases of equipment, each potential sub-applicant or supplier shall be notified by CONSULTANT of the CONSULTANT’S obligations under this Agreement and the Regulations relative to nondiscrimination on the grounds of race, color, or national origin.
d. Information and Reports: CONSULTANT shall provide all information and reports required by the Regulations, or directives issued pursuant thereto, and shall permit access to its books, records, accounts, other sources of information, and its facilities as may be determined by the recipient or FHWA to be pertinent to ascertain compliance with such Regulations or directives. Where any information required of CONSULTANT is in the exclusive possession of another who fails or refuses to furnish this information, CONSULTANT shall so certify to the recipient or FHWA as appropriate, and shall set forth what efforts CONSULTANT has made to obtain the information. e. Sanctions for Noncompliance: In the event of CONSULTANT’s noncompliance with the nondiscrimination provisions of this agreement, the recipient shall impose such agreement sanctions as it or the FHWA may determine to be appropriate, including, but not limited to:
i. withholding of payments to CONSULTANT under the Agreement within a reasonable period of time, not to exceed 90 days; and/or
ii. cancellation, termination or suspension of the Agreement, in whole or in part. f. Incorporation of Provisions: CONSULTANT shall include the provisions of paragraphs (1) through (6) in every sub-agreement, including procurements of materials and leases of equipment, unless exempt by the Regulations, or directives issued pursuant thereto.
APPENDIX B
CLAUSES FOR DEEDS TRANSFERRING UNITED STATES PROPERTY
The following clauses will be included in deeds effecting or recording the transfer of real property, structures, or improvements thereon, or granting interest therein from the United States pursuant to the provisions of Assurance 4:
NOW THEREFORE, the U.S. Department of Transportation as authorized by law and upon the condition that the recipient will accept title to the lands and maintain the project constructed thereon in accordance with Title 23 U.S.C., the regulations for the administration of the preceding statute, and the policies and procedures prescribed by the FHWA of the U.S. Department of Transportation in accordance and in compliance with all requirements imposed by Title 49, Code of Federal Regulations, U.S. Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Non-discrimination in Federally-assisted programs of the U.S. Department of Transportation pertaining to and effectuating the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252; 42 U.S.C. § 2000d to 2000d-4), does hereby remise, release, quitclaim and convey unto the recipient all the right, title and interest of the U.S. Department of Transportation in and to said lands described in Exhibit A attached hereto and made a part hereof.
(HABENDUM CLAUSE)
TO HAVE AND TO HOLD said lands and interests therein unto the recipient and its successors forever, subject, however, to the covenants, conditions, restrictions and reservations herein contained as follows, which will remain in effect for the period during which the real property or structures are used for a purpose for which Federal financial assistance is extended or for another purpose involving the provision of similar services or benefits and will be binding on the recipient, its successors and assigns.
The recipient, in consideration of the conveyance of said lands and interest in lands, does hereby covenant and agree as a covenant running with the land for itself, its successors and assigns, that (1) no person will on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination with regard to any facility located wholly or in part on, over, or under such lands hereby conveyed [,] [and]* (2) that the recipient will use the lands and interests in lands and interest in lands so conveyed, in compliance with all requirements imposed by or pursuant to Title 49, Code of Federal Regulations, U.S. Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Non-discrimination in Federally-assisted programs of the U.S.
Department of Transportation, Effectuation of Title VI of the Civil Rights Act of 1964, and as said Regulations and Acts may be amended [, and (3) that in the event of breach of any of the above- mentioned non-discrimination conditions, the Department will have a right to enter or re-enter said lands and facilities on said lands, and that above described land and facilities will thereon revert to and vest in and become the absolute property of the U.S. Department of Transportation and its assigns as such interest existed prior to this instruction].*
(*Reverter clause and related language to be used only when it is determined that such a clause is necessary in order to make clear the purpose of Title VI.)
APPENDIX C
CLAUSES FOR TRANSFER OF REAL PROPERTY ACQUIRED OR IMPROVED UNDER
THE ACTIVITY, FACILITY, OR PROGRAM
The following clauses will be included in deeds, licenses, leases, permits, or similar instruments entered into by the recipient pursuant to the provisions of Assurance 7(a):
A. The (grantee, lessee, permittee, etc. as appropriate) for himself/herself, his/her heirs, personal representatives, successors in interest, and assigns, as a part of the consideration hereof, does hereby covenant and agree [in the case of deeds and leases add “as a covenant running with the land”] that:
1. In the event facilities are constructed, maintained, or otherwise operated on the property described in this (deed, license, lease, permit, etc.) for a purpose for which a U.S. Department of Transportation activity, facility, or program is extended or for another purpose involving the provision of similar services or benefits, the (grantee, licensee, lessee, permittee, etc.) will maintain and operate such facilities and services in compliance with all requirements imposed by the Acts and Regulations(as may be amended) such that no person on the grounds of race, color, or national origin, will be excluded from participation in, denied the benefits of, or be otherwise subjected to discrimination in the use of said facilities.
B. With respect to licenses, leases, permits, etc., in the event of breach of any of the above Non- discrimination covenants, the recipient will have the right to terminate the (lease, license, permit, etc.) and to enter, re-enter, and repossess said lands and facilities thereon, and hold the same as if the (lease, license, permit, etc.) had never been made or issued.*
C. With respect to a deed, in the event of breach of any of the above Non-discrimination covenants, the recipient will have the right to enter or re-enter the lands and facilities thereon, and the above described lands and facilities will there upon revert to and vest in and become the absolute property of the recipient and its assigns.*
(*Reverter clause and related language to be used only when it is determined that such a clause is necessary to make clear the purpose of Title VI.)
APPENDIX D
CLAUSES FOR CONSTRUCTION/USE/ACCESS TO REAL PROPERTY ACQUIRED UNDER
THE ACTIVITY, FACILITY OR PROGRAM
The following clauses will be included in deeds, licenses, permits, or similar instruments/agreements entered into by the recipient pursuant to the provisions of Assurance 7(b):
A. The (grantee, licensee, permittee, etc., as appropriate) for himself/herself, his/her heirs, personal representatives, successors in interest ,and assigns, as a part of the consideration hereof, does hereby covenant and agree (in the case of deeds and leases add, “as a covenant running with the land”) that (1) no person on the ground of race, color, or national origin, will be excluded from participation in, denied the benefits of, or be otherwise subjected to discrimination in the use of said facilities, (2) that in the construction of any improvements on, over, or under such land, and the furnishings of services thereon, no person on the ground of race, color, or national origin, will be excluded from participation in, denied the benefits or, or otherwise be subjected to discrimination, (3) that the (grantee, licensee, lessee,
permittee, etc.) will use the premises in compliance with all other requirements imposed by or pursuant to the Acts and Regulations, as amended, set forth in this Assurance.
B. With respect to (licenses, leases, permits, etc.) in the event of breach of any of the above of the above Non-discrimination covenants, the recipient will have the right to terminate the (license, permits, etc., as appropriate) and to enter or re-enter and repossess said land and the facilities thereon, and hold the same as if said (license, permit, etc., as appropriate) had never been made or issued.* C. With respect to deeds, in the event of breach of any of the above Non-discrimination covenants, the recipient will there upon revert to and vest in and become the absolute property of the recipient and its assigns.
APPENDIX E
During the performance of this contract, the CONSULTANT, for itself, its assignees, and successors in interest (hereinafter referred to as the “CONSULTANT”) agrees to comply with the following non- discrimination statutes and authorities, including, but not limited to:
Pertinent Non-Discrimination Authorities:
• Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252), prohibits discrimination on the basis of race, color, national origin); and 49 CFR Part 21. • The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, (42 U.S.C. § 4601), (prohibits unfair treatment of persons displaced or whose property has been acquired because of Federal or Federal-aid programs and projects);
• Federal-Aid Highway Act of 1973, (23 U.S.C. § 324 et seq.), prohibits discrimination on the basis of sex;
• Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794 et seq.), as amended, (prohibits discrimination on the basis of disability); and 49 CR Part 27; • The Age Discrimination Act of 1975, as amended, (42 U.S.C. § 6101 et seq.), prohibits discrimination on the basis of age);
• Airport and Airway Improvement Act of 1982, (49 U.S.C. § 471, Section 47123), as amended, (prohibits discrimination based on race, creed, color, national origin, or sex); • The Civil Rights Restoration Act of 1987, (PL 100-209), (Broadened the scope, coverage and applicability of Title VI of the Civil Rights Act of 1964, The Age Discrimination Act of 1975 and Section 504 of the Rehabilitation Act of 1973, by expanding the definition of the terms “programs or activities” to include all of the programs or activities of the Federal-aid recipients, sub-recipients and contractors, whether such programs or activities are Federally funded or not); • Titles II and III of the Americans with Disabilities Act, which prohibit discrimination of the basis of disability in the operation of public entities, public and private transportation systems, places of public
accommodation, and certain testing entities (42 U.S.C. §§ 12131 – 12189) as implemented by Department of Transportation regulations 49 C.F.R. parts 37 and 38; • The Federal Aviation Administration’s Non-discrimination statute (49 U.S.C. § 47123) (prohibits discrimination on the basis of race, color, national origin, and sex); • Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations, which ensures discrimination against minority populations by discouraging programs, policies, and activities with disproportionately high and adverse human health or environmental effects on minority and low-income populations; • Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency, and resulting agency guidance, national origin discrimination includes discrimination because of Limited English Proficiency (LEP). To ensure compliance with Title VI, you must take reasonable steps to ensure that LEP persons have meaningful access to your programs (70 Fed. Reg. at 74087 to 74100); • Title IX of the Education Amendments of 1972, as amended, which prohibits you from discriminating because of sex in education programs or activities (20 U.S.C.1681 et seq).
EXHIBIT "D"
STATE AND FEDERAL FORMS
Required State and Federal Forms are attached. These forms and other required State and Federal Documentation per Exhibit “C” shall be completed and submitted by the Consultant.
List of Attached Forms
Consultant shall complete and submit the following forms within ten (10) days of Agreement execution:
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Exhibit 10-O2 (LAPM) Local Agency Proposer DBE Information (Consultant Contracts) Debarment and Suspension Certification
Consultant shall complete and submit the following forms in accordance with Caltrans Local Assistance Procedures Manual:
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Caltrans Exhibit 10-G (LAPM) Individual A&E Task Order DBE Tracking Sheet Caltrans Exhibit 14-D (LAPM) Notice to Owner-Local Assitance Caltrans Exhibit 17-O (LAPM) DBE Certification Status Change Caltrans Exhibit 17-F (LAPM) Final Report Utilization of DBE PW-123 (1/14)
Local Assistance Procedures Manual Exhibit 10-O2
Consultant Contract DBE Commitment
EXHIBIT 10-O2 CONSULTANT CONTRACT DBE COMMITMENT
1. Local Agency: 2. Contract DBE Goal:
3. Project Description:
4. Project Location:
5. Consultant's Name: 6. Prime Certified DBE: 7. Total Contract Award Amount:
8. Total Dollar Amount for ALL Subconsultants: 9. Total Number of ALL Subconsultants:
11. DBE
Certification
Number
13. DBE
Dollar
Amount
10. Description of Work, Service, or Materials
Supplied 12. DBE Contact Information
Local Agency to Complete this Section
$20. Local Agency Contract
14. TOTAL CLAIMED DBE PARTICIPATION
21. Federal-Aid Project Number:
%22. Contract Execution
Date:
Local Agency certifies that all DBE certifications are valid and information on this form is complete and accurate.
IMPORTANT: Identify all DBE firms being claimed for credit, regardless of tier. Written confirmation of each listed DBE is required.
23. Local Agency Representative's Signature
25. Local Agency Representative's Name
24. Date 15. Preparer's Signature
17. Preparer's Name
19. Preparer's Title
16. Date
26. Phone 18. Phone
27. Local Agency Representative's Title
DISTRIBUTION: 1. Original – Local Agency
2. Copy – Caltrans District Local Assistance Engineer (DLAE). Failure to submit to DLAE within 30 days of contract execution may result in de-obligation of federal funds on contract.
ADA Notice: For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 654-6410 or TDD (916) 654- 3880 or write Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.