“Provide a safe and reliable transportation network that serves all people and respects the environment” DISTRICT 4 OFFICE OF LOCAL ASSISTANCE
P.O. BOX 23660, MS–10B | OAKLAND, CA 94623-0660
(510)407-4760 | FAX (510) 286-5229 | TTY 711
www.dot.ca.gov
May16, 2023
Daniel Chavarria
Director of Public Works
City of Richmond
440 Civic Center Plaza
Richmond, CA 94804
Attention: Mr. Josef Munoz, Capital Projects Manager
Dear Mr. Munoz
The Authorization to Proceed for construction phase has been approved for the Lincoln Elementary SRTS Pedestrian Enhancements Project, CML-5137(055). A copy of the authorization document (E-76) is attached for your project files. The effective date of approval is May 15, 2023.
Please refer to Chapter 10, Consultant Selection, and Chapter 15, Advertise and Award Project, of the Local Assistance Procedures Manual (LAPM) that sets forth the procedures for consultant/construction contract procurements as well as project advertisement and award of the construction contract. You can find the current version of the LAPM as well as Office Bulletins, the latest policy and procedural changes, at the Division of Local Assistance’s website
(https://dot.ca.gov/programs/local-assistance/). For consultant contract estimates over $500,000 and construction contract estimates over $2 million, Exhibit 9-D, “DBE Contract Goal Methodology”, of the LAPM must be submitted to <[email protected]> and approved prior to advertising.
After advertising the project for bids, please send us one copy of the “as advertised” plans and special provisions. A minimum 21-day advertisement period is required for all projects. Any addenda must be approved by your agency and documented in your project files. Exhibit 15-C, “Local Agency Project Advertising Checklist”, and Exhibit15-I, “Local Agency Bid Opening Checklist”, of the LAPM will be helpful during this period and must be in your project files. You must award the contract to the lowest responsive and responsible bidder. If award is not to the lowest bidder, you must provide written documentation in your project files. Federal law prohibits local preferences to bidders as well as requiring any bidder to obtain a license before submitting a bid. The contractor must have a valid State contractor’s license for Daniel Chavarria Director of Public Work
May 16, 2023
“Provide a safe and reliable transportation network that serves all people and respects the environment” award of the contract. The Form FHWA-1273 must be physically incorporated into the construction contract, subcontracts and lower-tier subcontracts; referencing Form FHWA-1273 separately or as part of project’s other contract document(s) is not acceptable. Immediately after award of the contract and prior to the first invoice of the construction phase you must submit us a complete award package including the following documents:
Local Agency Contract Award Checklist (Exhibit 15-L)
Engineer’s Estimate
Low Bidder’s Proposal
Construction Contract DBE Commitment (Exhibit 15-G)
If DBE Goal is not attained, “Proposer/Contractor Good Faith Efforts” (Exhibit 15- H) filled out by the contractor and your Agency's “Evaluation of Good Faith Efforts” Memorandum (Exhibit 9-E)
Bid Tabulation Summary Sheet (Exhibit 15-D)
Detail Estimate (Exhibit 15-M)
Project Authorization/Adjustment Request (LAPM 3-A)
Resident Engineer’s Construction Contract Administration Checklist (Exhibit 15-B)
A sample award transmittal letter is attached to help you in reporting the above documents. Failure to submit complete and accurate project documentation may result in the de-obligation of funds on this project.
In addition to the above award package submittal, immediately after issuing a Notice to Proceed to the contractor, email a copy of the notice to David Pneh, Area Engineer, at [email protected] and Pat Dussell, Construction Oversight Engineer, at [email protected].
It is imperative that records for this project are clear, well organized, up to date, and complete. All contract documentation and backup records must be available at any time for review by Caltrans and FHWA personnel. Use of a uniform project filing system, together with diligent maintenance of the system, greatly facilitates a process review and minimizes negative findings. The project files must be available at a single location using the uniform project filing system. Also, material sampling and testing requirements must follow your approved Quality Assurance Program per Chapter 16, Administer Construction Contracts, of the LAPM.
Any unforeseen or additional work to be added to the contract must be within the project scope/limits as defined in the approved NEPA document and right of way certification regardless of its funding sources. Non-compliance will jeopardize the federal eligibility of the entire project. All change orders are to be approved by your agency in advance of any work being done on the change. Procedures for administering a contract change order (CCO) can be found in Chapter 16 of the Daniel Chavarria Director of Public Work
May 16, 2023
“Provide a safe and reliable transportation network that serves all people and respects the environment” LAPM. If a CCO requires additional federal funds beyond that shown on the E-76 authorization, you must receive additional authorization of funds before you approve the change order, otherwise, reimbursement for the additional work cannot be claimed.
Prior to invoicing us for eligible project costs, you must assure that the master and project supplemental agreements are fully executed. Please submit your invoice packages for this project via email to <[email protected]>. You must submit an invoice for this project at least every six months to avoid inactivity and loss of federal funds.
If you have any questions, please contact me at (510) 407-9943 or David Pneh, Area Engineer, at (510)407-4760
Sincerely,
JIMMY PANMAI
Senior Transportation Engineer
Enclosures
1. Authorization/Agreement Summary – (E-76)
2. Top Five Local Agency Issues – Reminder
3. Sample Award Transmittal Letter
FINANCE LETTER
05/16/2023
04-CC-0-RCH
CML-5137(055)
0423000298
DEPARTMENT OF TRANSPORTATION
To: City of Richmond
Date:
D_CO_RT:
Project No:
Adv. Project Id:
09/30/2024Project End Date:
EA No:
Est Tot Proj Costs:
PRO RATA OR
LUMP SUM
LOCALFINANCE ITEMS
$0.00 $0.00$0.000% $0.00
Contract Items: $549,000
Contingencies: $54,900
Total: $603,900
$601,590.00 $106,900.00$497,000.0082.61%Construction Lump Sum $603,900.00 $603,900.00 $601,590.00 $497,000.00 $106,900.00Totals:
FEDERAL PART.
COST
FED. REIMB %TOTAL COST OF
WORK
FEDERAL
Y003
Participation Ratio: 99.62% This Finance Letter was created based on specific financial information provided by the responsible local agency. The following encumbrance history is prepared by Local Assistance Accounting Office and is provided here for local agency's information and action.
Signature:
HQ Sr. Area EngineerTitle:
(279) 599-4989
Darlene WulffPrinted Name:
Telephone No:
For questions regarding finance letter, contact:
Remarks:
_________________________________
ADV. PROJECT ID APPROP.
UNIT STATE PROG. FED/ STATE ENCUMBRANCE
AMOUNT
APPROP
YEAR
EXPENDITURE
AMOUNT
ENCUMBRANCE
BALANCE
REVERSION
DATE*
APPROVED
AMOUNT
EXPIRATION
DATE
Cooperative Work AgreementACCOUNTING INFORMATION CML-5137(055) *Please submit invoices to the appropriate Districts by April 1st to avoid funds lapsing on the June 30th reversion date listed above and to allow sufficient time for Accounting and SCO year-end closing procedures.