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AMENDMENT NO. 2 TO AGREEMENT FOR PROFESSIONAL SERVICES
This Amendment No. 2 to US 101/SR 135 Broadway Interchange Project Approval and Environmental Document dated May 8, 2019 is made on November 18, 2025 by and between Dewberry Engineers Inc. , a California Corporation (“Contractor”) , and the City of Santa Maria, a California Municipal Corporation and charter city (“City”), in Santa Maria, California, based on the following recitals:
1. Exhibit “A” shall be revised to include the attached Exhibit “A” so noted by the revision date of 11/18/25; and
2. Exhibit “B” shall be revised to include the attached Exhibit “B” so noted by the revision date of 11/18/25.
NOW, THEREFORE, IT IS AGREED:
1. Exhibit “A” shall be revised to include the attached Exhibit “A”;
2. Exhibit “B” shall be revised to include the attached Exhibit “B”; and
3. All other terms of the Agreement remain unchanged.
IN WITNESS WHEREOF, this Agreement is executed by the parties on the date first written above.
CONTRACTOR CITY OF SANTA MARIA
____________________________
By: JOSE SILVA
Vice President
___________________________
By: David W. Rowlands
City Manager
ATTEST:
___________________________
Donna G. Scwartz
Chief Deputy City Clerk
APPROVED AS TO FORM:
______________________
City Attorney
______________________
Risk Manager
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EXHIBIT “A”
SERVICES TO BE PERFORMED
US 101/SR 135 Interchange
Scope of Work – Phase 1A
Please note that this scope of services only includes the tasks that are being amended.
In addition to completing the Project Approval and Environmental Document (PA&ED), this amendment is requested to complete additional tasks requested by Caltrans to determine the best geometric alternatives for the project to move forward in the PA&ED.
Task 1: Project Management (WBS 100)
Task 1.1: Meetings and Coordination (WBS 100.10)
The CONSULTANT will organize, attend, and facilitate additional meetings to provide progress updates, coordinate between technical disciplines, and facilitate overall project communication. For each meeting, the CONSULTANT will provide meeting notices, prepare meeting materials and agenda, attend and facilitate the meeting and prepare meeting minutes. The CONSULTANT will coordinate with the CITY’s project manager prior to each meeting to get input regarding the agenda.
The following meetings are anticipated for this project:
• Project Status: Regular conference calls will be held approximately monthly (up to 18 teleconferences) between the project design team and the CITY Project Manager. The purpose of these meetings is to communicate project team status and discuss project issues. The CONSULTANT will facilitate these teleconferences by providing the conference calling site, agendas and meeting notes with action items. • PDT Meetings (Teleconferences): The project development team (PDT) monthly meetings will serve as the primary forum for reviewing the status of the project and identifying and resolving project issues. The CONSULTANT Project Manager in association with the CITY Project Manager will identify key agencies and personnel to be included in the core Project Development Team. Attendees will likely include the CONSULTANT’s Project Manager and task leads as needed, City of Santa Maria, Santa Barbara County, Caltrans staff and other stakeholders. Throughout the anticipated duration of this project phase, the CONSULTANT will provided the conferencing calling suite, attend and facilitate up to 16 PDT meetings.
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Included in this task is coordinating with the City of Santa Maria, Caltrans District 5, FHWA, SBCAG, Santa Barbara County and other stakeholders.
Deliverables:
• Meeting notices, agendas, handouts, notes, and action items Task 1.2: Project Administration (WBS 100.10.05)
The CONSULTANT will monitor and control the effort and progress of the proposed services as follows:
• Monitor progress and review and approve invoices: The CONSULTANT will track the work progress of the proposed subconsultants and review their invoices for format and content compliance.
• Prepare monthly progress reports and client invoices: The CONSULTANT will prepare Progress Reports to record the progress of the project and as supporting data for invoices presented monthly to the CITY. The Progress Report will include accomplished tasks for the month, anticipated progress for the next month, pending issues/resolutions and schedule completion target dates. The CONSULTANT will mail Progress Reports with the monthly invoices.
• Prepare, monitor and adjust project schedule: The CONSULTANT will update the project schedule as required to keep the project timeline current. The schedule will be prepared using Microsoft Project and will show contracted tasks/milestones with dependencies and durations, critical path tasks and responsibility assignments. Subsequent to establishing the baseline schedule, the CONSULTANT will prepare monthly Progress Reports.
Deliverables:
• Monthly Progress Report
• Project Schedule Updates
Task 1.3: Quality Control (WBS 100.10.10)
The CONSULTANT will maintain the quality control plan during the entire course of the project phase. Exhibits, plans will also be checked, corrected and back-checked for accuracy and completeness.
The CONSULTANT will review environmental and engineering report Attachment D
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and preliminary design submittals to complete the appropriate background information, study methodology, interpretation of data, format and content in accordance with current standards.
Task 1.5: Developer Coordination
CONSULTANT will coordinate the interchange improvements with the developer engineers to accommodate ultimate conditions and to better understand the timing of the development and impacts during construction.
Deliverable:
• Meeting notes and Exhibits
Task 2: Topographic Survey (WBS 160.20)
Task 2.1: Aerial Mapping and Orthophotography (WBS 160.20.55)
2.2.3: Supplemental Ground Surveys
Supplemental ground surveys will be performed to verify existing features constructed after the arial survey needed to complete preliminary design.
2.2.4: Right of Way and Property Boundaries
Supplemental field surveys will be conducted to verify existing boundary features due to constructed elements after the arial survey needed to complete preliminary design. Additional boundary review and plat and legal descriptions will be completed to accommodate the Preisker Development.
Deliverables:
• Supplemental survey file
• Plat and Legal
Scope of Work (PA&ED Phase 1A)
Task 3: Engineering Studies (WBS 160.10)
Task 3.5: Traffic Analysis (WBS 160.10.35)
3.5.5: Future Year Operations Analysis
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CONSULTANT will complete additional traffic forecasts review to update the existing traffic intersection analysis models (AM and PM peak hour) for the Build Alternatives for Design Year and Opening Year. Intersection delay, level of service, and 95th percentile queue lengths will be presented for the AM and PM peak hour. Approved and funded transportation projects within the study area will be included under the appropriate analysis year per direction of CITY staff.
The traffic component of the Intersection Control Evaluation (ICE) process will be updated to include Highway Safety Manual (HSM) performance-based decision-making concepts. An HSM analysis of the selected alternatives will be done in a future memorandum and not as part of the ICE process. A high-level safety assessment will be performed for the US 101 northbound on-ramp for the Diverging Diamond Interchange (DDI) alternative to determine the preferred mixture of non- standard features. This information is to be used to receive concurrence from Caltrans that the on- ramps may be built with non-standard features.
CONSULTANT will Develop the Diverging Diamond Interchange (DDI) alternative in Synchro for the ICE Technical Memorandum and will run the SimTraffic model to obtain the results for the Traffic Operations Analysis Report (TOAR).
CONSULTANT will develop the roundabout alternative in SIDRA and will run the model to obtain the results for both the ICE Technical Memorandum and TOAR.CONSULTANT will review with Caltrans the existing traffic volume counts completed in 2018-2019 to confirm that Caltrans still accepts these counts. Additional traffic counts may be needed if not accepted.
CONSULTANT will verify with Caltrans that the traffic operations software used for the analysis of the two alternatives (roundabout and DDI) is acceptable. Additional analysis may be needed if software is not acceptable.
3.5.6: Traffic Operations Analysis Report (TOAR)
CONSULTANT will update documentation of the existing conditions analysis, traffic forecasts, and the future year operations analysis into the consolidated Draft Final Traffic Operations Analysis Report (TOAR). CONSULATANT will update the TOAR to incorporate the DDI and Multi-Lane Roundabout alternatives. CONSULTANT will respond to consolidated written comments on the Draft Final TOAR, reconcile comments with reviewers, and submit Final TOAR for final agency approval.
3.5.7: Intersection Control Evaluation (ICE)
CONSULTANT will update the intersection operation and conceptual geometric design evaluation to objectively evaluate the US 101/SR 135 interchange’s performance based on safety, operations, and life-cycle costs of intersection control strategies for travel modes and users. To accomplish this, the Intersection Control Evaluation (ICE) will be updated for the US 101/SR 135 interchange ramp termini intersections under each alternative based on guidance described in Caltrans Traffic Attachment D
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Operations Policy Directive 13-02 (TOPD 13-02), effective August 30, 2013. TOPD 13-02 establishes procedures to evaluate impacts to intersection traffic (e.g. pedestrian, bicycle, auto, transit) in order to identify the most effective and comprehensive access alternatives. Updates include:
• Incorporating the Diverging Diamond Interchange (DDI) alternative • Incorporating the Multi-Lane Roundabout alternatives.
The evaluation and study procedures described in TOPD 13-02 are a two-step evaluation process.
Deliverables:
• Draft Final Traffic Operations Analysis Report (TOAR) (PDF) • Final Traffic Operations Analysis Report (TOAR) (PDF) • Intersection Control Evaluation Report (ICE) (PDF)
Task 3.6: Preliminary Drainage Report (WBS 160)
CONSULTANT will conduct a preliminary Drainage Impact Study to determine existing hydrology and drainage systems within the Project area. The impact of the Project improvements will be documented, and recommendations for conceptual drainage improvements will be included in the report. A planning-level opinion of probable construction cost estimate for drainage improvements will also be included in the report.
Deliverables:
• Draft Drainage Impact Study Report (PDF)
• Final Drainage Impact Study Report (PDF)
Task 3.7: Storm Water Data Report (WBS 180.05.15)
CONSULTANT will prepare a Stormwater Data Report summarizing the Project impacts to water quality, general minimization measures, and recommended best management practices (BMPs). Our study will address only the impacts from the roadway improvements, and we will utilize Caltrans standard checklists. CONSULTANT will also prepare a preliminary hydromodification assessment to determine the magnitude of the impacts and the need for minimization. CONSULTANT will propose conceptual minimization measures that meet the criteria set by the Regional Water Quality Control Board and Caltrans National Pollutant Discharge Elimination System (NPDES) Permit.
Additionally, CONSULTANT will address the need for erosion control measures.
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Deliverables:
• Draft Storm Water Data Report (PDF)
• Final Storm Water Data Report (PDF)
Task 3.9: Value Analysis Study (WBS 185.15.20)
CONSULTANT will prepare a Value Analysis (VA) Study. Federal law requires that projects on the Federal-aid-system (National Highway System and Interstate) with a total cost (Construction, Right of Way, and Support) of $50 million or more must have a VA study conducted prior to construction. The CONSULTANT will work with the PDT to identify a specific performance criterion which will be weighted, using a paired comparison approach. The CONSULTANT will lead a VA three-day workshop and will prepare a Value Analysis Study report to be implemented as agreed upon by the PDT.
Deliverable:
• VA Study Report (PDF)
Task 4: Environmental Document (WBS 165)
Due to the nature of the project and the use of federal funds, the project will include environmental review and clearance for both the California Environmental Quality Act (CEQA) and National Environmental Policy Act (NEPA). Thus, the CONSULTANT environmental team will follow the Standard Environmental Reference (SER) guidelines.
Task 4.1: Environmental Project Management (WBS 165)
This task includes project management by the environmental team for a project schedule of up to two years from the Notice to Proceed. If the project schedule exceeds two years, the scope and budget may need to be modified accordingly. Task 4.2: Technical Studies (WBS 165.10) The CONSULTANT will prepare both the draft and final environmental documents in compliance with CEQA and NEPA procedures per the Caltrans SER, and Caltrans District 5 and FHWA guidelines. It is anticipated that two rounds of draft technical study submittals will be required prior to development of the final.
The following scope of work is based on the results of the PEER prepared for the project in 2001.
The final scope of appropriate technical studies will be confirmed with Caltrans District 5 staff during the project Kick-off Meeting. CONSULTANT will discuss required changes (additions or reductions) to this preliminary scope of work and prepare a final scope of work/fee for CITY Attachment D
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approval. Some of the technical studies have been started with the initial alternatives and assumed project disturbance area. Additional analysis is required to include the roundabout loop and DDI alternatives.
Task 4.2.2: Archaeological Survey Report (ASR)/Historic Property Survey Report (HPSR) (WBS 165.20.05)
CONSULTANT will complete the cultural resource documents for the project pursuant to Caltrans requirements and Section 106 of the NHPA and CEQA.
Area of Potential Effect Map
Base maps and plans, depicting the area proposed for impacts (e.g., construction, staging, and construction access areas) will be assembled and a draft APE will be created by the consultant for the project area. The map will be plotted on an aerial photograph with a bar scale. The map will depict the right of way and clearly label roads and the APE for both archaeological and historic resources. The APE map will have a signature and date block for “Principal Investigator-Prehistoric Archaeologist” and “Caltrans Local Assistance Engineer.” The APE will be submitted to Caltrans for approval and adoption.
Record Search
This task will include conducting a record search at the Central Coast Information Center (CCIC) of the California Historical Resource Information System (CHRIS) using the appropriate search radius for this rural location. Records in the Historic Property Data File, California Register of Historic Resources (CRHR), and National Register of Historic Places (NRHP) will be reviewed, and historic maps, aerial photographs, and other historic documents will be assessed to determine if historic features or foundations are likely to be present below the ground surface within the project study area.
Native American Consultation
The Native American Heritage Commission (NAHC) will be contacted to provide a list of Native American and other groups or individuals with potential knowledge of cultural resources in the project area. Native American consultation (for both Section 106 and AB 52) will include written letters to the appropriate representatives, and follow-up phone calls will be made to interested individuals. The CITY will conduct the in-person AB-52 consultations during the CEQA process (if requested by the tribes).
Field Survey
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An archaeological pedestrian field survey to identify cultural resources within the project APE will be performed. Areas will be surveyed by qualified prehistoric archaeologists at appropriate transect intervals.
Report Preparation
The results of the archaeological study and survey will be presented in an Archaeological Survey Report (ASR). The document will conform to Caltrans specifications detailed in the July 2001 (and current updates) Caltrans Environmental Handbook, Volume 2, and the 2014 Programmatic Agreement Among the Federal Highway Administration, the Advisory Council on Historic Preservation, the California State Historic Preservation Officer, and the California Department of Transportation Regarding Compliance with Section 106 of the National Historic Preservation Act, as it pertains to the Administration of the Federal Aid Highway Program in California. If cultural or historic resources are not found, then applicable memorandums will be submitted in accordance with guidelines presented in the 2014 Programmatic Agreement. A Historic Property Survey Report (HPSR) that summarizes the results of the ASR will be prepared. The document will conform to Caltrans specifications detailed in the Caltrans Environmental Handbook.
Deliverables:
• Admin Draft (PDF)
• Draft ASR/HPSR (PDF)
• Final ASR/HPSR (PDFs)
Task 4.2.3 Initial Site Assessment (WBS 165.10.80)
CONSULTANT will review reasonably ascertainable records that will help identify recognized environmental conditions (RECs) in connection with the Site. These records as well as reasonably ascertainable existing documentation, will be reviewed to assess whether there were prior investigations or events and conditions or institutional or engineering controls on the properties and encroaching parcels (per the RFP) relating to spills, discharges, or other activities resulting in contamination or presence of hazardous materials or petroleum products. Consultant will review previously conducted environmental assessments of each of the subject Sites (as provided by the Client) and published lists of regulatory agency investigations and/or enforcement actions, for facilities within the vicinity of the Site.
Consultant will conduct a Phase 1 ISA in accordance with Caltrans’ procedures. The ISA will contain a description of the work performed, deviations from normal ISA procedures, a summary of findings, the opinions of the preparer regarding the property or site, data gaps, additional investigation and services recommended, conclusions, and recommendations.
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Deliverables:
• Draft Phase 1 ISA (PDF)
• Final Phase 1 ISA (PDF)
Task 4.2.4: Natural Environment Study (WBS 165.15.20)
CONSULTANT will prepare a draft and final Natural Environment Study (NES), according to the current format guidelines from Caltrans. This document will compile and integrate data and information from a literature review and current database records, include a description of field methods and results of the field studies and protocol surveys, address sensitive plant and animal species that are known or have potential to occur, assess site physical and hydrological condition, and calculate impacts and mitigation in an appropriate regulatory context.
The NES will update the results of a literature review of federal and State lists of sensitive species and current database records (e.g., CNDDB), a description of the field methods, and the results of the directed surveys. Field work will be conducted by a qualified biologist in order to document the presence/absence of sensitive biological resources (e.g., species or habitats), or to determine the potential for occurrence of such resources that may not be detectable when the field work in conducted. Additional work to support the NES includes acquisition/review of CAD and/or GIS files for the project, impact calculations and analysis, and coordination with the project team on design considerations and BMPs for the construction and post-construction phases. The NES will follow the latest template in the Caltrans SER. The NES will also include discussion on how the proposed project will comply with federal laws, acts and Executive Orders (EO) including by not limited to:
• EO 13112 Invasive Species (including avoidance and minimization measures to prevent the spread of invasive species both in and out of the project site), • EO 11990 Protection of Wetlands,
• EO 11988 Floodplain Management (Natural and Beneficial Floodplain Values), • Migratory Bird Treaty Act, and
• Section 7 of the Federal Endangered Species Act.
Deliverables:
• Admin Draft NES-MI (PDF)
• Draft NES-MI (PDF)
• Final NES-MI (PDF)
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Task 4.2.5: Noise Study Report (WBS 165.10.25)
A reconnaissance of the area project area will be conducted to determine existing land use activities, developed lands, and undeveloped lands for which development is planned, designed and programmed, which may be affected by noise from the project. A listing of sensitive receptors and associated noise measurement sites will be provided. The selection of sensitive receptors and noise measurement sites will follow the guidance provided in the Caltrans TeNS document. A review of land development projects in the area will be conducted to determine if these areas have been approved and whether noise abatement for these areas will need to be considered as part of this project. One (1) long-term measurement and up to eight (8) short-term measurements will be taken to characterize the existing environment and to assist with model calibration.
Noise modeling will be conducted to predict current, future no-build and two (2) build alternatives noise levels using the appropriate noise predictive model TNM 2.5. Prediction is based on inputs such as projected traffic volume (average daily traffic), traffic mix (percentage of truck traffic), topography and distance of the project from the receptors. Peak hour noise in the design year for the proposed project will be modeled at selected noise sensitive receptors based on forecast traffic volumes. Modeling must be adequate to accurately predict the noise levels at each of the receptors, assess the number of properties within 500 feet of the project that are impacted or will be impacted and determine the increase in traffic noise. Predicted noise impacts for the future build alternatives will be compared to the future no-build alternative to determine if a noise impact will occur. If noise impact occur, noise abatement will be considered.
In accordance with FHWA and Caltrans requirements, noise abatement measures will be considered at locations along the alignment where traffic noise impacts are predicted. If traffic noise impacts are predicted at the sensitive receptors, noise abatement measures must be evaluated at these locations.
Noise abatement is only considered where frequent human use occurs and a lowered noise level would be of benefit. A feasible and reasonable analysis will be performed at sensitive receptor locations where a traffic noise impact was predicted. Noise abatement will be evaluated at impacted sensitive receptor locations by varying wall heights until a 5dBA reduction in the future noise level is achieved. Other considerations such as topography, access requirements, other noise sources and safety considerations will be included as part of the feasible review. Those sensitive receptors that are determined to be feasible will undergo a reasonableness review. During the reasonableness review, the Caltrans design goal of 7 dB will used to if a recommended barrier can meet at least a 7 dB or noise reduction at one of more of the benefited receptors and meet requirements of a cost- benefit analysis.
CONSULTANT will prepare a NSR based on the Caltrans annotated outline dated February 2008.
The NSR will be prepared in accordance with Caltrans and FHWA requirements to support the CEQA/NEPA environmental documentation. The NSR will take into consideration impacts to frequent outdoor use areas, as defined by FHWA, and recommend abatement measures as appropriate.
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A Draft Technical Noise report would be developed and circulated to the project team electronically for review and comment. The comments from the project team would be incorporated into a Draft NSR and would be developed and circulated electronically to Caltrans, the CITY and the County.
Comments received from Caltrans, the CITY and the County will be reviewed and incorporated and a final version of the NSR will be developed and circulated electronically for Caltrans approval.
Deliverables:
• Admin Draft (PDF)
• Draft Noise Study Report (PDF)
• Final Noise Study Report (PDF)
Task 4.2.6: Noise Abatement Design Report
If sound walls are found to be warranted, a Noise Abatement Decision Report (NADR) will be prepared incorporating the preliminary reasonableness determination from the Noise Study Report.
Each feasible and reasonable sound wall present that meets the Caltrans’ design goal of achieving a 7-dBA reduction an engineering estimate will be developed to determine whether the cost of building the sound wall will fall within the allowable cost allowance. An evaluation of non-acoustical factors related to feasibility, preliminary noise abatement decision, and secondary effects of abatement (impacts on cultural resources, scenic views, hazardous materials, biology, etc.) will also be considered. The NADR will be prepared in accordance with Caltrans’ SER report guidelines.
Deliverables:
• Draft NADR (PDF)
• Final NADR (PDF)
Task 4.2.7: Air Quality Report (WBS 165.10.30)
The Air Quality Report will be prepared in accordance with the latest following protocols/guidelines: EPA Transportation Conformity Guidance for Quantitative Hot-spot Analyses in PM2.5 and PM10 Nonattainment and Maintenance Areas, and the FHWA Interim Guidance on Air Toxic Analysis in NEPA Documents, and Caltrans’ policy on greenhouse gas emissions.
Interagency consultation with Transportation Conformity Working Group will be initiated to determine whether the project is a project of air quality concern (POAQC) and whether a qualitative PM
2.5 Hot Spot analysis is sufficient to demonstrate project conformity.
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Currently the SCCAB is designated as federal nonattainment area for ozone. The proposed project is characterized as interchange reconfiguration project. Therefore, it is exempt form regional air quality emissions analysis. Further, the area is in attainment for CO and PM10 and no project air quality conformity analysis is required. The Greenhouse Gas Emissions Analysis will be based on the Caltrans Climate Action Program and will require coordination with District Headquarters staff on the final methodology.
CONSULTANT will prepare the air quality technical report in accordance with Caltrans and FHWA requirements to support the CEQA/NEPA environmental documentation.
Deliverables:
• Admin Draft Air Quality Report (PDF)
• Draft Air Quality Report (PDF)
• Final Air Quality Report (PDF)
• Draft Interagency Consultation Letter (PDF)
• Final Interagency Consultation Letter (PDF)
Task 4.2.8: Water Quality and Hydromodification (WBS 165.10.35) As an optional task and in order to provide the existing physical and regulatory environment information for the water quality, CONSULTANT will: 1) identify and describe the current and upcoming laws that relate to water quality, 2) describe the beneficial uses for potentially affected waters, 3) discuss water quality objectives for potentially affected waters, 4) collect and present monitoring data from other agencies, 5) list potential sources of pollutants, and 6) describe the watershed, existing drainage, and hydrologic conditions. CONSULTANT will evaluate the water quality impacts for each proposed alignment and recommend possible minimization measures to reduce the adverse impacts to water quality. CONSULTANT will also prepare a preliminary hydromodification assessment to determine the magnitude of the impacts and the need for mitigation. CONSULTANT will propose conceptual mitigation measures that meet the criteria set by the Regional Water Quality Control Board. CONSULTANT will document the preliminary findings in the Water Quality Assessment Report, which will follow the Caltrans’ guidelines and requirements.
Deliverables:
• Draft Water Quality Assessment Report (PDF)
• Final Water Quality Assessment Report (PDF)
Task 4.2.9: Location Hydraulic Study and Floodplains (WBS 165.10.60) Attachment D
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Based on CONSULANT’s preliminary qualitative assessments, the Project may potentially result in a floodplain encroachment. Therefore, CONSULTANT will prepare a Floodplain Evaluation Report, which will include the Technical Information for the Location Hydraulic Study and Floodplain Evaluation Report Summary forms, to document the investigation and determine the specific impacts to the floodplain. CONSULTANT design team will work together to evaluate the project’s improvement footprints to minimize impacts to the floodplains.
Deliverables:
• Draft Flood Plain Evaluation Report (PDF)
• Final Flood Plan Evaluation Report (PDF)
Task 4.2.10: Visual Impact Assessment (WBS 165.10.20)
Since the approval of the PEER, new homes have been built that have views of the proposed project. These homes represent a new sensitive viewer group and their presence warrants an evaluation of how their visual environment will change. CONSULTANT will prepare a visual impact assessment for the project. The report will follow methodology and protocol developed by FHWA and adopted by Caltrans and will include a discussion of the methodology, terms, and thresholds for significance; an overview of applicable local, state, and federal policies and guidelines regarding visual resources (including the general plan and state scenic highway guidelines); a description of the regional visual character and area-specific landscape view shed units (which comprise the baseline conditions for assessing aesthetic impacts); a characterization of viewer groups and their responses to changes in views; an impact analysis which will focus on changes in key views, overall visual character, nighttime light, and daytime glare; and recommendations and mitigation measures to lessen potential project impacts. Up to two visual simulations are included in this scope.
The Visual Impact Assessment will be reviewed and stamped by a licensed landscape architect before submittal.
Deliverables:
• Admin Draft Visual Impact Assessment (PDF)
• Draft Visual Impact Assessment (PDF)
• Final Visual Impact Assessment (PDF)
Task 4.2.11: Section 4(f)/6(f) De Minimis Memorandum (WBS 165.25.10) The proposed project includes the realignment of the Santa Maria Levee Trail which is considered a 4(f) and 6(f) resource since it is a public recreational area and was funded by the Land & Water Conservation Fund Act. The Santa Maria Levee Trail is located on the top of the Santa Maria Levee on the northeastern edge of the project area with a connection from a parking area adjacent to the US 101 northbound ramp to the levee. Section 4(f) of the Department of Transportation Act Attachment D
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applies whenever a federal action involves the use of a publicly-owned park, recreation area, wildlife or waterfowl refuge, or land from a historic site. This project has the potential to temporarily “use” the Santa Maria Levee Trail access located in the project area. In addition, State and local governments often obtain grants through the Land and Water Conservation Fund Act to acquire or make improvements to parks and recreational areas. Section 6(f) of this Act prohibits the conversion of property acquired or developed with these grants to a non-recreational purpose without the approval of Department of Interior’s (DOI) National Park Service. CONSULTANT will consult with Caltrans Local Assistance and the National Parks Service, as needed, in the development of a joint Section 4(f) / 6(f) de minimis Memorandum. A de minimis Memorandum is assumed the appropriate level of documentation because the parking lot and trail will be realigned to conform to ramp improvements. CONSULTANT will provide information for the de minimis documentation, including a detailed description of the Section 4(f) / 6(f) property, construction methods and avoidance measures, to be formatted in accordance with the Caltrans SER, Volume 1, Chapter 20 and 37.
Deliverables:
• Admin Draft 4(f)/6(f) De Minimis Memorandum (PDF)
• Draft 4(f)/6(f) De Minimis Memorandum (PDF)
• Final 4(f)/6(f) De Minimis Memorandum (PDF)
Task 4.3: Prepare CEQA and NEPA Documentation (WBS 165.25 and WBS 165.30)
An Initial Study/Mitigated Negative Declaration (IS/MND) would be required for the project to comply with CEQA and an Environmental Assessment (EA) and Finding of No Significant Impact (FONSI) would be required for project clearance under NEPA. For the purposes of this scope of work, CONSULTANT is assuming the EA will follow the “Routine EA” process.
To achieve CEQA and NEPA compliance, an IS/EA will be prepared pursuant to Caltrans standards as a joint CEQA/NEPA document. The IS/EA will be reviewed and recommended for signature by the Caltrans Headquarters Legal staff for requirements under NEPA and for signature by CITY staff for requirement under CEQA.
The CONSULTANT will prepare the IS/MND document and public notices. The CITY will mail the public notices.
Task 4.3.1: Draft Environmental Document
The CONSULTANT will prepare an Initial Study (IS)/Environmental Assessment for the project.
It is the goal of the IS/EA to support adoption of a Mitigated Negative Declaration (MND)/Finding of No Significant Impact by the CITY and Caltrans, respectively. Several technical reports and memorandums will be prepared in previous tasks of the project to support the Attachment D
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conclusions of the IS/EA. An outline of the document will be submitted to the project team for review before document preparation begins.
Deliverables:
• It is anticipated that three rounds of iterative review of the Draft IS/EA will be required for this project.
• Administrative Draft IS/EA (PDF)
• Draft IS/EA (PDF)
Task 4.3.2: Prepare and Submit Draft Environmental Document Once the Draft IS/EA has been approved by both CITY and Caltrans, it will be circulated for public review for a period of 30 days. The IS/EA has a critical objective of providing a means by which the general public and responsible agencies can participate in the environmental process by providing written comments on issues addressed in the IS/EA.
Pursuant to NEPA and CEQA requirements, Caltrans will prepare a Notice of Availability (NOA) and the CONSULTANT will prepare a Notice of Completion (NOC) for the Draft IS/EA. This notice, along with the draft environmental document and technical studies, will be made available to the public during a 30-day public circulation and review period. In addition, the document will be distributed to other reviewing government agencies through the California State Clearinghouse. The CONSULTANT will prepare and submit the copies for the State Clearinghouse.
During the 30-day public review period, the CITY will hold a Public Hearing to solicit comments about the project. The CONSULTANT will attend this hearing to answer questions regarding the project, potential environmental impacts, as well as the environmental schedule. The CONSULTANT will work with the CITY to record comments at this hearing, and responses will be generated during the next task. CONSULTANT will compile public comments from this hearing and public review for response and inclusion in the final environmental document.
Deliverables:
• Public Circulation IS/EA (PDF and 50 hard copies)
• Notice of Completion (NOC) to the State Clearing House and deliver 15 bound copies of the Draft IS/EA
• Public Meeting Comment Review Matrix (PDF)
Task 4.3.3: Final Environmental Document
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The CONSULTANT will then formulate responses to the comments on the Draft IS/EA. Once draft responses to comments are completed, they will be reviewed and then submitted to the CITY and Caltrans staff for review and comment.
The CONSULTANT will prepare an Environmental Commitment Record, including monitoring forms, to convey that the environmental measures contained in the final IS/EA are to be implemented. The Environmental Commitment Record will be included as an appendix in the final IS/EA. This Environmental Commitment Record will be useful during final design, permitting, and construction of the project as it is a summary of avoidance, minimization, and mitigation measures developed during the environmental process.
The final IS/EA will incorporate the response to comments and environmental commitments record. Caltrans will draft the Finding of No Significant Impact (FONSI) and the CITY will draft a MND, detailing the reasons for deciding that the action will not have a significant effect on the environment. Formal distribution of a FONSI is not required; however, an EA, at a legal minimum, must be made available for public review upon request for at least 30 days before making a final determination. The CONSULTANT will assist Caltrans in the preparation of a Notice of Availability (NOA) of the FONSI that will be sent to the affected units of federal, state and local government and to the State Clearinghouse in compliance with Executive Order 12372.
The CONSULTANT will file a Notice of Determination with the Santa Barbara County Recorder’s Office within 5 days of approval of the Final IS/MND (pursuant to CEQA guidelines) and provide the CITY’s payment of Fish and Game Fees pursuant to Fish and Game Code Section 711.4.
Deliverables:
• It is anticipated that three rounds of iterative review of the Draft/Final IS/EA and response to comments chapter will be required for this project. • Draft Final IS/MND/EA/FONSI (PDF)
• Draft/Final Environmental Commitments Record
• Notice of Determination (NOD)
• Final IS/MND/EA/FONSI and MMRP (PDF and 50 hard copies) Task 7: Right of Way (WBS 160.20)
Task 7.3: Prepare Preliminary Acquisition Estimates (WBS 160.10.40) The CONSULTANT will prepare preliminary right of way estimates conforming to the requirements described in Chapter 4 of the Caltrans Right of Way Manual for inclusion in right of way data sheets. No formal appraisals are included.
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Task 7.4: Right of Way Data Sheets (WBS 160.10.40)
The CONSULTANT will compare and summarize right of way impacts for each alternative. Data sheets will summarize the number of parcels potentially affected, impacts to property access and will include a preliminary opinion of probable right of way acquisition costs.
Consultant will list anticipated right of way acquisitions and use appraisal principles of comparable properties, assessor’s information, multiple listing service sales data, observed listings and information from brokers to prepare estimated opinion of probable right of way acquisition costs.
Costs will consider estimated loss of goodwill for businesses impacted by the project. This will be documented in the Right of Way Data Sheets.
Deliverables:
• Draft Right of Way Data Sheets (PDF)
• Final Right of Way Data Sheets (PDF)
Task 8: Preliminary Design (WBS 160.10)
The CONSULTANT will evaluate two additional alternatives for the interchange in addition to the initial three alternatives and required No-Build project. This includes the roundabout loop and DDI.
Task 8.1: Refine/Evaluate Conceptual Alignments (WBS 160.10.15) Based upon the results of the traffic operations analysis, project mapping, geotechnical study, available data, and input from the CITY, the CONSULTANT will evaluate the conceptual alternatives for the project. The CONSULTANT will prepare the alignment drawings that will serve to establish the project footprint for subsequent environmental studies.
Deliverable:
• Conceptual Engineering Alternative Alignment Exhibits (PDF) Task 8.2: Geometric Approval Drawings (WBS 160.45)
CONSULTANT will prepare additional GADs for the roundabout loop and DDI alternatives.
CONSULTANT will update the Geometric Approval Drawing (GAD) package to include HSM elements and obtain approval of the alignment geometrics. CONSULTANT will prepare the GAD in accordance with Caltrans GAD requirements and add design standard decision document exceptions onto the GAD. The purpose of the GAD is to demonstrate that the proposed design meets the requirements of the Highway Design Manual and formally confirm that the design meets the operational needs of the facility. In addition, the GAD provides the foundation for the project Attachment D
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base map, the CONSULTANT will prepare and update the GAD submittal package which includes plan view exhibits, profiles with super-elevation diagrams, and typical sections.
Deliverable:
• GADs and Updates(PDF)
Task 8.3: Design Exception Fact Sheets (Design Standard Decision Documents) (WBS 160.15.05)
The CONSULTANT will evaluate alternatives for non-standard features that are identified in the Design Information Bulletin (DIB) 78. The DIB 78 will be used in conjunction with the Caltrans Highway Design Manual and compared to non-delegated, delegated, procedural, and permissive designs. Design Standard Decision Documents (DSDD) will be identified for each alternative in the Draft Project Report.
CONSULTANT will prepare Design Standard Decision Documents for identified non-standard features and will submit to Caltrans for review and approval. The Design Standard Decision Documents will be prepared in accordance with Chapter 21 of the Project Development Procedures Manual, “Exceptions to Design Standards”. The signed Design Standard Decision Documents will become an attachment to the Draft and Final Project Report.
Deliverables:
• Draft Design Standard Decision Documents (PDF)
• Final Design Standard Decision Documents (PDF)
Task 8.4: Structures Advanced Planning Studies (WBS 160.10.85) The CONSULTANT will update the Advance Planning Studies (APS) for the proposed overcrossing based on the roundabout loop and DDI alternatives.
The advanced planning studies will adhere to current Caltrans detailing and formatting requirements as specified in Section 3-2 “Advance Planning Studies” of Caltrans OSFP Information and Procedures Guide as well as in Caltrans Memo to Designers 1-8 “Advance Planning Studies”. The itemized opinion of probable structure construction cost estimate will be based on approximate quantity estimates using tables from Caltrans Bridge Design Aids manual.
Deliverables:
• Draft Advance Planning Studies (PDF)
• Final Advance Planning Studies (PDF)
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Task 8.6: Cost Estimates (WBS 160.15.05)
The CONSULTANT will prepare Caltrans standard 11-page cost estimates for the build alternatives (up to three). The unit costs for construction items will be based on current bids. Opinion of probable construction cost will include roadway items, structure items, and right of way items.
Opinion of probable construction cost estimates will be reviewed by the project manager and project engineer.
Deliverable:
• Opinion of Probable Construction Cost Estimates (PDF) Task 8.7: Risk Register (WBS 100.05.05)
CONSULTANT will prepare a qualitative risk register per Caltrans Project Delivery Directive PD-
09. The risk register will include a list of identified risks, the results of prioritizing risks, risk owner/responsible party and agreed upon risk response strategy. Objectives are agreed-upon delivery targets such as cost, time, scope and quality. The risk register will be discussed by the PDT team at which time issues that are not considered a risk will be removed. The risk register will be included in the project report.
Deliverable:
• Draft and Final Risk Register (PDF)
Task 8.8: Safety and Constructability Meeting (WBS 100.10.05) CONSULTANT will schedule and help facilitate a combined Safety and Constructability review meetings with Caltrans staff in accordance with Caltrans practices. The review meetings will be held after submittal of Draft Project Report and after selection of the preferred alternative. Comments will be consolidated into their appropriate logs and responses formulated. Where appropriate, the comments will be incorporated into the preliminary design and project report.
Deliverables:
• Meeting Minutes (PDF)
• Comments, responses and resolution (PDF and 5 hard copies) Task 8.9: Modified/New Public Road Connection (WBS 160) The CONSULTANT will coordinate with Caltrans to acquire approval from CTC for a modified/new public road connection to US-101 and Broadway Street (SR-135). CONSULTANT will prepare a Modified/New Connection Report for the concept approval process.
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modified/new public road connection for the US-101 and Broadway Street (SR-135) interchange.
CONSULTANT will also assist in preparation of a new freeway agreement. With concurrence from Caltrans, the project report may be used for final approval of the modified/new connection in-lieu of a separate modified/new connection report.
Deliverables:
• Admin. Draft Modified/New Connection Report (PDF)
• Draft Modified/New Connection Report (PDF)
• Final Modified/New Connection Report (PDF)
• Freeway Agreement support documents (PDF)
Task 9: Project Report (WBS 160 & 180)
The CONSULTANT will prepare a Project Report (PR) in accordance with the Caltrans Project Development Procedures Manual, Appendix K, “Preparation Guidelines for Project Report”.
Task 9.1: Draft Project Report (WBS 160)
The CONSULTANT will prepare an Administrative Draft Project Report that will be submitted to the CITY and other stakeholders as appropriate. After addressing comments, the CONSULTANT will prepare a Draft Project Report for submittal to the CITY and Caltrans. The Draft Project Report will be completed after completion of the environmental studies. The Draft Project Report will generally include the following: Cover Sheet, Vicinity Map, Introduction, Recommendation, Background, Purpose and Need, Viable Alternatives, Considerations Requiring Discussion, Other Considerations as Appropriate, Programming, Reviews, and Project Personnel. In addition, the Draft Project Report will include the following attachments:
• Location Map
• Project Build Alternatives
• Typical Sections, Layouts and Profiles
• Advanced Planning Studies
• Preliminary Opinion of Probable Construction Cost Estimates • Environmental Document (Signed cover)
• Right of Way Data Sheets with Utility and R/W Exhibits • Transportation Management Plan Data Sheets
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• Storm Water Data Report (PE and PM signed cover page) • Noise Abatement Decision Report (signed cover page)
• Risk Register
Deliverables:
• Admin Draft Project Report (PDF)
• Draft Project Report (PDF)
• 2nd Draft Project Report (PDF)
Task 9.2: Final Project Report (WBS 180)
Following public circulation of the draft Environmental Document, consideration of public comments and the selection of a preferred alternative, the Draft Project Report will be revised to create the Final Project Report. Sections and attachments of the Draft Project Report will be included in the Final Project Report. The final environmental document will be attached to the Final Project Report.
Deliverables:
• Admin Final Project Report (PDF)
• Draft Final Project Report (PDF)
• 2nd Draft Final Project Report (PDF)
• Final Project Report (PDF)
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EXHIBIT “B”
PAYMENT
I. Progress Authorization
Written authorization to proceed from the City authorizes the Consultant to generate the not-to- exceed cost of TWO MILLION SIX HUNDRED AND TWELVE THOUSAND TWENTY-THREE DOLLARS WITH THIRTY-FOUR CENTS ($2,612,023.34) in fees for all work.
Task 1: Project Management (WBS 100) $ 131,448
Task 2: Topographic Survey (WBS 160.20) $ 44,018
Task 3: Engineering Studies (WBS 160.10) $ 233,391
Task 4: Environmental Document (WBS 165) $ 225,563
Task 5: Public Outreach (WBS 175 &185) $ 50,251
Task 6: Utility Mapping (WBS 160.10.45) $ 17,966
Task 7: Right of Way (WBS 160.20)
Task 8: Preliminary Design (WBS 160.10)
Task 9: Project Report (WBS 160 & 180)
Direct Cost
$ 21,118
$ 181,615
$ 34,404
$ 60,222
Original Costs: $ 999,996
AMENDMENT #1
Task 1: Project Management (WBS 100) $ No additional Cost Task 2: Topographic Survey (WBS 160.20) $ 1,593.74
Task 3: Engineering Studies (WBS 160.10) $ 5,973.74 Task 4: Environmental Document (WBS 165) $ 983.12 Task 5: Public Outreach (WBS 175 &185) $ 2,550.49
Task 6: Utility Mapping (WBS 160.10.45) $ 15,348.96
Task 7: Right of Way (WBS 160.20) $ 1,551.49
Direct Costs $ 6,954.03
Amendment #1 total: $ 34,955.57
AMENDMENT #2
Task 1: Project Management (WBS 100) $ 200,749.25
Task 2: Topographic Survey (WBS 160.20) $ 23,489.88
Task 3: Engineering Studies (WBS 160.10) $ 321,056.24
Task 4: Environmental Document (WBS 165) $ 252,375.48
Task 7: Right of Way (WBS 160.20) $ 9,516.20
Task 8: Preliminary Design (WBS 160.10) $ 453,171.21
Task 9: Project Report (WBS 160 & 180) $ 207,701.23
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Other Direct Cost $ 106,330.00
Anticipated Salary Increase $ 2,682.27
Amendment #2 total: $1,577,071.77
II. Invoice procedure.
A. Payment shall be at the conclusion of the Project based on the billable charges.
B. The Consultant shall present the bill for charges by the second day of the month.
C. The Consultant's bill shall be substantiated by appropriate documentation, and include an itemized listing of personnel, subcontractors, and other direct costs incurred.
III. Maximum billable amounts
Under no circumstance shall the total of all payments to the Consultant exceed ninety percent (90%) of the maximum not-to-exceed cost, prior to acceptance by the City of all items to be completed as noted within Exhibit "A".
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