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Any violation of these provisions shall subject the violating contractor or subcontractor to the penalties, sanctions, and remedies specified in Section 7108.5 of the California Business and Professions Code and Section 10262 of the California Public Contract Code. This requirement shall not be construed to limit or impair any contractual, administrative or judicial remedies, otherwise available to the contractor or subcontractor in the event of a dispute involving late payment or nonpayment by the contractor, deficient subcontractor performance and/or noncompliance by a subcontractor. This clause applies to both DBE and non-DBE subcontractors.
Method 3: The Agency shall hold retainage from the prime contractor and shall make prompt and regular incremental acceptances of portions, as determined by the Agency of the contract work and pay retainage to the prime contractor based on these acceptances. The prime contractor or subcontractor shall return all monies withheld in retention from all subcontractors within seven (7) days after receiving payment for work satisfactorily completed and accepted including incremental acceptances of portions of the contract work by the Agency. Any delay or postponement of payment may take place only for good cause and with the Agency’s prior written approval. Any violation of these provisions shall subject the violating prime contractor or subcontractor to the penalties, sanctions, and other remedies specified in Section 7108.5 of the California Business and Professions Code and Section 10262 of the California Public Contract Code. This requirement shall not be construed to limit or impair any contractual, administrative or judicial remedies otherwise available to the contractor or subcontractor in the event of a dispute involving late payment or nonpayment by the contractor; deficient subcontractor performance and/or noncompliance by a subcontractor. This clause applies to both DBE and non-DBE subcontractors.
Any violation of these provisions of Prompt Progress Payment and Prompt Payment of Withheld Funds to Subcontractors shall subject the violating prime contractor or subcontractor 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 the prime contractor or subcontractor in the event of a dispute involving late payment or nonpayment by the prime contractor, deficient subcontract performance, or noncompliance by a subcontractor.
E. Termination and Substitution of DBE Subcontractors
The prime contractor shall utilize the specific DBEs listed to perform the work and supply the materials for which each is listed unless the contractor obtains the Agency’s written consent. The prime contractor 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 prior written authorization from the Agency. Unless the Agency’s prior written consent is provided, the contractor shall not be entitled to any payment for work or material unless it is performed or supplied by the listed DBE on the Exhibit 15-G Construction Contract DBE Commitment form, included in the Bid.
The Agency authorizes a request to use other forces or sources of materials if the bidder shows any of the following justifications:
1. Listed DBE fails or refuses to execute a written contract based on plans and specifications for the project.
2. 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. Work requires a contractor's license and listed DBE does not have a valid license under Contractors License Law.
4. 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. Listed DBE's work is unsatisfactory and not in compliance with the contract.
6. Listed DBE is ineligible to work on the project because of suspension or debarment.
7. Listed DBE becomes bankrupt or insolvent.
8. Listed DBE voluntarily withdraws with written notice from the Contract
9. 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.
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11. The Agency determines other documented good cause.
The prime contractor shall notify the original DBE of the intent to use other forces or material sources and provide the reasons, allowing the DBE 5 days to respond to the notice and advise the prime contractor and the Agency of the reasons why the use of other forces or sources of materials should not occur.
The prime contractor’s request to use other forces or material sources must includ e:
1. One or more of the reasons listed in the preceding paragraph.
2. Notices from the prime contractor to the DBE regarding the request.
3. Notices from the DBEs to the prime contractor regarding the request.
If the Agency authorizes the termination or substitution of a listed DBE, the prime contractor must make good faith efforts to find another DBE to substitute for the original DBE. The substitute DBE must (1) 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, and (2) be certified as a DBE with the most specific available NAICS codes and work codes applicable to the type of work the DBE will perform on the contract at the time of the prime contractor’s request for substitution. The prime contractor shall submit their documentation of good faith efforts within 7 days of their request for authorization of the substitution. The Agency may authorize a 7-day extension of this submittal period at the prime contractor’s request. More guidance can be found at 49 CFR 26 app A regarding evaluation of good faith efforts to meet the DBE goal.
F. Commitment and Utilization
Note: In the Agency’s reports of DBE participation to Caltrans, the Agency must display both commitments and attainments.
The Agency’s DBE program must include a monitoring and enforcement mechanism to ensure that DBE commitments reconcile to DBE utilization.
The bidder shall submit the Exhibit 15-G Construction Contract DBE Commitment, included in the Bid book. This exhibit is the bidder’s DBE commitment form. If the form is not submitted with the bid, the bidder must remove the form from the Bid book before submitting their bid.
The bidder shall complete and sign Exhibit 15-G Construction Contract DBE Commitment included in the contract documents regardless of whether DBE participation is reported. The bidder shall provide written confirmation from each DBE that the DBE is participating in the Contract. A copy of a DBE's quote serves as written confirmation. If a DBE is participating as a joint venture partner, the bidder shall submit a copy of the joint venture agreement.
If the DBE Commitment form, Exhibit 15-G, is not submitted with the bid, it must be completed and submitted by all bidders to the Agency within five (5) days of bid opening. If the bidder does not submit the DBE Commitment form within the specified time, the Agency will find the bidder’s bid nonresponsive.
The prime contractor shall use each DBE subcontractor as listed on Exhibit 12- B Bidder’s List of Subcontractors (DBE and Non-DBE), and Exhibit 15-G Construction Contract DBE Commitment form unless they receive authorization for a substitution.
The Agency shall request the prime contractor to:
1. Notify the Resident Engineer or Inspector 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 subcontractor • Name and business address of each DBE subcontractor, DBE vendor, and DBE trucking company, regardless of tier
• Date of payment and total amount paid to each business (see Exhibit 9-F Monthly Disadvantaged Business Enterprise Payment)
If the prime contractor is a DBE contractor, they shall include the date of work performed by their own forces and the corresponding value of the work.
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Before the 15th of each month, the prime contractor shall submit a Monthly DBE Trucking Verification (LAPM Exhibit 16-Z1) form.
If a DBE is decertified before completing its work, the DBE must notify the prime contractor in writing of the decertification date. If a business becomes a certified DBE before completing its work, the business must notify the prime contractor in writing of the certification date. The prime contractor shall submit the notifications. Upon work completion, the prime contractor shall complete a Disadvantaged Business Enterprises (DBE) Certification Status Change, Exhibit 17-O, form and submit the form within 30 days of contract acceptance.
Upon work completion, the prime contractor shall complete Exhibit 17-F Final Report – Utilization of Disadvantaged Business Enterprises (DBE), First-Tier Subcontractors and submit it within 90 days of contract acceptance. The Agency will withhold $10,000 until the form is submitted. The Agency releases the withhold upon submission of the completed form.
G. DBE RUNNING TALLY OF ATTAINMENTS
After submitting an invoice for reimbursement that includes a payment to a DBE, but no later than the 10 th of the following month, the prime contractor/consultant shall complete and email the Exhibit 9- F: Disadvantaged Business Enterprise Running Tally of Payments to [email protected] with a copy to the Agency.
2. BID OPENINGThe Agency publicly opens and reads bids at the time and place shown on the Notice to Contractors.
3. BID RIGGING The U.S. Department of Transportation (DOT) provides a toll-free hotline to report bid rigging activities. Use the hotline to report bid rigging, bidder collusion, and other fraudulent activities. The hotline number is (800) 424-9071. The service is available 24 hours 7 days a week and is confidential and anonymous.
The hotline is part of the DOT's effort to identify and investigate highway construction contract fraud and abuse and is operated under the direction of the DOT Inspector General.
4. CONTRACT AWARD If the Agency awards the contract, the award is made to the lowest responsible and responsive bidder.
5. CONTRACTOR LICENSE The Contractor must be properly licensed as a contractor from contract award through Contract acceptance (Public Contract Code §10164).
6. CHANGED CONDITIONS
A. Differing Site Conditions
1. During the progress of the work, if subsurface or latent physical conditions are encountered at the site differing materially from those indicated in the contract or if unknown physical conditions of an unusual nature, differing materially from those ordinarily encountered and generally recognized as inherent in the work provided for in the contract, are encountered at the site, the party discovering such conditions shall promptly notify the other party in writing of the specific differing conditions before the site is disturbed and before the affected work is performed.
2. Upon written notification, the engineer will investigate the conditions, and if it is determined that the conditions materially differ and cause an increase or decrease in the cost or time required for the performance of any work under the contract, an adjustment, excluding anticipated profits, will be made and the contract modified in writing accordingly. The engineer will notify the contractor of the determination whether or not an adjustment of the contract is warranted.
3. No contract adjustment which results in a benefit to the contractor will be allowed unless the contractor has provided the required written notice.
4. No contract adjustment will be allowed under this clause for any effects caused on unchanged work. [This provision may be omitted by the Local Agency, at their option.] B. Suspensions of Work Ordered by the Engineer
1. If the performance of all or any portion of the work is suspended or delayed by the engineer in writing for an unreasonable period of time (not originally anticipated, customary, or inherent to the construction industry) and the contractor believes that additional compensation and/or contract time is due as a result of such suspension or delay, the contractor shall submit to the engineer in writing a request for adjustment within 7 calendar days of receipt of the notice to resume work. The request
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shall set forth the reasons and support for such adjustment.
2. Upon receipt, the engineer will evaluate the contractor's request. If the engineer agrees that the cost and/or time required for the performance of the contract has increased as a result of such suspension and the suspension was caused by conditions beyond the control of and not the fault of the contractor, its suppliers, or subcontractors at any approved tier, and not caused by weather, the engineer will make an adjustment (excluding profit) and modify the contract in writing accordingly.
The contractor will be notified of the engineer's determination whether or not an adjustment of the contract is warranted.
3. No contract adjustment will be allowed unless the contractor has submitted the request for adjustment within the time prescribed.
4. No contract adjustment will be allowed under this clause to the extent that performance would have been suspended or delayed by any other cause, or for which an adjustment is provided or excl uded under any other term or condition of this contract.
C. Significant Changes in the Character of Work
1. The engineer reserves the right to make, in writing, at any time during the work, such changes in quantities and such alterations in the work as are necessary to satisfactorily complete the project.
Such changes in quantities and alterations shall not invalidate the contract nor release the surety, and the contractor agrees to perform the work as altered.
2. If the alterations or changes in quantities significantly change the character of the work under the contract, whether such alterations or changes are in themselves significant changes to the character of the work or by affecting other work cause such other work to become significantly different in character, an adjustment, excluding anticipated profit, will be made to the contract. The basis for the adjustment shall be agreed upon prior to the performance of the work. If a basis cannot be agreed upon, then an adjustment will be made either for or against the contractor in such amount as the engineer may determine to be fair and equitable.
3. If the alterations or changes in quantities do not significantly change the character of the work to be performed under the contract, the altered work will be paid for as provided elsewhere in the contract.
4. The term “significant change” shall be construed to apply only to the following circumstances:
• When the character of the work as altered differs materially in kind or nature from that involved or included in the original proposed construction; or
• When a major item of work, as defined elsewhere in the contract, is increased in excess of 125 percent or decreased below 75 percent of the original contract quantity. Any allowance for an increase in quantity shall apply only to that portion in excess of 125 percent of original contract item quantity, or in case of a decrease below 75 percent, to the actual amount of work performed.
7. BEGINNING OF WORK, TIME OF COMPLETION AND LIQUIDATED DAMAGES The Contractor shall begin work within 15 calendar days after the issuance of the Notice to Proceed.
This work shall be diligently prosecuted to completion before the expiration of WORKING DAYS beginning on the fifteenth calendar day after the date shown on the Notice to Proceed.
The Contractor shall pay to the City/County the sum of $ per day, for each and every calendar days’ delay in finishing the work in excess of the number of working days prescribed above. 60 of Stockton 3,500
567
8. BUY AMERICA
Buy America Requirements apply
to steel and iron, manufactured products, and construction materials permanently incorporated into the project.
Steel and Iron Materials
All steel and iron materials must be melted and manufactured in the United States except:
1. Foreign pig iron and processed, pelletized, and reduced iron ore may be used in the domestic production
of the steel and iron materials [60 Fed Reg 15478 (03/24/1995)];
2. If the total combined cost of the materials produced outside the United States does not exceed the greater of 0.1 percent of the total contract amount or $2,500, materials produced outside the United States may be used if authorized.
Furnish steel and iron materials to
be incorporated into the work with certificates of compliance and certified mill test reports. Mill test reports must indicate where the steel and iron were melted and manufactured. All melting and manufacturing processes for these materials, including an application of a coating, must occur in the United States. Coating includes all processes that protect or enhance the value of the material to which the coating is applied.
Manufactured Products
Iron and steel used in precast concret
e manufactured products must meet the requirements of the above section (Steel and Iron Materials) regardless of the amount used. Iron and steel used in other manufactured products must meet the requirements of the above section (Steel and Iron Materials) if the weight of steel and iron components constitute 90 percent or more of the total weight of the manufactured product.
Construction Materials
Buy America requirements apply to the following construction materials that are or consist primarily of:
1. Non-ferrous metals
2. Plastic and polymer-based
products (including polyvinylchloride, composite building materials, and polymers used in fiber optic cables)
3. Glass (including optic glass)
4. Lumber
5. Drywall
Where one or more of these construction materials
have been combined by a manufacturer with other materials through a manufacturing process, Buy America requirements do not apply unless otherwise specified.
Furnish construction materials to be incorporated into the work with certificates of compliance with each project delivery. Manufacturer’s certificate of compliance must identify where the construction material was manufactured and attest specifically to Buy America compliance.
All manufacturing processes for these materials must occur in the United States.
Buy America requirements do not apply to the following:
1. Tools and construction equipment used i
n performing the work
2. Temporary work that is not incorporated into the finished project Waivers
If Buy America waivers are granted, us
e the following language to include in the contract:
The following steel and iron products, manufactured products, or construction materials have received an approved Buy America waiver for this contract, and therefore, are not subject to Buy America requirements:
1. _______________________________
2. _______________________________
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Exhibit 12-G
Required Federal-Aid Contract Language
568
9. QUALITY ASSURANCE
The Local Agency uses a Quality Assurance Program (QAP) to ensure a material is produced to comply with the Contract. The Local Agency may examine the records and reports of tests the prime contractor performs if they are available at the job site. Schedule work to allow time for QAP.
10. PROMPT PAYMENT FROM THE AGENCY TO THE CONTRACTORS
The Agency shall make any progress payment within 30 days after receipt of an undisputed and properly submitted payment request from a contractor on a construction contract. If the Agency fails to pay promptly, the 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 Agency shall act in accordance with both of the following:
1. Each payment request shall be reviewed by the Agency as soon as practicable after receipt for the purpose of determining that it is a proper payment request.
2. Any payment request determined not to be a proper payment request suitable for payment shall be returned to the contractor 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 writ ing the reasons why the payment request is not proper.
11. FORM FHWA-1273 REQUIRED CONTRACT PROVISIONS FEDERAL-AID CONTRACTS [The following 12 pages must be physically inserted into the contract without modification.
Excluding ATTACHMENT A - EMPLOYMENT AND MATERIALS PREFERENCE FOR APPALACHIAN DEVELOPMENT HIGHWAY SYSTEM OR APPALACHIAN LOCAL ACCESS ROAD CONTRACTS ] 569
FHWA-1273 -- Revised July 5, 2022
REQUIRED CONTRACT
PROVISIONS FEDERAL-AID
CONSTRUCTION CONTRACTS
570
I. General
II. Nondiscrimination
III. Non-segregated Facilities
IV. Davis-Bacon and Related Act Provisions
V. Contract Work Hours and Safety Standards Act Provisions VI. Subletting or Assigning the Contract
VII. Safety: Accident Prevention
VIII. False Statements Concerning Highway Projects
IX. Implementation of Clean Air Act and Federal Water
Pollution Control Act
X. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion
XI. Certification Regarding Use of Contract Funds for Lobbying XII. Use of United States-Flag Vessels:
ATTACHMENTS
A. Employment and Materials Preference for Appalachian
Development Highway System or Appalachian Local Access
Road Contracts (included in Appalachian contracts only) I. GENERAL
1. Form FHWA-1273 must be physically incorporated in each construction contract funded under title 23, United States Code, as required in 23 CFR 633.102(b) (excluding emergency
contracts solely intended for debris removal). The contractor (or subcontractor) must insert this form in each subcontract and further require its inclusion in all lower tier subcontracts (excluding purchase orders, rental agreements and other agreements for supplies or services). 23 CFR633.102(e).
The applicable requirements of Form FHWA-1273 are
incorporated by reference for work done under any purchase order, rental agreement or agreement for other services. The prime contractor shall be responsible for compliance by any subcontractor, lower-tier subcontractor or service provider. 23 CFR 633.102(e).
Form FHWA-1273 must be included in all Federal-aid design- build contracts, in all subcontracts and in lower tier subcontracts (excluding subcontracts for design services, purchase orders, rental agreements and other agreements for supplies or
services) in accordance with 23 CFR 633.102. The design- builder shall be responsible for compliance by any
subcontractor, lower-tier subcontractor or service provider.
Contracting agencies may reference Form FHWA-1273 in
solicitation-for-bids or request-for-proposals documents, however, the Form FHWA-1273 must be physically incorporated (not referenced) in all contracts, subcontracts and lower-tier subcontracts (excluding purchase orders, rental agreements and other agreements for supplies or services related to a
construction contract). 23 CFR 633.102(b).
2. Subject to the applicability criteria noted in the following sections, these contract provisions shall apply to all work performed on the contract by the contractor's own organization and with the assistance of workers under the contractor's immediate superintendence and to all work performed on the contract by piecework, station work, or by subcontract. 23 CFR 633.102(d).
3. A breach of any of the stipulations contained in these Required Contract Provisions may be sufficient grounds for withholding of progress payments, withholding of final payment, termination of the contract, suspension / debarment or any other action determined to be appropriate by the contracting agency and FHWA.
4. Selection of Labor: During the performance of this contract, the contractor shall not use convict labor for any purpose within the limits of a construction project on a Federal-aid highway unless it is labor performed by convicts who are on parole, supervised release, or probation. 23 U.S.C. 114(b).The term Federal-aid highway does not include roadways functionally classified as local roads or rural minor collectors. 23 U.S.C. 101(a).
II. NONDISCRIMINATION (23 CFR 230.107(a); 23 CFR Part
230, Subpart A, Appendix A; EO 11246)
The provisions of this section related to 23 CFR Part 230, Subpart A, Appendix A are applicable to all Federal-aid construction contracts and to all related construction
subcontracts of $10,000 or more. The provisions of 23 CFR Part 230 are not applicable to material supply, engineering, or architectural service contracts.
In addition, the contractor and all subcontractors must comply with the following policies: Executive Order 11246, 41 CFR Part 60, 29 CFR Parts 1625-1627, 23 U.S.C. 140, Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794), Title VI of the Civil Rights Act of 1964, as amended (42 U.S.C. 2000d et seq.), and related regulations including 49 CFR Parts 21, 26, and
27; and 23 CFR Parts 200, 230, and 633.
The contractor and all subcontractors must comply with: the requirements of the Equal Opportunity Clause in 41 CFR 60-
1.4(b) and, for all construction contracts exceeding $10,000, the Standard Federal Equal Employment Opportunity Construction Contract Specifications in 41 CFR 60-4.3.
Note: The U.S. Department of Labor has exclusive authority to determine compliance with Executive Order 11246 and the policies of the Secretary of Labor including 41 CFR Part 60, and 29 CFR Parts 1625-1627. The contracting agency and the
FHWA have the authority and the responsibility to ensure compliance with 23 U.S.C. 140, Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794), and Title VI of the Civil Rights Act of 1964, as amended (42 U.S.C. 2000d et seq.), and related regulations including 49 CFR Parts 21, 26, and 27; and 23 CFR Parts 200, 230, and 633.
The following provision is adopted from 23 CFR Part 230, Subpart A, Appendix A, with appropriate revisions to conform to the U.S. Department of Labor (US DOL) and FHWA
requirements.
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1. Equal Employment Opportunity: Equal Employment
Opportunity (EEO) requirements not to discriminate and to take affirmative action to assure equal opportunity as set forth under laws, executive orders, rules, regulations (see 28 CFR Part 35, 29 CFR Part 1630, 29 CFR Parts 1625-1627, 41 CFR Part 60 and 49 CFR Part 27) and orders of the Secretary of Labor as modified by the provisions prescribed herein, and imposed pursuant to 23 U.S.C. 140, shall constitute the EEO and specific affirmative action standards for the contractor's project activities under this contract.
The provisions of the Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et seq.) set forth under 28 CFR Part 35 and 29 CFR Part 1630 are incorporated by reference in this contract. In the execution of this contract, the contractor agrees to comply with the following minimum specific requirement activities of EEO:
a. The contractor will work with the contracting agency and the Federal Government to ensure that it has made every good faith effort to provide equal opportunity with respect to all of its terms and conditions of employment and in their review of activities under the contract. 23 CFR 230.409 (g)(4) & (5).
b. The contractor will accept as its operating policy the following statement:
"It is the policy of this Company to assure that applicants are employed, and that employees are treated during employment, without regard to their race, religion, sex, sexual orientation, gender identity, color, national origin, age or disability. Such action shall include: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship, pre-
apprenticeship, and/or on-the-job training."
2. EEO Officer: The contractor will designate and make known to the contracting officers an EEO Officer who will have the responsibility for and must be capable of effectively administering and promoting an active EEO program and who must be assigned adequate authority and responsibility to do so.
3. Dissemination of Policy: All members of the contractor's staff who are authorized to hire, supervise, promote, and discharge employees, or who recommend such action or are substantially involved in such action, will be made fully cognizant of and will implement the contractor's EEO policy and contractual
responsibilities to provide EEO in each grade and classification of employment. To ensure that the above agreement will be met, the following actions will be taken as a minimum:
a. Periodic meetings of supervisory and personnel office employees will be conducted before the start of work and then not less often than once every six months, at which time the contractor's EEO policy and its implementation will be reviewed and explained.
The meetings will be conducted by the EEO Officer or other knowledgeable company official.
b. All new supervisory or personnel office employees will be given a thorough indoctrination by the EEO Officer, covering all major aspects of the contractor's EEO obligations within thirty days following their reporting for duty with the contractor. c. All personnel who are engaged in direct recruitment for the project will be instructed by the EEO Officer in the contractor's procedures for locating and hiring minorities and women. d. Notices and posters setting forth the contractor's EEO policy will be placed in areas readily accessible to employees, applicants for employment and potential employees.
e. The contractor's EEO policy and the procedures to implement such policy will be brought to the attention of employees by means of meetings, employee handbooks, or other appropriate means.
4. Recruitment: When advertising for employees, the contractor will include in all advertisements for employees the notation: "An Equal Opportunity Employer." All such advertisements will be placed in publications having a large circulation among minorities and women in the area from which the project work force would normally be derived.
a.
The contractor will, unless precluded by a valid bargaining agreement, conduct s
ystematic and direct recruitment through public
and private employee referral sources likely to yield qualified minorities and women. To meet this requirement, the contractor will identify sources of potential minority group employees and establish with such identified sources procedures whereby minority and women applicants may be referred to the contractor for employment consideration.
b. In the event the contractor has a valid bargaining agreement providing for exclusive hiring hall referrals, the contractor is expected to observe the provisions of that agreement to the extent that the system meets the contractor's compliance with EEO contract provisions. Where implementation of such an agreement has the effect of discriminating against minorities or women, or obligates the contractor to do the same, such implementation violates Federal nondiscrimination provisions.
c. The contractor will encourage its present employees to refer minorities and women as applicants for employment. Information and procedures with regard to referring such applicants will be discussed with employees.
5. Personnel Actions: Wages, working conditions, and employee benefits shall be established and administered, and personnel actions of every type, including hiring, upgrading, promotion, transfer, demotion, layoff, and termination, shall be taken without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age or disability. The following procedures shall be followed:
a. The contractor will conduct periodic inspections of project sites to ensure that working conditions and employee facilities do not indicate discriminatory treatment of project site personnel. b. The contractor will periodically evaluate the spread of wages paid within each classification to determine any evidence of discriminatory wage practices.
c.
The contractor will periodically review selected personnel actions in depth to determine whether there is evidence of discrimination.
Where evidence is found, the contractor will promptly take corrective action. If the review indicates that the discrimination may extend beyond the actions reviewed, such corrective action shall include all affected persons.
d. The contractor will promptly investigate all complaints of alleged discrimination made to the contractor in connection with its obligations under this contract, will attempt to resolve such complaints, and will take appropriate corrective action within a reasonable time. If the investigation indicates that the discrimination may affect persons other than the complainant, such corrective action shall include such other persons. Upon completion of each investigation, the contractor will inform every complainant of all of their avenues of appeal.
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6. Training and Promotion:
a. The contractor will assist in locating, qualifying, and increasing the skills of minorities and women who are applicants for employment or current employees. Such efforts should be aimed at developing full journey level status employees in the type of trade or job classification involved.
b. Consistent with the contractor's work force requirements and as permissible under Federal and State regulations, the contractor shall make full use of training programs (i.e., apprenticeship and on-the- job training programs for the geographical area of contract performance). In the event a special provision for training is provided under this contract, this subparagraph will be superseded as indicated in the special provision. The contracting agency may reserve training positions for persons who receive welfare assistance in accordance with 23 U.S.C. 140(a).
c. The contractor will advise employees and applicants for employment of available training programs and entrance
requirements for each.
d. The contractor will periodically review the training and promotion potential of employees who are minorities and women and will encourage eligible employees to apply for such training and promotion.
7. Unions: If the contractor relies in whole or in part upon unions as a source of employees, the contractor will use good faith efforts to obtain the cooperation of such unions to increase opportunities for minorities and women. 23 CFR 230.409. Actions by the contractor, either directly or through a contractor's association acting as agent, will include the procedures set forth below:
a. The contractor will use good faith efforts to develop, in cooperation with the unions, joint training programs aimed toward qualifying more minorities and women for membership in the unions and increasing the skills of minorities and women so that they may qualify for higher paying employment.
b. The contractor will use good faith efforts to incorporate an EEO clause into each union agreement to the end that such union will be contractually bound to refer applicants without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, age, or disability.
c. The contractor is to obtain information as to the referral practices and policies of the labor union except that to the extent such information is within the exclusive possession of the labor union and such labor union refuses to furnish such information to the contractor, the contractor shall so certify to the contracting agency and shall set forth what efforts have been made to obtain such information.
d. In the event the union is unable to provide the contractor with a reasonable flow of referrals within the time limit set forth in the collective bargaining agreement, the contractor will, through independent recruitment efforts, fill the employment vacancies without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, or disability; making full efforts to obtain qualified and/or qualifiable minorities and women. The failure of a union to provide sufficient referrals (even though it is obligated to provide exclusive referrals under the terms of a collective bargaining agreement) does not relieve the contractor from the requirements of this paragraph. In the event the union referral practice prevents the contractor from meeting the obligations pursuant to Executive Order 11246, as amended, and these special provisions, such contractor shall immediately notify the contracting agency.
8. Reasonable Accommodation for Applicants / Employees with Disabilities: The contractor must be familiar with the requirements for and comply with the Americans with Disabilities Act and all rules and regulations established thereunder. Employers must provide reasonable accommodation in all employment activities unless to do so would cause an undue hardship.
9. Selection of Subcontractors, Procurement of Materials and Leasing of Equipment: The contractor shall not discriminate on the grounds of race, color, religion, sex, sexual orientation, gender identity, national origin, age, or disability in the selection and retention of subcontractors, including procurement of materials and leases of equipment. The contractor shall take all necessary and reasonable steps to ensure nondiscrimination in the administration of this contract. a.
The contractor shall notify all potential subcontractors, suppliers, and lessors of their EEO obligations under this contract.
b. The contractor will use good faith efforts to ensure subcontractor compliance with their EEO obligations.
10. Assurance Required:
a. The requirements of 49 CFR Part 26 and the State DOT’s FHWA-approved Disadvantaged Business Enterprise (DBE) program are incorporated by reference.
b. The contractor, subrecipient or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR part 26 in the award and administration of DOT-assisted contracts. Failure by the contractor 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 the contractor from future bidding as non- responsible.
c. The Title VI and nondiscrimination provisions of U.S. DOT Order 1050.2A at Appendixes A and E are incorporated by reference. 49 CFR Part 21.
11. Records and Reports: The contractor shall keep such records as necessary to document compliance with the EEO requirements.
Such records shall be retained for a period of three years following the date of the final payment to the contractor for all contract work and shall be available at reasonable times and places for inspection by authorized representatives of the contracting agency and the FHWA.
a.
The records kept by the contractor shall document the following:
(1) The number and work hours of minority and non-minority group members and women employed in each work
classification on the project;
(2) The progress and efforts being made in cooperation with unions, when applicable, to increase employment opportunities for minorities and women; and
(3) The progress and efforts being made in locating, hiring, training, qualifying, and upgrading minorities and women. 573
b. The contractors and subcontractors will submit an annual report to the contracting agency each July for the duration of the project indicating the number of minority, women, and non-minority group employees currently engaged in each work classification required by the contract work. This information is to be reported on Form FHWA-1391. The staffing data should represent the project work force on board in all or any part of the last payroll period preceding the end of July. If on-the-job training is being required by special provision, the contractor will be required to collect and report training data. The employment data should reflect the work force on board during all or any part of the last payroll period preceding the end of July.
III. NONSEGREGATED FACILITIES
This provision is applicable to all Federal-aid construction contracts and to all related construction subcontracts of more than $10,000. 41 CFR 60-1.5.
As prescribed by 41 CFR 60-1.8, the contractor must ensure that facilities provided for employees are provided in such a manner that segregation on the basis of race, color, religion, sex, sexual orientation, gender identity, or national origin cannot result. The contractor may neither require such segregated use by written or oral policies nor tolerate such use by employee custom. The contractor's obligation extends further to ensure that its employees are not assigned to perform their services at any location under the contractor's control where the facilities are segregated. The term "facilities" includes waiting rooms, work areas, restaurants and other eating areas, time clocks, restrooms, washrooms, locker rooms and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing provided for employees. The contractor shall provide separate or single-user restrooms and necessary dressing or sleeping areas to assure privacy between sexes.
IV. DAVIS-BACON AND RELATED ACT PROVISIONS
This section is applicable to all Federal-aid construction projects exceeding $2,000 and to all related subcontracts and lower-tier subcontracts (regardless of subcontract size), in accordance with 29 CFR 5.5. The requirements apply to all projects located within the right-of-way of a roadway that is functionally classified as Federal- aid highway. 23 U.S.C. 113. This excludes roadways functionally classified as local roads or rural minor collectors, which are exempt. 23 U.S.C. 101. Where applicable law requires that projects be treated as a project on a Federal-aid highway, the provisions of this subpart will apply regardless of the location of the project. Examples include: Surface Transportation Block Grant Program projects funded under 23 U.S.C. 133 [excluding recreational trails projects], the Nationally Significant Freight and Highway Projects funded under 23 U.S.C. 117, and National Highway Freight Program projects funded under 23 U.S.C. 167.
The following provisions are from the U.S. Department of Labor regulations in 29 CFR 5.5 “Contract provisions and related matters” with minor revisions to conform to the FHWA-1273 format and FHWA program requirements.
1. Minimum wages (29 CFR 5.5)
a. All laborers and mechanics employed or working upon the site of the work, will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR part 3)), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics.
Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph 1.d. of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in 29 CFR 5.5(a)(4). Laborers or mechanics performing work in more than one classification may be
compensated at the rate specified for each classification for the time actually worked therein: Provided, That the employer's payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under paragraph
1.b. of this section) and the Davis-Bacon poster (WH–1321) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers.
b. (1) The contracting officer shall require that any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The contracting officer shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met:
(i) The work to be performed by the classification requested is not performed by a classification in the wage determination; and
(ii) The classification is utilized in the area by the construction industry; and
(iii) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination.
(2)
If the contractor and the laborers and mechanics to be
employed in the classification (if known), or their
representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour Division, U.S. Department of Labor, Washington, DC 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. 574
(3) In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount
designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Administrator for determination.
The Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary.
(4) The wage rate (including fringe benefits where
appropriate) determined pursuant to paragraphs 1.b.(2) or
1.b.(3) of this section, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification.
c.
Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof. d. If the contractor does not make payments to a trustee or other third person, the contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, Provided, That the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program.
2. Withholding (29 CFR 5.5)
The contracting agency shall upon its own action or upon written request of an authorized representative of the Department of Labor, withhold or cause to be withheld from the contractor under this contract, or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to Davis- Bacon prevailing wage requirements, which is held by the same prime contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the contractor or any subcontractor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work, all or part of the wages required by the contract, the contracting agency may, after written notice to the contractor, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased.
3. Payrolls and basic records (29 CFR 5.5)
a. Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work. Such records shall contain the name, address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in section 1(b)(2)(B) of the Davis-Bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in
section 1(b)(2)(B) of the Davis-Bacon Act, the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communica ted in
writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs.
b. (1) The contractor shall submit weekly for each week in which any contract work is performed a copy of all payrolls to the contracting agency. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under 29 CFR 5.5(a)(3)(i), except that full social security numbers and home addresses shall not be included on weekly transmittals. Instead the payrolls shall only need to include an individually identifying number for each employee (e.g., the last four digits of the employee's social security number). The required weekly payroll information may be submitted in any form desired. Optional Form WH–347 is
available for this purpose from the Wage and Hour Division Web site. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors shall maintain the full social security number and current address of each covered worker, and shall provide them upon request to the contracting agency for transmission to the State DOT, the FHWA or the Wage and Hour Division of the Department of Labor for purposes of an investigation or audit of compliance with prevailing wage requirements. It is not a violation of this section for a prime contractor to require a subcontractor to provide addresses and s
ocial security numbers
to the prime contractor for its own records, without weekly submission to the contracting agency.
(2) Each payroll submitted shall be accompanied by a
“Statement of Compliance,” signed by the contractor or
subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following:
(i) That the payroll for the payroll period contains the information required to be provided under 29 CFR
5.5(a)(3)(ii), the appropriate information is being maintained under 29 CFR 5.5(a)(3)(i), and that such information is correct and complete;
(ii)
That each laborer or mechanic (including each helper,
apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in 29 CFR part 3;
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(iii) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract.
(3) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH–347 shall satisfy the requirement for submission of the “Statement of Compliance” required by paragraph 3.b.(2) of this section. (4) The falsification of any of the above certifications may subject the contractor or subcontractor to civil or criminal prosecution under 18 U.S.C. 1001 and 31 U.S.C. 231.
c.
The contractor or subcontractor shall make the records required under paragraph 3.a. of this section available for inspection, copying, or transcription by authorized representatives of the contracting agency, the State DOT, the FHWA, or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, the FHWA may, after written notice to the contractor, the contracting agency or the State DOT, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12.
4. Apprentices and trainees (29 CFR 5.5)
a. Apprentices (programs of the USDOL).
Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Office of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency recognized by the Office, or if a person is employed in his or her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice.
The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman's hourly rate) specified in the contractor's or subcontractor's registered program shall be observed.
Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination.
In the event the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency recognized by the Office, withdraws approval of an apprenticeship program, the contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved.
b. Trainees (programs of the USDOL).
Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration.
The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration.
Every trainee must be paid at not less than the rate specified in the approved program for the trainee's level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determinat ion unless
the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the
corresponding journeyman wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed.
In the event the Employment and Training Administration withdraws approval of a training program, the contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. c. Equal employment opportunity. The utilization of apprentices, trainees and journeymen under this part shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR part 30.
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d. Apprentices and Trainees (programs of the U.S. DOT).
Apprentices and trainees working under apprenticeship and skill training programs which have been certified by the Secretary of Transportation as promoting EEO in connection with Federal-aid highway construction programs are not subject to the requirements of paragraph 4 of this Section IV. 23 CFR 230.111(e)(2). The straight time hourly wage rates for apprentices and trainees under such programs will be established by the particular programs. The ratio of apprentices and trainees to journeymen shall not be greater than permitted by the terms of the particular program.
5. Compliance with Copeland Act requirements. The contractor shall comply with the requirements of 29 CFR part 3, which are incorporated by reference in this contract as provided in 29 CFR 5.5.
6. Subcontracts. The contractor or subcontractor shall insert Form FHWA-1273 in any subcontracts and also require the
subcontractors to include Form FHWA-1273 in any lower tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all the contract clauses in 29 CFR 5.5.
7. Contract termination: debarment. A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the contract, and for debarment as a contractor and a subcontractor as provided in 29 CFR 5.12.
8. Compliance with Davis-Bacon and Related Act
requirements. All rulings and interpretations of the Davis-Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein incorporated by reference in this contract as provided in 29 CFR 5.5.
9. Disputes concerning labor standards. As provided in 29 CFR
5.5, disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the contracting agency, the U.S. Department of Labor, or the employees or their representatives.
10. Certification of eligibility (29 CFR 5.5)
a. By entering into this contract, the contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the contractor's firm is a person or firm ineligible to be awarded Government contracts by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).
b. No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1). c. The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001.
V. CONTRACT WORK HOURS AND SAFETY STANDARDS ACT
Pursuant to 29 CFR 5.5(b), the following clauses apply to any Federal-
aid construction contract in an amount in excess of $100,000 and subject to the overtime provisions of the Contract Work Hours and Safety Standards Act. These clauses shall be inserted in addition to the clauses required by 29 CFR 5.5(a) or 29 CFR 4.6. As used in this paragraph, the terms laborers and mechanics include watchmen and guards.
1. Overtime requirements. No contr actor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek. 29 CFR 5.5.
2. Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in paragraph 1 of this section, the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph 1 of this section, in the sum currently provided in 29 CFR 5.5(b)(2)* for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph 1 of this section. 29 CFR
5.5. * $27 as of January 23, 2019 (See 84 FR 213-01, 218) as may be adjusted annually by the Department of Labor; pursuant to the Federal Civil Penalties Inflation Adjustment Act of 1990).
3. Withholding for unpaid wages and liquidated damages. The FHWA or the contacting agency shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph 2 of this section. 29 CFR 5.5.
4. Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraphs 1 through 4 of this section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for
compliance by any subcontractor or lower tier
subcontractor with the clauses set forth in paragraphs 1 through 4 of this section. 29 CFR 5.5.
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VI. SUBLETTING OR ASSIGNING THE CONTRACT
This provision is applicable to all Federal-aid construction contracts on the National Highway System pursuant to 23 CFR 635.116.
1. The contractor shall perform with its own organization contract work amounting to not less than 30 percent (or a greater percentage if specified elsewhere in the contract) of the total original contract price, excluding any specialty items designated by the contracting agency. Specialty items may be performed by subcontract and the amount of any such specialty items performed may be deducted from the total original contract price before computing the amount of work required to be performed by the contractor's own organization (23 CFR 635.116).
a. The term “perform work with its own organization” in paragraph 1 of Section VI refers to workers employed or leased by the prime contractor, and equipment owned or rented by the prime contractor, with or without operators. Such term does not include employees or equipment of a subcontractor or lower tier subcontractor, agents of the prime contractor, or any other assignees. The term may include payments for the costs of hiring leased employees from an employee leasing firm meeting all relevant Federal and State regulatory requirements. Leased employees may only be included in this term if the prime contractor meets all of the following conditions:
(based on longstanding interpretation)
(1) the prime contractor maintains control over the supervision of the day-to-day activities of the leased employees;
(2) the prime contractor remains responsible for the quality of the work of the leased employees;
(3) the prime contractor retains all power to accept or exclude individual employees from work on the project; and
(4) the prime contractor remains ultimately responsible for the payment of predetermined minimum wages, the submission of payrolls, statements of compliance and all other Federal regulatory requirements.
b.
"Specialty Items" shall be construed to be limited to work that requires highly specialized knowledge, abilities, or equipment not ordinarily available in the type of contracting organizations qualified and expected to bid or propose on the contract as a whole and in general are to be limited to minor components of the overall contract. 23 CFR 635.102.
2. Pursuant to 23 CFR 635.116(a), the contract amount upon which the requirements set forth in paragraph (1) of Section VI is computed includes the cost of material and manufactured products which are to be purchased or produced by the contractor under the contract provisions.
3. Pursuant to 23 CFR 635.116(c), the contractor shall furnish (a) a competent superintendent or supervisor who is employed by the firm, has full authority to direct performance of the work in accordance with the contract requirements, and is in charge of all construction operations (regardless of who performs the work) and (b) such other of its own organizational resources (supervision, management, and engineering services) as the contracting officer determines is necessary to assure the performance of the contract.
4. No portion of the contract shall be sublet, assigned or otherwise disposed of except with the written consent of the contracting officer, or authorized representative, and such consent when given shall not be construed to relieve the contractor of any responsibility for the fulfillment of the contract. Written consent will be given only after the contracting agency has assured that each subcontract is evidenced in writing and that it contains all pertinent provisions and requirements of the prime contract. (based on long-standing interpretation of 23 CFR 635.116).
5. The 30-percent self-performance requirement of paragraph (1) is not applicable to design-build contracts; however, contracting agencies may establish their own self-performance requirements. 23 CFR 635.116(d).
VII. SAFETY: ACCIDENT PREVENTION
This provision is applicable to all Federal-aid construction contracts and to all related subcontracts.
1. In the performance of this contract the contractor shall comply with all applicable Federal, State, and local laws governing safety, health, and sanitation (23 CFR Part 635). The contractor shall provide all safeguards, safety devices and protective equipment and take any other needed actions as it determines, or as the contracting officer may determine, to be reasonably necessary to protect the life and health of employees on the job and the safety of the public and to protect property in connection with the performance of the work covered by the contract. 23 CFR 635.108.
2. It is a condition of this contract, and shall be made a condition of each subcontract, which the contractor enters into pursuant to this contract, that the contractor and any subcontractor shall not permit any employee, in p
erformance of the contract, to work in surroundings
or under conditions which are unsanitary, hazardous or dangerous to his/her health or safety, as determined under construction safety and health standards (29 CFR Part 1926) promulgated by the Secretary o f
Labor, in accordance with Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 3704). 29 CFR 1926.10.
3. Pursuant to 29 CFR 1926.3, it is a condition of this contract that the Secretary of Labor or authorized representative thereof, shall have right of entry to any site of contract performance to inspect or investigate the matter of compliance with the construction safety and health standards and to carry out the duties of the Secretary under Section 107 of the Contract Work Hours a
nd Safety Standards Act (40
U.S.C. 3704).
VIII. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS
This provision is applicable to all Federal-aid construction contracts and to all related subcontracts.
In order to assure high quality and durable construction in conformity with approved plans and specifications and a high degree of reliability on statements and representations made by engineers, contractors, suppliers, and workers on Federal-aid highway projects, it is essential that all persons concerned with the project perform their functions as carefully, thoroughly, and honestly as possible. Willful falsification, distortion, or misrepresentation with respect to any facts related to the project is a violation of Federal law. To prevent any misunderstanding regarding the seriousness of these and similar acts, Form FHWA- 1022
shall be posted on each Federal-aid highway project (23 CFR Part 635) in one or more places where it is readily available to all persons concerned with the project:
18 U.S.C. 1020 reads as follows:
"Whoever, being an officer, agent, or employee of the United States, or of any State or Territory, or whoever, whether a person, association, firm, or corporation, knowingly makes any false statement, false representation, or false report as to the character, quality, quantity, or cost of the material used or to be used, or the quantity or quality of the work performed or to be performed, or the cost thereof in connection with the submission of plans, maps, specifications, contracts, or costs of construction on any highway or related project submitted for approval to the Secretary of Transportation; or
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Whoever knowingly makes any false statement, false
representation, false report or false claim with respect to the character, quality, quantity, or cost of any work performed or to be performed, or materials furnished or to be furnished, in connection with the construction of any highway or related project approved by the Secretary of Transportation; or
Whoever knowingly makes any false statement or false
representation as to material fact in any statement, certificate, or report submitted pursuant to provisions of the Federal-aid Roads Act approved July 11, 1916, (39 Stat. 355), as amended and supplemented;
Shall be fined under this title or imprisoned not more than 5 years or both."
IX. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
WATER POLLUTION CONTROL ACT (42 U.S.C. 7606; 2 CFR
200.88; EO 11738)
This provision is applicable to all Federal-aid construction contracts in excess of $150,000 and to all related subcontracts. 48 CFR 2.101; 2 CFR 200.326.
By submission of this bid/proposal or the execution of this contract or subcontract, as appropriate, the bidder, proposer, Federal-aid construction contractor, subcontractor, supplier, or vendor agrees to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act (42 U.S.C. 7401-7671q) and the Federal Water Pollution Control Act, as amended (33 U.S.C. 1251-1387). Violations must be reported to the Federal Highway Administration and the Regional Office of the Environmental Protection Agency. 2 CFR Part 200, Appendix II.
The contractor agrees to include or cause to be included the requirements of this Section in every subcontract, and further agrees to take such action as the contracting agency may direct as a means of enforcing such requirements. 2 CFR 200.326.
X. CERTIFICATION REGARDING DEBARMENT, SUSPENSION,
INELIGIBILITY AND VOLUNTARY EXCLUSION
This provision is applicable to all Federal-aid construction contracts, design-build contracts, subcontracts, lower-tier subcontracts, purchase orders, lease agreements, consultant contracts or any other covered transaction requiring FHWA approval or that is estimated to cost $25,000 or more – as defined in 2 CFR Parts 180 and 1200. 2 CFR 180.220 and 1200.220.
1. Instructions for Certification – First Tier Participants:
a. By signing and submitting this proposal, the prospective first tier participant is providing the certification set out below. b. The inability of a person to provide the certification set out below will not necessarily result in denial of participation in this covered transaction. The prospective first tier participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency's determination whether to enter into this transaction. However, failure of the prospective first tier participant to furnish a certification or an explanation shall disqualify such a person from participation in this transaction. 2 CFR 180.320.
c. The certification in this clause is a material representation of fact upon which reliance was placed when the contracting agency determined to enter into this transaction. If it is later determined that the prospective participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the contracting agency may terminate this transaction for cause of default. 2 CFR 180.325.
d. The prospective first tier participant shall provide immediate written notice to the contracting agency to whom this proposal is submitted if any time the prospective first tier participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 2 CFR 180.345 and 180.350.
e. The terms "covered transaction," "debarred," "suspended," "ineligible," "participant," "person," "principal," and "voluntarily excluded," as used in this clause, are defined in 2 CFR Parts 180, Subpart I, 180.900-180.1020, and 1200. “First Tier Covered Transactions” refers to any covered transaction between a recipient or subrecipient of Federal funds and a participant (such as the prime or general contract). “Lower Tier Covered Transactions” refers to any covered transaction under a First Tier Covered Transaction (such as subcontracts). “First Tier Participant” refers to the participant who has entered into a covered transaction with a recipient or subrecipient of Federal funds (such as the prime or general contractor). “Lower Tier Participant” refers any participant who has entered into a covered transaction with a First Tier Participant or other Lower Tier Participants (such as subcontractors and suppliers).
f. The prospective first tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction. 2 CFR 180.330.
g. The prospective first tier participant further agrees by submitting this proposal that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transactions," provided by the department or contracting agency, entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions exceeding the $25,000 threshold. 2 CFR 180.220 and 180.300.
h. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. 2 CFR 180.300; 180.320, and 180.325. A participant is responsible for ensuring that its principals are not suspended, debarred, or otherwise ineligible to participate in covered transactions. 2 CFR 180.335. To verify the eligibility of its principals, as well as the eligibility of any lower tier prospective participants, each participant may, but is not required to, check the System for Award Management website
(https://www.sam.gov/). 2 CFR 180.300, 180.320, and 180.325. i. Nothing contained in the foregoing shall be construed to require the establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of the prospective participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.
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j. Except for transactions authorized under paragraph (f) of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default. 2 CFR 180.325. * * * * *
2. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion – First Tier Participants:
a. The prospective first tier participant certifies to the best of its knowledge and belief, that it and its principals:
(1) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participating in covered transactions by any Federal department or agency, 2 CFR 180.335;.
(2) Have not within a three-year period preceding this proposal 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, 2 CFR 180.800;
(3) 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 enumerated in paragraph (a)(2) of this certification, 2 CFR 180.700 and 180.800; and (4) Have not within a three-year period preceding this
application/proposal had one or more public transactions (Federal, State or local) terminated for cause or default. 2 CFR 180.335(d).
(5) Are not a corporation that has been convicted of a felony violation under any Federal law within the two-year period preceding this proposal (USDOT Order 4200.6 implementing appropriations act requirements); and
(6) Are not a corporation with any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted, or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability (USDOT Order 4200.6 implementing appropriations act requirements).
b.
Where the prospective participant is unable to certify to any of the statements in this certification, such prospective participant should attach an explanation to this proposal. 2 CFR 180.335 and 180.340.
3. Instructions for Certification - Lower Tier Participants:
(Applicable to all subcontracts, purchase orders, and other lower tier transactions requiring prior FHWA approval or estimated to cost $25,000 or more - 2 CFR Parts 180 and 1200). 2 CFR 180.220 and 1200.220.
a. By signing and submitting this proposal, the prospective lower tier participant is providing the certification set out below. b. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department, or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment.
c. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous by reason of changed circumstances. 2 CFR 180.365.
d.
The terms "covered transaction," "debarred," "suspended," "ineligible," "participant," "person," "principal," and "voluntarily excluded," as used in this clause, are defined in 2 CFR Parts 180, Subpart I, 180.900 – 180.1020, and 1200. You may contact the person to which this proposal is
submitted for assistance in obtaining
a copy of those regulations. “First Tier Covered Transactions” refers to any covered transaction between a recipient or subrecipient of Federal funds and a participant (such as the prime or general contract). “Lower Tier Covered Transactions” refers to any covered transaction under a First Tier Covered Transaction (such as subcontracts). “First Tier Participant” refers to the participant who has entered into a covered transaction with a recipient or subrecipient of Federal funds (such as the prime or general contractor). “Lower Tier Participant” refers any participant who has entered into a covered transaction with a First Tier Participant or other Lower Tier Participants (such as subcontractors and suppliers).
e. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. 2 CFR 1200.220 and 1200.332. f. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions exceeding the $25,000 threshold. 2 CFR 180.220 and 1200.220.
g.
A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant is responsible for ensuring that its principals are not suspended, debarred, or otherwise ineligible to participate in covered transactions. To verify the eligibility of its principals, as well as the eligibility of any lower tier prospective participants, each participant may, but is not required to, check the System for Award Management website (
https://www.sam.gov/),
which is compiled by the General Services Administration. 2 CFR 180.300, 180.320, 180.330, and 180.335.
h. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.
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i. Except for transactions authorized under paragraph e of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. 2 CFR 180.325.
* * * * *
Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion--Lower Tier Participants:
1. The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals:
(a) is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participating in covered transactions by any Federal department or agency, 2 CFR 180.355;
(b) is a corporation that has been convicted of a felony violation under any Federal law within the two-year period preceding this proposal (USDOT Order 4200.6 implementing appropriations act requirements); and
(c) is a corporation with any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted, or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability. (USDOT Order 4200.6 implementing appropriations act requirements)
2. Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant should attach an explanation to this proposal. * * * * *
XI. CERTIFICATION REGARDING USE OF CONTRACT FUNDS
FOR LOBBYING
This provision is applicable to all Federal-aid construction contracts and to all related subcontracts which exceed $100,000. 49 CFR Part 20, App. A.
1. The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that:
a. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress
in connection with the awarding of
any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. b. 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 Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.
2. 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. 1
352. Any person
who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
3. The prospective participant also agrees by submitting its bid or proposal that the participant shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such recipients shall certify and disclose accordingly.
XII. USE OF UNITED STATES-FLAG VESSELS:
This provision is applicable to all Federal-aid construction contracts, design-build contracts, subcontracts, lower-tier subcontracts, purchase orders, lease agreements, or any other covered transaction. 46 CFR Part 381.
This requirement applies to material or equipment that is acquired for a specific Federal-aid highway project. 46 CFR 381.7. It is not applicable to goods or materials that come into inventories independent of an FHWA funded-contract.
When oceanic shipments (or shipments across the Great Lakes) are necessary for materials or equipment acquired for a specific Federal- aid construction project, the bidder, proposer, contractor, subcontractor, or vendor agrees:
1. To utilize privately owned United States-flag commercial vessels to ship at least 50 percent of the gross tonnage (computed separately for dry bulk carriers, dry cargo liners, and tankers) involved, whenever shipping any equipment, material, or commodities pursuant to this contract, to the extent such vessels are available at fair and reasonable rates for United States-flag commercial vessels. 46 CFR 381.7.
2. To furnish within 20 days following the date of loading for shipments originating within the United States or within 30 working days following the date of loading for shipments originating outside the United States, a legible copy of a rated, ‘on-board’ commercial ocean bill-of-lading in English for each shipment of cargo described in paragraph (b)(1) of this section to both the Contracting Officer (through the prime contractor in the case of subcontractor bills-of- lading) and to the Office of Cargo and Commercial Sealift (MAR- 620), Maritime Administration, Washington, DC 20590. (MARAD requires copies of the ocean carrier's (master) bills of lading, certified onboard, dated, with rates and charges. These bills of lading may contain business sensitive information and therefore may be submitted directly to MARAD by the Ocean Transportation Intermediary on behalf of the contractor). 46 CFR 381.7. 581
12. FEMALE AND MINORITY GOALS
To comply with Section II, "Nondiscrimination," of "Required Contract Provisions Federal -Aid Construction Contracts," the following are for female and minority utilization goals for Federal-aid construction contracts and subcontracts that exceed $10,000:
The nationwide goal for female utilization is 6.9 percent.
The goals for minority utilization (45 Fed Reg 65984 (10/3/1980)) are as follows:
MINORITY UTILIZATION GOALS
Economic
Area
Goal
(Percent)
174
Redding CA:
Non-SMSA (Standard Metropolitan Statistical Area) Counties:
CA Lassen; CA Modoc; CA Plumas; CA Shasta; CA Siskiyou; CA Tehama
6.8 175
Eureka, CA
Non-SMSA Counties:
CA Del Norte; CA Humboldt; CA Trinity
6.6 San Francisco-Oakland-San Jose, CA:
SMSA Counties:
7120 Salinas-Seaside-Monterey, CA 28.9
CA Monterey
7360 San Francisco-Oakland
CA Alameda; CA Contra Costa; CA Marin; CA San Francisco; CA San Mateo
25.6 7400 San Jose, CA 19.6
176 CA Santa Clara, CA
7485 Santa Cruz, CA
CA Santa Cruz 14.9
7500 Santa Rosa
CA Sonoma
9.1 8720 Vallejo-Fairfield-Napa, CA
CA Napa; CA Solano
17.1 Non-SMSA Counties:
CA Lake; CA Mendocino; CA San Benito
23.2 177
Sacramento, CA:
SMSA Counties:
6920 Sacramento, CA
CA Placer; CA Sacramento; CA
Yolo Non-SMSA Counties
CA Butte; CA Colusa; CA El Dorado; CA Glenn; CA Nevada; CA Sierra; CA Sutter; CA Yuba
16.1 14.3
Stockton-Modesto, CA:
SMSA Counties:
5170 Modesto, CA 12.3
178 CA Stanislaus
8120 Stockton, CA
CA San Joaquin
24.3 Non-SMSA Counties
CA Alpine; CA Amador; CA Calaveras; CA Mariposa; CA Merced; CA Tuolumne
19.8 Fresno-Bakersfield, CA
SMSA Counties:
179 0680 Bakersfield, CA
CA Kern
2840 Fresno, CA
19.1 26.1
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CA Fresno
Non-SMSA Counties:
CA Kings; CA Madera; CA Tulare
23.6 Los Angeles, CA:
SMSA Counties:
0360 Anaheim-Santa Ana-Garden Grove, CA 11.9
CA Orange
4480 Los Angeles-Long Beach, CA 28.3
180
CA Los Angeles
6000 Oxnard-Simi Valley-Ventura, CA
CA Ventura
6780 Riverside-San Bernardino-Ontario, CA
21.5 19.0
CA Riverside; CA San Bernardino
7480 Santa Barbara-Santa Maria-Lompoc, CA
19.7 CA Santa Barbara
Non-SMSA Counties
CA Inyo; CA Mono; CA San Luis Obispo
24.6 San Diego, CA:
SMSA Counties
181 7320 San Diego, CA
CA San Diego
Non-SMSA Counties
CA Imperial
16.9 18.2
For the last full week of July during which work is performed under the contract, the prime contractor and each non material-supplier subcontractor with a subcontract of $10,000 or more must complete Form FHWA PR -1391 (Appendix C to 23 CFR 230). Submit the forms by August 15.
13. TITLE VI ASSURANCES
The U.S. Department of Transportation Order No.1050.2A requires all federal-aid Department of Transportation contracts between an agency and a contractor to contain Appendix A and E. Appendix B only requires inclusion if the contract impacts deeds effecting or recording the transfer of real property, structures, or improvements thereon, or granting interest therein. Appendices C and D only require inclusion if the contract impacts deeds, licenses, leases, permits, or similar instruments entered into by the recipient.
APPENDIX A
During the performance of this Agreement, the contractor, for itself, its assignees and successors in interest (hereinafter collectively referred to as CONTRACTOR) agrees as follows:
a. Compliance with Regulations: CONTRACTOR 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: CONTRACTOR, 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. CONTRACTOR 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 CONTRACTOR for work to be performed under a Sub- agreement, including procurements of materials or leases of equipment,
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each potential sub-applicant or supplier shall be notified by CONTRACTOR of the CONTRACTOR’S obligations under this Agreement and the Regulations relative to nondiscrimination on the grounds of race, color, or national origin. d. Information and Reports: CONTRACTOR 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 CONTRACTOR is in the exclusive possession of another who fails or refuses to furnish this information, CONTRACTOR shall so certify to the recipient or FHWA as appropriate, and shall set forth what efforts CONTRACTOR has made to obtain the infor mation. e. Sanctions for Noncompliance: In the event of CONTRACTOR’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 CONTRACTOR 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 : CONTRACTOR shall incl ude 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.
CONTRACTOR shall take such action with respect to any sub-agreement or procurement as the recipient or FHWA may direct as a means of enforcing such provisions including sanctions for noncompliance, provided, however, that, in the event CONTRACTOR becomes involved in, or is threatened with, litigation with a sub-applicant or supplier as a result of such direction, CONTRACTOR may request the recipient enter into such litigation to protect the interests of the State, and, in addition, CONTRACTOR may request the United States to enter into such litigation to protect the interests of the United States.
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
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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 abs olute 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.)
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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.
(*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 E
During the performance of this contract, the contractor, for itself, its assignees, and successors in interest (hereinafter referred to as the “contractor”) 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);
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• 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). 587
Federal Trainee Program Special Provisions
(to be used when applicable)
14. FEDERAL TRAINEE PROGRAM
For the Federal training program, the number of trainees or apprentices is .
This section applies if a number of trainees or apprentices is specified in the special provisions.
As part of the prime contractor’s equal opportunity affirmative action program, provide on- the-job training to develop full journeymen in the types of trades or job classifications involved.
The prime contractor has primary responsibility for meeting this training requirement.
If the prime contractor subcontracts a contract part, they shall determine how many trainees or apprentices are to be trained by the subcontractor. Include these training requirements in each subcontract.
Where feasible, 25 percent of apprentices or trainees in each occupation must be in their 1st year of apprenticeship or training.
Distribute the number of apprentices or trainees among the work classifications on the basis of the prime contractor’s needs and the availability of journeymen in the various classifications within a reasonable recruitment area.
Before starting work, the prime contractor shall submit to the City/County of :
1. Number of apprentices or trainees to be trained for each classification
2. Training program to be used
3. Training starting date for each classification
The prime contractor shall obtain the City/County of approval for this submitted information before the prime contractor starts work. The City/County of credits the prime contractor for each apprentice or trainee the prime contractor employs on the job who is currently enrolled or becomes enrolled in an approved program.
The primary objective of this section is to train and upgrade minorities and women toward journeym an status.
The prime contractor shall make every effort to enroll minority and women apprentices or trainees, such as conducting systematic and direct recruitment through public and private sources likely to yield minority and women apprentices or trainees, to the extent they are available within a reasonable recruitment area and show that they have made the efforts. In making these efforts, the prime contractor shall not discriminate against any applicant for training.
The prime contractor shall not employ as an apprentice or trainee an employee:
1. In any classification in which the employee has successfully completed a training course leading to journeyman status or in which the employee has been employed as a journeyman
2. Who is not registered in a program approved by the US Department of Labor, Bureau of Apprenticeship and Training
The prime contractor shall ask the employee if the employee has successfully completed a training course leading to journeyman status or has been employed as a journeyman. The prime contractor’s records must show the employee's answers to the questions.
In the training program, the prime contractor shall establish the minimum length and training type for each classification. The City/County of and FHWA approves a program if one of the following is met:
1. It is calculated to:
• Meet the equal employment opportunity responsibilities • Qualify the average apprentice or trainee for journeyman status in the classification involved by the end of the training period
2. It is registered with the U.S. Department of Labor, Bureau of Apprenticeship and Training, and it is administered in a way consistent with the equal employment responsibilities of Federal -aid highway construction contracts
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The prime contractor shall obtain the State's approval for their training program before they start work involving the classification covered by the program.
The prime contractor shall provide training in the construction crafts, not in clerk -typist or secretarial-type positions. Training is allowed in lower level management positions such as office engineers, estimators, and timekeepers if the training is oriented toward construction applications. Training is allowed in the laborer classification if significant and meaningful training is provided and approved by the division office. Off -site training is allowed if the training is an integral part of an approved training program and does not make up a significant part of the overall training.
The City/County of reimburses the prime contractor 80 cents per hour of training given an employee on thiscontract under an approved training program:
1. For on-site training
2. For off-site training if the apprentice or trainee is currently employed on a Federal-aid project and prime contractor does at least one of the following:
a. Contribute to the cost of the training
b. Provide the instruction to the apprentice or trainee c. Pay the apprentice's or trainee's wages during the off-site training period
3. If the prime contractor complies with this section.
Each apprentice or trainee must:
1. Begin training on the project as soon as feasible after the start of work involving the apprentice's or trainee's skill
2. Remain on the project as long as training opportunities exist in the apprentice's or trainee's work classification or until the apprentice or trainee has completed the training program The prime contractor shall furnish the apprentice or trainee with a copy of the program that the prime contractor will comply with in providing the training.
15. PROHIBITION OF CERTAIN TELECOMMUNICATIONS AND VIDEO SURVEILLANCE EQUIPMENT AND
SERVICES
In response to significant national security concerns, the agency shall check the prohibited vendor list before making any telecommunications and video surveillance purchase because recipients and subrecipients of federal funds are prohibited from obligating or expending loan or grant funds to:
• Procure or obtain;
• Extend or renew a contract to procure or obtain; or
• Enter into a contract (or extend or renew a contract) to procure or obtain equipment, services, or systems that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system.
The prohibited vendors (and their subsidiaries or affiliates) are:
• Huawei Technologies Company;
• ZTE Corporation;
• Hytera Communications Corporation;
• Hangzhou Hikvision Digital Technology Company;
• Dahua Technology Company; and
• Subsidiaries or affiliates of the above-mentioned companies.
In implementing the prohibition, the agency administering loan, grant, or subsidy programs shall prioritize available funding and technical support to assist affected businesses, institutions and organizations as is reasonably necessary for those affected entities to transition from covered communications equipment and services, to procure replacement equipment and services, and to ensure that communications service to users and customers is sustained.
The contractors should furnish telecommunications and video surveillance equipment with a certificate of compliance. The certificate must state telecommunications and video surveillance equipment was not procured or obtained from manufacturers identified in the above list.
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Appendix E of the Title VI Assurances
(US DOT Order 1050.2A)
During
the performance of this contract, the contractor, for itself, its assignees, and successors in interest (hereinafter referred to as the “contractor”) agrees to comply with the following nondiscrimination statutes and authorities; including but not limited to:
Pertinent Nondiscrimination Authorities:
• Title
VI of the Civ il 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 CFR 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 Improv ement Act of 1982, (49 U.S.C. § 4 71, Section 4 7123), as amended, (prohibits discrimination based on race, creed, color, national origin, or sex);
• The Civ il 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, subrecipients 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 on 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 at 49 C.F.R. parts 37 and 38;
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• The Federal Aviation Administration's Nondiscrimination 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).
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BOND FOR FAITHFUL PERFORMANCE
KNOW ALL MEN BY THESE PRESENTS:
That we, MCFADDEN CONSTRUCTION, INC. , a ( STATE OF CALIFORNIA CORPORATION), as Principal and
, a corporation, organized and existing under the laws of the State of _________ and duly authorized to transact business under the laws of the State of California, as Surety, are held and firmly bound unto the City of Stockton, a municipal corporation, duly created and existing under and by virtue of the laws of the State of California, as obligee, in the just and full sum of SIX HUNDRED FIFTY THOUSAND EIGHT HUNDRED THIRTY- NINE DOLLARS AND NO/100 DOLLARS ($650,839.00), in lawful money of the United States of America (being 100% of the contract price) for the payment whereof well and truly to be made to the said CITY, the said Principal and Surety bind themselves, their successors and assigns, jointly and severally, firmly by these presents.
The condition of the foregoing obligation is such that the above bounded Principal has simultaneously entered into a contract with the CITY, to do and perform the following work, to wit:
PACIFIC AVENUE AND MARCH LANE INTERSECTION MODIFICATION PROJECT PROJECT NO. WT17025 (FORMERLY PW1725)
FEDERAL PROJECT NO. CML-5008(181)
NOW, THEREFORE, if the above bounded Principal, CONTRACTOR, Company or Corporation or its Subcontractor, shall well and truly perform the work contracted to be done under said contract, then this obligation to be null and void; otherwise, to remain in full force and effect.
No prepayment or delay in payment and no change, extension, addition or alteration of any provision of said contract, or in said plans or specifications agreed to between the said CONTRACTOR and the said CITY, and no forbearance on the part of the said CITY shall operate to relieve any Surety or Sureties from liability on this bond, and consent by said Surety is hereby given, and the said Surety hereby waives the 592
provisions of Sections 2819 and 2845 of the Civil Code of the State of California.
SIGNED AND SEALED on
APPROVED AS TO SURETY: By
PRINCIPAL
SURETY
APPROVED AS TO FORM & CONTENT:
LORI M. ASUNCION
OFFICE OF THE CITY ATTORNEY
By
ATTORNEY-IN-FACT
By
DEPUTY CITY ATTORNEY
593
BOND FOR LABOR AND MATERIAL
KNOW ALL M
EN BY THESE PRESENTS:
That we, MCFADDEN CONSTRUCTION, INC. , a ( STATE OF CALIFORNIA CORPORATION), as Principal and , a corporation,
organized and existing under the laws of the State of ___________ and duly authorized to transact business under the laws of the State of California, as Surety, are held and firmly bound unto the City of Stockton, a municipal corporation, duly created and existing under and by virtue of the laws of the State of California, and unto any and all material suppliers, persons, companies, or corporations furnishing materials, provisions, provender or other supplies used in, upon, for or about the performance of the work contemplated to be executed or performed under the contract hereinafter mentioned, and all persons, companies, or corporations renting or hiring teams, or implements of machinery, for or contributing to said work and all persons who perform work or labor upon the same, and all persons who supply both work and materials, and whose claims have not been paid by the contractor, company or corporation in the just and full sum of SIX HUNDRED FIFTY THOUSAND EIGHT HUNDRED THIRTY- NINE DOLLARS AND NO/100 DOLLARS ($650,839.00), in lawful money of the United States of America (being 100% of the contract price) for the payment whereof well and truly to be made to said City of Stockton and to said persons jointly and severally, the said principal and Surety bind themselves, their successors and assigns, jointly and severally, firmly by these presents.
The condition of the foregoing obligations is such that the above bounden Principal has simultaneously entered into a contract of even date herewith, with the CITY, to do and perform the following work, to-wit:
PACIFIC AVEN
UE AND MARCH LANE INTERSECTION MODIFICATION PROJECT
PROJECT NO. WT17025 (FORMERLY PW1725)
FEDERAL PROJECT NO. CML-5008(181)
NOW,
THEREFORE, if the above bounden Principal, CONTRACTOR, Company or Corporation or its Subcontractor, fail to pay for all materials, provisions, provender, or other supplies, or teams, used in, upon, for or about the performance of the work 594
contracted to be done, or for any work or labor done thereon of any kind, the Surety on this bond will pay the same, in an amount not exceeding the sum specified in this bond, provided that any and all claims hereunder shall be filed and proceedings had in connection therewith as required by the provisions of Division 3, Part 4, Title 15, Chapter 5, Article 1 of the Civil Code of California, provided that in case suit is brought upon this bond, a reasonable attorney's fee shall be awarded by the Court to the prevailing party in said suit; said attorney's fee to be fixed as costs in said suit, and to be included in the judgment therein rendered.
No prepayment or delay in payment and no change, extension, addition or alteration of any provision of said contract or in said plans or specifications agreed to between the said CONTRACTOR and the said CITY and no forbearance on the part of the said CITY shall operate to relieve any surety or sureties from liability on this bond, and consent to make such alterations without further notice to or consent by any such surety is hereby given, and the said sureties hereby waive the provisions of Sections 2819 and 2845 of the Civil Code of the State of California.
SIGNED AND SEALE
D on .
APPROVED AS TO SURET
Y: By
PRINCIPAL
SURETY
APPROVED AS TO
FORM & CONTENT:
LORI M. ASUNCION
OFFICE OF T
HE CITY ATTORNEY
By
ATTORNEY -IN-FACT
By
DEPUTY CITY ATTO RNEY
595
City of Stockton
Legislation Text
File #: 23-0326, Version: 1
APPROVE MOTION TO AWARD A PROFESSIONAL SERVICES CONTRACT FOR THE EIGHT
MILE ROAD PRECISE ROAD PLAN
RECOMMENDATION
It is recommended that the City Council approve a motion to:
1. Award a Professional Services Contract to Siegfried Engineering, Inc. of Stockton, CA, in the amount of $741,000, to prepare environmental documents and Precise Road Plan for the Eight Mile Road Precise Road Plan, Project No. WT21013.
2. Approve findings pursuant to Stockton Municipal Code section 3.68.070 in support of an exception to the competitive bidding process.
It is recommended that the City Manager be authorized to take appropriate and necessary actions to carry out the purpose and intent of this motion.
Summary
The current Envision Stockton 2040 General Plan adopted in December 2018 emphasized a more “complete street” approach that envisions bicycle lanes and four to six vehicle lanes along Eight Mile Road (Attachment A). As such, a new “Complete Street” Precise Road Plan (PRP) is needed that emphasizes and promotes pedestrian, bicycle, and multimodal transportation along Eight Mile Road from Interstate 5 to State Route 99.
The preparation of a PRP will enable staff to pursue future grant funding for implementation of the plan and set expectations for future development. Necessary environmental documentation required under the California Environmental Quality Act (CEQA) guidelines will also be completed as part of the PRP. The project was included in the 2020-25 Five-Year Capital Improvement Plan (CIP).
On November 23, 2022, the City advertised a Request for Proposals (RFP) for preparation of environmental documents and implementation of a PRP for Eight Mile Road. On December 23, 2022, two firms submitted proposals for this project. The Selection Committee evaluated the proposals and found Siegfried Engineering, Inc. of Stockton, CA, to be the most qualified and highest-ranked firm.
It is recommended that Council approve a motion authorizing the City Manager to execute a Professional Services Contract in the amount of $741,000 to Siegfried Engineering, Inc. It is anticipated that the PRP and environmental documents will be completed by winter of 2024. The completed PRP will then be used to acquire federal funding to implement the final design and construction of improvements identified in the PRP.
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File #: 23-0326, Version: 1
DISCUSSION
Background
On December 5, 2017, by Resolution No. 2017-12-05-1501, Council approved a new Bicycle Master Plan (BMP) for the City. The BMP was completed with input from stakeholders in the community with the goal of improving access to bicycle facilities for residents of the City. This input led to identifying Eight Mile Road as a key backbone bicycle corridor within the BMP.
The 1994 Roadway Specific Plan and the 2035 General Plan adopted in 2007 anticipated the Eight Mile Road corridor to be a six and eight-lane expressway. The current Envision Stockton 2040 General Plan adopted in December 2018 emphasized a more “complete street” approach that envisions bicycle lanes and four to six vehicle lanes along Eight Mile Road (Attachment A).
Currently, there are several areas along Eight Mile Road that are congested, lack bicycle lanes, have poor lighting for pedestrians, and lack sidewalks and Americans with Disabilities Act accommodations. This PRP will replace the 1994 Specific Plan for Eight Mile Road to be consistent with the Envision Stockton 2040 General Plan. The PRP will provide a comprehensive plan that will establish Eight Mile Road as a prominent “complete street” that emphasizes and promotes pedestrian, bicycle, and multimodal transportation along Eight Mile Road from Interstate 5 to State Route 99.
The preparation of a PRP will enable staff to pursue future grant funding for implementation of the plan and set expectations for future development. Necessary environmental documentation required under the CEQA guidelines will also be completed as part of the PRP. The project was included in the 2020-25 Five-Year CIP.
Present Situation
On November 23, 2022, the City advertised an RFP for professional engineering services to prepare the environmental documents and the PRP for the Eight Mile Road Precise Road Plan, Project No. WT21013. On December 23, 2022, two proposals were received from the following firms:
· Siegfried Engineering, Inc. (Stockton, CA)
· CSG Consultants (Sacramento, CA)
The Selection Committee evaluated and ranked the proposals based on each firm’s understanding of work, experience with similar kinds of projects, staff qualifications and technical ability, and project approach.
Siegfried Engineering, Inc. received the highest ranking, based on the noted criteria, and was determined to be the most qualified firm for this project. Staff determined that Siegfried Engineering, Inc.’s fee of $741,000 is appropriate for professional engineering services on this project.
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File #: 23-0326, Version: 1
Staff recommends that Council approve a motion to award a Professional Services Contract in the amount of $741,000 to Siegfried Engineering, Inc. for professional engineering services to prepare the environmental documents and the PRP for the Eight Mile Road Precise Road Plan, Project No.
WT21013 (Attachment B). It is anticipated that the PRP and environmental documents will be completed by winter of 2024. The completed PRP will then be used to acquire federal funding to implement the final design and construction of improvements identified in the PRP.
Findings
Pursuant to Stockton Municipal Code (SMC) section 3.68.070, Council may approve findings which support an exception to the competitive bidding process. These findings include:
1. The City does not have sufficient staff available to prepare the environmental documents or the PRP for this project.
2. Use of the RFP process is appropriate for this Professional Services Contract because it relies on the evaluation of professional qualifications and performance as the basis for selection of a vendor. Use of this criteria helps ensure selection of a vendor that will provide the highest quality professional service, which is in the public interest.
3. The City negotiated a contract following solicitation of competitive proposals in accordance with SMC section 3.68.070.A.3.
FINANCIAL SUMMARY
The design phase of the Eight Mile Road Precise Road Plan, Project No. WT21013, Account No. 5540-000-800007-310-312-30-45-000-000, has a total budget of $960,000 which is sufficient to award a Professional Services Contact in the amount of $741,000 to Siegfried Engineering, Inc. for the project. The remaining funds will be expended on contingency and staff costs as needed.
There is no impact to the City’s General Fund or any other unrestricted fund as a result of taking the recommended action.
Attachment A - Project Location Map
Attachment B - Professional Services Contract with Siegfried Engineering, Inc.
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TRINITY PARK
DAVIS ROAD
THORNTON ROAD
LOWER
EIGHT MILE ROAD
WEST LANE
HAMMER LANE
BENJAMIN HOLT DRIVE
ROBINHOOD DRIVE
MARCH LANE
ALPINE AVENUE
SMITHS CANAL
ALPINE AVENUE
EL DORADO STREET
HARDING WAY
PACIFIC AVENUE
PERSHING AVENUE
HAMMER LANE
MORADA LANE
HOLMAN ROAD
MARCH LANE
WILSON WAYCHEROKEE RD
WATERLOO RD
MAIN STREET
AIRPORT WAY
MARTIN LUTHER KING JR./CHARTER WAY
CALIFORNIA ST
BEAR CREEK
MOSHER
SLOUGH
PIXLEY
SLOUGH
BEAR CREEK
SOUTH BEAR CREEK
CALAVERAS RIVER
STOCKTON DEEP WATER CHANNEL
CALAVERAS RIVER
STOCKTON
ROAD
UPRR
UPRR (SPRR)
WEST LANE
WEST LANE
SACRAMENTO
CENTER STREET
FREMONT STREET
UPRR
DIVERTING CANAL
EIGHT MILE ROAD PRECISE ROAD PLAN
PROJECT NO. WT21013
CITY OF STOCKTON
DEPARTMENT OF PUBLIC WORKS
ATTACHMENT A
PROJECT LOCATION
VICINITY MAP
NOT TO SCALE
LEGEND
N
PROJECT LOCATION
CITY LIMIT
COUNTY LIMIT
599
Professional Services Contract –
SIEG FRIED ENGINEERING, INC. – PROJECT NO. WT21013
(Updated 07/12/22)
PROFESSIONAL SERVICES CONTRACT
THIS CONTRACT is entered into this _ day of ____________ 2023, between the CITY OF STOCKTON, a munici pal corporation (“City”), and SIEGFRIED ENGINEERING, INC. whose address is 3428 BROOKSIDE ROAD, STOCKTON, CA 95219 (“Consultant”) for the EIGHT MILE ROAD PRECI SE ROAD PLAN, PROJECT NO.
WT21013 (FORMERLY PW2113) hereinafter referred to as "Project".
RECITALS
A. Consultant represents that it is licensed in the State of California and is qualified to provide the services proposed in the SCOPE OF WORK section of this Contract.
B. City finds it necessary and advisable to use the services of the Consultant for the purposes provided in this Contract.
NOW THEREFORE , in consideration of the mutu al promises, covenants, and conditions in this Contract, City and Consultant agree as follows:
1. SCOPE OF SERVICES. Subject to the terms and conditions set forth in this Contract, Consultant shall undertake and complete the services described in EXHIBIT A .
Consultant shall provide said services at t he time, place, and in the manner specified in EXHIBIT B and compatible with the standar ds of the profession. C onsultant agrees that it shall produce a fully complete project that is acceptable to the City.
2. COMPENSATION. City shall pay Consultant for services outlined in EXHIBIT A according to the fee not to exceed the schedule detailed in EXHIBIT C , which is attached to this Cont ract and incorporated by this refere nce. Consultant agrees this fee is for full remuneration for per forming all services and furnis hing all staffing and materials called for in the scope of se rvices. The payments shall be made on a monthly basis upon receipt and approval of Cons ultant’s invoice. Total co mpensation for services and reimbursement for cost s shall not exceed $741,000.00 or as otherwise mutually agreed to in a Contract Amendment.
3. INSURANCE. During the term of this Contract, Consultant shall maintain in full force and effect at its own cost and expense the insurance coverage as set forth in the attached EXHIBIT D and shall otherwise comply with the other provisions of EXHIBIT D.
4. INDEMNITY AND HOLD HARMLESS. With the exception that this section shall in no event be construed to require indemnification by Consultant to a greater extent than permitted under the public policy of the State of California, Consultant shall indemnify, and hold harmless City, its Mayor, Council, officials, and employees from and against any and all claims and causes of action which result in liabilities, judgments, awards, losses, damages, expenses, and costs (including reasonable attorneys’ fees, expert and consultant fees, and other expenses of litigation) including, but not limited to, death or injury to persons, or damage to property, which arise out of any violation of federal , state, or municipal law or 600
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Contract – SIEG FRIED ENGINEERING, INC. – PROJECT NO. WT21013 (Updated 07/12/22)
ordinance, to the extent damages are caused by the Consultant’s negligent services provided under this Agreement, or are in any way caused by the negligent performance of work by the Consultant or Consultant’s officers, agents, employees, or subcontractors. Consultant shall not be obligated to indemnify or defend City for claims finally determined by a court of law or arbitrator to arise from the negligence or willful misconduct of t he City. It is t he intent of the Parties that this indemnity obligation is at least as broad as is permitted under California law.
To the extent California Civil Code sections 2782, et seq., lim it the defense or indemnity obligations of Consultant to City, the intent hereunder is to provide the maximum defense and indemnity obligations allowed by Consultant under the law. Th e indemnity set forth in this section shall not be limited by insurance requirements or by any other provision of this Agreement.
With the exception that this section shall in no event be construed to require indemnification by Consultant to a greater extent than permitted under the pub lic policy of the State of California, and in addition to the other indemnit y obligations in this Agreement, Consultant shall indemnify, defend, and hold harmless City, its Mayor, Council, officials, representatives, and employees from and against claims, losses, expenses, and costs including, but not limited to, reasonable attorneys’ fees, arising out of any claim brought against the City by an employee of Consultant, regardless of whether such claim may be covered by any applicable workers compensation insurance. Consultant’s indemnification obligation is not limited in any way by any limitation on the amount or type of damages, compensation, or benefits payable by or for the Consultant under workers’ compensation acts, disability acts, or other employee benefit acts.
5. SCHEDULE AND TERM. Consultant shall perform the scope of work as described in EXHIBIT A according to the schedule detailed in EXHIBIT B, which is attached to this Contract and incorporated by this refe rence. This Contract shall commence on the date written above and shall expire on DECEMBER 30, 2027 , unless extended by mutual agreement through the issuance of a Contract Amendment. a. Invoices submitted by Consultant to Cit y must contain a brief description of work performed, time used, and include the Cit y project number. Payment shall be made within thirty (30) days of approval of invoice by City. b. Upon completion of work and acceptance by City, Consultant shall have sixty (60) days in which to submit final invo icing for payment. An extension may be granted by City upon receiving a written request thirty (30) days in advance of said time limitation. City shall have no obligation or liability to pay any invoice for work performed which Consultant fails or neglects to submit within sixty (60) days, or any extension ther eof granted by the City, after work is accepted by City.
6. CONFORMANCE TO APPLICABLE LAWS. Consultant shall comply with all applicable federal, State, and Muni cipal laws, rules, and ordinanc es. Consultant shall not discriminate in the employment of persons or in the provision of services under this Contract on the basis of any legally protected classifica tion, including race, co lor, national origin, ancestry, sex or religion of such person.
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a. TITLE VI
Title VI of the Civil Rights Act of 1964 requires that “no per son in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of , or be subjected to discrimination under any program or activity receiving federal financial assistance.” (42 USC Section 2000d).
http://www.dol.gov/oasam/regs/statutes/titlevi.htm
The City of Stockton requires compliance wi th the requirements of Title VI in all of its programs and activities regardless of funding source. b. DISCRIMINATION AND HA
RASSMENT POLICY
The City of Stockton has a Discrimination and Harass
ment Policy (EXHIBIT E).
The purpose of this policy is to reaffirm the City’s commitment to demonstrating respect for all individuals by strictly prohibiting discrimination and harassment, including sexual harassment in the work place, to define the types of behavior and conduct prohibited by this policy, and to set forth a procedure for reporting, investigating, and resolving complaints of discrimination and harassment in the workplace.
c. LABOR STANDARDS PROVISIO NS/CALIFORNIA LABOR CODE
The bidder shall understand that conditions set forth in Chapter 1, Part 7, Division 2 of the California Labor Code shall be considered part of the contract agreement.
https://leginfo.legislature.ca.gov/face
s/codes_displayText.xhtml?lawCode=LA
B&division=2.&title=&part=7.&chapter=1.&article=2
d. PREVAILING WAGE RATES
Consultant and any subcontractor sha ll pay each employee engaged in the trade or occupation not less than the prevailing hourly wage rate. In accordance with the provisions of Section 1770 of the Labor
Code, the Director of
Department of Industrial Relations of the State of California has determined the general prevailing rates of wages and employer payments for health and welfare, pension, vacation, travel time, and subsistence pay as provided for in Section 1773.1, apprenticeship or other training programs authorized by Section 3093 and similar purposes applicable to the work to be done. Consultant performing the work under this contract shall obtain a copy of the wage rate determination and shall distribute copies to each subcontractor. As the wage determination for each craft reflects an expiration date, it shall be the prime Consultant and each subcontractor's responsibility to ensure that the prevailing wage rates of concern is current and paid to the employee. 602
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i. The Consultant performing the work shall be responsible for obtaining a copy of the State wage rate determination. State wage rates may be obtained at:
http://www.dir.ca.gov/OPRL/pwd/Determinations/Northern/Northern.pdf.
The Consultant shall be responsibl e for posting said wage rates at a prominent location at the work site and shall maintain same in a good readable condition for the duration of the work.
ii. Should the Consultant choose to work on a Saturday, Sunday or on a holiday recognized by t he Labor Unions, the Consul tant shall reimburse the City the actual cost of engineeri ng, inspection, superintendence, and or other overhead expenses which are directly chargeable to the contract.
Should such work be undertaken at the request of the City, reimbursement will not be required. To conform strictly with t he provisions of Division 2, Part 7, Chapter 1, Articl e 2, of the Labor Code of t he State of California.
To forfeit as a penalty to City the sum of TWENTY-FIVE AND NO/100 DOLLARS ($25.00) for each laborer, worker, or mechanic employed by CONTRACTOR, or by any subcontra ctor under Consultant, in the execution of this contract, for each calendar day during which any laborer, worker, or mechanic is required or permi tted to work more than eight (8) hours and who is not paid t he general prevailing rate of per diem wages for holiday and overtime work in violation of the provisions of Sections 1770 to 1781 of the Labor Code of the State of California. That all sums forfeited under the provisions of the foregoing se ctions shall be deducted from the payments to be made under the terms of this contract.
iii. PAYROLL RECORDS - The Consultant to whom the contract is awarded shall ensure that the prime and each subcontractor will, in accordance with Section 1776 of the Labor Code, maintain certified payroll records. A copy of said records shall be provided with each invoice to the Public Works Department, Attention: Contract Comp liance Officer. It shall be the Consultant’s responsibility to obtain copies of the current prevailing wage rate determination for all subcontractor s. Additionally, certified payroll records must be uploaded to the DIR website as required by labor code. iv. APPRENTICESHIP STANDARDS - The Consultant shall comply with the provisions established in Section 1777.5 of the Labor Code concerning the 1) certified approval by local jo int apprenticeship committees for the employment and training of apprentices, and 2) cont ribution of funds to administer and conduct apprenticeship programs, if applicable to the job. e. SANCTIONS
Deliverables must conform with all appl icable federal, state, and local laws .
Such conformity includes compliance with federal sanctions, and Contractor certifies that it has not and will not engage in prohib ited transactions with sanctioned persons or entities.
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Professional Services
Contract – SIEG FRIED ENGINEERING, INC. – PROJECT NO. WT21013 (Updated 07/12/22)
7. RIGHTS AND DUTIES OF CITY. City shall make available to Consultant all data and information in the possession of City which both parties deem necessary to complete the work, and City shall actively aid and assist Consultant in obtaining such information as may be deemed necessary from other agencies and individuals.
8. OBLIGATIONS OF CONSULTANT. Throughout the term of this Contract, Consultant represents and warrant s that it has or will have at the time this Contract is executed, all licenses, permits, qualifications, insurance, and approvals of whatsoever nature which are legally required for the Consultant to practice its professions, and Consultant shall, at its own cost and expense, keep in effect during the life of this Contract all such licenses, permits, qualifications, insurance, and approvals. Consultant shall meet with the Public Works Director or other personnel of City or third parties as necessary on all matters connected with the carrying out of Consultant’s services. Such meetings shall be held at the request of either party hereto. Consultant further warrants that it will follow the best current, generally accepted and professional practices to ma ke findings, render opinions, pr epare factual presentations, and provide professional advice and recommendations regarding this project.
9. OWNERSHIP OF WORK. All reports, drawings, designs, plan review comments, work product, and all other docum ents completed or partially completed by Consultant in the performance of this Contract shall become and remain the property of the City. Any and all copyrightable subject matter in all materials is hereby assigned to the City and the Consultant agrees to execute any additional document s that may be necessary to evidence such assignment. All materials sha ll be delivered to the City upon completion or termination of the work under this Contract. If any materials are lost, damaged, or destroyed before final delivery to the City, the Consultant shall replace them at its own expense.
Consultant shall keep materials confidential. Materials shall not be used for purposes other than performance of services under this Cont ract and shall not be disclosed to anyone not connected with these services unless the City expressly provides prior written consent.
10. CONTRACT AMENDMENTS. City reserves the right to make such alterations as may be deemed necessary or advisable and to require such extra work as may be required for the proper completion of the work contemplated by Consultant. Any such changes will be set forth in a Contract Amendment which will specify, in addition to the work done in connection with the change made, adjustment of contract time, if any, and the basis of compensation for such work. A Contract Amendment will not become effective until approved by the authorized City official.
11. TERMINAT
ION. The City may terminate this Contract at any time by mailing a notice in writing to Consultant. The Contract shall then be deemed terminated and no further work shall be performed by Consultant. If the Contract is so terminated, the Consultant shall be paid for that percentage of work actually completed at the time the notice of termination is received.
12. CONSULTANT STATUS. In performing the obligat ions set forth in this Contract, Consultant shall have the status of an independent contractor and Consultant shall not be considered to be an employee of the City for any purpose. All persons working for or under the direction of Consul tant are its agents and employees, and are not agents of the 604
Professional Services Contract –
SIEG FRIED ENGINEERING, INC. – PROJECT NO. WT21013
(Updated 07/12/22)
City. Subcontractors shall not be recognized as having any direct or contractual relationship with the City. The persons engaged in the work, including employees of subcontractors and suppliers, will be considered employees of Consultant. The Consultant shall be responsible for the work of subcontractors, which shall be subject to the provisions of this Contract. The Consultant is responsible to the City for the acts and omissions of its subcontractors and persons directly or indirectly employed by them.
a. If in the performance of this Cont ract any third persons are employed by Consultant, such persons shall be entir ely and exclusively under the direction, supervision, and control of Consultant. All terms of employment including hours, wages, working conditions, discipl ine, hiring, and discharging or any other term of employment or requirement of law shall be determined by Consultant.
i. It is further understood and agreed that Consultant must issue W-2 forms or other forms as required by la w for income and employment tax purposes for all of Consultant’s personnel.
ii. As an independent contractor, Consultant hereby indemnifies and holds City harmless from any and all claims that may be made against the City based upon any contention by any thir d party that employer-employee relationship exists by reason of this Contract.
13. ASSIGNMENT. Consultant shall not assign, sublet, or transfer this Contract or any interest or obligation in the Contract without the prior written consent of the City, and then only upon such terms and conditions as City may se t forth in writing. Consultant shall be solely responsible for reimbursing subcontractors.
14. HEADINGS NOT CONTROLLING. Headings used in the Contract are for reference purposes only and shall not be considered in construing this Contract.
15. NOTICES. Any and all notices herein requir ed shall be in wr iting and shall be sent by certified or registered mail, postage prepaid, addressed as follows:
To Consultant: To City:
Siegfried Engineering, Inc. Public Works Director
3428 Brookside Rd City of Stockton
Stockton, CA 95219
22 E. Weber Ave., Rm. 301
Stockton, CA 95202
16. LICENSES, CERTIFICATIONS, AND PERMITS. Prior to the City’s execution of this Contract and prior to the Consultant’s engaging in any operation or activity set forth in this Contract, Consultant shall obtain a City of Stockton business license, which must be kept in effect during the term of this Contract. Consultant covenants that it has obtained all certificates, licenses, permits and the like required to perform the services under this Contract. 605
Professional Services
Contract – SIEG FRIED ENGINEERING, INC. – PROJECT NO. WT21013 (Updated 07/12/22)
17. RECORDS AND AUDITS. City reserves the right to periodically audit all charges made by Consultant to City for se rvices under this Contract. Upon request, Consultant agrees to furnish City, or a designated representative, with necessary information and assistance.
Consultant agrees that City or its delegate shall have the right to review, obtain, and copy all records pertaining to performance of the Contract. C onsultant agrees to provide City or its delegate with any relevant information requested and shall permit City or its delegate access to its premises, upon reasonable notice, during normal business hours for the purpose of interviewing employees and inspecting and copying such books, records, accounts, and other material that may be relevant to a matter under investigation for the purposes of determining compliance with this Contract. Consultant agrees to maintain such re cords for a period of three years from the date that final payment is made.
18. CONFIDENTIALITY. Consultant shall exerci se reasonable precautions to prevent the unauthorized disclosure and use of City reports, information or conclusions.
19. CONFLICTS OF INTEREST. Consultant covenants that other than this Contract, Consultant has no financial intere st with any official, employee, or other representative of the City. Consultant and its principals do not have any financial interest in real property, sources of income or investment that would be affected in any manner or degree by the performance of Consultant’s services under this Contract. If such an interest arises, Consultant will immediately notify City.
20. WAIVER. In the event either City or Consultant at any time waive any breach of this Contract by the other, such waiver s hall not constitute a waiver of any other or succeeding breach of this Contract, whether of the same or of any other covenant, condition, or obligation.
21. GOVERNING LAW. California law shall govern any legal action pursuant to this Agreement with venue for all claims in the Superior Court of the County of San Joaquin, Stockton Branch or, wher e applicable, in the f ederal District Court of California, Eastern District, Sacramento Division.
22. NO PERSONA L LIABILITY. No official or employee of City shall be personally liable to Consultant in the event of any default or breach by City or for any amount due Consultant.
23. INTEGRATION AND MODIFICATION. The response by Consultant to the Request for Proposals and the Request for Proposals on file with the City Clerk are hereby incorporated herein by reference to the extent that such documents do not differ from the provisions and terms of this Contract that shall supersede such response to Request for Proposals. This Contract represents the entire integrated agreement between Consultant and City, supersedes all prior negotiations, representations, or agreements, either written or oral, between the parties, and may be amended only by written instrument signed by Consultant and City. A ll exhibits and this contract are intended to be construed as a single 606
Professional Services Contract – SIEG FRIED ENGINEERING, INC. – PROJECT NO. WT21013 (Updated 07/12/22)
document. Should any inconsistency occur between the specific terms of this Contract and the attached exhibits, the terms of this Contract will prevail.
24. SEVERABILITY. The provisions of this Contra ct are severable to the extent that should any of its provisions or terms be declared void in whole or in part by operation of law or agreement of the parties, the remainder of the provisions or terms not expressly declared void shall remain enforceable and in full effect.
25. THIRD PARTY RIGHTS. Nothing in this Contract shall be construed to give any rights or benefits to anyone other than City and Consultant.
26. AUTHORITY. The undersigned hereby represent and warrant that they are authorized by the parties to execute this Contract.
IN WITNESS WHEREOF: the parti es have executed this Contract the day and year first hereinabove written.
CITY OF STOCKTON SIEGFRIED ENGINEERING, INC.
B y : B y :
HARRY BLACK Signature
CITY MANAGER
A T T E S T :
P r i n t N a m e
B Y :
ELIZA R. GARZA, CMC Title:
CITY CLERK
APPROVED AS TO FORM:
B Y :
DEPUTY CITY ATTORNEY
Paul Schneider
President
607
Siegfried will provide preliminary engineering services leading to the completion of the PRP. Siegfried has included items that we felt necessary for the successful completion of this project.
The work will include, but is not limited to the following tasks:
Task 1 | Background Research, Data Collection, Analysis, and Conceptual Design Background Research and Survey
The team will review and be familiar with the City of Stockton Bicycle Master Plan and 2040 City General Plan, EIR, and the draft Transportation Impact Analysis Guidelines. Siegfried will visit the project site to conduct a field reconnaissance of the project area. Siegfried will review and verify the location and type of existing improvements, equipment, bus zone locations, intersection geometry, posted speed limit, and bus route movements. Siegfried will review collision reports, sight distance, approach speed, truck volume, and other geometric and operational characteristics for the project.
Siegfried will perform a field topographical and property survey and map a 150’ wide corridor along Eight Mile Rd. from approximately 850’ West of the I-5 on/off ramp, to approximately 1250’ East of the Hwy 99 on/off ramp.
Siegfried will also include mapping cross streets 150’ each side of the main corridor. Final delivery will be an acad.dwg file as well as TIN & DTM Surface files. Included in the deliverables will be a .2’ color orthophoto.
This image will be delivered as a .TIFF with a .TFW world file and shown in the background of the PRP. Records of Survey and mapping are excluded, as are coroner records and monument preservation as improvements are not proposed at this time. Siegfried will gather existing as built plans from the City as well as prepare Utility A Letters to plot existing utilities in the background of the PRP for accurate planning around major utilities.
Data Collection
Siegfried will collect the following data for use in the project evaluation:
N ew 24-hour roadway segment vehicle classification counts on Eight Mile Road at the following five (5) segments:
Between I-5 and Thornton Rd
Between Thornton Rd and Davis Rd
Between Davis Rd and Lower Sacramento Rd
Between Lower Sacramento Rd and West Ln
Between West Ln and 99 Frontage Rd
New Tuesday or Wednesday AM (7:00 to 9:00 AM) and PM (4:00 to 6:00 PM) peak period traffic counts, including bicycle and pedestrian flows, vehicle classification, and maximum vehicle queue at the following intersections:
Eight Mile Rd/I-5 SB on ramp
E ight Mile Rd/I-5 NB on ramp
Eight Mile Rd/Thornton Rd
Eight Mile Rd/Rivermont Dr
Eight Mile Rd/Davis Rd
Eight Mile Rd/Marlette Rd
Eight Mile Rd/Lower Sacramento Rd
Eight Mile Rd/West Ln
Eight Mile Rd/99 Frontage Rd (west of Hwy 99)
Eight Mile Rd/99 Frontage Rd (east of Hwy 99)
Existing roadway geometrics and traffic controls, collected through peak period field observations Existing bicycle, pedestrian, and transit facilities, collected through peak period field observations
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Current traffic signal timing plans for study intersections, provided by the City Planned roadway geometrics and traffic controls, provided by the City Corridor travel times
Existing Conditions and LOS Analysis
The team will analyze the listed study intersections under existing conditions. The team will use SimTraffic 10 simulation software to apply methodologies documented in the Highway Capacity Manual, 7th Edition (Transportation Research Board, 2022) to analyze AM and PM peak hour intersection operations. Analysis results will include intersection level of service, control delay, travel time, and maximum queue lengths for key turn movements. The SimTraffic simulations will be calibrated to the observed intersection volumes (i.e., percent demand served) and observed maximum queues.
Initial Planning, Alternatives Evaluation, and Conceptual Design Our work for this phase will focus on creating a shared understanding of the opportunities and tradeoffs associated with active transportation facilities along the corridor. This process will involve:
Documentation of the pros, cons, and tradeoffs of each facility type, informed by Federal Highway Administration (FHWA) guides on bikeway and crossing selection, a Safe Systems approach to corridor planning
Documentation of bike and pedestrian involved collisions along Eight Mile Road, using data from the Statewide Integrated Traffic Records System (SWITRS) and the UC Berkeley SafeTREC Transportation Injury Mapping System (TIMS). This will include a review of the locations of each collision along with the primary collision factors.
Analysis of the existing and proposed level of traffic stress (LTS) along the roadway for bike and ped facilities, taking into consideration number of lanes, design speed, and separation from the roadway Coordination with San Joaquin Regional Transit District (RTD) staff to discuss existing and future potential for transit ridership along the corridor, building off our recent work on the RTD System Redesign study.
A review of the land use and growth assumptions along the corridor in the City’s 2040 General Plan and associated travel demand model
We will provide conceptual design for the corridor so that the CEQA project can be better defined in the next task. Elements will be preliminarily determined and may include:
Bikeway design details such as Separate Bikeway buffers and vertical elements or side path widths and details.
Details of bicycle and pedestrian crossings, such as connections to the future extension of Bear Creek Trail, or accommodation of bicyclists and pedestrians at intersections.
Protected intersections, if Class IV facilities are selected.
Conceptual signal modifications and intersection concept recommendations.
Lighting concepts.
Bus transit concepts.
Findings for this task will be documented in a technical memorandum, provided to City staff for one round of review and comment. Where appropriate, the document will be graphically enhanced with high-level cross sections, sketches of potential treatments, and maps.
Development Agreements
The team will work with the City to obtain and review all existing development agreements and differed improvement agreements. The agreements and documents will be reviewed for impacts on the precise road plan. A brief memo will be prepared establishing any impact the agreements will have on the PRP.
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Task 2 | Environmental Permitting
It is expected that an Initial Study (IS) to support a Mitigated Negative Declaration (MND), tiered from the GP EIR would be the appropriate level of documentation for the project under CEQA; however, if during development of conceptual design and/or during preparation of the Initial Study it is identified that potentially significant impacts that cannot be mitigated to below the level of significance may occur, or if evaluation of more than one alternative for the project would be necessary or desirable, then an Environmental Impact Report (EIR) would be required instead.
The IS/MND will be prepared with the specific intent that the document can be relied upon for future construction of the project in segments or phases, the number and nature of which will not be determined as part of the Precise Plan, with additional CEQA review and documentation streamlined to low-level document or not required.
ESA will prepare an Initial Study/Mitigated Negative Declaration (IS/MND), tiered from the GP EIR, in a format desired by the City. The IS/MND will include an Environmental Project Description based on information provided by the project team. An Environmental Checklist (Appendix G of the CEQA Guidelines) will be completed to assess the level of significance of potential impacts. Each topic area will present the standards of significance; describe the affected environment; describe data sources and technical analyses used for the CEQA analysis; discuss project-specific impacts; identify if any potentially significant impacts where previously examined in the GP EIR; identify applicable mitigation measures from the GP EIR; and identify additional mitigation measures, if necessary.
The analysis completed in the IS/MND will be supported by various technical investigations and studies that will be completed to examine in detail any potential impacts and recommended avoidance, minimization, and mitigation measures. Key technical investigations will include:
Air Quality:
The Precise Plan area is located within the San Joaquin Valley Air Basin (SJVAB) under the jurisdiction of the San Joaquin Valley Air Pollution Control District (SJVAPCD). The SJVAPCD has prepared CEQA Guidelines for assessing the air quality impacts of projects. For the Air Quality section of the IS/MND, ESA will assess the consistency of the Precise Plan with applicable air quality plans for the SJVAB and discuss the potential for the Precise Plan to adversely affect air quality or impede attainment of air quality goals. ESA will estimate off- road construction equipment emissions and on-road construction vehicle emissions using the Sacramento Metropolitan Air Quality Management District’s (SMAQMD) Roadway Construction Model, OFFROAD2017 and EMFAC2021 models, as appropriate, for comparison to the applicable SJVAPCD significance thresholds for construction. While the Precise Plan would not create any new operational emissions sources, implementation of the Precise Plan would change operational traffic volume, speed, and fleet mix as a result of the roadway widening, and bicycle and transit infrastructure improvements. Changes in emissions would be estimated based on traffic data provided for the Precise Plan using EMFAC2021 emission factors for comparison with the SJVAPCD’s operational thresholds. This assumes that changes to traffic volumes, speed profile and fleet mix with and without the Precise Plan will be available for analysis.
Future construction activities associated with implementation of the Precise Plan would take place in proximity to residences adjacent to Eight Mile Road. The Office of Environmental Hazard Health Assessment (OEHHA) requires that a health risk assessment (HRA) be conducted if construction activities in the vicinity of sensitive receptors (residences) would take place for more than two continuous months. Though future construction activities associated with the Precise Plan may occur in phases, the HRA will assume that all construction will occur in one phase to conservatively estimate the maximum health risk impacts. ESA will conduct the construction HRA in accordance with guidance from OEHHA and CARB. The HRA will use U.S. EPA’s AERMOD dispersion model and health risk parameters specified by OEHHA. AERMOD uses site-specific
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meteorological and terrain data to provide conservative pollutant concentrations for the HRA. Concentrations at receptors will be converted to health risks using parameters specified by OEHHA and compared to the SJVAPCD’s health risk thresholds. An operational HRA is not included in this scope as the Precise Plan would not be anticipated to create any new operational sources of toxic air contaminants, and induced vehicle traffic resulting from implementation of the Precise Plan would not be anticipated to generate a substantial increase in toxic air contaminants, such that an operational HRA would be warranted.
ESA will identify applicable policies and mitigation measures from the GP EIR, and if necessary, identify additional practical, feasible mitigation measures for any air quality impacts identified from the Precise Plan identified as significant and evaluate whether mitigation measures would reduce the impacts below a level of significance.
Biological Resources:
ESA will complete a background review and biological resources reconnaissance survey of the project area to assess and document protected biological resources present or those with potential to occur, evaluate potential impacts on biological resources that may result from project construction and operation, and identify applicable mitigation measures. It is anticipated the project will be covered under the San Joaquin County Multi-Species Habitat Conservation and Open Space Plan (SJMSCP). Mitigation measures identified for biological resources will be consistent with the SJMSP, as well as the GP EIR and/or, if necessary, additional mitigation measures will be identified to reduce project’s impacts to below the level of significance.
Cultural Resources:
ESA will contact the Native American Heritage Commission to request information on known sacred sites in the project vicinity and draft letters for the City to send to Native American tribes who have requested consultation in compliance with Public Resources Code Section 21080.3(b). The results of any Native American consultation will provide the basis for the tribal cultural resources section of the CEQA document.
ESA will also complete a records search at the California Historical Resources Information System’s Central California Information Center (CCIC) to identify know locations of archaeological and historic resources.
ESA will then examine the potential impacts of the project on archaeological and historic resources, identify applicable mitigation measures from the GP EIR and/or, if necessary, identify additional mitigation measures to reduce project’s impacts to below the level of significance. This scope assumes that no historic-era architectural resources are in the project area that would need to be recorded and evaluated.
This scope also does not include a subsurface study to test for the presence of buried archaeological resources; if deemed necessary these tasks would be scoped separately.
Greenhouse Gas Emissions:
Greenhouse gas (GHG) emissions will be estimated using the CalEEMod, OFFROAD2017, and E MFAC2021 models, as described for the air quality evaluation. The GHG section of the IS/MND will rely on the significance criteria in the Appendix G CEQA checklist in assessing the project’s potential impacts.
The SJVAPCD has not updated its guidance regarding the evaluation of GHG impacts with respect to SB 32 and AB 1279 targets. In addition, the City of Stockton does not have an adopted “qualified” climate action plan (CAP) that can be used for streamlining project review pursuant to CEQA Guidelines § 15183.5.
In the absence of updated guidance from the SJVAPCD and the City, the analysis of GHG impacts will rely on guidance from other major air districts such as the Sacramento metropolitan Air Quality Management District (SMAQMD) for thresholds and analysis methodologies for the evaluation of construction GHG impacts. As the implementation of the Precise Plan would not generate additional traffic, but only accommodate traffic envisioned by the City’s General Plan and already analyzed under the General Plan
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EIR, operational GHG impacts will be discussed qualitatively based on the project’s consistency with the General Plan.
The analysis will also evaluate the consistency of implementation of the Precise Plan with other plans such as the 2022 Scoping Plan Update, the San Joaquin Council of Governments’ Regional Transportation Plan and Sustainable Communities Strategy, and the City of Stockton Climate Action Plan.
ESA will identify applicable policies and mitigation measures from the GP EIR, and if necessary, identify additional mitigation measures, to reduce GHG emissions resulting from implementation of the project and to reconcile any inconsistencies between the proposed project and applicable plans.
Noise:
Sensitive noise receptors, including residential and recreational uses, are located adjacent to the project area. ESA will complete a noise analysis to predict noise impacts associated with project construction and operation. ESA will identify applicable noise standards and thresholds, model predicted construction and operational noise as well as assess vibration levels from project construction equipment based on proximity to structures, identify predicted exceedances of applicable noise standards and thresholds, identify applicable mitigation measures from the GP EIR, and if necessary, identify additional practical and feasible mitigation measures reduce noise impacts to below a level of significance. Analysis of potential construction-related noise and vibration impacts will use the Roadway Construction Noise Model and vibration levels for construction equipment and building damage and human annoyance criteria published by the Federal Transit Administration. Operational impacts from the change in traffic along the roadway will be evaluated using methodology from Caltrans Traffic Noise Protocol.
Other topic areas that will be examined in the CEQA document will include Aesthetics, Agriculture and Forestry Resources, Energy, Geology and Soils, Hazardous Materials Hydrology and Water Quality, Land Use and Planning, Mineral Resources, Population and Housing, Public Services, Recreation, Transportation, Tribal Cultural Resources, Utilities and Service Systems, Wildfire, and Mandatory Findings of Significance.
VMT Assessment:
We believe there is sufficient detail provided in the General Plan EIR CEQA documents to rely upon for addressing the plan’s potential impacts to vehicle miles traveled (VMT) without needing to conduct a quantitative analysis of induced travel. The team will prepare an assessment of the VMT impacts and correlate how those impacts are addressed by the prior CEQA efforts within the General Plan EIR and the Draft TIA Guidelines. The summary will be included in the IS/MND to enhance the position within he IS/MND that VMT mitigation is not required for the quality corridor project due to the significant enhancement of public transit, multi-modal facilities, and the consistency with the General Plan EIR.
IS/MND:
ESA will prepare an Administrative Draft IS/MND for review by the project team and City. Following internal review of the Administrative Draft IS/MND, ESA will review the project team and City’s comments and make changes as necessary, resulting in a Public Draft IS/MND that is ready for distribution. ESA will prepare the Notice of Intent (NOI) to Adopt an MND and Notice of Completion (NOC) for review by the City. ESA will then submit the NOI and attached IS (including the Environmental Checklist) along with the NOC to the State Clearinghouse (electronic submittal).
At the close of the anticipated 30-day public review period, ESA will prepare a Final IS/MND by preparing responses to comments, and errata outlining any recommended changes to the text of the Public Draft IS/MND, the Mitigation Monitoring or Reporting Plan (MMRP), and Notice of Determination (NOD). ESA
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will support City staff with acceptance and certification of the document by City Council by assisting City staff with presentation materials for City Council review and attending the adoption hearing. It is assumed the City will prepare the project Findings. Within five days of the adoption of the MND, ESA will file the NOD with the State Clearinghouse.
Deliverables:
E lectronic copies, in Microsoft Word and Adobe PDF, of Administrative Draft IS/MND, Administrative Final IS/MND, and all associated notices for internal reviews.
Public review-ready PDF of Draft IS/MND and associated notices suitable for posting on the City’s website and at the State Clearinghouse, and for electronic transmittal to interested parties and/or a circulation list.
Up to five hard copies of Draft IS/MND for posting at physical locations desired by the City.
Assumptions:
The project would be exempt from the requirement to prepare an Induced Traffic Analysis VMT model.
One round each of consolidated comments on the Administrative Draft IS/MND and Administrative Final IS/MND will be provided by the City.
The City will post environmental documents and associated notices to their website for public review.
Siegfried’s public outreach team, in cooperation with ESA and the City, will develop a circulation list to send the NOI to and transmit the NOI; NOIs will be circulated electronically.
Siegfried will publish the NOI in a local newspaper.
City will send the NOC and NOI to the County Clerk’s office for posting and pay for any submittal or posting fees.
It is assumed that up to five substantive comments will be received on the Public Draft IS/MND.
City will submit the NOD to the County Clerk and will pay for any submittal or posting fees, such as the CDFW fee and County Clerk filing fee.
City staff will prepare the project findings for City Council approval.
The Final IS/MND will be approved and adopted by the City Council during one hearing.
Completion of an SJVAPCD Air Impact Assessment (AIA) Application pursuant to Rule 9510 would be completed prior to project construction and is not included in this scope of work.
Task 3 | Preparation of Precise Roadway Plan (PRP)
The team will work collaboratively to integrate the recommendations from our Initial Planning and Conceptual Design memo and analysis and refine the 1994 Specific Plan prepared by Omni Means to reflect the survey data, traffic analysis, land use, circulation, geometric criteria and the 2040 General Plan. Consideration will be given to proposed infill plans by private landowners along the corridor.
Task 3.1 | | Geometric PRP and Traffic Report
Siegfried believes that to refine the Specific Plan the lane geometry must be designed and based on real survey data. The purpose of the more detailed design will be to review the horizontal design with the City of Stockton and finalize the conceptual plan. We understand that any minor change made to the horizontal design may require complete redesign in the future, so we feel that it is best to identify and finalize the precise curb and lanes at this stage. The following items will be clearly indicated and reflected in our submittal:
Final lane configuration(s)
Finalized face of curb design including crosswalks, bike ramps, truck aprons, etc.
Design vehicle(s) movement checks using AUTOTURN
Locations of all multimodal paths, sidewalks, bike ramps, etc. with appropriate widths Overall lane markings and pavement arrows for the entire study area
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Major Utility trunk lines, such as the Delta Water Supply, and their position within the ultimate configuration
Design file showing actual measurements of the design parameters Calculations showing the stopping sight distance and intersection sight distance Fast Path speed calculations at entry and circulating
Lighting Layout
Tree Plan
Traffic counts collected in the prior task
Based on the signal geometry in the traffic memo, the intersections will be proposed with the appropriate lane geometry, signing and striping, traffic signal poles, and be analyzed for potential congestion management concepts.
Travel Demand Model Forecasts
Fehr & Peers is working on the development of a Transportation Master Plan and Transportation Impact Fee Update for City of Stockton. As part of the scope, Fehr & Peers is updating the City of Stockton travel demand forecasting (TDF) model to an updated 2022 base year. Fehr & Peers plans to use the updated 2022 base year City of Stockton TDF model anticipating it will be available before the start of this project. The TDF model will be used to develop intersection turning movement volume forecasts with the project under an “Existing Plus Project” scenario. Fehr & Peers will add an appropriate level of roadway network and traffic analysis zone detail to the model to support intersection-level analysis and project development.
Existing Plus Project Traffic Operations Analysis
The team will use the analysis methods outlined to analyze the intersection operations under Existing Plus Project conditions. Fehr & Peers will coordinate with City staff to review the lane configuration and traffic control assumptions of the SimTraffic models.
The team will present the findings of the Existing Plus Project analysis to City staff and have up to two (2) rounds of revisions to the analysis to incorporate any refinements to the preferred concept and analysis (based upon the outcome of the traffic operations analysis). Two conceptual scenarios are assumed for the scope of work.
The Existing Plus Project analysis will also include a review of proposed pedestrian and bicycle facilities and will evaluate the potential for additional crosswalks, bike lanes or modified crossing treatments along the study corridor.
Cumulative Conditions
As part of the recent General Plan update, Fehr & Peers updated the Stockton TDF model. Fehr & Peers will use the General Plan scenario of the Stockton TDF model to develop intersection turning movement volume forecasts under the Cumulative conditions. Same level of roadway network and traffic analysis zone details that were added to 2022 base year scenario will be added to the General Plan scenario to support intersection-level analysis. Fehr & Peers will use the analysis methods outlined to analyze the intersection operations under Cumulative conditions. Analysis results will include intersection level of service, control delay, travel, and maximum queue lengths for key turning movements.
Cumulative Plus Project Traffic Operations Analysis
Fehr & Peers will use the analysis methods outlined to analyze the intersection operations under Cumulative Plus Project conditions. Fehr & Peers will coordinate with City staff to review the lane configuration and traffic control assumptions of the SimTraffic models.
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Fehr & Peers will present the findings of the Cumulative Plus Project analysis to City staff and have up to two (2) rounds of revisions to the analysis to incorporate any refinements to the preferred concept and analysis (based upon the outcome of the traffic operations analysis). If more than three project scenarios are evaluated, Fehr & Peers will prepare a supplemental scope before proceeding with any additional analysis.
The Cumulative Plus Project analysis will also include a review of proposed pedestrian and bicycle facilities and will evaluate the potential for additional crosswalks, bike lanes or modified crossing treatments along the study corridor.
Deliverable: Geometric plans (35% draft PRP), Draft Traffic Analysis Report Task 3.2 | 50% Precise Road Plan
Based upon the refined master plan in Task 3.1 Siegfried will prepare the project Precise Roadway Plan (PRP) in accordance with Stockton’s Municipal Code Title 16 Development Code, Division 5. Land Use/Development Procedures, and Chapter 16.148 Precise Road Plans. More specifically the PRP will be in accordance with the following:
Plan sheets that are 24 inches by 36 inches and scaled at one (1) inch to 50 feet. Additionally, reduced, legible drawings of each large drawing sized at eight and one-half (8-1/2) by 11 inches will also be provided. The following minimum information shall be contained in the drawings:
The existing design of the roadway (e.g., existing access points, lane configurations, existing rights-of- way, and the alignment) affected by the precise road plan adoption/amendment The proposed precise road plan design as adopted by the master plan Land Uses. Existing and proposed land uses, where applicable, affected by the precise road plan will be indicated on the drawings.
Overall the precise road plan will contain additional information such as proposed plant material, amenity locations, water sources, lighting locations, and any considerations that are contained in the adopted 2012 Bike Master Plan. This in accordance with the characteristics of the area to be covered by the plan, applicable policies of the General Plan, and overall City ordinance 015-09 C.S., eff. 12-3-09; prior code § 16-550.050.
Deliverable: 50% Precise Road Plan for City review.
TASK 3.3 | 100% Precise Road Plan
Based upon the comments received from the City from the 50% Precise Road plan submittal Siegfried and the project team will prepare the 100% project Precise Roadway Plan (PRP) and Final Traffic Report for City review.
It is anticipated that the City designated Development Review Committee (DRC) will review the proposed precise road plan and forward a written recommendation to the Director.
TASK 3.4 | Final Precise Road Plan and Hearings
Based upon the comments received from the City from the 100% Precise Road plan submittal Siegfried and the project team will prepare the Final project Precise Roadway Plan (PRP) for City adoption. Following final review by the Director and the precise road plan adoption or amendment being deemed complete and reviewed by the DRC, Siegfried will attend the required public hearings conducted by the Planning Commission and then the Council. All required public noticing, staff reports, and agenda preparation shall be by the City.
Deliverable: Adopted Precise Road Plan
Task 4 | Public Outreach
Siegfried will research and develop a coded database of potentially interested parties, which will be updated throughout the project with names from the public meeting(s) sign-in; information from the project team; and from telephone, e-mail and personal contacts. The database will be coded according to interest and involvement with the project. Among the groups on the stakeholders list will be the following:
EXHIBIT A
615
Page
9 of 9
Council members and other elected and appointed officials Residents and property owners adjacent to the proposed project area Businesses and other establishments adjacent to the project area Emergency responders
Stockton Unified School District
Public Transit
Utility Companies
Pertinent City staff
(A) Public Information Meeting(s) will be held to present concepts and design features to neighboring residents and businesses, and to the general public. Siegfried will determine a location near the project site to have the meeting. The meeting(s) will be designed primarily to provide information on the project features, and goals.
Siegfried will plan for at least two (2) public outreach meetings and a public hearing near the project completion phase. Siegfried will also attend planning commission meetings, public hearing meetings, and meetings with stakeholders as required for the duration of the project.
Siegfried will schedule the public meetings/hearing, make arrangements for the meeting facility, handle other logistics, issue meeting notices (U.S. mail invitations, news releases, print advertisements, and flyers), and provide information for the City website. Working with the project team, Siegfried will also prepare exhibits to illustrate design concepts and project features and prepare other print materials, e.g., agendas, sign-in sheets, fact sheets, signage, that describes roundabouts. Siegfried will record public comments, including arrangements for a court reporter at the public hearing, and prepare a very detailed Summary Report of each meeting. Working with the project team, Siegfried will provide appropriate responses to all comments, and make recommendations for administrative and public review.
Siegfried will establish an email contact list and maintain a detailed contact log of every contact. Social media options to dispense information will also be available, if desired and/or acceptable to the City of Stockton. In addition, Siegfried will create and maintain a website for the project which will serve as the digital information hub for the project. Project updates and other pertinent information will be housed on the website. The website will also include a comment section, so constituents can make comments regarding the project. Detailed records of each contact will be provided to the City and Project Team Staff at frequent intervals. Due to the length of the corridor and a potential lack of available meeting spaces, meeting locations may be held near the project site.
TASK 5 | Coordination/Meetings
Siegfried will provide project management services to meet the project scope, schedule and budget as set forth in the accepted proposal. It is anticipated that Siegfried will establish a clear and consistent communication framework for the duration of the project.
Siegfried will attend meetings with City staff, public, businesses, and individuals as needed. The proposed scope of work includes an effective project management approach that includes regular project updates and coordination between Siegfried and City staff.
Siegfried will prepare and provide a comprehensive schedule to reflect the timeframe for each task of the proposed scope of work, utilizing the latest version of Microsoft Project. The project schedule shall show the tasks, duration, task relationships, milestones, and critical path. The project schedule shall be maintained and updated monthly throughout the project.
Siegfried will attend coordination meetings with Caltrans, the County, and new development stakeholders.
EXHIBIT A
616
CONTINUED
PROJECT SCHEDULE
Thu 12/22/22 1 of 2
PROJECT SCHEDULE
Thu 12/22/22 2 of 2
31 CIVIL ■ STRUCTURAL ■ GEOTECHNICAL ■ SURVEY ■ LANDSCAPE ■ PARTNERING ■ ATHLETICS 3428 Brookside Road, Stockton, CA 95219 ■ t | 209.943.2021 f | 209.942.0214 ■ siegfriedeng.com
SCHEDULE
ID Task Name Duration Start Finish Predecessors
1 Eight Mile Road Precise Road Plan 402 days Mon 5/1/23 Tue 11/12/24 2 City Issues NTP 0 days Mon 5/1/23 Mon 5/1/23
3 Background Research 50 days Mon 5/1/23 Fri 7/7/23
4 Obtain Historical Documents 15 days Mon 5/1/23 Fri 5/19/23 2 5 Research Boundary 15 days Mon 5/1/23 Fri 5/19/23 2
6 Prepare Utility A Letters 5 days Mon 5/1/23 Fri 5/5/23 2 7 Traffic Data Collection 35 days Mon 5/1/23 Fri 6/16/23 2 8 Perform Topographic and Boundary
Surveys
35 days Mon 5/22/23 Fri 7/7/23 5
9 Public Outreach 119 days Mon 5/22/23 Fri 11/3/23
10 Prepare Public Outreach Plan and
Stakeholder List
10 days Mon 5/22/23 Fri 6/2/23 2FS+15 days
11 City Review of Public Outreach Plan 7 days Mon 6/5/23 Tue 6/13/23 10 12 Send Meeting Notice #1 10 days Wed 6/14/23 Tue 6/27/23 11 13 Informational Meeting #1 0 days Tue 6/27/23 Tue 6/27/23 12 14 Individual Stakeholder Meetings 60 days Wed 6/28/23 Tue 9/19/23 13 15 Informational Meeting #2 0 days Fri 11/3/23 Fri 11/3/23 62FS-15 days 16 Precise Road Plan 352 days Mon 7/10/23 Tue 11/12/24
17 Geometric Study 100 days Mon 7/10/23 Fri 11/24/23
18 Prepare Geometric Study and
Perform Traffic Analysis
80 days Mon 7/10/23 Fri 10/27/23 8
19 Agency Plan Check 20 days Mon 10/30/23 Fri 11/24/23 18 20 Discuss Comments With City 0 days Fri 11/24/23 Fri 11/24/23 19 21 50% Precise Road Plan 80 days Mon 11/27/23 Fri 3/15/24 22 Prepare for 50% PRP Submittal 60 days Mon 11/27/23 Fri 2/16/24 20 23 Agency Review 20 days Mon 2/19/24 Fri 3/15/24 22
24 100% Precise Road Plan 60 days Mon 3/18/24 Fri 6/7/24 25 Prepare for 100% PRP Submittal 30 days Mon 3/18/24 Fri 4/26/24 23 26 Agency Review 20 days Mon 4/29/24 Fri 5/24/24 25
27 Development Review Committee
and Director Review
10 days Mon 5/27/24 Fri 6/7/24 26
28 Final Precise Road Plan 112 days Mon 6/10/24 Tue 11/12/24 29 Prepare and Finalize PRP 20 days Mon 6/10/24 Fri 7/5/24 27 Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Qtr 2, 2023 Qtr 3, 2023 Qtr 4, 2023 Qtr 1, 2024 Qtr 2, 2024 Qtr 3, 2024 Qtr 4, 2024 ID Task Name Duration Start Finish Predecessors
30 Director Approval of PRP and
IS/MND
19 days Mon 7/8/24 Thu 8/1/24 29
31 Planning Commission
Approval (2nd/4th Thurs)
30 days Fri 8/2/24 Thu 9/12/24 30
32 City Council Approval 43 days Fri 9/13/24 Tue 11/12/24 31 33 Environmental Clearance and Traffic
Studies
269 days Mon 5/1/23 Thu 5/9/24
34 Identify Study Corridor and Project
Description
15 days Mon 5/1/23 Fri 5/19/23 2
35 Preliminary Environmental Study
(PES) and Traffic Studies
45 days Mon 6/12/23 Fri 8/11/23
36 Prepare the Draft PES 10 days Mon 6/12/23 Fri 6/23/23 34FS+15 days 37 City Review 3 days Mon 6/26/23 Wed 6/28/23 36
38 Attend Field Review 1 day Thu 6/29/23 Thu 6/29/23 37 39 Traffic Memo and VMT Narrative 45 days Mon 6/12/23 Fri 8/11/23 2FS+30 days 40 Revise and Finalize PES 15 days Fri 7/14/23 Thu 8/3/23 38FS+10 days 41 Prepare Studies 76 days Mon 5/22/23 Mon 9/4/23
42 Biological, Cultural, Noise, Air
Quality, and Greenhouse Gas
Memos
76 days Mon 5/22/23 Mon 9/4/23
50 Additional CEQA Subject
Assessments
61 days Mon 5/22/23 Mon 8/14/23
58 CEQA IS/MND 200 days Fri 8/4/23 Thu 5/9/24
59 Prepare Draft IS/MND 40 days Fri 8/4/23 Thu 9/28/23 40 60 City Review 15 days Fri 9/29/23 Thu 10/19/23 59
61 Revise IS/MND 5 days Fri 10/20/23 Thu 10/26/23 60
62 Public Circulation of IS/MND 20 days Fri 10/27/23 Thu 11/23/23 61 63 Respond to Comments 40 days Fri 11/24/23 Thu 1/18/24 62 64 Prepare Final IS/MND 30 days Fri 1/19/24 Thu 2/29/24 63 65 City Review 15 days Fri 3/1/24 Thu 3/21/24 64
66 Revise and Finalize IS/MND 20 days Fri 3/22/24 Thu 4/18/24 65 67 Prepare Findings and the NOD 15 days Fri 4/19/24 Thu 5/9/24 66 68 File Findings and NOD 0 days Thu 5/9/24 Thu 5/9/24 67 Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Qtr 2, 2023 Qtr 3, 2023 Qtr 4, 2023 Qtr 1, 2024 Qtr 2, 2024 Qtr 3, 2024 Qtr 4, 2024 Eight Mile Road Precise Road Plan Project
617
WORK BREAKDOWN CHART FOR
Eight Mile Road Precise Road Plan Project
February 13, 2023
Siegfried
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618
REV 2022-05-17
Insurance Requirements
Professional Services
Eight Mile Road Precise Road Plan, Project No. WT21013
Consultant shall
procure and maintain for the duration of the contract insurance against claims for injuries to persons or damages to property which may arise from or in connection with the performance of the work hereunder by the Consultant, its agents, representatives, or employees.
MINIMUM SCOPE AND LIMIT OF INSURANCE
Coverage shall be at least as broad as:
1. Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an “occurrence” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $2,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit.
2. Automobile Liability: Insurance Services Office Form Number CA 0001 covering, Code 1 (any auto), or if Consultant has no owned autos, Code 8 (hired) and 9 (non- owned), with limit no less than $1,000,000 per accident for bodily injury and property damage.
3. Workers’ Compensation insurance as required by the State of California, with Statutory Limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease.
(Not required if consultant provides written verification it has no employees)
4. Professional Liabil
ity/Errors and Omissions Insurance appropriates to the
Consultant’s profession, with limit no less than $2,000,000 per occurrence or claim, $2,000,000 aggregate.
If the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City of Stockton requires and shall be entitled to the broader coverage and/or the higher limits maintained by the contractor. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City of Stockton.
Other Insurance Provisions
The insurance policies are to contain, or be endorsed to contain, the following provisions:
619
REV 2022-05-17
Additional Insure
d Status
The City of Stockton, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Contractor including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Contractor’s insurance (at least as broad as ISO Form CG 20 10 11 85 or if not available, through the addition of both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 if a later edition is used). Additional insured Name of Organization shall read “City of Stockton, its officers, officials, employees, and volunteers.” Policy shall cover City of Stockton, its officers, officials, employees, and volunteers for all locations work is done under this contract.
Primary Coverage
For any claims related to this contract, the Contractor’s insurance coverage shall be primary and non-contributory and at least as broad as ISO CG 20 01 04 13 as respects the City of Stockton, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the City of Stockton, its officers, officials, employees, or volunteers shall be excess of the Contractor’s insurance and shall not contribute with it. This requirement shall also apply to any Excess or Umbrella liability policies. The City of Stockton does not accept endorsements limiting the Contractor’s insurance coverage to the sole negligence of the Named Insured.
Umbrella or Excess Policy
The Contractor may use Umbrella or Excess Policies to provide the liability limits as required in this agreement. This form of insurance will be acceptable provided that all of the Primary and Umbrella or Excess Policies shall provide all of the insurance coverages herein required, including, but not limited to, primary and non-contributory, additional insured, Self-Insured Retentions (SIRs), indemnity, and defense requirements. The Umbrella or Excess policies shall be provided on a true “following form” or broader coverage basis, with coverage at least as broad as provided on the underlying Commercial General Liability insurance. No insurance policies maintained by the Additional Insureds, whether primary or excess, and which also apply to a loss covered hereunder, shall be called upon to contribute to a loss until the Contractor’s primary and excess liability policies are exhausted.
Notice of Cancellation
Each insurance policy required above shall provide that coverage shall not be canceled, except with notice to the City of Stockton.
Waiver of Subrogation
Contractor hereby grants to City of Stockton a waiver of any right to subrogation which any insurer of said Contractor may acquire against the City of Stockton by virtue of the payment of any loss under such insurance. Contractor agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this 620
REV 2022-05-17
provision applies regardless of whether or not the City of Stockton has received a waiver of subrogation endorsement from the insurer.
Self-Insured Retenti
ons
Self-insured retentions must be declared to and approved by the City of Stockton. The City of Stockton may require the Contractor to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self-insured retention may be satisfied by either the named insured or City of Stockton. The CGL and any policies, including Excess liability policies, may not be subject to a self-insured retention (SIR) or deductible that exceeds $25,000 unless approved in writing by City of Stockton. Any and all deductibles and SIRs shall be the sole responsibility of Contractor or subcontractor who procured such insurance and shall not apply to the Indemnified Additional Insured Parties. City of Stockton may deduct from any amounts otherwise due Contractor to fund the SIR/deductible. Policies shall NOT contain any self-insured retention (SIR) provision that limits the satisfaction of the SIR to the Named. The policy must also provide that Defense costs, including the Allocated Loss Adjustment Expenses, will satisfy the SIR or deductible. City of Stockton reserves the right to obtain a copy of any policies and endorsements for verification.
Acceptability of Insurers
Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best’s rating of no less than A:VII, unless otherwise acceptable to the City of Stockton.
Claims Made Policies
If any of the required policies provide claims-made coverage:
1. The Retroactive Date must be shown and must be before the date of the contract or the beginning of contract work.
2. Insurance must be maintained, and evidence of insurance must be provided for at least five (5) years after completion of the contract of work.
3. If coverage is canceled or non-renewed, and not replaced with another claims- made policy form with a Retroactive Date prior to the contract effective date, the Contractor must purchase “extended reporting” coverage for a minimum of five (5) years after completion of work.
Verification of Coverage
Contractor shall furnish the City of Stockton with original certificates and amendatory endorsements or copies of the applicable policy language effecting coverage required by this clause and a copy of the Declarations and Endorsements Pages of the CGL and any Excess policies listing all policy endorsements. All certificates and endorsements and copies of the Declarations & Endorsements pages are to be received 621
REV 2022-05-17
and approved by the City of Stockton before work commences. However, failure to obtain the required documents prior to the work beginning shall not waive the Contractor’s obligation to provide them. The City of Stockton reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. City of Stockton reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances.
Subcontractors
Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Contractor shall ensure that City of Stockton is an additional insured on insurance required from subcontractors.
Duration of Coverage
CGL & Excess liability policies for any construction related work, including, but not limited to, maintenance, service, or repair work, shall continue coverage for a minimum of 5 years for Completed Operations liability coverage. Such Insurance must be maintained, and evidence of insurance must be provided for at least five (5) years after completion of the contract of work.
Special Risks or Circumstances
City of Stockton reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances.
Certificate Holder Address
The address for mailing certificates, endorsements and notices shall be:
City of Stockton
Its Officers, Officials, Employees, and Volunteers
400 E Main Street, 3rd Floor – HR
Stockton, CA 95202
622
Subject:
CITY OF STOCKTON, CALIFORNIA
CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No. 1 of 14
DISCRIMINATION AND Effective Date: Revised From:
HARASSMENT POLICY 7/27/09
5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment in the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 I. PURPOSE
The purpose of this policy is to reaffirm the City's commitment to demonstrating respect for all individuals by strictly prohibiting discrimination and harassment, including sexual harassment in the workplace. This policy defines prohibited behavior and conduct, and sets forth a procedure for reporting, investigating and resolving complaints of discrimination, harassment, in the workplace, including retaliation and hostile work environment.
II. POLICY
A. The City of Stockton prohibits any form of discrimination and/or harassment of any person based on race, religious creed, color, national origin, ancestry, military and veterans status, physical or mental disability, medical condition, genetic characteristics or information, denial of family and medical care leave, marital status, sexual orientation, sex (including gender, gender identity, gender expression, transgender, pregnancy, childbirth and breastfeeding), political affiliation, age (40 and older), concerted labor activity, or any other category or attribute consistent with state or federal law.
All such discrimination and harassment is unlawful and shall not be tolerated. In addition, under the federal Affordable Care Act (ACA), the City of Stockton prohibits discrimination and/or harassment, or retaliation against an employee who obtains coverage, receives a tax credit or subsidy through the Health Care "Market Place" or "Exchange."
B. It is an unlawful employment practice to discriminate against or to harass an unpaid intern or volunteer on the basis of any legally protected classification unless an exception applies, such as a bona fide occupational qualification.
C. The City will neither tolerate nor condone discrimination and/or harassment of employees by managers, supervisors, co-workers, or non-employees with whom City employees have a business service, or professional relationship.
D. All City employees and non-employees share a responsibility to assist in
623
Subject:
CITY OF STOCKTON, CALIFORNIA
CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No. 2 of 14
DISCRIMINATION AND Effective Date: Revised From: HARASSMENT POLICY 7/27/09 5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment in the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 maintaining an employment environment free of discrimination and harassment. This policy applies to all aspects of City employment, including, but not limited to, hiring, reassignment, placement, promotion, employment action, disciplinary action, layoff, reemployment, transfer, leave of absence, compensation and benefits, training; or other terms of treatment of that person in an unpaid internship, or another limited duration program to provide unpaid work experience for that person, or the harassment of an unpaid intern or volunteer.
E. All allegations of discrimination and/or harassment shall be investigated immediately by the City, in accordance with this policy. If it is determined that any prohibited activity has occurred, remedial action shall be taken. Such action may include discipline up to and including discharge. In addition, under applicable law, individual supervisors and employees may be subject to personal liability and/or punitive damages in any litigation arising as a result of such conduct.
F. All new hires shall attend harassment awareness training, and supervisors and managers shall attend harassment awareness and prevention training for supervisors every two years.
G. The City of Stockton prohibits retaliation against any employee or non employee by another employee, non-employee, supervisor, or manager for reporting, filing, testifying, assisting or participating in any manner in any investigation, proceeding, or hearing conducted by the employer or a federal or state enforcement agency.
H. This policy applies to all officials, employees, volunteers, unpaid interns, agents, or contractors of the City.
I. This policy shall be administered by the Director of Human Resources. 624
Subject:
CITY OF STOCKTON, CALIFORNIA
CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No. 3 of 14
DISCRIMINATION AND Effective Date: Revised From:
HARASSMENT POLICY 7/27/09
5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment m the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 Ill. DEFINITION AND EXAMPLES OF DISCRIMINATION AND HARASSMENT A. "Discrimination," as used in this policy, is any action, behavior, practice, or process that is intended to deny, or results in the denial of, employment rights, privileges, or benefits because of a person's race, religious creed, color, national origin, ancestry, military and veterans status, physical or mental disability, medical condition, genetic characteristics or information, denial of family and medical care leave, marital status, sexual orientation, sex (including gender, gender identity, gender expression, transgender, pregnancy, childbirth and breastfeeding), political affiliation, age (40 and older), concerted labor activity, or any other prohibition identified under state and federal law. The following are examples of conduct that may constitute discrimination:
1. Soliciting applications from a source where all or most of potential workers are of the same race or color.
2. Considering a person's gender as the basis for differences in pay, work assignments, performance evaluations, training, discipline, or any other area of employment; and
3. Questioning a job applicant about the existence, nature and severity of a disability.
B. "Harassment," as used in this policy, consists of any conduct affecting another person because of his or her race, religious creed, color, national origin, ancestry, military and veterans status, physical or mental disability, medical condition, genetic characteristics or information, denial of family and medical care leave, marital status, sexual orientation, sex (including gender, gender identity, gender expression, transgender, pregnancy, childbirth and breastfeeding), political affiliation, age (40 and older), concerted labor activity, or any other category or attribute identified under state and federal law when such conduct has the purpose or the effect of: (1) creating an intimidating, hostile or offensive work environment; (2) unreasonably interfering with the employee's or non-employee's work performance; or (3) 625
Subject:
CITY OF STOCKTON, CALIFORNIA
CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No. 4 of 14
DISCRIMINATION AND
HARASSMENT POLICY
Effective Date: Revised From:
7/27/09
5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment in the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 otherwise adversely affecting an employee's or non-employee's employment opportunities.
Harassment may take many forms, including, but not limited to, the following examples:
1. Verbal Harassment: Epithets, derogatory and offensive comments or slurs based on race, religion, color, national origin, ancestry, physical or mental disability, marital status, pregnancy, medical condition, gender, sexual orientation, political affiliation, age, or any other category or attribute identified under state and federal law.
2. Physical Harassment: Assault, impeding or blocking movement that results in the physical interference with normal work or movement on the basis of race, religion, color, national origin, ancestry, physical or mental disability, marital status, pregnancy, medical condition, gender, sexual orientation, political affiliation, age, or any other category or attribute identified under state and federal law.
3. Visual Harassment: The displaying of posters, photography, notices, bulletins, e-mails, cartoons or drawings with derogatory and offensive content based on race, religion, color, national origin, ancestry, physical or mental disability, marital status, pregnancy, medical condition, gender, sexual orientation, political affiliation, age, or any other category or attribute identified under state and federal law.
C. "Sexual harassment," as used in this policy, is a subcategory of harassment, and is specifically defined by law as unwanted sexual advances, requests for sexual favors or visual, verbal or physical conduct of a sexual nature when:
1. Submission to such conduct is made a term or condition of employment; or
2. Submission to or rejection of such conduct is used as a basis for employment decisions affecting the individual; or
626
Subject:
CITY OF STOCKTON, CALIFORNIA
CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No. 5 of 14
DISCRIMINATION AND
HARASSMENT POLICY
Effective Date: Revised From:
7/27/09
5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment in the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93
3. Such conduct has the purpose or effect of unreasonably interfering with an employee's or non-employee's work performance or creating an intimidating, hostile or offensive working environment because of the persistent, severe or pervasive nature of the conduct.
Examples of Sexual Harassment include, but are not limited to the following:
a. Unwelcome sexual overtures or propositions.
b. Offering employment benefits or status in exchange for sexual favors.
c. Making or threatening retaliation after a negative response to sexual advances.
d. Visual conduct such as leering, making sexual gestures, displaying sexually suggestive objects or pictures, cartoons, calendars or posters.
e. Verbal conduct such as using epithets or slurs, telling sexually explicit jokes, or making derogatory or suggestive comments about a person's body or dress.
f. Written communications of a sexual nature distributed in hard copy, soft copy or via a computer network.
g. Verbal abuse of a sexual nature, graphic verbal commentary about an individual's body, sexually degrading words to describe an individual, suggestive or obscene letters, notes or invitations.
h. Physical conduct such as touching, assaulting, impeding or blocking movements.
627
Subject:
CITY OF STOCKTON, CALIFORNIA
CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No. 6 of 14
DISCRIMINATION AND Effective Date:
HARASSMENT POLICY
Revised From:
7/27/09
5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment in the Workplace) revised from 10/21/94, 5/1/95. 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 i. Retaliation for making harassment reports or threatening to report harassment.
D. Affordable Care Act (ACA) Anti-Retaliation
Pursuant to section §1558 of the Affordable Care Act, the City prohibits discrimination or retaliation towards any employee who:
1. Receives a health insurance tax credit or subsidy through the Health Care "Marketplace" or "Exchange", by which can trigger a penalty payable by the employer;
2. Reports potential violations of protections afforded under Title I of the Act, which provides guaranteed availability protections among other things;
3. Testifies in a proceeding concerning such violation;
4. Assists or participates in a proceeding concerning a violation; or
5. Objects to, or refuses to participate in, any activity, policy, practice, or assigned task that the employee reasonably believes to be in violation of any provision of the Title I of the Act.
An employee who believes that he or she has been discharged or otherwise discriminated against in violation of section §1558 of the Affordable Care Act may seek relief in accordance with the procedures, notifications, burdens of proof, remedies, and statutes of limitation set forth in section 2087(b) of title 15, United States Code.
IV. REPORTING AND COMPLAINT PROCEDURES
A. Immediate Action Required
The City's reporting and complaint procedures provide for an immediate, thorough and objective investigation of discrimination or harassment claims, appropriate disciplinary action taken against any person found to have engaged in prohibited behavior, and appropriate alternative remedies to any 628
Subject:
CITY OF STOCKTON, CALIFORNIA
CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No. 7 of 14
DISCRIMINATION AND Effective Date: Revised From:
HARASSMENT POLICY 7/27/09
5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment in the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 employee or non-employee subject to discrimination or harassment. To accomplish this, such incidents must be reported immediately to a supervisor or manager.
1. Employee's and Non-Employee's Responsibilities when Subjected to Discrimination and/or Harassment
a. Employees or non-employees who believe they have been subjected to discrimination or harassment, or are aware of discrimination or harassment against others, shall report the situation immediately to his/her supervisor or manager, except as specified in subsection (b), below. Employees and non employees shall report any such incidents occurring in the workplace, whether committed by coworkers, supervisors or managers, or third persons doing business with the City, such as customers or vendors, or other non-employees. If
comfortable doing so, an employee or non-employee who has a complaint of discrimination or harassment is encouraged to directly inform the person(s) engaging in the behavior that such conduct is offensive and insist the behavior to stop.
b. Employees and non-employees must immediately contact a supervisor or manager to register a complaint of discrimination or harassment, unless that supervisor or manager is the individual engaging in the unwanted behavior. In that case, the employee or non-employee may contact someone at the next supervisory level. If the employee or non-employee feels uncomfortable dealing directly with his or her immediate supervisor or manager, he or she may contact the department head, or the Director of Human Resources (or either of their designees) to register a complaint of discrimination or harassment.
c. Employees and non-employees may file a formal complaint of harassment or discrimination with their department head or 629
Subject:
CITY OF STOCKTON, CALIFORNIA
CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No. 8 of 14
DISCRIMINATION AND
HARASSMENT POLICY
Effective Date: Revised From:
7/27/09
5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment In the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 with Human Resources. To assist the City in conducting a thorough investigation, complaints shall be submitted in writing and shall include specific details of the incident(s), the names of the individuals involved, the names of any witnesses, and any documentary evidence (notes, pictures, cartoons, etc.) that will corroborate the allegations.
d. Employees and non-employees shall immediately report any retaliation to a supervisor, manager, department head or Director of Human Resources (or designee). All retaliation complaints shall be immediately, objectively and thoroughly investigated in accordance with the investigation procedures.
If a report of retaliation is substantiated, appropriate disciplinary action, up to and including discharge shall be taken.
2. Supervisor's or Manager's Responsibilities to Eliminate Discrimination and/or Harassment
a. A supervisor or manager is responsible for enforcing the City's discrimination and harassment policy. Supervisors or
managers must ensure that all employees and non-employees are aware of the City's policy through open discussion of the policy at staff meetings and by posting the policy in a conspicuous location accessible to all staff members.
b. A supervisor or manager shall be cognizant of employees' and non-employees' behavior and shall not permit any employee or non-employee under their supervision to be subjected to or engage in any conduct prohibited by this policy.
c. A supervisor or manager who observes conduct prohibited by this policy shall immediately direct the employee or non employee to cease the conduct.
630
Subject:
CITY OF STOCKTON, CALIFORNIA
CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No. 9 of 14
DISCRIMINATION AND Revised From:
HARASSMENT POLICY
Effective Date:
7/27/09
5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment in the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 d. A supervisor or manager who receives a complaint of
prohibited conduct is required to take the complaint seriously, and report the matter immediately to the department head; be supportive of the complainant; ensure there is no retaliation against the complainant; conduct an internal fact-finding review into the allegations; obtain as much detailed information as possible; thoroughly document the findings; communicate in written form to the parties the resolution of the complaint; and report to and consult with the Human Resources Department promptly, without delay.
B. Confidentiality. The City will make every effort to protect the privacy and confidentiality of all parties involved, as well as any information and/or documentation obtained, to the extent possible consistent with a thorough investigation.
C. Penalty for Non-Compliance. The City shall take disciplinary action, up to and including discharge, against any supervisor or manager who fails in his/her responsibility to take immediate action in response to an employee's or non-employee's complaint of discrimination or harassment. Further, such disciplinary action shall be taken against a supervisor or manager who fails to stop discriminatory or harassing conduct committed in his/her presence or to stop such conduct about which the supervisor or manager has knowledge.
V. INVESTIGATION PROCEDURES
A. Determination of Responsibility for Investigation
If a formal complaint is filed with the department head or the Director of Human Resources (or either of their designees), the department head and the Director of Human Resources shall consult with one another to determine whether the department or Human Resources shall conduct the fact-finding investigation into the allegations. Either the department head or the Director of Human Resources (or either of their designees), depending on who is 631
Subject:
B.
CITY OF STOCKTON, CALIFORNIA
CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No.10 of 14
DISCRIMINATION AND Effective Date: Revised From:
HARASSMENT POLICY 7/27/09
5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment In the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 responsible for the investigation, shall issue written notification to the complainant and alleged harasser(s). The notification shall specify the nature of the complaint, and inform the parties that an investigation into the allegations of discrimination and/or harassment shall be conducted.
Investigative Guidelines
The investigation shall include the following steps taken in the order best suited to the circumstances:
1. Identify and preserve the evidence.
2. Confirm the name and position of the complainant. Interview the complainant.
3. Allow the complainant the opportunity to place the complaint in writing.
4. Obtain the identity of the alleged harasser(s).
5. Obtain as many details as possible regarding the incident(s) that prompted the complaint, including the number of occurrences, dates, times, locations, and witnesses (if applicable).
6. Ascertain how the complainant felt about the alleged incident when it occurred; complainant's response(s) to the alleged behavior; and witness statements (if applicable).
7. Ascertain if any threats or promises were made in connection with the alleged harassment.
8. Ascertain if the complainant knows of or suspects that there are other victims of harassment by the same person(s).
9. Ascertain whether the complainant has spoken to anyone, especially 632
Subject:
CITY OF STOCKTON, CALIFORNIA
CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No. 11 of 14
DISCRIMINATION AND
HARASSMENT POLICY
Effective Date: Revised From:
7/27/09
5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment m the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 supervisors, about the harassment.
10. Ascertain what resolution would be acceptable to the complainant.
11. Interview the alleged harasser to get his or her side of the story, including any possible motivation for a false allegation.
12. Interview witnesses who were identified by the complainant regarding the alleged harasser or other persons identified during the investigation.
13. Interview witnesses who were identified by the alleged harasser or other persons identified during the investigation.
14. Advise all participants that the investigation is "confidential" and not to engage in any retaliatory conduct, as such conduct is subject to disciplinary action up to and including discharge. Confidentiality will be maintained to the extent possible. An individual who is interviewed during the course of an investigation is prohibited from discussing the substance of the interview, except as otherwise directed by a supervisor or the Director of Human Resources. Any individual who discusses the content of an investigatory interview will be subject to discipline or other appropriate sanction.
15. Conduct follow-up interviews, if warranted.
16. Prepare report of findings and discuss with management and designated legal staff.
VI. RESPONDING TO THE COMPLAINT
A. Following the completion of the fact-finding investigation, either the department head or the Director of Human Resources (or either of their designees), depending on who is responsible for the investigation, shall 633
Subject:
CITY OF STOCKTON, CALIFORNIA
CITY MANAGER ADMINISTRATIVE DIRECTIVE
Directive No. HR-15 Page No.12 of 14
DISCRIMINATION AND Effective Date: Revised From: HARASSMENT POLICY 7/27/09 5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment in the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 make a report of findings, along with a recommendation regarding the appropriate remedial action to be taken, if warranted. The recommendation shall be made after reviewing the findings of the investigation, giving consideration to all factual information, the nature of the alleged conduct, and the totality of the circumstances. If the investigation was conducted by the Director of Human Resources, or designee, the Director, or designee, shall confer with the affected department head and both shall concur on the remedial action to be taken, if any. If the investigation was conducted by the department head, the department head shall confer with the Director of Human Resources prior to making the report of findings and both shall concur on the remedial action to be taken, if any.
B. If either the department head or the Director of Human Resources does not concur with the findings and recommendation of the other, the City Attorney (or designee) shall review and resolve the matter in dispute.
C. Report of findings and recommendation shall be treated as a confidential document and no other distribution shall be made without first consulting with the City Attorney's Office. A completed investigation report will not be disclosed, except as it is deemed necessary to support a disciplinary action, to take remedial action, to defend the City in adversarial proceedings, or to comply with the law or court order.
D. Either the department head or the Director of Human Resources (or either of their designees), depending on who is responsible for the investigation shall provide a written response to the complainant and the person alleged to have committed the misconduct, discrimination and/or harassment. The response shall include a copy of the City's discrimination and harassment policy and a memorandum indicating the City's determination as to whether the complaint is:
1. Unsustained: The investigation failed to disclose sufficient evidence to substantiate the allegation(s).
2. Unfounded: The investigation proved that the act(s) or omission(s) 634
CITY OF STOCKTON, CALIFORNIA
CITY MANAGER ADMINISTRATIVE DIRECTIVE
Subject: Directive No. HR-15 Page No. 13 of 14
DISCRIMINATION AND Effective Date: Revised From:
HARASSMENT POLICY 7/27/09
3. 5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment in the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 complained of did not occur. The finding also applies when the individual employee(s) named in the complaint were not involved in the act(s) or omission(s) alleged.
Sustained: The investigation disclosed sufficient evidence to substantiate the allegation(s) made in the complaint; appropriate action will be taken.
E. Details regarding any specific fact-findings or disciplinary action to be taken will not be communicated to the complainant. The City Attorney shall review the response for legal sufficiency before dissemination.
F. The City shall close and retain the investigation file, in accordance with applicable laws, regulations, and City policy regarding retention of City records.
VII. DISCIPLINE
Disciplinary action imposed as a result of any investigation conducted pursuant to this policy shall be commensurate with the severity of the offense, up to and including discharge, even for a first offense.
VIII. ALTERNATIVE REMEDIES
If upon exhausting all internal remedies to file, investigate, and respond to a charges of discrimination/harassment, pursuant to title VII of the Federal Civil Rights Act of 1964 (42 U.S.C §§ 2000e et seq.), any person has a right to file a charge of discrimination/harassment with the Equal Employment Opportunity Commission ("EEOC"). In addition, pursuant to the California Fair Employment and Housing Act (Gov. Code §§ 12900 - 12996.) a person may also file a complaint of discrimination/harassment with the California Department of Fair Employment and Housing ("DFEH"). Employees or non-employees who believe that they have been subjected to discrimination/harassment may file a complaint with either of these 635
CITY OF STOCKTON, CALIFORNIA
CITY MANAGER ADMINISTRATIVE DIRECTIVE
Subject: Directive No. HR-15 Page No. 14 of 14
DISCRIMINATION AND
HARASSMENT POLICY
Effective Date: Revised From:
7/27/09
5/1/2015 4/6/09
3/1/2010
(see below)
PER-015 (Sexual Harassment in the Workplace) revised from 10/21/94, 5/1/95, 1/1/98 PER-037 (Sexual Harassment Investigative Procedures) revised from 2/15/93 agencies. Both the EEOC and DFEH serve as neutral fact-finders and attempt to assist parties in resolving disputes voluntarily.
IX. COMMUNICATION OF POLICY
This policy shall be provided to all managers, supervisors, employees, volunteers, unpaid interns, agents or contractors of the City and shall be posted in the appropriate places. All employees shall participate in City approved harassment awareness training as directed by management or Human Resources; and all supervisors, as required by law, shall participate in City approved interactive harassment awareness training and education sessions at least once every two years, or as otherwise specified by law.
APPROVED:
c:r��SON
CITY MANAGER
::ODMA\GRPWISE\COS.PER.PER_Library:96180.1
636
City of Stockton
Legislation Text
File #: 23-0354, Version: 1
ADOPT RESOLUTION TO AUTHORIZE THE 2016 SANITARY SEWER REHABILITATION
PROJECT
RECOMMENDATION
It is recommended that the City Council adopt a resolution to:
1. Approve Notice of Exemption No. NOE09-20 under the California Environmental Quality Act for the 2016 Sanitary Sewer Rehabilitation, Project No. UW16006.
2. Approve the plans and specifications for the 2016 Sanitary Sewer Rehabilitation, Project No.
UW16006.
3. Transfer funds in the amount of $488,000 from the Wastewater Utility Fund Balance to the 2016 Sanitary Sewer Rehabilitation, Project No. UW16006.
4. Award a Construction Contract in the amount of $1,297,130 to California Trenchless, Inc. of Hayward, CA, for the 2016 Sanitary Sewer Rehabilitation, Project No. UW16006.
It is also recommended that the City Manager be authorized to take appropriate and necessary actions to carry out the purpose and intent of this resolution.
Summary
The Municipal Utilities Department (MUD) has implemented a Condition Assessment Program for the City’s sewer infrastructure. This program generates a prioritized list of replacement and/or rehabilitation projects for inclusion in the City’s Capital Improvement Plan (CIP). The program identified approximately 2,850 linear feet of existing sewer lines on Elmwood Avenue, Harding Way, El Monte Street, and Julian Street (Attachment A). The project was included in the 2016-21 Five- Year CIP.
On January 12, 2023, the City received two bids for this project. Staff recommends award of the Construction Contract to the lowest responsible bidder, California Trenchless, Inc., in the amount of $1,297,130. Staff also recommends that Council adopt a resolution approving Notice of Exemption No. NOE09-20 under the California Environmental Quality Act (CEQA) and approving the plans and specifications for the project.
To fully fund the construction of the project, staff recommends transferring funds in the amount of $488,000 from the Wastewater Utility Fund Balance to the 2016 Sanitary Sewer Rehabilitation, Project No. UW16006. Construction is anticipated to be completed by winter 2023.
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File #: 23-0354, Version: 1
DISCUSSION
Background
The MUD has implemented a Condition Assessment Program for the City’s sewer infrastructure comprised of Closed-Circuit Televised Video inspection, pipe cleaning, and engineering evaluation.
This program generates a prioritized list of replacement and/or rehabilitation projects for inclusion in the City’s CIP. The program identified approximately 2,850 linear feet of existing sewer lines on Elmwood Avenue, Harding Way, El Monte Street, and Julian Street (Attachment A). The project was included in the 2016-21 Five-Year CIP.
On July 26, 2016, Council adopted a Community Workforce and Training Agreement (CWTA). The CWTA became effective August 25, 2016, and applies to all Public Works projects over $1 million that are bid after that date. On July 16, 2019, by Motion No. 2019-07-16-1403, Council extended the CWTA term to August 25, 2024. The CWTA was applied to this project as the project cost is over $1 million.
Present Situation
On November 30, 2022, the 2016 Sanitary Sewer Rehabilitation, Project No. UW16006, was advertised for bids. On January 12, 2023, two bids were received with the following results:
COMPANY NAME BID AMOUNT ADJUSTED BID AMOUNT
California Trenchless, Inc. $1,297,130.00 $1,297,130.00 (Hayward, CA)
Soracco, Inc. $1,592,495.00 $1,560,645.10
(Lodi, CA)
Engineer's Estimate $1,179,200.00
The requirements of Stockton Municipal Code (SMC) section 3.68.090, Local Business Preference, apply to this project. Application of the Local Business Preference has no effect on the bid order. The Local Employment Ordinance, SMC section 3.68.095, also applies to this contract.
The bid from California Trenchless, Inc., the lowest responsible bidder, is regular in all respects.
California Trenchless, Inc. has the proper license to perform the work.
Staff recommends Council approve the plans and specifications for the project and award a Construction Contract to California Trenchless, Inc. of Hayward, CA, in the amount of $1,297,130.
The project is in conformance with the City’s General Plan, pursuant to California Government Code, section 65402, and is categorically exempt from the requirements of CEQA as specified under Section 15302(c) of the CEQA Guidelines. The activities related to this project constitute a discretionary project under the City’s jurisdiction and qualifies as a project that does not have a significant effect on the environment. The resolution will approve the filing of Notice of Exemption No.
NOE09-20 under CEQA.
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File #: 23-0354, Version: 1
Construction is anticipated to be completed by winter 2023.
FINANCIAL SUMMARY
The current unencumbered balance in the 2016 Sanitary Sewer Rehabilitation, Project No.
UW16006, is not sufficient to award a Construction Contract to California Trenchless, Inc. in the amount of $1,297,130. Transferring funds in the current fiscal year in the amount of $488,000 from the Wastewater Utility Fund Balance to the 2016 Sanitary Sewer Rehabilitation, Project No.
UW160006 (formerly M16006) will provide sufficient funding to be able to award a Construction Contract.
There is no impact to the City’s General Fund or any other unrestricted fund as a result of taking the recommended actions.
Attachment A - Vicinity Map
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ALPINE AVENUE
ALPINE AVENUE
EL DORADO STREET
HARDING WAY
PACIFIC AVENUE
CHER
WATERLOO ROAD
FREMONT STREE
WILSON WAYAIRPORT WAY
MARTIN LUTHER KING JR./CHARTER WAY
CALIFORNIA STREET
EL DORADO STREET
AIRPORT WAY
CALAVERAS R
IVER
WATER CHANNEL
STOCKT
ON DIVERTING CANA
L
WEST LANE
WEST LANE
EIGHTH STREET
NAVY DRIVE
CENTER STREET
2016 SANITARY SEWER REHABILITATION PROJECT
PROJECT NO. UW16006
CITY OF STOCKTON
DEPARTMENT OF PUBLIC WORKS
LEGEND
VICINITY MAP
NOT TO SCALE
CITY LIMIT
COUNTY LIMIT
PROJECT LOCATION
PROJECT LOCATION
640
Resolution No.
STOCKTON CITY COUNCIL
RESOLUTION APPROVING THE NOTICE OF EXEMPTION NO. NOE09-20,
APPROVING THE PLANS AND SPECIFICATIONS, TRANSFERRING FUNDING, AND AWARDING A CONSTRUCTION CONTRACT FOR THE 2016 SANITARY SEWER REHABILITATION, PROJECT NO. UW16006
On January 12, 2023, the City Clerk of the City of Stockton opened, examined, and publicly declared the sealed proposals or bids offered for the 2016 Sanitary Sewer Rehabilitation, Project No. UW16006; and
The Municipal Utilities Department has implemented a Condition Assessment Program for the City’s sewer infrastructure. This program generates a prioritized list of replacement and/or rehabilitation projects for inclusion in the City’s Capital Improvement Plan; and
The program identified approximately 2,850 linear feet of existing sewer lines on Elmwood Avenue, Harding Way, El Monte Street, and Julian Street; and
California Trenc hless, Inc. is the low est responsible bidder in the amount of $1,297,130, and its bid is regular in all respects; and
The project is in conformance with the City’s General Plan, pursuant to California Government Code, section 65402, and is categorically exempt from the requirements of the California Environmental Quality Act (CEQA) as specified under section 15302(c) of the CEQA Guidelines, because this is a discretionary project under the City jurisdiction and qualifies as a project which has been determ ined to not have a significant effect on the environment; now, therefore,
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOWS:
1. The City Council approves the filing of Notice of Exemption No. NOE09-20 under CEQA for the 2016 Sanitary Sewer Rehabilitation, Project No. UW16006, a copy of which is attached as Exhibit 1 and incorporated by this reference.
2. The City Council approves the plans and specifications for the 2016 Sanitary Sewer Rehabilitation, Project No. UW16006.
3. The City Council approves the transfer of funds in the amount of $488,000 from the Wastewater Utility Fund Balance to the 2016 Sanitary Sewer Rehabilitation, Project No. UW16006 (formerly M16006).
641
4. The City Council awards a Construction Contract between the City of Stockton and California Trenchless, Inc. , in the amount of $1,297,130, and the City Manager is authorized and directed to execute same, a copy of which is attached as Exhibit 2 and incorporated by this reference.
5. The City Manager is hereby authorized to take whatever actions are necessary and appropriate to carry out the purpose and intent of this Resolution.
PASSED, APPROVED, and ADOPTED June 13, 2023 .
KEVIN J. LINCOLN II
Mayor of the City of Stockton
ATTEST:
ELIZA R. GARZA, CMC
City Clerk of the City of Stockton
642
643
Local Construction Contract – CALIFORNIA TRENCHLESS, INC. (Updated 07/12/22)
CONSTRUCTION CONTRACT
This contract is made and enter ed into on _____________, by and between CALIFORNIA TRENCHLESS, INC., a STATE OF CA CORPORATION, with a business address at 2315 DUNN ROAD, HAYWARD, CA 94545 , hereinafter called "CONTRACTOR," and CITY OF STOCKTON, a municipal corporation, hereinafter called "CITY."
W I T N E S S E T H:
WHEREAS, plans and specifications for the construction of 2016 SANITARY
SEWER REHABILITATION (PROJECT
NO. UW16006), hereinafter called “PROJECT,”
were regularly adopted by Council Resolution No. __________________ , on _________________; and
WHEREAS, the contract for said work was regularly awarded to CONTRACTOR, by Council Resolution No. __________________, on ________________.
NOW, THEREFORE, in consideration of the promises and of the mutual covenants herein contained, the parties hereto expressly agree as follows:
CONTRACTOR agrees:
1. SCOPE OF SERVICES. To do the work and furnish all the labor, materials, tools, equipment, and insurance required for the construction of PROJECT in accordance with the plans and specificat ions adopted on _____________, by Council Resolution No. __________________ . The "contract documents, " which include the bid documents, project plans, specifications, all letters of clarification, and the City of Stockton Standard Specifications and Plans, are incorporated into and made a part of this contract by this reference to the same extent as if fully set forth.
2. COMPENSATION. To do and perform the work contemplated hereby in a good and workmanlike manner and to furnish all labor, materials, tools, and equipment necessary therefore at the prices specified in Exhibit A, attached hereto and by reference made a part hereof, under the direction of and to the complete satisfaction of the Director of Public Works of the Cit y of Stockton. Total compensation for services and reimbursement for costs shall not exceed $1,297,130.00, or as otherwise mutually agreed to in a Contract Change Order.
3. INSURANCE. CONTRACTOR shall not commence any work before obtaining, and shall maintain in force at all times during the duration and performance of this contract, the policies of insurance specif ied in Exhibit B, which is attached to this contract and incorporated by this reference, and as provided in the “contract documents” including Section 7-1.06 of the City of Stockt on Standard Specifications and Plans as adopted on September 27, 2016, by Council Resolution No . 2016-09-27, effective September 27, 2016.
644
Local Construction Contract – CALIFORNIA TRENCHLESS, INC. (Updated 07/12/22) It shall be a requirement under this agreement that any av ailable insurance proceeds broader than or in excess of the specified minimum insurance coverage requirements and/or limits shall be available to the Additional Insured.
Furthermore, the requirements for coverage and limits shall be (1) the minimum coverage and limits specified in this Agreement; or (2) the broader coverage and maximum limits of coverage of any insurance policy or proceeds available to the named Insured; whichever is greater.
The Additional Insured coverage under the CONTRACTOR’s policy shall be “primary and non-contributory” and will not seek contribution from the City of Stockton’s insurance or self-insurance and shall be at least as broad as ISO CG 20 01 04 13.
The limits of insurance requir ed in this agreement may be sati sfied by a combination of primary and umbrella or excess insurance. Any umbrella or excess insurance shall contain or be endorsed to contai n a provision that such co verage shall also apply on a primary and non-contributory basis for the benefit of the City of Stockton (if agreed to in a written contract or agreem ent) before the City of Stockton’s own insurance or self- insurance shall be called upon to protect it as a named insured.
All self-insured retentions (SIR) must be disclosed to the CITY’s Risk Management for approval and shall not reduce t he limits of liability. Payment Bond in the amount of the self-insured retention (SIR) may be required.
Policies containing any self-insured retention (SIR) provision shall provide or be endorsed to provide that the SIR may be satisfied by either the named insured or the CITY.
The CITY reserves the right to obtain a full certified copy of any insurance policy and endorsements.
Failure to exercise this right shall not constitute a waiver of right to exercise later.
CONTRACTOR shall maintain insurance as required by this contract to the fullest amount allowed by law and shall maintain insurance for a minimum of five years following the completion of this project. In the event cont ractor fails to obtain or maintain completed operations coverage as requir ed by this agreement, the City at its sole discretion may purchase the coverage required and the cost will be paid by contractor.
CONTRACTOR agrees to include with all Subcont ractors in their subcontract the same requirements and provisions of this agreement including the indemnity and insurance requirements to the extent they apply to the scope of the Subcontractor’s work.
Subcontractors hired by CONTRACTOR ag ree to be bound to CONTRACTOR and the CITY in the same manner and to the same extent as CONTRACTOR is bound to the CITY under the Contract Documents. Subcontractor further agrees to include these same provisions with any Sub-subcontractor. A copy of the CITY Contract Document Indemnity and Insurance provisions will be furnished to the Subcontractor upon request. The 645
Local Construction Contract – CALIFORNIA TRENCHLESS, INC. (Updated 07/12/22) General CONTRACTOR shall require all sub-contractors to provide a valid certificate of insurance and the required endorsements included in the agreement prior to commencement of any work and contractor will provide proof of compliance to the City.
4. INDEMNITY AND HOLD HARMLESS. With the exception that this section shall in no event be construed to require indemnification by Contractor to a greater extent than permitted under the public policy of the State of California, Contractor shall indemnify, protect, defend with counsel approved by City and at Contractor’s sole cost and expense, and hold harmless City, its Mayo r, Council, official s, representatives, agents, employees, and volunteers from and against any and all claims, causes of action, liabilities, judgments, awar ds, losses, liens, claims, stop notices, damages, expenses, and costs (including without limitation attorne ys’ fees, expert and consultant fees, and other expenses of litigation) of every nature, including, but not limited to, death or injury to persons, or damage to prope rty, which arise out of or are in any way connected with the work performed, ma terials furnished, or services provided under this Agreement, or from any violation of any federal, State, or municipal law or ordinance, or City Policy, by Contractor or Contractor’s of ficers, agents, employees, volu nteers or subc ontractors.
Contractor shall not be obligated to indemnify or defend City for claims finally determined by a court of law or arbitrat or to arise from the active negligence or willful misconduct of the City. It is the intent of the Parties that this indemnity obligation is at least as broad as is permitted under California law. To the extent Califo rnia Civil Code sections 2782, et seq., limit the defense or indemnity obligations of Cont ractor to City, the intent hereunder is to provide the maximum defens e and indemnity obligations allowed by Contractor under the law. The indemnity set forth in this section shall not be limited by insurance requirements or by any other provision of this Agreement.
With exception that this section shall in no event be construed to require indemnification, including the duty to defend, by Contractor to a gr eater extent than permitted under the public policy of the State of California, the parties agree that Contractor’s duty to defend City is immediate and arises upon the filing of any clai m against the City for damages which arise out of or are in any way co nnected with the work performed, materials furnished, or services provided under this Ag reement by Contractor or Contractor’s officers, agents, employees, vo lunteers or subcontractors. Contractor’s duties and obligations to defend the City shall apply regardless of whethe r or not the issue of the City’s liability, breach of this Agreement, or other obligation or fault has been determined.
Contractor shall be immediat ely obligated to pay for City’s defense costs of the claim, including, but not limited to, court costs, attorney’s fees and costs, expert consultant and witness fees and costs, othe r witness fees, document repr oduction costs, arbitration fees, and, if after final judgm ent an appeal is pursued, all of such costs for the appeal.
At the conclusion of the claim, if there is any determinati on or finding of sole active negligence or willful misconduct on the part of the City, Cit y will then reimburse Contractor for amounts paid in excess of Contractor’s pr oportionate share of responsibility for the damages within 30 days after Contractor prov ides City with copie s
of all bills and expenses incurred in the defense of the claim(s). It is agreed between the parties that this reimbursemen t provision assures Contractor is not obligated to defend 646
Local Construction Contract – CALIFORNIA TRENCHLESS, INC. (Updated 07/12/22) or indemnify City in an amount greater than provided for under California law, including, without limitation, California Civil C ode sections 2782, 2782.6, and 2782.8.
With the exception that this section sh all in no event be construed to require indemnification by Contractor to a greater extent than pe rmitted under the public policy of the State of California, and in addition to the other i ndemnity obligations in this Agreement, Contractor shall indemnify, de fend, and hold harmle ss City, its Mayor, Council, officials, representatives, agents , employees, and volunt eers from and against all claims, losses, expenses, and costs includi ng, but not limited to, attorneys’ fees, arising out of any claim br ought against the City by an employee, office, agent, or volunteer of Contractor, r egardless of whether such claim may be covered by any applicable workers compensation insurance. Contractor’s indemnification obligation is not limited in any way by any limitation on the amount or type of damages, compensation, or benefits payable by or for the Contractor under workers’ compensation acts, disability acts, or other employee benefit acts.
The City’s acceptance of the insurance certificates required under this Agreement does not relieve the CONTRACTOR from its obligation under this paragraph. The indemnification obligations of this section shall survive the termination of this agreement.
Any exceptions to this language may result in a proposal being deemed non-responsive.
CONTRACTOR/Subcontractor's responsibil ity for such defense and indemnity obligations shall survive the termination or completion of this agreement for the full period of time allowed by law.
The defense and indemnification obligations of this agreement are undertaken in addition to, and shall not in any way be limited by, th e insurance obligations contained in this agreement. If any section, subsection, sentence, clause or phrase of this indemnification is for any reason held to be invalid or unconsti tutional, such decision shall not affect the validity of the remaining portions of this indemnification.
5. STANDARD PLANS A ND SPECIFICATIONS. The performance of said work and the furnishing of said materials shall be executed in ac cordance with Section 8-1.04B of the City of Stockton Standard Specifications and Plans as adopted on September 27, 2016, by Council Resolution No. 2016-09-27-1213, effective September 27, 2016, and the provisions of the issued project specifications.
The Director of Public Works will furnish CONTRACTOR a weekly statement showing the number of days charged to the contract for the preceding week, the number of days specified for completion of the contract, and the number of days remaining to complete the contract. CONTRACTOR will be allowed one (1) week in which to file a written protest setting forth in what respects said weekly statement is incorrect, otherwise the statement shall be deemed to have been accepted by CONTRACTOR as correct.
6. WORKING DAYS. This work shall be diligently prosecuted to completion before the expiration of 80 WORKING DAYS begi nning on the tenth calendar day after the date shown on the Notice to Proceed. It is agreed by the parties to the contract that 647
Local Construction Contract – CALIFORNIA TRENCHLESS, INC. (Updated 07/12/22) in case all the work called for under the cont ract in all parts and requirements, is not finished or completed within the number of days as set fo rth, damage will be sustained by the CITY, and that it is and will be impracticable and extremely difficult to ascertain the actual damage which CITY will sustain in the event of and by reason of such delay; and it is therefore agreed that CONTRACTOR will pay to CITY the sum of ONE THOUSAND NINE HUNDRED AND NO/100 DOLLARS ($1,900) per day for each and every calendar day's delay in finishing the work in e xcess of the number of days prescribed; and CONTRACTOR agrees to pay said liquidated damages as herein provided, and in case the same are not paid, agrees that CITY, may deduct the amount thereof from any monies due or that may become due CONTRACTOR under the contract.
It is further agreed that in case the work called for under the contract is not finished and completed in all parts and requirements within the number of days as specified, the CITY shall have the right to increase the number of days or not, as may seem best to serve the interest of CITY, and if the CITY decid es to increase the said number of days, the CITY shall further have the right to char ge to CONTRACTOR, CONTRACTOR's heirs, assigns or sureties, and to deduct from the final payment for the work, all or any part, as may be deemed proper, the liquidated damages as specified or the actual cost of engineering, inspection, superintendence, and other ov erhead expenses which are directly chargeable to the contract, and which accrue during the period of such extension, whichever is greater, except the cost of fi nal surveys and preparation of final estimate shall not be included in such charges.
A working day shall not include, nor sha ll CONTRACTOR be assessed with liquidated damages nor the additional cost of engineeri ng and inspection during any delay beyond the time named for the completion of the work caused by acts of God or of the public enemy, acts of CITY, fire, fl oods, epidemics, quarantine restri ctions, strikes, and freight embargoes and subject to approval by the Direc tor of Public Works, inability to get materials ordered by CONTRACTOR or subcontractor due to such causes provided that CONTRACTOR shall notify the Director of Public Works in writing of the causes of delay within five (5) working days from the beginni ng of any such delay, and the Director shall ascertain the facts and the extent of the delay, and Director's findings of the facts thereon shall be final and conclusive.
If CONTRACTOR is delayed by reason of alterations made in these specifications, or by any act of the Director of Public Works or of the CITY, not contemplated by the contract, the time of completion shall be extended proportionately and CONTRACTOR shall be relieved during the period of such extension of any claim for liquidated damages, engineering or inspection charges or other penalties. CONTRACTOR shall have no claim for any other compensation for any such delay.
7. CONFORMANCE TO APPLICABLE LAWS. Contractor shall comply with all applicable Federal, State, and Municipal laws, rules and ordinances. Contractor shall not discriminate in the employme nt of persons or in the prov ision of services under this Contract on the basis of any legally protected classification, including race, color, national origin, ancestry, sex or religion of such person.
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a. TITLE VI
Title VI of the Civil Rights Act of 1964 requires that “no person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits o f, or be subjected to discrimination under any pr ogram or activity receiving federal financial assistance.” (42 USC Section 2000d)
http://www.dol.gov/oasam/regs/statutes/titlevi.htm.
The City of Stockton requires compliance with the requirements of Title VI in all of its programs and activities regardless of funding source.
b. DISCRIMINATION AND HARASSMENT POLICY
The City of Stockton has a Discriminat ion and Harassment Policy (Exhibit C). The purpose of this policy is to reaffirm the CITY’s commitment to demonstrating respect for all individuals by strictly prohibiting discrimination and harassment, including sexual harassment in the workplace, to define the types of behavior and conduct prohibited by this policy, and to set forth a procedure for reporting, investigat ing, and resolving complaints of discrimination and harassment in the workplace.
c. LABOR STANDARDS PROVISIO NS/CALIFORNIA LABOR CODE
The bidder shall understand that conditions set forth in Chapter 1, Part 7, Division 2 of the Calif ornia Labor Code shall be considered part of the contract agreement.
https://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?lawCode= LAB&division=2.&title=&part=7.&chapter=1.&article=2.
d. PREVAILING WAGE
CONTRACTOR and any subcontractor shall pay each employee engaged in the trade or occupation not less than the prevailing hourly wage rate. In accordance with the provis ions of Section 1770 of the Labor Code, the Director of Department of Industrial Relations of the State of California has determined the general prevailing rates of wages and employer payments for health and welfare, pension, vacation, travel time, and subsistence pay as provided for in Section 1773. 1, apprenticeship or other training programs authorized by Se ction 3093 and similar pu rposes applicable to the work to be done. CONTRACTOR performing the work under this contract shall obtain a copy of t he wage rate determination and shall distribute copies to each subcontract or. As the wage determination for each craft reflects an expiration date, it shall be the prime CONTRACTOR 649
Local Construction Contract – CALIFORNIA TRENCHLESS, INC. (Updated 07/12/22) and each subcontractor's responsibility to ensure that the prevailing wage rates of concern is current and paid to the employee.
i. The CONTRACTOR performing the work shall be responsible for obtaining a copy of the State wage rate determination. State wage rates may be obtained at
http://www.dir.ca.gov/OPRL/pwd/Determinations/Northern/Northern.p df. The CONTRACTOR shall be responsible for posting said wage rates at a prominent location at the work site and shall maintain same in a good readable condition for the duration of the work.
ii. Should the CONTRACTOR choose to work on a Saturday, Sunday or on a holiday recognized by the Labor Unions, the CONTRACTOR shall reimburse the CITY the actual co st of engineering, inspection, superintendence, and or other overhead expenses which are directly chargeable to the contract. Should such work be undertaken at the request of the CITY, reimbursement will not be required. To conform strictly with the provisions of Division 2, Part 7, Chapter 1, Article 2, of the Labor Code of the State of Califo rnia. To forfeit as a penalty to CITY the sum of TWENTY-FIVE AND NO/100 DOLLARS ($25.00) for each laborer, worker, or mechanic employed by CONTRACTOR, or by any subcontractor under CONTRACTOR, in the execution of this contract, for each calendar day during which any laborer, worker, or mechanic is required or permitted to work more than eight (8) hours and who is not paid the general prevailing rate of per diem wages for holiday and overtime work in violat ion of the provisions of Sections 1770 to 1781 of the Labor Code of the State of California. That all sums forfeited under the provisions of the foregoing sections shall be deducted from the payments to be ma de under the terms of this contract.
iii. The CONTRACTOR to whom the cont ract is awarded shall ensure that the prime and each subcontractor will in accordance with Section 1776 of the Labor Code, maintain certified payroll records. A copy of said records shall be provided with each invoice to the Public Works Department, Attention Contract Co mpliance Officer. It shall be the CONTRACTOR’S responsibility to obtain copies of the current prevailing wage rate determination for all subcontractors. Additionally, certified payroll records must be uploaded to the DIR website as required by labor code.
iv. The CONTRACTOR shall comply wit h the provisions established in Section 1777.5 of the Labor Code concerning the 1) certified approval by local joint apprenticeship committees for the employment and training of apprentices, and 2) contri bution of funds to administer and conduct apprenticeship programs, if applicable to the job. 650
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e. LOCAL EMPLOYMENT ORDINANCE
Pursuant to Stockton Municipal Code Section 3.68.095 the CONTRACTOR and all subcontractors shall make a good fa ith effort to employ at least 50 percent of the workforce on this proj ect from local residents, as measured by total labor work hours. Failure of any CONTRACTOR or subcontractor to comply with these requirements shall be deemed a material breach of the contract or subcontract. CONT RACTORS and subcontractors shall maintain records necessary for moni toring their compliance with section
3.68.095.
f. COMMUNITY WORKFORCE TRAINING AGREEMENT
Pursuant to the implementation of the Community Workforce Training Agreement (CWTA) adopted by the Cit y Council on July 26, 2016, the successful bidder shall be required to comply with the provisions of CWTA. For any project subject to this Agreement, the Local Hire, Priority Apprentice and Workforce Development Program requirements shall apply in lieu of the requirements of Stockton Municipal Code Section 3.68.095 and no separate compliance with Secti on 3.68.095 will be r equired of the Contractors/Employers working on the project (EXHIBIT D).
g. SANCTIONS
Deliverables must conform with all applicable federal, state, and local laws. Such conformity includes compliance with federal sanctions, and Contractor certifies that it has not and will not e ngage in prohibited transactions with sanctioned persons or entities.
CITY agrees:
8. COMPENSATION. To pay CONTRACTOR for the work herein
contemplated in the following manner: Progress payments will be made on or about the first day of each calendar month, in such sum as shall make the aggregate of payment up to such day equal to ninety-five percent (95%) of the proportional contract price, upon the basis of the progress certif icate of the Director of Public Works as to the amount of work done and the proportional amount of the contract price represented therefore; and all of the remaining part of t he contract price not as aforesai d paid, shall be paid at the expiration of thirty-five (35) days from the completion of said work of construction and the certification by the Director of Public Works of such completion.
9. SECURITIES. Pursuant to Section 22300 of the Public Contract Code, CONTRACTOR will be permitted, at its request and sole expense, to substitute securities for any monies withheld by the CITY to ensure performance under the contract. Said securities will be deposited either with the CITY or with a State or federally chartered bank 651
Local Construction Contract – CALIFORNIA TRENCHLESS, INC. (Updated 07/12/22) as escrow agent. Securities eligible for this substitution are those listed in Section 16430 of the California Government Code or bank or savings and loan certificates of deposit.
CONTRACTOR shall be the beneficial owner of any securities substituted for monies withheld and shall receive any interest thereon.
10. CHANGE ORDERS. CITY reserves the right to make such alterations, deviations, additions to or omissions from the plans and specifications, including the right to increase or decrease the quantity of any item or portion of the work, as may be deemed by the Engineer to be necessary or advisable and to require su ch extra work as may be determined by the Engineer to be required for the proper completion or construction of the whole work contemplated.
Any such changes will be set forth in a contract change order which will specify, in addition to the work done in connection with the change made, adjustment of contract time, if any, and the basis of compensation for such work . A contract change order will not become effective until approved by the City Manager and/or the City Council.
Processing of change orders shall be in accordance with Section 4-1. 05A of the City of Stockton Standard Specifications and Plans as adopted by Council on September 27, 2016, by Resolution No. 2016-09-27-1213, effective September 27, 2016, or as otherwise amended by Council. When the compensation for an item of work is subject to adjustment under the provisions of Standard Specif ications and Plans, Section 4-1.05A, CONTRACTOR shall, upon request, promptly furnish the Engineer with adequate detailed cost data for such item of work.
11. AUDITS. CITY reserves the right to peri odically audit all charges made by CONTRACTOR to CITY for services under the contract. Upon request, CONTRACTOR agrees to furnish CITY, or a designated repr esentative, with necessary information and assistance.
CONTRACTOR agrees that CITY or its delegate will have the right to review, obtain and copy all records pertaining to performance of the contract. CONTRACTOR agrees to provide CITY or its delegate with any rele vant information requested and shall permit CITY or its delegate access to its prem ises, upon reasonable notice, during normal business hours for the purpose of intervie wing employees and inspecting and copying such books, records, accounts, and other material that may be relevant to a matter under investigation for the purpos e of determining compliance with this requirement.
CONTRACTOR further agrees to maintain such records for a period of three (3) years after final payment under the contract.
12. WAIVER. It is expressly understood and agreed by and between the parties hereto that a waiver of any of the conditions of this contract shall not be considered a waiver of any of the other conditions thereof.
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Insurance Requirements for Construction Contracts
Contractor shall procure and maintain for the duration of the contract, and for 5 years thereafter, insurance against claims for injuries to persons or damages to property which may arise from or in connection with the performance of the work hereunder by the Contractor, his agents, representatives, employees, or subcontractors.
MINIMUM SCOPE AND LIMIT OF INSURANCE
Coverage shall be at least as broad as:
1. Commercial General Liability (CGL): Insurance Services Office (ISO) Form CG 00 01 covering CGL on an “occurrence” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $2,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit.
2. Automobile Liability: Insurance Services Office Form CA 0001 covering Code 1 (any auto), with limits no less than $2,000,000 per accident for bodily injury and property damage.
3. Workers’ Compensation insurance as required by the State of California, with Statutory Limits, and Employers’ Liability insurance with a limit of no less than $1,000,000 per accident for bodily injury or disease.
4. Builder’s Risk (Course of Construction) insurance utilizing an “All Risk” (Special Perils) coverage form, with limits equal to the completed value of the project and no coinsurance penalty provisions.
5. Surety Bonds as described below.
6. Contractors Pollution Liability applicable to the work being performed, with a limit no less than $1,000,000 per claim or occurrence and $2,000,000 aggregate per policy period of one year.
If the contractor maintains broader coverage and/or higher limits than the minimums shown above, the City of Stockton requires and shall be entitled to the broader coverage and/or the higher limits maintained by the contractor. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City of Stockton.
Self-Insured Retentions
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Self-insured retentions must be declared to and approved by the City of Stockton. The City of Stockton may require the Contractor to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self-insured retention may be satisfied by either the named insured or City of Stockton. The CGL and any policies, including Excess liability policies, may not be subject to a self-insured retention (SIR) or deductible that exceeds $25,000 unless approved in writing by City of Stockton. Any and all deductibles and SIRs shall be the sole responsibility of Contractor or subcontractor who procured such insurance and shall not apply to the Indemnified Additional Insured Parties. City of Stockton may deduct from any amounts otherwise due Contractor to fund the SIR/deductible. Policies shall NOT contain any self-insured retention (SIR) provision that limits the satisfaction of the SIR to the Named Insured.
The policy must also provide that Defense costs, including the Allocated Loss Adjustment Expenses, will satisfy the SIR or deductible. City of Stockton reserves the right to obtain a copy of any policies and endorsements for verification.
Other Insurance Provisions
The insurance policies are to contain, or be endorsed to contain, the following provisions:
1. The City of Stockton, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Contractor including materials, parts, or equipment furnished in connection with such work or operations and automobiles owned, leased, hired, or borrowed by or on behalf of the Contractor.
General liability coverage can be provided in the form of an endorsement to the Contractor’s insurance (at least as broad as ISO Form CG 20 10 11 85 or both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms if later revisions used).
Additional insured Name of Organization shall read “City of Stockton, its officers, officials, employees, and volunteers.” Policy shall cover City of Stockton, its officers, officials, employees, and volunteers for all locations work is done under this contract.
2. For any claims related to this project, the Contractor’s insurance coverage shall be primary and non-contributory insurance coverage at least as broad as ISO CG 20 01 04 13 as respects the City of Stockton, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the City of Stockton, its officers, officials, employees, or volunteers shall be excess of the Contractor’s insurance and shall not contribute with it. This requirement shall also apply to any Excess or Umbrella liability policies. The City of Stockton does not accept endorsements limiting the Contractor’s insurance coverage to the sole negligence of the Named Insured.
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3. Each insurance policy required by this clause shall provide that coverage shall not be canceled, except with notice to the City of Stockton.
Builder’s Risk (Course of Construction) Insurance
Contractor may submit evidence of Builder’s Risk insurance in the form of Course of Construction coverage. Such coverage shall name the City of Stockton as a loss payee as their interest may appear.
If the project does not involve new or major reconstruction, at the option of the City of Stockton, an Installation Floater may be acceptable. For such projects, a Property Installation Floater shall be obtained that provides for the improvement, remodel, modification, alteration, conversion or adjustment to existing buildings, structures, processes, machinery and equipment. The Property Installation Floater shall provide property damage coverage for any building, structure, machinery or equipment damaged, impaired, broken, or destroyed during the performance of the Work, including during transit, installation, and testing at the City of Stockton’s site.
Claims Made Policies (professional & pollution only)
If any coverage required is written on a claims-made coverage form:
1. The retroactive date must be shown, and this date must be before the execution date of the contract or the beginning of contract work.
2. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of contract work.
3. If coverage is cancelled or non-renewed, and not replaced with another claims-made policy form with a retroactive date prior to the contract effective, or start of work date, the Contractor must purchase extended reporting period coverage for a minimum of five (5) years after completion of contract work.
4. A copy of the claims reporting requirements must be submitted to the City of Stockton for review.
5. If the services involve lead-based paint or asbestos identification/remediation, the Contractors Pollution Liability policy shall not contain lead-based paint or asbestos exclusions. If the services involve mold identification/remediation, the Contractors Pollution Liability policy shall not contain a mold exclusion, and the definition of Pollution shall include microbial matter, including mold.
Umbrella or Excess Policies
The Contractor may use Umbrella or Excess Policies to provide the liability limits as required in this agreement. This form of insurance will be acceptable provided that all of the Primary and Umbrella or Excess Policies shall provide all of the insurance 658
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coverages herein required, including, but not limited to, primary and non-contributory, additional insured, Self-Insured Retentions (SIRs), indemnity, and defense requirements. The Umbrella or Excess policies shall be provided on a true “following form” or broader coverage basis, with coverage at least as broad as provided on the underlying Commercial General Liability insurance. No insurance policies maintained by the Additional Insureds, whether primary or excess, and which also apply to a loss covered hereunder, shall be called upon to contribute to a loss until the Contractor’s primary and excess liability policies are exhausted.
Acceptability of Insurers
Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best rating of no less than A: VII, unless otherwise acceptable to the City of Stockton.
Waiver of Subrogation
Contractor hereby agrees to waive rights of subrogation which any insurer of Contractor may acquire from Contractor by virtue of the payment of any loss.
Contractor agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation. The Workers’ Compensation policy shall be endorsed with a waiver of subrogation in favor of the City of Stockton for all work performed by the Contractor, its employees, agents and subcontractors.
Verification of Coverage
Contractor shall furnish the City of Stockton with original certificates and amendatory endorsements or copies of the applicable policy language effecting coverage required by this clause and a copy of the Declarations and Endorsements Pages of the CGL and any Excess policies listing all policy endorsements. All certificates and endorsements and copies of the Declarations & Endorsements pages are to be received and approved by the City of Stockton before work commences. However, failure to obtain the required documents prior to the work beginning shall not waive the Contractor’s obligation to provide them. The City of Stockton reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. City of Stockton reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances.
Subcontractors
Contractor shall require and verify that all subcontractors maintain insurance meeting all requirements stated herein, and Contractor shall ensure that City of Stockton is an additional insured on insurance required from subcontractors. For CGL coverage, subcontractors shall provide coverage with a form at least as broad as CG 20 38 04 13.
Duration of Coverage
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CGL & Excess liability policies for any construction related work, including, but not limited to, maintenance, service, or repair work, shall continue coverage for a minimum of 5 years for Completed Operations liability coverage. Such Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work.
Surety Bonds
Contractor shall provide the following Surety Bonds:
1. Bid Bond
2. Performance Bond
3. Payment Bond
4. Maintenance Bond
The Payment Bond and the Performance Bond shall be in a sum equal to the contract price. If the Performance Bond provides for a one-year warranty a separate Maintenance Bond is not necessary. If the warranty period specified in the contract is for longer than one year a Maintenance Bond equal to 10% of the contract price is required. Bonds shall be duly executed by a responsible corporate surety, authorized to issue such bonds in the State of California and secured through an authorized agent with an office in California.
Special Risks or Circumstances
City of Stockton reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other circumstances.
Certificate Holder Address
The address for mailing certificates, endorsements and notices shall be:
City of Stockton
Its Officers, Officials, Employees and Volunteers
400 E Main Street, 3rd Floor – HR
Stockton, CA 95202
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EXHIBIT D
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BOND FOR FAITHFUL PERFORMANCE
KNOW ALL MEN BY THESE PRESENTS:
That we, _____________________________, a STATE OF CA CORPORATION, as Principal and
________, a corporation,
organized and existing under the laws of the State of ______and duly authorized to transact business under the laws of the State of California, as Surety, are held and firmly bound unto the City of Stockton, a municipal corporation, duly created and existing under and by virtue of the laws of the State of California, as obligee, in the just and full sum of ONE MILLION TWO HUNDRED NINETY SEVEN THOUSAND ONE HUNDRED THIRTY ($1,297, 130.00), in lawful money of the United States of America (being 100% of the contract price) for the payment whereof well and truly to be made to the said CITY, the said Principal and Sure ty bind themselves, their successors and assigns, jointly and severally, firmly by these presents.
The condition of the foregoing obligation is such that the above bounded Principal has simultaneously entered into a contract with the CITY, to do and perform the following work, to wit:
2016 SANITARY SEWER REHABILITATION
(PROJECT NO. UW16006)
NOW, THEREFORE, if the above bounde d Principal, CONTRACTOR, Company or
Corporation or its subcontract or, shall well and truly perfo rm the work c ontracted to be done under said contract, then this obligation to be null and void ; otherwise to remain in full force and effect.
No prepayment or delay in payment and no change, extension, addition or alteration of any provision of said contract, or in said plans or specifications agreed to between the said CONTRACTOR and the said CITY, and no forbearance on the part of the said CITY shall operate to relieve any Surety or Sureties from liability on this bond, and consent by said Surety is hereby given, and the said Surety hereby waives the 696
provisions of Sections 2819 and 2845 of the Civil Code of the State of California.
SIGNED AND SEALED on
APPROVED AS TO SURETY: By:
P R I N C I P A L
S U R E T Y
APPROVED AS TO FORM & CONTENT:
LORI M. ASUNCION
OFFICE OF THE CITY ATTORNEY
B y :
A T T O R N E Y - I N - F A C T
B y :
DEPUTY CITY ATTORNEY
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BOND FOR LABOR AND MATERIAL
KNOW ALL MEN BY THESE PRESENTS:
That we, _____________________________, a STATE OF CA CORPORATION, as Principal and ________, a corporation,
organized and existing under the laws of the State of and duly authorized to transact business under the laws of the State of California, as Surety, are held and firmly bound unto the City of Stockton, a municipal corporation, duly created and existing under and by virtue of the laws of the State of Californi a, and unto any and all material suppliers, persons, companies, or corporations furnishing materials, provisions, provender or other supplies used in, upon, fo r or about the performance of the work contemplated to be executed or performed under the contract hereinafter mentioned, and all persons, companies, or corporations rent ing or hiring teams, or implements of machinery, for or contributing to said work and all persons who perform work or labor upon the same, and all persons who supply bot h work and materials, and whose claims have not been paid by the contractor, company or corporation in the just and full sum of
ONE MILLION TWO HUNDRED NINETY SEVEN THOUSAND ONE HUNDRED THIRTY AND NO/100 DOLLARS ($1,297,130.00), in lawful money of the United States of America (being 100% of the contract price) for the payment whereof well and truly to be made to said CITY and to said persons jointly and severally, the said principal and Surety bind themselves, their successors and assigns, jointly and severally, firmly by these presents.
The condition of the foregoing obligations is such that the above bounden Principal has simultaneously entered into a contract of even date herewith, wit h the CITY, to do and perform the following work, to-wit:
2016 SANITARY SEWER REHABILITATION
(PROJECT NO. UW16006)
NOW, THEREFORE, if the abov e bounden Principal, CO NTRACTOR, Company or Corporation or its subcontractor, fail to pay for all materials, provisions, provender, or other supplies, or teams, used in, upon, for or about the performance of the work contracted to be done, or for any work or la bor done thereon of any kind, the Surety on 698
this bond will pay the same, in an amount not exceeding the sum specified in this bond, provided that any and all claims hereunder shall be filed and pr oceedings had in connection therewith as required by the provisions of Division 3, Part 4, Title 15, Chapter 5, Article 1 of the Civil Code of California, provided that in case suit is brought upon this bond, a reasonable attorney's fee shall be awarded by the Court to the prevailing party in said suit; said attorney's fee to be fixed as costs in said suit, and to be included in the judgment therein rendered.
No prepayment or delay in payment and no change, extension, addition or alteration of any provision of said contract or in said plans or spec ifications agreed to between the said CONTRACTOR and the said CI TY and no forbearance on the part of the said CITY shall operate to relieve any sure ty or sureties from liability on this bond, and consent to make such alterations without further notice to or consent by any such surety is hereby given, and the said sureties hereby waive the provisions of Sections 2819 and 2845 of the Civil Code of the State of California.
S I G N E D A N D S E A L E D o n .
APPROVED AS TO SURETY: By:
P R I N C I P A L
S U R E T Y
APPROVED AS TO FORM & CONTENT:
LORI M. ASUNCION
OFFICE OF THE CITY ATTORNEY
B y :
A T T O R N E Y - I N - F A C T
B y :
DEPUTY CITY ATTORNEY
699
City of Stockton
Legislation Text
File #: 23-0361, Version: 1
ADOPT RESOLUTION TO AUTHORIZE TRANSFER OF FUNDS FOR THE MARCH LANE/EAST
BAY MUD BICYCLE AND PEDESTRIAN PATH CONNECTIVITY IMPROVEMENTS PROJECT
RECOMMENDATION
It is recommended that the City Council adopt a resolution to transfer funds in the amount of $20,000 from the Bicycle Master Plan Program, Project No. WT17003, to the March Lane/East Bay MUD Bicycle and Pedestrian Path Connectivity Improvements, Project No. WT17022/Federal Project No.
ATPCML-5008(179).
It is also recommended that the City Manager be authorized to take appropriate and necessary actions to carry out the purpose and intent of this resolution.
Summary
On July 27, 2021, by Resolution No. 2021-07-27-1222, Council awarded a Construction Contract in the amount of $2,784,744.42 to McFadden Construction, Inc., of Stockton, CA, for the March Lane/East Bay MUD Bicycle and Pedestrian Path Connectivity Improvements, Project No.
WT17022/Federal Project No. ATPCML-5008(179). This project has been fully constructed with only project closeout remaining (Attachment A - Vicinity Map).
Balancing Contract Change Order (CCO) No. 5 was approved by Council on March 7, 2023, by Resolution No. 2023-03-07-1211, which was required to close out the project and make final payment to the contractor. Although this previous resolution mentioned the need to transfer funding, it did not specify the amount of funds required and from which account these funds would be transferred. This current resolution clarifies those details.
To fully fund the construction of the project, staff recommends transferring funds in the amount of $20,000 from the Bicycle Master Plan Program, Project No. WT17003, to the March Lane/East Bay MUD Bicycle and Pedestrian Path Connectivity Improvements, Project No. WT17022/Federal Project No. ATPCML-5008(179).
DISCUSSION
Background
On July 27, 2021, by Resolution No. 2021-07-27-1222, Council awarded a Construction Contract in the amount of $2,784,744.42 to McFadden Construction, Inc., of Stockton, CA, for the March Lane/East Bay MUD Bicycle and Pedestrian Path Connectivity Improvements, Project No.
WT17022/Federal Project No. ATPCML-5008(179). This project has been fully constructed with only project closeout remaining (Attachment A - Vicinity Map).
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The project reconstructed, widened, and improved the existing path along the East Bay MUD corridor between Brookside Road and Hillsboro Way for a distance of approximately 3.5 miles. The project also upgraded the path to current Class I Bicycle and Pedestrian (shared use) standards, installed intersection and midblock improvements, high visibility crosswalks, striping, gap closures, upgraded curb ramps to Americans with Disabilities Act standards, installed flashing beacons, and added wayfinding signage.
During construction, additional work was necessary to address unforeseen field conditions and accomplish the intended scope of the project. CCO Nos. 1 through 4, in the amount of $378,011.05, were previously approved under the administrative change order authority allowed under the original contract. CCO Nos. 1 through 4 approved additional work for replacing unsuitable soils and installing geogrid beneath new path where required, installing additional bollards to restrict vehicle access, and removing trees that would obstruct the new path alignment.
Present Situation
Balancing CCO No. 5 was approved by Council on March 7, 2023, by Resolution No. 2023-03-07- 1211, which was required to close out the project and make final payment to the contractor. Although this previous resolution mentioned the need to transfer funding, it did not specify the amount of funds required and from which account these funds would be transferred. This current resolution clarifies those details.
Staff recommends Council adopt a resolution to transfer funds in the amount of $20,000 from the Bicycle Master Plan Program, Project No. WT17003, to the March Lane/East Bay MUD Bicycle and Pedestrian Path Connectivity Improvements, Project No. WT17022/Federal Project No. ATPCML- 5008(179).
FINANCIAL SUMMARY
There are sufficient funds to transfer $20,000 from the Bicycle Master Plan Program, Project No.
WT17003 (formerly PW1703), Account No. 4570-000-800007-300-000-30-45-000-000, to the March Lane/East Bay MUD Bicycle and Pedestrian Path Connectivity Improvements, Project No. WT17022 (formerly PW1722)/Federal Project No. ATPCML-5008(179), Account No. 4570-000-800007-300-000 -30-45-000-000, sufficient funds will be available for project closeout.
There is no impact to the City’s General Fund or any other unrestricted fund as a result of taking the recommended action.
Attachment A - Vicinity Map
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HAMMER LANE
PACIFIC AVE
NUE
BENJAMIN
HOLT DRIVE
MARCH LANE
SMITHS
CANAL
EL D
ORADO STREET
HARDING
WAY
PERSHING AVENUE
MARCH LANE
AIRPORT WAY
CALIFO
RNIA
STREET
CALAVERAS RIVER
STOCKTON DEEP WATER CHANNEL
CALAVERAS
RIVER
UPRR UPRR (SPRR)
WEST LANE
BIANCHI ROAD
BROOKSIDE
ROAD
MARCH LANE/EAST BAY MUD BICYCLE AND PEDESTRIAN
PATH CONNECTIVITY IMPROVEMENTS (FEDERAL PROJECT
NO. ATPCML-5008(179) / CITY PROJECT NO. WT17022)
CITY OF STOCKTON
DEPARTMENT OF PUBLIC WORKS
ATTACHMENT A
VICINITY MAP
NOT TO SCALE
LEGEND
PROJECT LIMITS
702
Resolution No.
STOCKTON CITY COUNCIL
RESOLUTION TO AUTHORIZE THE TRANSFER OF FUNDS FOR THE MARCH
LANE/EAST BAY MUD BICYCLE AND PEDESTRIAN PATH CONNECTIVITY IMPROVEMENTS, PROJECT NO. WT17022/FEDERAL PROJECT NO. ATPCML- 5008(179)
On July 27, 2021, by Resolution No. 2021 -07-27-1222, Council awarded a Construction Contract, in the amount of $2,784,744.42, to McFadden Construction, Inc. of Stockton, CA, for the March Lane/East Bay MUD Bicycle and Pedestrian Path Connectivity Improvements , Project No. WT17022/Federal Project No. ATPCML- 5008(179); and
Contract Change Order (CCO) Nos. 1 through 4, in the amount of $378,011.05, were previously approved under the administrative change order authority allowed under the original contract; and
Balancing CCO No. 5, in the amount of $62,287.33, was approved by Council on March 7, 2023, by Resolution No. 2023-03-07-1211; and
Transferring of funding is needed to close out the project and make final payment to the contractor; now, therefore,
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOWS:
1. The City Council approves the transfer of funds in the amount of $20,000.00 from the Bicycle Master Plan Program, Project No. WT1700 3 (formerly PW1703) to t he March Lane/East Bay MUD Bicycle and Pedestrian Path Connectivity Improvements, Project No. WT17022 (formerly PW1722)/Federal Project No. ATPCML-5008(179).
2. The City Manager is hereby authorized to take whatever actions are necessary and appropriate to carry out the purpose and intent of this Resolution.
PASSED, APPROVED, and ADOPTED June 13, 2023 .
KEVIN J. LINCOLN II
ATTEST: Mayor of the City of Stockton
ELIZA R. GARZA, CMC
City Clerk of the City of Stockton
703
City of Stockton
Legislation Text
File #: 23-0397, Version: 1
ADOPT RESOLUTION TO AUTHORIZE THE CALIFORNIA STREET ROAD DIET PROJECT
RECOMMENDATION
It is recommended that the City Council adopt a resolution to:
1. Approve Notice of Exemption No. NOE18-21 under the California Environmental Quality Act for the California Street Road Diet, Project No. WT18005/Federal Project No. ATPSB1L-5008 (194).
2. Approve the plans and specifications for the California Street Road Diet, Project No.
WT18005/Federal Project No. ATPSB1L-5008(194).
3. Appropriate funds in the amount of $1,377,143.09 from the Measure K Non-Competitive Bicycle, Pedestrian, and Safe Routes to School Program funds to the California Street Road Diet, Project No. WT18005/Federal Project No. ATPSB1L-5008(194).
4. Award a Construction Contract in the amount of $9,446,626 to George Reed, Inc. of Modesto, CA, for the California Street Road Diet, Project No. WT18005/Federal Project No. ATPSB1L- 5008(194).
It is also recommended that the City Manager be authorized to take appropriate and necessary actions to carry out the purpose and intent of this resolution.
Summary
The project will implement lane reductions and install approximately four miles of bicycle facilities along California Street from Alpine Avenue to Eighth Street and Eighth Street from California Street to El Dorado Street (Attachment A). The improvements will transform California Street into a complete street that will accommodate all modes of travel as envisioned in the City’s Bicycle Master Plan (BMP). The project was included in the 2018-23 and 2019-24 Five-Year Capital Improvement Plans (CIP).
Funds from the Measure K Non-Competitive Bicycle, Pedestrian, and Safe Routes to School (BP- SRtS) Program are available based on a formula share outlined in the Measure K Renewal Program.
On March 23, 2023, the City received one bid from George Reed, Inc., which was below the engineer’s estimate. Staff recommends award of the Construction Contract to George Reed, Inc. in the amount of $9,446,626. Staff also recommends that Council adopt a resolution approving Notice of Exemption No. NOE18-21 under the California Environmental Quality Act (CEQA), approving the plans and specifications, and appropriating necessary funding for the project.
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Construction is anticipated to be completed by spring 2024.
DISCUSSION
Background
On December 5, 2017, by Resolution No. 2017-12-05-1501, Council approved a new BMP for the City. The BMP was completed with input from stakeholders in the community with the goal of improving access to bicycle facilities for residents of the City. This input identified California Street as a key corridor and part of the backbone of the BMP.
The California Street Road Diet project will implement lane reductions and install Class II and IV bicycle facilities along California Street from Alpine Avenue to Eighth Street and a Class III bicycle route along Eighth Street from California Street to El Dorado Street (Attachment A). The improvements will total approximately four miles and will transform California Street into a complete street as envisioned in the City’s BMP. A complete street accommodates multiple modes of transportation, such as vehicles, bicycles, pedestrians, and mass transit. To accomplish this, the project will implement lane reductions, install bicycle facilities, upgrade/repair existing curb ramps and failing sidewalk, and complete signal modifications at all signalized intersections within the project limits.
The Public Works Department submitted grant applications to the California Transportation Commission, the San Joaquin Council of Governments for the Active Transportation Program (ATP), and the Measure K Smart Growth Incentive programs, respectively. The project has received $4,390,000 in ATP funding and $4,206,000 in Measure K Smart Growth Incentive funding for completion of design and construction of the project. The Measure K funds were identified in the 2018-23 and 2021-26 Five-Year CIPs. The ATP funds were identified in the 2019-24 Five-Year CIP.
On November 23, 2021, the California Street Road Diet, Project No. WT18005/Federal Project No.
ATPSB1L-5008(194), was advertised for bids. One bid was received from George Reed, Inc. from Modesto, CA, which was significantly higher than the engineer’s estimate. On May 24, 2022, by Resolution No. 2022-05-24-1218, Council rejected the bid. City staff proceeded to review the project scope for cost saving opportunities and also looked for an additional funding source.
Staff subsequently identified available funds from the Measure K Non-Competitive BP-SRtS Program in the amount of $1,377,143.09. This funding will be used to help fully fund the project, which will enable advertising and award of a Construction Contract.
Public Works and Economic Development staff collaborated with an infill developer on obtaining funding from the Affordable Housing Sustainable Communities (AHSC) Program, a State funding program. AHSC funding in the amount of $1.2 million has been earmarked for the California Street Road Diet project and will enable staff to add additional improvements that are not included in the advertised project. Staff will return to Council for all necessary funding and project approvals in the near future.
On February 23, 2023, Public Works submitted a grant application to the California Department of Transportation (DOT) under the federal RAISE Grant Program for Connecting Stockton: The City of Stockton Printed on 6/8/2023Page 2 of 4
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California Street Multimodal Corridor, which included potential funding for the California Street Road Diet project in the amount of $25 million. This funding opportunity will enable the project to complete a much larger and comprehensive scope of improvements along the corridor that are not part of the advertised project. If funding is received, the City will be able to complete a more comprehensive and robust project that addresses general deferred maintenance and roadway upgrades along the corridor. The scope of improvements identified in the RAISE Grant Program was included in the California Street Road Diet project advertisement as construction additive alternates. However, inclusion of this project work is subject to detailed coordination with other Caltrans authorized funding. The project work will most likely be performed by a separately advertised project and contract, if awarded funds. Additional Council action will be required to award any improvements funded by the RAISE Grant Program. The California DOT will announce award of RAISE Grant Program funding by June 30, 2023.
Federal funding restrictions prohibit the use of the Local Employment Ordinance (Stockton Municipal Code (SMC) section 3.68.095) and the Local Business Preference Ordinance (SMC section
3.68.090).
On July 26, 2016, Council adopted a Community Workforce and Training Agreement (CWTA). The CWTA became effective August 25, 2016, and applies to all Public Works projects over $1 million that are bid after that date. On July 16, 2019, by Motion No. 2019-07-16-1403, Council extended the CWTA term to August 25, 2024. The CWTA was not applied to this project as federal regulations prohibit the use of such agreements.
Present Situation
On January 31, 2023, the California Street Road Diet, Project No. WT18005/Federal Project No.
ATPSB1L-5008(194), was advertised for bids. On March 23, 2023, one bid was received for the base bid with the following result:
COMPANY NAME
BASE BID AMOUNT
George Reed, Inc. (Modesto, CA) $9,446,626
Engineer’s Estimate $9,780,160
The bid from George Reed, Inc., the sole bidder, is regular in all respects. The submitted bid in the amount of $9,446,626 is below the engineer’s estimate for the base bid. George Reed, Inc. has the proper license to perform the work.
During the bidding process, Public Works’ staff reached out to potential bidders to encourage contractors to bid on the project. The potential bidders either did not respond to Public Works’ staff or stated they were too busy to bid the project.
The scope of work identified in the RAISE Grant Program was advertised as construction additive alternates to the base bid. This resolution only proposes to award the base bid items covered with the grant funding available at the present time. Staff will return to Council for necessary approvals needed for improvements and/or funding related to the RAISE Grant Program.
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Staff recommends Council approve the plans and specifications for the project, appropriate Measure K Non-Competitive BP-SRtS Program funding in the amount of $1,377,143.09, and award a Construction Contract to George Reed, Inc. of Modesto, CA, for the base bid in the amount of $9,446,626.
The project is in conformance with the City’s General Plan, pursuant to California Government Code, section 65402, and is categorically exempt from the requirements of CEQA as specified under Section 15301(c) of the CEQA Guidelines. The activities related to this project constitute a discretionary project under the City’s jurisdiction and qualifies as a project that does not have a significant effect on the environment. The resolution will approve the filing of Notice of Exemption No.
NOE18-21 under CEQA. Construction is anticipated to be completed by spring 2024.
FINANCIAL SUMMARY
The current unencumbered balance in the California Street Road Diet, Project No. WT18005 (formerly PW1805)/Federal Project No. ATPSB1L-5008(194), Account No. 4570-000-800007-300- 000-3045-000-000, is not sufficient to award a Construction Contract to George Reed, Inc. in the amount of $9,446,626. The resolution includes the following actions to provide sufficient funding to award a Construction Contract:
1. Appropriate funds in the amount of $1,377,143.09 from the Measure K Non-Competitive BP- SRtS Program funds to the California Street Road Diet, Project No. WT18005/Federal Project No. ATPSB1L-5008(194), Account No. 4570-000-800007-300-000-30-45-000-000.
There is no impact to the City’s General Fund or any other unrestricted fund as a result of taking the recommended actions.
Attachment A - Vicinity Map
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707
VICINITY MAP
NOTTO SCALE
LEGEND
PROJECT LIMITS
CALIFORNIA STREET ROAD DIET
PROJECT NO. WT18005
CITY OF STOCKTON
DEPARTMENT OF PUBLIC WORKS
708
Resolution No.
STOCKTON CITY COUNCIL
RESOLUTION APPROVING THE NOTICE OF EXEMPTION NO. NOE -18-21,
APPROVING THE PLANS AND SPECIFICAT IONS, APPROPRIATING FUNDING,
AND AWARDING A CONSTRUCTION CONTRACT FOR THE CALIFORNIA STREET ROAD DIET, PROJECT NO. WT18005/FEDERAL PROJECT NO. ATPSB1L-5008(194)
On March 23, 2023, the City Clerk of the City of Stockton opened, examined, and publicly declared the sealed proposal or bid offered for the California Street Road Diet , Project No. WT18005/Federal Project No. ATPSB1L-5008(194); and
The project will implement lane reductions and install Class II and IV bicycle facilities along California Street from Alpine Avenue to Eighth Street and a Class III bicycle route along Eighth Street from California Street to El Dorado Street; and
George Reed, Inc. is the sole bidder in the amount of $9,446,626, and its bid is regular in all aspects; and
Caltrans National Environmental Policy Act determination was received on April 1, 2021. The State determined that the project is a Categorical Exclusion under 23 CFR 771.117(c): activity (c)(26). Similarly, the project is in conformance with the City’s General Plan, pursuant to California Government Code, section 65402; and
The project is categorically exempt from the requirements of the California Environmental Quality Act (CEQA) as specified under section 15301( c) of the CEQA Guidelines, because this is a discretionary project under the City’s jurisdiction and qualifies as a project whic h has been determined to not have a significant effect on the environment; now, therefore,
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOWS:
1. The City Council approves the filing of Notice of Exemption No. NOE18-21 under the CEQA for the California Street Road Diet, Project No. WT18005/Federal Project No. ATPSB1L-5008(194), a copy of which is attached as Exhibit 1 and incorporated by this reference.
2. The City Council approves the plans and specifications for the California Street Road Diet, Project No. WT18005/Federal Project No. ATPSB1L-5008(194).
3. The City Council approves the appropriation of funds in the amount of $1,377,143.09 from the Measure K Non -Competitive B icycle, Pedestrian, and Safe 709
Routes to School Program to the California Street Road Diet, Project No.
WT18005/Federal Project No. ATPSB1L-5008(194).
4. The City Council awards a Construction Contract between the City of Stockton and George Reed, Inc. in the amount of $9,446,626.00 and the City Manager is authorized and directed to execute same, a copy of which is attached as Exhibit 2 and incorporated by this reference.
5. The City Manager is hereby authorized to take whatever actions are necessary and appropriate to carry out the purpose and intent of this Resolution.
PASSED, APPROVED, and ADOPTED June 13, 2023 .
________________________
KEVIN J. LINCOLN II
Mayor of the City of Stockton
ATTEST:
ELIZA R. GARZA, CMC
City Clerk of the City of Stockton
710
711
Local Construction Contract – GEORGE REED, INC. – PROJECT NO. WT18005 (Updated 07/12/22)
CONSTRUCTION CONTRACT
This contract is made and enter ed into on _____________, by and between GEORGE REED, INC., a STATE OF CA CORPORATION, with a business address at P. O. BOX 4760, MODEST
O, CA 95352, hereinafter called "CONTRACTOR," and CITY OF STOCKTON, a municipal corporation, hereinafter called "CITY." W I T N E S S E T H:
WHEREAS, plans and
specifications for the construction of CALIFORNIA
STREET ROAD DIET
(PROJECT NO. WT18005/ATPSB1L-5008(194)), hereinafter
called “PROJECT,” were regularly adopted by Council Resolution No. __________________, on _________________; and
WHEREAS, the contract for said work was regularly awarded to CONTRACT OR,
by Council Resolution No. __________________, on ________________.
NOW, THEREFORE, in consideration of the promises and of the mutual covenants herein contained, the parties hereto expressly agree as follows:
CONTRACTOR agrees:
1. SCOPE OF SERVICES. To do the work and furnish all the labor, materials, tools, equipment, and insurance required for the construction of PROJECT in accordance with the plans and specificat ions adopted on _____________, by Council Resolution No. __________________ . The "contract documents, " which include the bid documents, project plans, specifications, all letters of clarification, and the City of Stockton Standard Specifications and Plans, are incorporated into and made a part of this contract by this reference to the same extent as if fully set forth.
2. COMPENSATION. To do and perform the work contemplated hereby in a good and workmanlike manner and to furnish all labor, materials, tools, and equipment necessary therefore at the prices specified in Exhibit A, attached hereto and by reference made a part hereof, under the direction of and to the complete satisfaction of the Director of Public Works of the Cit y of Stockton. Total compensation for services and reimbursement for costs shall not exceed $9,446,626.00, or as otherwise mutually agreed to in a Contract Change Order.
3. INSURANCE. CONTRACTOR shall not commence any work before obtaining, and shall maintain in force at all times during the duration and performance of this contract, the policies of insurance specif ied in Exhibit B, which is attached to this contract and incorporated by this reference, and as provided in the “contract documents” including Section 7-1.06 of the City of Stockt on Standard Specifications and Plans as adopted on September 27, 2016, by Council Resolution No . 2016-09-27, effective September 27, 2016.
It shall be a requirement under this agreement that any av ailable insurance proceeds broader than or in excess of the specified minimum insurance coverage requirements and/or limits shall be available to the Additional Insured.