HomeMy WebLinkAboutItem 08 - COUNCIL READING FILE_b_Special Provisions
SPECIAL PROVISIONS
FOR
CITY OF SAN LUIS OBISPO
BROAD & LEFF CULVERT REPAIR
Specification No. 91156
JULY 2021
PUBLIC WORKS DEPARTMENT
ENGINEERING DIVISION
919 Palm Street
San Luis Obispo, CA 93401
(805) 781-7200
STORM DRAIN CULVERT REPAIRS – BROAD STREET AT LEFF STREET
Specification No. 91156
Approval Date: <<date of CM or CAR Report Authorizing Advertisement>>
<<Engineer of Record Stamp>>
<<Signature Date>>
<<Signature Date>>
TABLE OF CONTENTS
NOTICE TO BIDDERS ..................................................................................................... I
BID SUBMISSION ...................................................................................................................................... I
BID DOCUMENTS .................................................................................................................................... II
PROJECT INFORMATION....................................................................................................................... III
QUALIFICATIONS .................................................................................................................................... IV
AWARD .................................................................................................................................................... VI
ACCOMMODATION ................................................................................................................................. VI
BID FORMS .................................................................................................................... A
LIST OF SUBCONTRACTORS ................................................................................................................ C
PUBLIC CONTRACT CODE SECTION 10285.1 STATEMENT .............................................................. D
PUBLIC CONTRACT CODE SECTION 10162 QUESTIONNAIRE ......................................................... D
PUBLIC CONTRACT CODE SECTION 10232 STATEMENT ................................................................. D
LABOR CODE SECTION 1725.5 STATEMENTS ................................................................................... D
NON-COLLUSION DECLARATION .......................................................................................................... F
BIDDER ACKNOWLEDGEMENTS .......................................................................................................... G
QUALIFICATIONS .................................................................................................................................... H
ATTACH BIDDER'S BOND TO ACCOMPANY BID ................................................................................... I
SPECIAL PROVISIONS .................................................................................................. 1
DIVISION I GENERAL PROVISIONS ....................................................................................................... 1
1 GENERAL ........................................................................................................................................... 1
2 BIDDING ............................................................................................................................................. 1
3 CONTRACT AWARD AND EXECUTION ........................................................................................... 2
4 SCOPE OF WORK ............................................................................................................................. 2
5 CONTROL OF WORK ........................................................................................................................ 2
6 CONTROL OF MATERIALS ............................................................................................................... 2
7 LEGAL RELATIONS AND RESPONSIBILITY TO THE PUBLIC ....................................................... 2
8 PROSECUTION AND PROGRESS ................................................................................................... 3
9 PAYMENT ........................................................................................................................................... 3
DIVISION II GENERAL CONSTRUCTION ............................................................................................... 4
13 WATER POLLUTION CONTROL ..................................................................................................... 4
14 ENVIRONMENTAL STEWARDSHIP ............................................................................................... 4
DIVISION VII DRAINAGE FACILITIES ........................................................................... 5
71 EXISTING DRAINAGE FACILITIES ................................................................................................. 5
DIVISION VIII MISCELLANEOUS CONSTRUCTION ............................................................................ 11
73 CONCRETE CURBS AND SIDEWALKS ....................................................................................... 11
77 LOCAL INFRASTRUCTURE .......................................................................................................... 12
84 MARKINGS ..................................................................................................................................... 12
APPENDIX A - FORM OF AGREEMENT ....................................................................... 1
APPENDIX B – ALL PERMITS ISSUED (Water Board, Fish & Wildlife, and Army Corp.)
NOTICE TO BIDDERS
i
NOTICE TO BIDDERS
BID SUBMISSION
Sealed bids will be received by the City of San Luis Obispo at the Public Works
Administration Office located at 919 Palm Street, California 93401, until
2:00 p.m. on [date of bid opening]
at which time they will be publicly opened and read aloud. Submit bid in a sealed envelope
plainly marked:
Storm Drain Culvert Repairs – Broad Street At Leff Street,
Specification No. 91156
Any bid received after the time and date specified will not be considered and will be
returned to the bidder unopened. Bids received by Fax or Email will not be considered.
By submission of bid you agree to comply with all instruction and requirements in this
notice and the contract documents.
All bids must be submitted on the Bid Item List form(s) provided and submitted with all
other Bid Forms included in these Special Provisions.
Each bid must be accompanied by either a:
1. certified check
2. cashier's check
3. bidder's bond
made payable to the City of San Luis Obispo for an amount equal to ten percent of the
bid amount as a guaranty. Guaranty will be forfeited to the City San Luis Obispo if the
bidder, to whom the contract is awarded, fails to enter into the contract.
The City of San Luis Obispo reserves the right to accept or reject any or all bids or waive
any informality in a bid.
All bids are to be compared based on the City Engineer's estimate of the quantities of
work to be done, as shown on the Bid Item List.
Bids will only be accepted from bidders that are licensed in compliance with the provisions
of Chapter 9, Division III of Business and Professions Code.
The award of the contract, if awarded, will be to the lowest responsive bid submitted by a
responsible contractor whose bid complies with the requirements prescribed. If the
contract is awarded, the contract will be awarded within 60 calendar days after the
opening of the bids.
NOTICE TO BIDDERS
NOTICE TO BIDDERS
ii
Failure to raise defects in the notice to bidders or bid forms prior to bid opening constitute
a waiver of those defects.
BID DOCUMENTS
A copy of the plans and special provisions may be downloaded, free of charge, from the
City’s website at:
www.slocity.org/government/department-directory/public-works/public-works-bids-
proposals
A printed copy may be obtained at the office of the City Engineer by paying a non-
refundable fee of:
1. $15.00 if picked up in person, or
2. $25.00 if by mailing to the office of the City Engineer
Request must include Specification Number. The office of the City Engineer is located at:
919 Palm Street
San Luis Obispo, CA 93401
Standard Specifications and Engineering Standards referenced in the Special Provisions
may be downloaded, free of charge, from the City’s website at:
www.slocity.org/government/department-directory/public-works/documents-
online/construction-documents
A printed copy may be obtained by paying a non-refundable fee of:
1. $16.00 if picked up in person, or
2. $21.00 if by mailing to the office of the City Engineer
You are responsible to obtain all issued addenda prior to bid opening. Addenda will be
available to download at the City’s website listed above or at the office of the City
Engineer.
Contact the project manager, Richard Burde at (805) 781-7193 or the Public Works
Department at (805) 781-7200 prior to bid opening to verify the number of addenda
issued.
You are responsible to verify your contact information is correct on the plan holders list
located on the City’s website at:
www.slocity.org/government/department-directory/public-works/public-works-bids-
proposals.
NOTICE TO BIDDERS
NOTICE TO BIDDERS
iii
PROJECT INFORMATION
In general, the project consists of repairing the interior of approximately 32 LF of 4’x4’
concrete box culvert, and 76 LF of 3’ wide by 4.5’ tall concrete arch culvert within the
public right-of-way and below street level, abandonment of two existing lateral 12” CMPs
at ~Sta. 2+35 and ~3+33, at the intersection of Broad Street and Leff Street, San Luis
Obispo, California. Work will include interior surface re-conditioning and coating of the
culverts. Repairs will also include storm drainage repairs and curb ramp improvements
at the four corners of this intersection, summarized as follows:
A) North Corner. Replacing existing 18” CMP with new 18” HDPE storm drain
lateral, repairing top penetration into existing culvert. Adding new culvert
manhole access to existing 4’ x 4’ culvert.
B) East Corner. Replacing existing 12” CMP with 18” HDPE (including repairs
to widened penetration at existing arch culvert), replacing existing catch basin
in its entirety, lowering the profile of the new 18" HDPE storm drain to afford
additional pipe cover, abandoning shallow curb inlet drain (on Broad Street)
beneath existing sidewalk, revising drainage pattern such that flow enters the
new SD catch basin on Leff Street.
C) West Corner. Replacing existing 12” CMP in Leff Street (which connects to
existing curb inlet on north and south curb of Leff Street, south of Broad
Street) with 12” ductile iron pipe (in same profile as existing), abandoning
shallow curb inlet drain beneath existing sidewalk, revising drainage pattern
such that flow enters the existing SD catch basin on Leff Street.
D) South Corner. Providing new 18” HDPE (including abandonment of existing
curb inlet on Broad Street, and new penetration in existing arch culvert),
replacing existing catch basin with new catch basin, adding concrete collar
to existing fire hydrant, removal and re-location of existing street and stop
signs.
E) Sidewalk/concrete curb and gutter, and AC pavement removal, restoration
and replacement, grading adjustments to facilitate drainage, curb ramp
improvements, associated with these four corners of the intersection.
The project estimated construction cost is $320,000
Contract time is established as 45 working days.
The fixed liquidated damages amount is established at $500 per day for failure to
complete the work within the contract time.
In compliance with section 1773 of the Labor Code, the State of California Department of
Industrial Relations has established prevailing hourly wage rates for each type of
workman. Current wage rates may be obtained from the Division of Labor at:
NOTICE TO BIDDERS
NOTICE TO BIDDERS
iv
https://www.dir.ca.gov/oprl/DPreWageDetermination.htm
This project is subject to compliance monitoring and enforcement by the Department of
Industrial Relations.
Project Walkthrough. There will be a non-mandatory walkthrough on [date]. Bidders
should meet [where and at what time]. Bidders are advised that the existing culvert is
considered by Cal-OSHA regulations to be a confined space due to restricted
ingress/egress. Digital color photographs of the existing culvert conditions at the time of the
culvert inspection are available to bidders through the City’s website as well as at the public
works office at 919 Palm Street. Should bidders desire to access the culvert and view
existing conditions, it shall be the responsibility of the Bidders to contact the City and make
such arrangements for confined space entry and access through private property prior to
bidding. All health and safety aspects, and costs, of accessing the project site prior to
bidding shall be the sole responsibility of the Bidders. Bidders’ attention is directed to
Paragraph 2-1.03 “Examination of Plans, Specifications, Contract, and Site of Work. This
pre-bid walk-through will not include viewing of the culvert crossing beneath the Leff and
Broad Street intersection.
QUALIFICATIONS
You must possess a valid Class A Contractor's License at the time of the bid opening.
You and any subcontractors required to pay prevailing wage must be registered
with the Department of Industrial Relations pursuant to Section 1725.5 of the Labor
Code.
You must have experience constructing projects similar to the work specified for this
project. Provide three similar reference projects completed as either the prime or
subcontractor. All referenced projects must have been completed within the last five years
from this project’s bid opening date.
One of the three reference projects must have been completed under contract with
a city, county, state or federal government agency as the prime contractor.
The three referenced projects together must demonstrate experience in curb ramp
and sidewalk construction and re-construction, paving work, storm water catch
basins and manholes, working with and applying shotcrete.
You must be 40-hour OSHA trained, including current certification for confined
space entry. You will be required to develop a health and safety plan to address
the work conditions prior to commencement of work.
Failure to provide reference projects as specified in this section and as required on the
qualification form is cause to reject a bid as being non-responsive.
NOTICE TO BIDDERS
NOTICE TO BIDDERS
v
The City reserves the right to reject any bid based on non-responsiveness if a bidder fails
to provide a bid that complies with all bidding instructions.
The City reserves the right to reject a responsive bid based on the non-responsibility of
the bidder if the Director of Public Works or Designee finds, after providing notice and a
hearing to the bidder, that the bidder lacks the
1. knowledge
2. experience,
3. or is otherwise not responsible
as defined in Section 3.24 of the San Luis Obispo Municipal Code to complete the project
in the best interest of the City.
Rejected bidders may appeal this determination. Appeal must comply with the
requirements in this Notice to Bidders.
It is the City of San Luis Obispo’s intent to award the contract to the lowest responsive
bid submitted by a responsible bidder. If in the bidder’s opinion the contract has been or
may be improperly awarded, the bidder may protest the contract award.
Protests must be filed no later than five working days after either:
1. bid opening date
2. notification of rejected bid.
Protest must be in writing and received by the project manager located at:
919 Palm Street
San Luis Obispo, CA 93401.
Valid protests must contain the following information:
1. the reasons for the protest
2. any supporting documentation
3. the ruling expected by the City to remedy the protest.
Any protest not containing all required information will be deemed invalid and rejected.
The City will consider additional documentation or other supporting information regarding
the protest if submitted in compliance to the specified time limits. Anything submitted after
the specified time limit will be rejected and not be considered.
The Director of Public Works or Designee may request additional information to be
submitted within three days of the request, unless otherwise specified, and will notify the
protester of ruling within ten days of determination.
If the protester is not satisfied with ruling, the protester may appeal the ruling to the City
Council in compliance with Chapter 1.20 of the City of San Luis Obispo Municipal Code.
Pursuant to the Public Records Act (Government Code, § 6250, et seq.), the City will
make public records available upon request.
NOTICE TO BIDDERS
NOTICE TO BIDDERS
vi
AWARD
The lowest bidder will be determined using the TOTAL PROJECT BID.
As a condition to executing a contract with the City, two bonds each equal to one hundred
percent of the total contract price are required in compliance with Section 3-1.05 of the
Standard Specifications.
You may substitute securities for moneys withheld under the contract in compliance with
the provisions of the Public Contract Code, Section 10263.
ACCOMMODATION
If any accommodations are needed to participate in the bid process, please contact
Argelia Chang at (805) 781-7200 or by Telecommunications Device for the Deaf at (805)
781-7107. Requests should be made as early as possible in the bidding process to allow
time for accommodation.
BID FORMS
A
BID FORMS
All bid forms must be completed and submitted with your bid. Failure to submit these
forms and required bid bond is cause to reject the bid as nonresponsive. Staple all bid
forms together.
THE UNDERSIGNED, agrees that they have carefully examined:
1. the location of the proposed work
2. the plans and specifications
3. read the accompanying instructions to bidders
and propose to furnish all:
4. materials
5. labor
to complete all the required work satisfactorily in compliance with
6. plans
7. specifications
8. special provisions
for the prices set forth in the bid item list:
BID ITEM LIST FOR
Storm Drain Culvert Repairs – Broad Street At Leff Street,
Specification No. 91156
Item Item Unit of Estimated Item Price Total
No. SS(1) Description Measure Quantity (in figures) (in figures)
1 12 TRAFFIC CONTROL LS 1 ------
2 19 FILL ABANDONED 12” CMP
TRENCH CY 5
3 7 COMPLY WITH OSHA LS 1 ------
4 7, 51,
53
REPAIR CULVERT PER SHEET
8 OF PLAN (F) LS 1 ------
5
19,
26,
51,
52, 53
NEW MANHOLE ACCESS AND
PREFAB BOX PER DETAILS LS 1 ------
6 15 REMOVE EXISTING SD LINES LF 70
7 15 REMOVE AND REPLACE
EXISTING CATCH BASINS EA 2
8
15,
19,
26,
73, 90
REMOVE AND REPLACE
EXISTING CURB & GUTTER LF 75
9
15,
19,
26,
73, 90
REMOVE AND REPLACE
EXISTING SIDEWALK SQ-FT 200
10 15, 77 INSTALL 12” STORM LINE,
DUCTILE IRON PIPE (D.I.P.) LF 44
BID FORMS
BID FORMS
B
Item Item Unit of Estimated Item Price Total
No. SS(1) Description Measure Quantity (in figures) (in figures)
11 77 INSTALL 18” HDPE LINE LF 22
12 20 LANDSCAPE AT NORTH RAMP LS 1
13 77, 90 CURB RAMP REPLACEMENT
AT NORTH CORNER LS 1
14 77, 90 CURB RAMP REPLACEMENT
AT SOUTH CORNER LS 1
15 77, 90 CURB RAMP REPLACEMENT
AT EAST CORNER LS 1
16 77, 90 CURB RAMP REPLACEMENT
AT WEST CORNER LS 1
17 15
REMOVE EXISTING SHALLOW
CMP STORM DRAIN LINES
PER DETAIL 309 SHEET 3 OF
PLAN
LF 45
18 15, REMOVE AND REPLACE STOP
SIGN POST LS 21
19 84 CURB PAINTING LF 1
20 84 STRIPING AND PAVEMENT
MARKINGS SF 1 ------
21 39 HMA TYPE B ½’’ MAX TON 48 ------
22 26 CLASS 2 AGGREGATE BASE CY 49 ------
23 13, 14 ARMY CORP 404 PERMIT
COMPLIANCE LS 1
24 13, 14 CDFW 1600 PERMIT
COMPLIANCE LS 1
25 13, 14 RWQCB 401 PERMIT
COMPLIANCE LS 1
Bid Total (or Base Bid) $
Company Name:
(1) refers to section in the Standard Specifications, with modifications in the Special Provisions, that describe required
work.
(2) (F) refers to final pay item as specified in section 9-1.02A of the City Standards
BID FORMS
BID FORMS
C
LIST OF SUBCONTRACTORS
Pursuant to Section 4100 of the Public Contracts Code and section 2-1.33C of the
standard specifications, the Bidder is required to furnish the following information for each
Subcontractor performing more than 1/2 percent (0.5%) of the total base bid. Do not list
alternative subcontractors for the same work. Subcontracting must not total more than
fifty percent (50%) of the submitted bid except as allowed in section 5-1.13 of the standard
specifications.
For Streets & Highways projects, subcontractors performing less than ten thousand dollars
($10,000) worth of work need not be mentioned. Subcontractors required to pay
prevailing wage, must be registered with the Department of Industrial Relations
pursuant to Labor Code section 1725.5 to be listed.
NOTE: If there are no subcontractors, write “NONE” and submit with bid.
Name Under Which
Subcontractor is Licensed License Number
DIR Public
Works
Registration
Number
Address and Phone
Number of Office, Mill or
Shop
Specific
Description of
Subcontract
% of
Total
Base
Bid
Attach additional sheets as needed.
BID FORMS
BID FORMS
D
PUBLIC CONTRACT CODE SECTION 10285.1 STATEMENT
In compliance with Public Contract Code Section 10285.1 (Chapter 376, Stats. 1985), the
bidder hereby declares under penalty of perjury under the laws of the State of California
that the bidder, or any subcontractor to be engaged by the bidder, has ____, has not
____ been convicted within the preceding three years of any offenses referred to in that
section, including any charge of fraud, bribery, collusion, conspiracy, or any other act in
violation of any state or federal antitrust law in connection with the bidding upon, award
of, or performance of, any public works contract, as defined in Public Contract Code
Section 1101, with any public entity, as defined in Public Contract Code Section 1100,
including the Regents of the University of California or the Trustees of the California State
University. The term "bidder" is understood to include any partner, member, officer,
director, responsible managing officer, or responsible managing employee thereof, as
referred to in Section 10285.1.
NOTE: The bidder must place a check mark after "has" or "has not" in one of the blank
spaces provided. The above Statement is part of the Bid. Signing this Bid on the signature
portion constitute signature of this Statement. Bidders are cautioned that making a false
certification may subject the certifier to criminal prosecution.
PUBLIC CONTRACT CODE SECTION 10162 QUESTIONNAIRE
In compliance with Public Contract Code Section 10162, the Bidder must complete, under
penalty of perjury, the following questionnaire:
Has the bidder, any officer of the bidder, or any employee of the bidder who has a
proprietary interest in the bidder, ever been disqualified, removed, or otherwise prevented
from bidding on, or completing a federal, state, or local government project because of a
violation of law or a safety regulation?
Yes No
If the answer is yes, attach a letter explaining the circumstances
PUBLIC CONTRACT CODE SECTION 10232 STATEMENT
In compliance with Public Contract Code Section 10232, you hereby state under penalty of
perjury, that no more than one final unappealable finding of contempt of court by a federal
court has been issued against you within the immediately preceding two-year period
because of your failure to comply with an order of a federal court which orders you to comply
with an order of the National Labor Relations Board.
LABOR CODE SECTION 1725.5 STATEMENTS
The bidder has delinquent liability to an employee or the state for any assessment of back
wages or related damages, interest, fines, or penalties pursuant to any final judgment,
order, or determination by a court or any federal, state, or local administrative agency,
including a confirmed arbitration award. Any judgment, order, or determination that is
BID FORMS
BID FORMS
E
under appeal is excluded, provided that the contractor has secured the payment of any
amount eventually found due through a bond or other appropriate means.
Yes No
The bidder is currently debarred under Section 1777.1 or under any other federal or state
law providing for the debarment of contractors from public works.
Yes No
NOTE: The above Statements and Questionnaire are part of the Bid. Signing this Bid on
the signature portion constitute signature of this Statement and Questionnaire. Bidders are
cautioned that making a false certification may subject the certifier to criminal prosecution.
BID FORMS
BID FORMS
F
NON-COLLUSION DECLARATION
I, , declare that
I am of ,
the party making the foregoing bid that the bid is not made in the interest of, or on behalf
of, any undisclosed person, partnership, company, association, organization, or
corporation; that the bid is genuine and not collusive or sham; that the bidder has not
directly or indirectly induced or solicited any other bidder to put in a false or sham bid, and
has not directly or indirectly colluded, conspired, connived, or agreed with any bidder or
anyone else to put in a sham bid, or that anyone refrained from bidding; that the bidder has
not in any manner, directly or indirectly, sought by agreement, communication, or
conference with anyone to fix the bid price of the bidder or any other bidder, or to fix any
overhead, profit, or cost element of the bid price, or of that of any other bidder, or to secure
any advantage against the public body awarding the contract of anyone interested in the
proposed contract; that all statements contained in the bid are true; and, further, that the
bidder has not, directly or indirectly, submitted his or her bid price or any breakdown thereof,
or the contents thereof, or divulged information or data relative thereto, or paid, and will not
pay, any fee to any corporation, partnership, company association, organization, bid
depository, or to any member or agent thereof to effectuate a collusive or sham bid.
Executed on , 20 , in __
I declare under penalty of perjury under the laws of the State of California that the foregoing
is true and correct.
(Signature and Title of Declarant)
(SEAL)
Subscribed and sworn to before me
this _______day of _________, 20_____
Notary Public
Company Name:____________________
BID FORMS
BID FORMS
G
BIDDER ACKNOWLEDGEMENTS
By signing below, the bidder acknowledges and confirms that this bid is based on the information contained
in all contract documents, including the notice to bidders, plans, specifications, special provisions, and
addendum number(s) . (Note: You are responsible to verify the number of
addenda prior to the bid opening.)
The undersigned further agrees that in case of default in executing the required contract, with necessary
bonds, within eight days, (not including Saturdays, Sundays, and legal holidays), after having received a
mailed notice that the contract is ready for signature, the proceeds of the check or bond accompanying his
bid will become the property of the City of San Luis Obispo.
Licensed in accordance with an act providing for the registration of contractors, License No. , Expiration
Date .
The above statement is made under penalty of perjury, and any bid not containing this information "will be
considered non-responsive and will be rejected” by the City.
Signature of Bidder
(Print Name and Title of Bidder)
DIR– Public Works
Registration No:
Business Name (DBA):
Owner/Legal Name:
Indicate One: Sole-proprietor Partnership Corporation
List Partners/Corporate Officers:
Name Title
Name Title
Name Title
Business Address
Street Address
Mailing Address
City, State, Zip Code
Phone Number
Fax Number
Email Address
Date
BID FORMS
BID FORMS
H
QUALIFICATIONS
Failure to furnish complete reference information ON THIS FORM, as specified in this
project’s Notice to Bidders and indicated below, is cause to reject the bid. Additional
information may be attached but is not a substitute for this form.
Reference Number 1
Customer Name & Contact Individual
Telephone & Email
Project Name (Site Address):
Is this similar to the project being bid?
Yes □ No □
Describe the services provided and how this project is similar to
that which is being bid:
Date project completed:
Was this contract for a public
agency?
Yes □ No □
Reference Number 2
Customer Name & Contact Individual
Telephone & Email
Project Name (Site Address):
Is this similar to the project being bid?
Yes □ No □
Describe the services provided and how this project is similar to
that which is being bid:
Date project completed:
Was this contract for a public
agency?
Yes □ No □
Reference Number 3
Customer Name & Contact Individual
Telephone & Email
Project Name (Site Address):
Is this similar to the project being bid?
Yes □ No □
Describe the services provided and how this project is similar to
that which is being bid:
Date project completed:
Was this contract for a public
agency?
Yes □ No □
BID FORMS
BID FORMS
I
ATTACH BIDDER'S BOND TO ACCOMPANY BID
Know all men by these presents:
That we ____________________________________________, AS PRINCIPAL, and
_______________________________________________________, AS SURETY, are held and firmly
bound unto the City of San Luis Obispo in the sum of:
____________________________________________________ Dollars (_____________) to be paid to
said City or its certain attorney, its successors and assigns; for which payment, well and truly to be made, we
bind ourselves, our heirs, executors and administrators, successors or assigns, jointly and severally, firmly by
these presents:
THE CONDITION OF THIS OBLIGATION IS SUCH, that if the certain bid of the above
bounden ______________________________________________________________________
to construct ___________________________________________________________________
(insert name of street and limits to be improved or project)
dated _____________________ is accepted by the City of San Luis Obispo, and if the above
bounden _______________________________________________________, his heirs, executors,
administrators, successors, and assigns shall duly enter into and execute a contract for such construction and
shall execute and deliver the two bonds described within ten (10) days (not including Saturdays, Sundays, or
legal holidays) after the above bounden,
______________________________________________________, has received notice by and from the
said City of San Luis Obispo that said contract is ready for execution, then this obligation shall become null
and void; otherwise, it shall be and remain in full force and virtue.
IN WITNESS WHEREOF, we hereunto set our hands and seals this ___ day of ______, 20____.
Bidder Principal:
Signature Date
Title:
Surety:
Bidder's signature is not required to be notarized. Surety's signature must be notarized.
Equivalent form may be substituted
(Rev. 6-30-14)
SPECIAL PROVISIONS
1
SPECIAL PROVISIONS
ORGANIZATION
Special provisions are under headings that correspond with the main section heading of
the Standard Specifications. Each special provision begins with a revision clause that
describes or introduces a revision to the Standard Specifications. Any paragraph added
or deleted by a revision clause does not change the paragraph number of the Standard
Specifications for any other reference to a paragraph of the Standard Specifications.
DIVISION I GENERAL PROVISIONS
1 GENERAL
Add to Section 1-1.01 General
The work must be done in compliance with the City of San Luis Obispo, Department of
Public Works:
1. STORM DRAIN CULVERT REPAIRS – BROAD STREET AT LEFF STREET
Special Provisions
2. City of San Luis Obispo Standard Specifications and Engineering Standards –
2018 edition
3. State of California, Department of Transportation Standard Specifications and
Standard Plans – 2015 edition
In case of conflict between documents, governing ranking must comply with section 5-
1.02 of the City of San Luis Obispo’s Standard Specifications.
Failure to comply with the provisions of these sections is a material breach of contract:
1. Sections 5 through 8 of the Standard Specifications
2. Section 12 through 15 of the Standard Specifications
3. Section 77-1 of the Standard Specifications
4. Section 81 of the Standard Specifications
5. authorized working hours
6. OSHA compliance
2 BIDDING
Replace Section 2-1.33A with:
Furnish bid using blank forms provided in the Special Provisions. Bid must include all
forms and must be signed by the bidder.
Add to Section 2-1.06B SUPPLEMENTAL PROJECT INFORMATION:
Contractor shall provide city staff with a construction schedule in the bid package
delivered by 2:00 PM August 13th.
SPECIAL PROVISIONS
SPECIAL PROVISIONS
2
3 CONTRACT AWARD AND EXECUTION
Replace 1st and 2nd paragraph in Section 3-1.18 CONTRACT EXECUTION with: (for
accelerated work)
Upon notification of project award, return:
1. executed contract
2. insurance
3. contract bonds
within five business days after the bidder receives the contract
4 SCOPE OF WORK
Add to Section 4-1.03 Work Description
Comply with the provisions of Sections 6, 7, 12, 13, 14, 15, 19, 26, 39, 51, 52, 53, 56, 71,
73, 77, 84, and 90 for general, material, construction, and payment specifics.
5 CONTROL OF WORK
Replace Section 5-1.02 Contract Components
All work within the creeks highwater line must be completed within the dry season
(April 1- October 1) per environmental permits referenced in Section 14.
6 CONTROL OF MATERIALS
Add to Section 6-2.03 DEPARTMENT ACCEPTANCE:
The Engineer will furnish Sales Tax signs mounted to moveable barricades. Maintain
Sales Tax signage in work area. Return Sales Tax signs at the end of the project or upon
the Engineer’s request.
7 LEGAL RELATIONS AND RESPONSIBILITY TO THE PUBLIC
Add to Section 7-1.03
There shall be no road closures on Broad Street at any time; maintain two lanes of
traffic during construction at all times. Construction traffic crossing Broad Street shall
do so as normal traffic subject to the intersection stop controls. No staging areas shall
be allowed on Broad Street. Staging areas on Leff Street shall be coordinated by
Contractor, and shall allow two-way traffic at all times.
Temporary no parking signs may be installed by the Contractor within the limits of the
work zones only when necessary for construction/access, a maximum of 40 feet in each
direction from each of the four corners along Broad and Leff Streets.
The staging area(s) shall be protected on all sides by Temporary Fencing (6-ft Chain
Link) for the duration of the repair work. Temporary Fencing shall be furnished,
constructed, maintained, and later removed as directed by the Engineer, and such
placement of temporary fencing shall allow for traffic per the defined requirements
SPECIAL PROVISIONS
SPECIAL PROVISIONS
3
herein. Temporary Fencing shall conform to the provisions in Section 80 “FENCES” of
the Standard Specifications and these Special Provisions.
Except as otherwise specified in this section, temporary fence shall conform to the
specifications for permanent fence of similar character as provided in Section 80,
"Fences," of the Standard Specifications except that temporary fence shall utilize self-
standing supports. Gravel bags, or approved equal, shall be used to secure the
temporary fence location.
Submit traffic control plan to City for approval, for safe routing of traffic around
construction staging areas..
Add to Section 7-1.03A
Provide draft notices to City Engineer prior to dissemination to public, a minimum of two
working days in advance of the work. City Engineer will review and comment, and
approve of such notices prior to Contractor delivering notices to residences.
Add to Section 7-1.03B Traffic Control Plan
Work hours are restricted to 7 a.m. to 4 p.m. Monday through Friday. No full width street
closures will be allowed. A flagger must be used to keep traffic flowing at all times. The
roadway shall be open to two lanes of traffic after work hours and on weekends.
Provide traffic control plan and traffic control application at or before the preconstruction
meeting. Traffic control plan must be drawn to scale. Traffic control application may be
obtained on the City’s website:
www.slocity.org/government/department-directory/public-works/documents-
online/construction-documents
Upon approval of the traffic control plan, the City will issue a no-fee Encroachment Permit.
Permittee is responsible to comply with all conditions of the traffic control plan. Complete
work using due diligence to restore free flowing of traffic.
Full compensation for conforming to the requirements of this section shall be included in
the contract prices paid for the various items of work and no additional compensation
shall be allowed therefor.
8 PROSECUTION AND PROGRESS
Replace the 1st paragraph in Section 8-1.02A SCHEDULE, General with:
Provide a Level 1 schedule for this work.
Replace the 1st paragraph in Section 8-1.04B with: precon shall be scheduled
for August 27th, 2020 and construction shall begin on September 2nd, 2020
9 PAYMENT
SPECIAL PROVISIONS
SPECIAL PROVISIONS
4
DIVISION II GENERAL CONSTRUCTION
13 WATER POLLUTION CONTROL
Install and arrange plastic liner, gravel bags/berm as shown on the plans. The berm must
form a watertight barrier from wall to wall inside of the culvert to prevent stormwater and
water from the shotcreting operations from escaping the immediate work area.
Remove pooled storm water, concrete runoff, sediment deposits, trash, and debris from
temporary gravel bag berm as needed or when directed by the Engineer. Trash and debris
must be removed and properly disposed of as specified herein. Removed water shall be
disposed of in accordance with the provisions of the project’s Regional Water Quality
Control Board – 401 Certification and NPDES included in Attachment B – Regulatory
Permits of these special provisions. A permit is required from the City prior to discharge
to the City sanitary sewer system.
Maintain temporary gravel bag berm by:
1. Pumping incidental storm water or concrete runoff out of the culvert for treatment and
disposal
2. Repairing or adjusting the gravel-filled bags when rills and other evidence of
concentrated runoff occur beneath the gravel-filled bags
3. Repairing or replacing the gravel-filled bags when they become split, torn, or
unraveled
Repair temporary gravel bag berm within 24 hours of discovering damage unless the
Engineer approves a longer period.
14 ENVIRONMENTAL STEWARDSHIP
Add to Section 14-6.01 BIOLOGICAL RESOURCES, GENERAL
All work shall be conducted in accordance with the following agreements:
1. Section 1600 Lake Alteration Streambed Alteration Agreement (SAA) obtained
from the California Department of Fish and Wildlife (CDFW),
2. Section 401 Water Quality Certification from Central Coast Region Regional Water
Quality Control Board
3. Section 404 U.S. Army Corps of Engineers Nationwide Permit, and the Habitat
Mitigation and Monitoring Plan (HMMP)
The previously mentioned documents are attached in these Specifications in Appendix B.
The Contractor must read and be familiar with the requirements of all permit documents.
Any fines or fees resulting from non-compliance with the environmental requirements for
the projects will be the responsibility of the Contractor.
SPECIAL PROVISIONS
SPECIAL PROVISIONS
5
The City will provide a designated biologist, or qualified environmental compliance
construction monitor. The Contractor shall comply with the Environmental Management
Plan and shall communicate and cooperate with the City Environmental Monitor in
performance of the work.
Add to Section 14-9.02 AIR POLLUTION CONTROL, General:
The City has obtained an annual permit for construction from the Air Pollution Control
District (APCD). The annual APCD permit and construction log files are located on the
City’s website:
http://www.slocity.org/government/department-directory/public-works/documents-
online/construction-documents
You are required to comply with the APCD permit including all notification and
construction logs using the appropriate equipment. Provide training to all workers in the
construction area.
You must comply with section 77-1 of the standard specifications.
Add to Section 14-9.02C
Where contamination is encountered, you are responsible to:
1. monitor
2. record
3. report
H2S and Hydrocarbon FID readings taken every hour during work in the contamination
zone or as directed by the Engineer.
Appropriate Personal Protective Equipment (PPE) must be used.
Add Section 14-9.02C AIR POLLUTION CONTROL, Payment:
Full compensation for APCD compliance and applicable engineering standards is
included in the payment for other bid items unless a bid item of work is shown on the bid
list item.
DIVISION VII DRAINAGE FACILITIES
71 EXISTING DRAINAGE FACILITIES
Add to Section 71-3 Rehabilitate Drainage Structures
All concrete and loose materials from the culvert cleaning and surface preparation shall
become the property of the Contractor and disposed of properly.
SPECIAL PROVISIONS
SPECIAL PROVISIONS
6
Contractor's attention is directed to Section 71-3.01A(4)(b) Preconstruction meetings. Hold
pre-rehabilitation and pre-grouting meetings as a joint meeting, at the job site.
Repair 12" SD Penetration. Where shown on the plans, existing 12” (CMP) SD penetration
shall be repaired with material conforming to this Section. Concrete work shall comply with
the provisions in Section 15 "Existing Facilities," of the Standard Specifications.
The patch material shall be SikaTop 123 Plus from the Sika Corporation, or approved equal.
Sika Armatec 110 EpoCem, or approved equal shall be used as the concrete bonding agent
to all existing surfaces that will be receiving new patch material. Approved patch and
bonding agent shall be of a single manufacturer. Follow all manufacturers’ requirements for
procedure, use and installation of repair products.
This work shall consist of removing unsound or damaged concrete from spalled areas at
the 12” SD penetration in the arch culvert, as indicated on the plans and as directed by
the Engineer.
Concrete removed shall become the property of the Contractor and shall be properly
removed and disposed of.
After the repair area has been cleared of unsound concrete, the exposed faces of the
concrete shall be thoroughly cleaned. Cleaning shall be by abrasive blasting, either sand
blasting or high pressure water blasting. Water blasting equipment for concrete cleaning
shall be capable of producing a blast pressure of 2,900 pounds to 5,800 pounds per
square inch.
After abrasive blasting, the exposed concrete area shall be cleaned with moisture-free,
oil-free compressed air to remove debris. Air compressors shall deliver air at a minimum
of 120 cubic feet per minute and develop 90 pounds per square inch of nozzle pressure.
All concrete removal and abrasive blast residue shall be removed from the culvert and
disposed of by the Contractor.
Bonding agent shall be mixed on site in small quantities and mixed in conformance with
the manufacturer's instructions. Bonding agent shall be applied in a thin, even coat by
using a stiff bristle brush scrubbing the entire area including the patch walls, and in
accordance with manufacturer’s recommendations.
The patch material at the interface with existing culvert surface shall be finished flush with
the surface of the culvert. The concrete plug shall be anchored to the existing culvert wall
concrete with steel dowels installed in accordance with Section 10-10.05 Drill and Bond
Dowel of these special provisions.
Not less than 4 dowels per cap shall be provided. Dowels shall be #4 reinforcing steel bar
with a minimum 3” embedment into existing culvert and maintain a 3” clear cover.
SPECIAL PROVISIONS
SPECIAL PROVISIONS
7
Re-Lining of Box Culvert Invert and Walls. This work shall consist of removing
unsound or damaged concrete from spalled areas on the box culvert walls and
invert/floor, as indicated on the plans and as directed by the Engineer, and surfacing the
entire walls and invert/floor with shotcrete conforming to the provisions in Section 53,
“Shotcrete”. A concrete bonding agent, Sika Armatec 110 EpoCem, or approved equal,
shall be applied to all existing surfaces to be relined, as shown on the drawings. Approved
patch and bonding agent shall be of a single manufacturer.
After the repair area has been cleared of unsound concrete, the exposed faces of the
concrete culvert shall be thoroughly cleaned. Cleaning shall be by abrasive blasting,
either sand blasting or high pressure water blasting. Water blasting equipment for
concrete cleaning shall be capable of producing a blast pressure of 2,900 pounds to
5,800 pounds per square inch. All concrete removal and abrasive blast residue shall be
removed from the culvert and disposed of by the Contractor.
After abrasive blasting, the exposed concrete area shall be cleaned with moisture-free,
oil-free compressed air to remove debris. Air compressors shall deliver air at a minimum
of 120 cubic feet per minute and develop 90 pounds per square inch of nozzle pressure.
Surfaces receiving new shotcrete shall be free of standing water, but shall be in a
saturated surface dry condition.
Bonding agent shall be mixed on site in small quantities and mixed in conformance with
the manufacturer's instructions. Bonding agent shall be applied in a thin, even coat by
using a stiff bristle brush scrubbing the entire area of the box culvert receiving new
shotcrete, in accordance with manufacturer’s recommendations.
Box culvert invert shall have a constant slope such that drainage flows in the indicated
direction on the plans, and there are no "birdbaths" or ponding of water. Finished elevation
shall match the existing culvert bottom invert elevation. Thickness of the shotcrete liner shall
be a minimum of 1” on the walls and the floor. Thickness shall be verified by the Contractor
by the use of a witness gauge, or other approved method.
Pre-Cast Box Culvert for New Manhole Access. Pre-cast box culvert must be
provided by an approved concrete fabricator, designed/stamped by a California licensed
civil engineer or structural engineer. Fabricator shall ensure the box culvert is designed
to resist soil pressures and HS-20 loading. Provide submittal for approval by Engineer,
a minimum of 14 calendar days prior to planned installation of pre-cast box culvert,
detailed plans, details and calculations supporting the design of specified precast
structure.
Re-Line Arch Culvert Invert. This work shall consist of removing unsound or
damaged concrete from spalled areas on the arch culvert invert/floor, as indicated on
the plans and as directed by the Engineer, and surfacing the entire invert/floor with
shotcrete conforming to the provisions in Section 53, “Shotcrete”. A concrete bonding
agent, Sika Armatec 110 EpoCem, or approved equal, shall be applied to all existing
SPECIAL PROVISIONS
SPECIAL PROVISIONS
8
surfaces to be relined, as shown on the drawings. Approved patch and bonding agent
shall be of a single manufacturer.
After the repair area has been cleared of unsound concrete, the exposed faces of the
concrete culvert invert shall be thoroughly cleaned. Cleaning shall be by abrasive
blasting, either sand blasting or high pressure water blasting. Water blasting equipment
for concrete cleaning shall be capable of producing a blast pressure of 2,900 pounds to
5,800 pounds per square inch. All concrete removal and abrasive blast residue shall be
removed from the culvert and disposed of by the Contractor.
After abrasive blasting, the exposed concrete area shall be cleaned with moisture-free,
oil-free compressed air to remove debris. Air compressors shall deliver air at a
minimum of 120 cubic feet per minute and develop 90 pounds per square inch of nozzle
pressure. Surfaces receiving new shotcrete shall be free of standing water, but shall be
in a saturated surface dry condition.
Bonding agent shall be mixed on site in small quantities and mixed in conformance with
the manufacturer's instructions. Bonding agent shall be applied in a thin, even coat by
using a stiff bristle brush scrubbing the entire area of the culvert arch, in accordance
with manufacturer’s recommendations.
Arch culvert invert shall slope to center of culvert to match existing culvert bottom form,
except that invert shall be a minimum 2” higher based on new shotcrete layer to be
provided. Thickness shall be verified by the Contractor by the use of a witness gauge,
or other approved method.
Re-line Arch Culvert Archway. This work shall consist of removing unsound or
damaged concrete from spalled areas on the arch culvert invert/floor, as indicated on
the plans and as directed by the Engineer, and surfacing the entire arch way with
shotcrete conforming to the provisions in Section 53, “Shotcrete”. A concrete bonding
agent, Sika Armatec 110 EpoCem, or approved equal, shall be applied to all existing
surfaces to be relined, as shown on the drawings. Approved patch and bonding agent
shall be of a single manufacturer.
After the repair area has been cleared of unsound concrete, the exposed faces of the
concrete arch shall be thoroughly cleaned. Cleaning shall be by abrasive blasting, either
sand blasting or high pressure water blasting. Water blasting equipment for concrete
cleaning shall be capable of producing a blast pressure of 2,900 pounds to 5,800 pounds
per square inch.
After abrasive blasting, the exposed concrete area shall be cleaned with moisture-free,
oil-free compressed air to remove debris. Air compressors shall deliver air at a minimum
of 120 cubic feet per minute and develop 90 pounds per square inch of nozzle pressure.
Surfaces receiving new shotcrete shall be free of standing water, but shall be in a
saturated surface dry condition. Welded wire fabric shall be provided and installed per
SPECIAL PROVISIONS
SPECIAL PROVISIONS
9
details on design drawings. All concrete removal and abrasive blast residue shall be
removed from the culvert and disposed of by the Contractor.
Bonding agent shall be mixed on site in small quantities and mixed in conformance with
the manufacturer's instructions. Bonding agent shall be applied in a thin, even coat by
using a stiff bristle brush scrubbing the entire area including the patch walls, and in
accordance with manufacturer’s recommendations.
Any splatter resulting from application of shotcrete on the archway shall be removed for
the culvert walls and invert. All removal efforts shall not produce any deleterious effects
to the existing walls, or new invert lining.
Shotcrete shall be installed per details on design drawings. Arch culvert crown shall
maintain a smooth finish. Thickness of the shotcrete shall be a minimum of 2” on the arch
section of the culvert. Thickness shall be verified by the Contractor by the use of a witness
gauge, or other approved method.
Apply Concrete Patch on Honeycombed Area. Where shown on the plans, resulting
from severe honeycombing, the section of the box culvert shall be repaired with material
conforming to the provisions in Section 15 "Existing Facilities," of the Standard
Specifications. The patch material shall be SikaTop 123 Plus from the Sika Corporation, or
approved equal. Sika Armatec 110 EpoCem, or approved equal shall be used as the
concrete bonding agent to all existing surfaces that will be receiving new patch material.
Approved patch and bonding agent shall be of a single manufacturer. Follow all
manufacturers’ requirements for procedure, use and installation of repair products.
This work shall consist of removing unsound or damaged concrete from honeycombed
areas in the box culvert, as indicated on the plans and as directed by the Engineer.
After the repair area has been cleared of unsound concrete, the exposed faces of the
concrete shall be thoroughly cleaned. Cleaning shall be by abrasive blasting, either sand
blasting or high pressure water blasting. Water blasting equipment for concrete cleaning
shall be capable of producing a blast pressure of 2,900 pounds to 5,800 pounds per
square inch. All concrete removal and abrasive blast residue shall be removed from the
culvert and disposed of by the Contractor.
After abrasive blasting, the exposed concrete area shall be cleaned with moisture-free,
oil-free compressed air to remove debris. Air compressors shall deliver air at a minimum
of 120 cubic feet per minute and develop 90 pounds per square inch of nozzle pressure.
Bonding agent shall be mixed on site in small quantities and mixed in conformance with
the manufacturer's instructions. Bonding agent shall be applied in a thin, even coat by
using a stiff bristle brush scrubbing the entire area including the patch walls, and in
accordance with manufacturer’s recommendations.
SPECIAL PROVISIONS
SPECIAL PROVISIONS
10
The patch material at the interface with existing culvert surface shall be finished flush with
the surface of the culvert. The concrete plug shall be anchored to the existing culvert wall
concrete with steel dowels installed in accordance with Section 10-10.05 Drill and Bond
Dowel of these special provisions.
Not less than 4 dowels per cap shall be provided. Dowels shall be #4 reinforcing steel bar
with a minimum 3” embedment into existing culvert and maintain a 2” clear cover.
Apply Concrete Patch Over Eroded Areas. Where shown on the plans, the arched
culvert shall be repaired with material conforming to the provisions in Section 15 "Existing
Facilities," of the Standard Specifications. The patch material shall be SikaTop 123 Plus
from the Sika Corporation, or approved equal. Sika Armatec 110 EpoCem, or approved
equal shall be used as the concrete bonding agent to all existing surfaces that will be
receiving new patch material. Approved patch and bonding agent shall be of a single
manufacturer. Follow all manufacturers’ requirements for procedure, use and installation
of repair products.
This work shall consist of removing unsound or damaged concrete from the eroded edges
at the transition from the box culvert and the arched culvert, as indicated on the plans and
as directed by the Engineer.
After the repair area has been cleared of unsound concrete, the exposed faces of the
concrete shall be thoroughly cleaned. Cleaning shall be by abrasive blasting, either sand
blasting or high pressure water blasting. Water blasting equipment for concrete cleaning
shall be capable of producing a blast pressure of 2,900 pounds to 5,800 pounds per
square inch.
After abrasive blasting, the exposed concrete area shall be cleaned with moisture-free,
oil-free compressed air to remove debris. Air compressors shall deliver air at a minimum
of 120 cubic feet per minute and develop 90 pounds per square inch of nozzle pressure.
All concrete removal and abrasive blast residue shall be removed from the culvert and
disposed of by the Contractor.
Bonding agent shall be mixed on site in small quantities and mixed in conformance with
the manufacturer's instructions. Bonding agent shall be applied in a thin, even coat by
using a stiff bristle brush scrubbing the entire area including the patch walls, and in
accordance with manufacturer’s recommendations.
The patch material at the interface with existing culvert surface shall be finished flush with
the surface of the culvert. The concrete plug shall be anchored to the existing culvert wall
concrete with steel dowels installed in accordance with Section 73-1.03F.
Not less than 4 dowels per cap shall be provided. Dowels shall be #4 reinforcing steel bar
with a minimum 3” embedment into existing culvert and maintain a 2” clear cover.
Add to Section 71-3.01A(4)(c)ii CCTV Recording
SPECIAL PROVISIONS
SPECIAL PROVISIONS
11
Provide a "before and after" video of the arch culvert and box culvert, documenting
existing conditions throughout the entire reach of the arch culvert and box culvert within
the City right-of-way prior to construction, and post-construction. CCTV/video of new
storm drains is also required, including at tie-ins to existing/new catch basins and
penetrations to the existing arch culvert and box culvert.
Add to Section 71-3.01A(4)(c)iii Photographs
Provide photographs of all repairs, re-surfacing, coating, penetrations throughout the
entire reach of the arch culvert and box culvert within the City right-of-way, including
new manhole access to box culvert.
DIVISION VIII MISCELLANEOUS CONSTRUCTION
73 CONCRETE CURBS AND SIDEWALKS
Add to Section 73-1.01 General
Remove shallow pipe curb drains completely, prior to new concrete curb, gutter, sidewalk
work. Concrete removal shall be per Section 73-1.03A and City Standard Detail 4910.
Dowel existing concrete into new concrete per Section 73-1.03F and City Standard Detail
4110. All new sidewalk shall be integral with adjacent new sidewalk, and new catch
basins provided at the East and South corners of the intersection.
Add to Section 73-1.03 CONSTRUCTION:
You must meet with the Engineer for an average of 1.5 hours total per ramp to complete
the following coordination tasks:
1. Before saw-cutting to agree on the limits of demolition and removal.
2. After formwork is set, to verify that grades meet those stated on the Plans.
3. Upon completion of new curb ramp installation to verify finished grades.
Curb ramps have been designed to comply with the current Caltrans Standard Plan detail
RSP A88A and City Standard 4440. Field modifications to the design plans, if approved
by the Engineer, must meet the dimensional and slope requirements of Standard Plan
RSP A88A. When measuring the ADA facility’s dimensions and slopes, consider the
required dimension or slope to have been met if the recorded individual measurements
comply with the following:
• Dimensional measurement does not exceed ½-inch from the dimension shown.
i.e. ½-inch less than a minimum dimension, ½-inch greater than a maximum
dimension.
• Slope measurement does not exceed 0.2 percent from the slope shown.
You must give the City a 24-hour notice for inspection of formwork before pouring the
concrete.
You must calibrate all levels used in construction at the beginning of each work day.
SPECIAL PROVISIONS
SPECIAL PROVISIONS
12
You must ensure that new ramp flowlines do not create any “ponding” areas.
Curb ramp spandrel design may vary from Engineering Standards, as directed by the
Engineer, in order to accommodate ramp landing.
You are responsible for storing existing signs and boxes for reuse.
77 LOCAL INFRASTRUCTURE
Add to Section 77-1.03B(4) and 77-1.03B(5)
Trench and excavation backfill must comply with the following:
• Initial and subsequent backfill on all new storm drains, HDPE and ductile iron,
and new pre-cast box culvert and SD access manhole on north corner, shall be
1-sack sand cement slurry per Caltrans Section 26. Contractor shall employ
methods to ensure installed pipe and structural components do not "float" during
pouring of slurry into excavation.
• 1-Sack sand cement slurry backfill around new storm drain catch basins may be
at the option of the Contractor, at no additional cost to City.
Add to Section 77-3.02A(2)
New HDPE storm drain shall be corrugated exterior, smooth interior, Type S.
Add to Section 77-4.02
Ductile iron storm drain pipe as shown on the drawings shall be Class 350 pipe per
Section 77-2.02B(1), cement mortar lined, standard exterior asphaltic coating with
polyethylene wrap per AWWA C105. No disinfection of this pipe shall be required.
Pressure test pipe to same as for new HDPE storm drain pipe.
84 MARKINGS
Add to Section 84-1.01B
Where shown on the drawings, curb marking (paint) shall be red. Submit color sample to
City Engineer for color approval prior to application. City Engineer will also approve extent
of curb painting layout before paint is to be applied.
APPENDIX
APPENDIX
1
APPENDIX A - FORM OF AGREEMENT
THIS AGREEMENT, made on this ______ day of ___________, 20__, by and between
the City of San Luis Obispo, a municipal corporation and charter city, San Luis Obispo
County, California (hereinafter called the Owner) and COMPANY NAME (hereinafter called
the Contractor).
WITNESSETH:
That the Owner and the Contractor for the consideration stated herein agree as follows:
ARTICLE 1, SCOPE OF WORK: The Contractor shall perform everything required to be
performed, shall provide and furnish all of the labor, materials, necessary tools,
expendable equipment, and all utility and transportation services required to complete all
the work of construction of
STORM DRAIN CULVERT REPAIRS - BROAD STREET AT LEFF STREET,
SPEC NO. 91156
in strict compliance with the plans and specifications therefor, including any and all
Addenda, adopted by the Owner, in strict compliance with the Contract Documents
hereinafter enumerated.
It is agreed that said labor, materials, tools, equipment, and services shall be furnished and
said work performed and completed under the direction and supervision and subject to the
approval of the Owner or its authorized representatives.
ARTICLE II, CONTRACT PRICE: The Owner shall pay the Contractor as full consideration
for the faithful performance of this Contract, subject to any additions or deductions as
provided in the Contract Documents, the contract prices as follows:
[RICHARD, WHEN READY TO FINAL, I WILL REPEAT THE BID SCHEDULE TABLE
HERE]
Item
No.
Item Unit of
Measure
Estimated
Quantity
Item Price
(in figures)
Total
(in figures)
1.
2.
3.
BID TOTAL: $ .00
Payments are to be made to the Contractor in compliance with and subject to the provisions
embodied in the documents made a part of this Contract.
APPENDIX
APPENDIX
2
Should any dispute arise respecting the true value of any work omitted, or of any extra work
which the Contractor may be required to do, or respecting the size of any payment to the
Contractor, during the performance of this Contract, said dispute shall be decided by the
Owner and its decision shall be final, and conclusive.
ARTICLE III, COMPONENT PARTS OF THIS CONTRACT: The Contract consists of the
following documents, all of which are as fully a part thereof as if herein set out in full, and if
not attached, as if hereto attached:
1. Notice to Bidders and Information for Bidders
2. Standard Specifications and Engineering Standards
3. Special Provisions, any Addenda, Plans and Contract Change Orders
4. Caltrans Standard Specifications and Standard Plans 2015
5. Accepted Bid and Bid Bond
6. List of Subcontractors
7. Public Contract Code Sections 10285.1 Statement
8. Public Contract Code Section 10162 Questionnaire
9. Public Contract Code Section 10232 Statement
10. Labor Code Section 1725.5 Statements
11. Bidder Acknowledgements
12. Qualifications
13. Non-collusion Declaration
14. Agreement and Bonds
15. Insurance Requirements and Forms
ARTICLE IV INDEMNIFICATION: The Contractor shall indemnify, defend with legal
counsel approved by City, and hold harmless City, its officers, officials, employees and
volunteers from and against all liability, loss, damage, expense, cost (including without
limitation reasonable legal counsel fees, expert fees and all other costs and fees of
litigation) of every nature arising out of or in connection with the Contractor’s negligence,
recklessness or willful misconduct in the performance of work hereunder or its failure to
comply with any of its obligations contained in this Agreement, except such loss or damage
which is caused by the sole or active negligence or willful misconduct of the City. Should
conflict of interest principles preclude a single legal counsel from representing both the City
and the Contractor, or should the City otherwise find the Contractor’s legal counsel
unacceptable, then the Contractor shall reimburse the City its costs of defense, including
without limitation reasonable legal counsel fees, expert fees and all other costs and fees of
litigation. The Contractor shall promptly pay any final judgment rendered against the City
(and its officers, officials, employees and volunteers) with respect to claims determined by
a trier of fact to have been the result of the Contractor’s negligent, reckless or wrongful
performance. It is expressly understood and agreed that the foregoing provisions are
intended to be as broad and inclusive as is permitted by the law of the State of California
and will survive termination of this Agreement.
The Contractor obligations under this section apply regardless of whether such claim,
charge, damage, demand, action, proceeding, loss, stop notice, cost, expense, judgment,
APPENDIX
APPENDIX
3
civil fine or penalty, or liability was caused in part or contributed to by an Indemnitee.
However, without affecting the rights of the City under any provision of this agreement, the
Contractor shall not be required to indemnify and hold harmless the City for liability
attributable to the active negligence of AGENCY, provided such active negligence is
determined by agreement between the parties or by the findings of a court of competent
jurisdiction. In instances where the City is shown to have been actively negligent and where
the City’s active negligence accounts for only a percentage of the liability involved, the
obligation of the Contractor will be for that entire portion or percentage of liability not
attributable to the active negligence of the City.
ARTICLE V. It is further expressly agreed by and between the parties hereto that should
there be any conflict between the terms of this instrument and the bid of said Contractor,
then this instrument shall control and nothing herein shall be considered as an acceptance
of the said terms of said bid conflicting herewith.
IN WITNESS WHEREOF, the parties to these presents have hereunto set their hands this
year and date first above written.
CITY OF SAN LUIS OBISPO
A Municipal Corporation
__________________________________
Derek Johnson, City Manager
APPROVED AS TO FORM CONTRACTOR:
Name of Company
________________________________
By:________________________________
J. Christine Dietrick
City Attorney
Name of CAO/President
Its: CAO/PRESIDENT
All Permits Issued
Package
For
Storm Drain Culvert Repairs
City of San Luis Obispo
San Luis Obispo County
California
Compiled for
Wallace Group
c/o Robert Yates
612 Clarion Court
San Luis Obispo, CA 93401
(805) 597-7178
by
ALTHOUSE AND MEADE, INC.
BIOLOGICAL AND ENVIRONMENTAL SERVICES
1875 Wellsona Road
Paso Robles, CA 93446
(805) 467-1041
February 2, 2011
705.01
Althouse and Meade, Inc. – #705.01
Storm Drain Culvert Repairs, San Luis Obispo, California Contents
All Permits Issued
CONTENTS
All Permits Issued Summary
Attachments
1. Water Quality Certification No. 34010WQ13
2. USACE Nationwide Permit 3, Maintenance
3. CDFG Agreement No. 2007-0017-R4
4. USACE Maintenance Exemption Summary
Althouse and Meade, Inc. – #705.01
Storm Drain Culvert Repairs, San Luis Obispo, California Summary
All Permits Issued
All Permits Issued Summary
Higuera Street Culvert Repair
RWQCB, Clean Water Act section 401 Water Quality Certification,
Issued 12/6/2010 (Attachment 1)
USACE, Clean Water Act section 404 Nationwide Permit 3
Maintenance, Non-reporting (Attachment 2)
CDFG, Stream Alteration Agreement, Notification of Work under
No. 2007-0017-R4 (Attachment 3)
Broad Street Culvert Repair
The Broad Street culvert maintenance project is exempt from a permit under
Clean Water Act sections 401 and 404, because there is no proposed change in
character or scope of the facility to be maintained, and no impacts to wetlands,
endangered species, or historic resources (Attachment 4). The City must have a
plan to keep pollutants (e.g. concrete dust or washout) from entering the drainage.
Mike Hill of CDFG discussed the Broad Street culvert site on Wednesday January
26, 2011 and confirmed that no streambed alteration agreement is needed for the
proposed concrete repair project.
Attachment 1 – Water Quality Certification
Linda Adams
Secretary for
Environmental
Protection
California Regional Water Quality Control Board
Central Coast Region
Internet Address: http://www.waterboards.ca.gov/centralcoasti
895 Aerovista Place, Suite 101, San Luis Obispo, California 93401
Phone (805) 549-3147· FAX (805) 543-0397
Arnold
Schwarzenegger
. Governor
December 6, 2010
Daniel Van Beveren BY ELECTRONIC AND REGULAR MAIL
dvanbeve@slocity.org
City of San Luis Obispo, Public Works Department
990 Palm Street
San Luis Obispo, CA 93401
. Dear Mr. Van Beveren:
WATER QUALITY CERTIFICATION NUMBER 34010WQ13 FOR THE HIGUERA STREET
STORM DRAIN CULVERT REPAIR PROJECT, SAN LUIS OB,ISPO COUNTY
Thank you for the opportunity to review your July 28, 2010 water quality certification application
for the Higuera Street Storm Drain Culvert Repair Project. The application was completed on
September 29, 2010. The project proposes to repair an existing storm drain box culvert where
concrete has worn off and rebar is exposed. We have determined the project, including
proposed mitigation measures, will comply with water quality standards and other appropriate
requirements, as defined by Title 23, Section 3831 (v) of the California Code of Regulations.
Your application demonstrates: (a) you will take all practicable measures to avoid impacts, (b) .
where unavoidable temporary impacts take place, you will restore waters and vegetation to pre-
project conditions as quickly as practicable, and (c) where unavoidable permanent impacts take
place, the project will result in no net loss of wetland, riparian area, or headwater functions,
including onsite habitat, habitat connectivity, floodwater retention, and pollutant removal.
The Executive Officer hereby grants water quality certification, subject to the following
conditions:
SPECIAL CONDITIONS:
1. The project shall be carried out as described in the application, including all proposed
time schedules.
2. The project discharge area shall not exceed 0.028 acres.
3. All proposed mitigation, monitoring, and Best Management Practices shall be
implemented in the manner and at the time(s) described in the application. A Spill
Response Plan, for the inactive pipe removal portion of the project, must be prepared
prior to construction activities commencing.
4. Prior to implementation of any modifications to the project or mitigation measures, the
Central Coast Regional Water Quality Control Board (Central Coast Water Board) and
other interested agencies shall be notified in writing.
California Environmental Protection Agency
I'ti' ~<1 Recycled Paper
City of San Luis Obispo Certification No. 34010WQ13 December 6,2010
5. The discharge shall not do any of the following: (a) directly or indirectly destabilize a bed
of a receiving water, (b) contribute to significant cumulative effects, (c) cause pollution,
contamination, or nuisance (as defined by Water Code section 13050), (d) adversely
affect candidate, threatened, or endangered species, (e) degrade water quality or
beneficial uses, (f) be toxic, (g) include hazardous substances (as defined by Water
Code section 13050) or designated waste (as defined by Water Code section 13173).
STANDARD CONDITIONS:
1. This certification action is subject to modification or revocation upon administrative or
judicial review, including review and amendment pursuant to section 13330 of the
California Water Code and ·section 3867 of Title 23 of the California Code of Regulations
(23 CCR).
2. This certification action is not intended to apply to any discharge from any activity
involving a hydroelectric facility requiring a Federal Energy Regulatory Commission
(FERC) license or an amendment to a FERC license unless the pertinent certific'ation
application was filed per 23 CCR subsection 3855(b) and the application specifically'
identified that a FERC license or amendment to a FERC license was being sought.
3. The validity of any non-denial certification action shall be conditioned upon total payment
of the fee required under 23 CCR section 3833, unless otherwise stated in writing by the
certifying agency.
4. This certification is subject to the acquisition of all local, regional, state, and federal
permits and approvals as required by law. Failure to meet any' conditions contained
herein or any conditions contained in any other permit or approval issued by the State of
California or any subdivision thereof may result in the revocation of this Certification and
civil or criminal liability.
5. In the event of a violation or threatened violation of this certification, the violation or
threatened violation shall be subjectto any remedies, penalties, process or sanctions as
provided for under state law. For purposes of Section 401 (d) of the Clean Water Act, the
applicability of any state law authorizing remedies, p'enalties, process or sanctions for
the violation or threatened violation constitutes a limitation n~cessary to assure
compliance with the water quality standards and other pertinent requirements
. incorporated into this certification.
6. In response to a suspected violation of any condition of this certification, the Water
Board may require the holder of any permit or license subject to this certification to
furnish, under penalty of perjury, any technical or monitoring reports the Central Coast
Water Board deems appropriate, provided that the burden, including costs, of the reports
shall have a reasonable relationship to the need for the reports anti the benefits obtained
from the reports.
Per California Code of Regulations Section 3857, we anticipate no further action on your
application. Should new information come to our attention that indicates a water quality
problem, we may reassess the conditions of this certification or issue Waste Discharge
Requirements.
Page 2 of 3
City of San Luis Obispo Certification No. 34010WQ13 D.ecember 6, 2010
If you have questions please contact Tamara Presser at (805) 549-3334 or via email at
Tpresser@waterboards.ca.gov, or Phil Hammer at (805) 549-3882. Please mention the
above certification number in all future correspondence pertaining to this project.
s~n:{§ . () r I .(1,r Roger W. Briggs
Executive Officer
S:\Shared\Section 401 Certification\Certifications\San Luis Obispo\Higuera Street Storm Drain Culvert RepaiUinal.doc
cc:
LynneDee Althouse
Iynnedee@althouseandmeade.com
Althouse and Meade, Inc.
Bruce Henderson
U.S. Army Corps of Engineers
Ventura Office
Regulatory Section
2151Allesandro Drive, Suite 110
Ventura, CA 93001
U.S. Army Corps of Engineers
San Francisco District
Regulatory Section
1455 Market Street, Floor 16
-San Francisco, CA. 94103-1398
Robert Yates
roby@wallacegroup.us
Wallace Group
California Department of Fish and Game
Lake and Streambed Alteration
1234 East Shaw Street
Fresno, CA 93710
401 Program Manager
State Water Resources Control Board
Division of Water Quality
Stateboard401 @waterboards.ca.gov
rswitzer@waterboards.ca.gov
R9-WTR8-Mailbox@epa.gov
Page 30f3
Attachment 2 – Nationwide Permit 3, Maintenance
Nationwide
Permit Summary
33 CFR Part 330; Issuance of Nationwide
Permits – March 19, 2007 includes
corrections of May 8, 2007 and addition of
regional conditions December 2007
3. Maintenance.
(a) The repair, rehabilitation, or replacement of any
previously authorized, currently serviceable, structure, or
fill, or of any currently serviceable structure or fill
authorized by 33 CFR 330.3, provided that the structure
or fill is not to be put to uses differing from those uses
specified or contemplated for it in the original permit or
the most recently authorized modification. Minor
deviations in the structure's configuration or filled area,
including those due to changes in materials, construction
techniques, or current construction codes or safety
standards that are necessary to make the repair,
rehabilitation, or replacement are authorized. This NWP
authorizes the repair, rehabilitation, or replacement of
those structures or fills destroyed or damaged by storms,
floods, fire or other discrete events, provided the repair,
rehabilitation, or replacement is commenced, or is under
contract to commence, within two years of the date of
their destruction or damage. In cases of catastrophic
events, such as hurricanes or tornadoes, this two-year
limit may be waived by the district engineer, provided the
permittee can demonstrate funding, contract, or other
similar delays.
(b) This NWP also authorizes the removal of
accumulated sediments and debris in the vicinity of and
within existing structures (e.g., bridges, culverted road
crossings, water intake structures, etc.) and the placement
of new or additional riprap to protect the structure. The
removal of sediment is limited to the minimum necessary
to restore the waterway in the immediate vicinity of the
structure to the approximate dimensions that existed when
the structure was built, but cannot extend further than 200
feet in any direction from the structure. This 200 foot
limit does not apply to maintenance dredging to remove
accumulated sediments blocking or restricting outfall and
intake structures or to maintenance dredging to remove
accumulated sediments from canals associated with
outfall and intake structures. All dredged or excavated
materials must be deposited and retained in an upland
area unless otherwise specifically approved by the district
engineer under separate authorization. The placement of
riprap must be the minimum necessary to protect the
structure or to ensure the safety of the structure. Any bank
stabilization measures not directly associated with the
structure will require a separate authorization from the
district engineer.
(c) This NWP also authorizes temporary structures, fills,
and work necessary to conduct the maintenance activity.
Appropriate measures must be taken to maintain normal
downstream flows and minimize flooding to the
maximum extent practicable, when temporary structures,
work, and discharges, including cofferdams, are necessary
for construction activities, access fills, or dewatering of
construction sites. Temporary fills must consist of
materials, and be placed in a manner, that will not be
eroded by expected high flows. Temporary fills must be
removed in their entirety and the affected areas returned
to pre-construction elevations. The areas affected by
temporary fills must be revegetated, as appropriate.
(d) This NWP does not authorize maintenance dredging
for the primary purpose of navigation or beach
restoration. This NWP does not authorize new stream
channelization or stream relocation projects.
Notification: For activities authorized by paragraph (b) of
this NWP, the permittee must submit a pre-construction
notification to the district engineer prior to commencing
the activity (see general condition 27). Where
maintenance dredging is proposed, the pre-construction
notification must include information regarding the
original design capacities and configurations of the
outfalls, intakes, small impoundments, and canals.
(Sections 10 and 404)
Note: This NWP authorizes the repair, rehabilitation, or
replacement of any previously authorized structure or fill
that does not qualify for the Clean Water Act Section
404(f) exemption for maintenance.
A. Nationwide Permit General Conditions
Note: To qualify for NWP authorization, the prospective
permittee must comply with the following general conditions, as
appropriate, in addition to any regional or case-specific
conditions imposed by the division engineer or district engineer.
Prospective permittees should contact the appropriate Corps
district office to determine if regional conditions have been
imposed on an NWP. Prospective permittees should also contact
the appropriate Corps district office to determine the status of
Clean Water Act Section 401 water quality certification and/or
Coastal Zone Management Act consistency for an NWP.
1. Navigation.
(a) No activity may cause more than a minimal
adverse effect on navigation.
(b) Any safety lights and signals prescribed by the
U.S. Coast Guard, through regulations or otherwise, must
be installed and maintained at the permittee’s expense on
authorized facilities in navigable waters of the United
States.
(c) The permittee understands and agrees that, if
future operations by the United States require the
removal, relocation, or other alteration, of the structure or
work herein authorized, or if, in the opinion of the
Secretary of the Army or his authorized representative,
said structure or work shall cause unreasonable
obstruction to the free navigation of the navigable waters,
the permittee will be required, upon due notice from the
Corps of Engineers, to remove, relocate, or alter the
structural work or obstructions caused thereby, without
expense to the United States. No claim shall be made
Nationwide 3 Permit Summary Page 2
against the United States on account of any such removal
or alteration.
2. Aquatic Life Movements. No activity may
substantially disrupt the necessary life cycle movements of those
species of aquatic life indigenous to the waterbody, including
those species that normally migrate through the area, unless the
activity’s primary purpose is to impound water. Culverts placed
in streams must be installed to maintain low flow conditions.
3 Spawning Areas. Activities in spawning areas during
spawning seasons must be avoided to the maximum extent
practicable. Activities that result in the physical destruction (e.g.,
through excavation, fill, or downstream smothering by
substantial turbidity) of an important spawning area are not
authorized.
4. Migratory Bird Breeding Areas. Activities in waters
of the United States that serve as breeding areas for migratory
birds must be avoided to the maximum extent practicable.
5. Shellfish Beds. No activity may occur in areas of
concentrated shellfish populations, unless the activity is directly
related to a shellfish harvesting activity authorized by NWPs 4
and 48.
6. Suitable Material. No activity may use unsuitable
material (e.g., trash, debris, car bodies, asphalt, etc.). Material
used for construction or discharged must be free from toxic
pollutants in toxic amounts (see Section 307 of the Clean Water
Act).
7. Water Supply Intakes. No activity may occur in the
proximity of a public water supply intake, except where the
activity is for the repair or improvement of public water supply
intake structures or adjacent bank stabilization.
8. Adverse Effects From Impoundments. If the activity
creates an impoundment of water, adverse effects to the aquatic
system due to accelerating the passage of water, and/or
restricting its flow must be minimized to the maximum extent
practicable.
9. Management of Water Flows. To the maximum extent
practicable, the pre-construction course, condition, capacity, and
location of open waters must be maintained for each activity,
including stream channelization and storm water management
activities, except as provided below. The activity must be
constructed to withstand expected high flows. The activity must
not restrict or impede the passage of normal or high flows,
unless the primary purpose of the activity is to impound water or
manage high flows. The activity may alter the pre-construction
course, condition, capacity, and location of open waters if it
benefits the aquatic environment (e.g., stream restoration or
relocation activities).
10. Fills Within 100-Year Floodplains. The activity must
comply with applicable FEMA-approved state or local
floodplain management requirements.
11. Equipment. Heavy equipment working in wetlands or
mudflats must be placed on mats, or other measures must be
taken to minimize soil disturbance.
12. Soil Erosion and Sediment Controls. Appropriate soil
erosion and sediment controls must be used and maintained in
effective operating condition during construction, and all
exposed soil and other fills, as well as any work below the
ordinary high water mark or high tide line, must be permanently
stabilized at the earliest practicable date. Permittees are
encouraged to perform work within waters of the United States
during periods of low-flow or no-flow.
13. Removal of Temporary Fills. Temporary fills must be
removed in their entirety and the affected areas returned to pre-
construction elevations. The affected areas must be revegetated,
as appropriate.
14. Proper Maintenance. Any authorized structure or fill
shall be properly maintained, including maintenance to ensure
public safety.
15. Wild and Scenic Rivers. No activity may occur in a
component of the National Wild and Scenic River System, or in
a river officially designated by Congress as a “study river” for
possible inclusion in the system while the river is in an official
study status, unless the appropriate Federal agency with direct
management responsibility for such river, has determined in
writing that the proposed activity will not adversely affect the
Wild and Scenic River designation or study status. Information
on Wild and Scenic Rivers may be obtained from the appropriate
Federal land management agency in the area (e.g., National Park
Service, U.S. Forest Service, Bureau of Land Management, U.S.
Fish and Wildlife Service).
16. Tribal Rights. No activity or its operation may impair
reserved tribal rights, including, but not limited to, reserved
water rights and treaty fishing and hunting rights.
17. Endangered Species.
(a) No activity is authorized under any NWP
which is likely to jeopardize the continued existence of a
threatened or endangered species or a species proposed
for such designation, as identified under the Federal
Endangered Species Act (ESA), or which will destroy or
adversely modify the critical habitat of such species. No
activity is authorized under any NWP which “may affect”
a listed species or critical habitat, unless Section 7
consultation addressing the effects of the proposed
activity has been completed.
(b) Federal agencies should follow their own
procedures for complying with the requirements of the
ESA. Federal permittees must provide the district
engineer with the appropriate documentation to
demonstrate compliance with those requirements.
(c) Non-federal permittees shall notify the
district engineer if any listed species or designated critical
habitat might be affected or is in the vicinity of the
project, or if the project is located in designated critical
habitat, and shall not begin work on the activity until
notified by the district engineer that the requirements of
the ESA have been satisfied and that the activity is
authorized. For activities that might affect Federally-listed
endangered or threatened species or designated critical
habitat, the pre-construction notification must include the
name(s) of the endangered or threatened species that may
be affected by the proposed work or that utilize the
designated critical habitat that may be affected by the
proposed work. The district engineer will determine
whether the proposed activity “may affect” or will have
Nationwide 3 Permit Summary Page 3
“no effect” to listed species and designated critical habitat
and will notify the non-Federal applicant of the Corps’
determination within 45 days of receipt of a complete pre-
construction notification. In cases where the non-Federal
applicant has identified listed species or critical habitat
that might be affected or is in the vicinity of the project,
and has so notified the Corps, the applicant shall not
begin work until the Corps has provided notification the
proposed activities will have “no effect” on listed species
or critical habitat, or until Section 7 consultation has been
completed.
(d) As a result of formal or informal
consultation with the FWS or NMFS the district engineer
may add species-specific regional endangered species
conditions to the NWPs.
(e) Authorization of an activity by a NWP does
not authorize the “take” of a threatened or endangered
species as defined under the ESA. In the absence of
separate authorization (e.g., an ESA Section 10 Permit, a
Biological Opinion with “incidental take” provisions, etc.)
from the U.S. FWS or the NMFS, both lethal and non-
lethal “takes” of protected species are in violation of the
ESA. Information on the location of threatened and
endangered species and their critical habitat can be
obtained directly from the offices of the U.S. FWS and
NMFS or their world wide Web pages at
http://www.fws.gov/ and
http://www.noaa.gov/fisheries.html respectively.
18. Historic Properties.
(a) In cases where the district engineer
determines that the activity may affect properties listed, or
eligible for listing, in the National Register of Historic
Places, the activity is not authorized, until the
requirements of Section 106 of the National Historic
Preservation Act (NHPA) have been satisfied.
(b) Federal permittees should follow their own
procedures for complying with the requirements of
Section 106 of the National Historic Preservation Act.
Federal permittees must provide the district engineer with
the appropriate documentation to demonstrate compliance
with those requirements.
(c) Non-federal permittees must submit a pre-
construction notification to the district engineer if the
authorized activity may have the potential to cause effects
to any historic properties listed, determined to be eligible
for listing on, or potentially eligible for listing on the
National Register of Historic Places, including previously
unidentified properties. For such activities, the pre-
construction notification must state which historic
properties may be affected by the proposed work or
include a vicinity map indicating the location of the
historic properties or the potential for the presence of
historic properties. Assistance regarding information on
the location of or potential for the presence of historic
resources can be sought from the State Historic
Preservation Officer or Tribal Historic Preservation
Officer, as appropriate, and the National Register of
Historic Places (see 33 CFR 330.4(g)). The district
engineer shall make a reasonable and good faith effort to
carry out appropriate identification efforts, which may
include background research, consultation, oral history
interviews, sample field investigation, and field survey.
Based on the information submitted and these efforts, the
district engineer shall determine whether the proposed
activity has the potential to cause an effect on the historic
properties. Where the non-Federal applicant has identified
historic properties which the activity may have the
potential to cause effects and so notified the Corps, the
non-Federal applicant shall not begin the activity until
notified by the district engineer either that the activity has
no potential to cause effects or that consultation under
Section 106 of the NHPA has been completed.
(d) The district engineer will notify the
prospective permittee within 45 days of receipt of a
complete pre-construction notification whether NHPA
Section 106 consultation is required. Section 106
consultation is not required when the Corps determines
that the activity does not have the potential to cause
effects on historic properties (see 36 CFR §800.3(a)). If
NHPA section 106 consultation is required and will
occur, the district engineer will notify the non-Federal
applicant that he or she cannot begin work until Section
106 consultation is completed.
(e) Prospective permittees should be aware that
section 110k of the NHPA (16 U.S.C. 470h-2(k)) prevents
the Corps from granting a permit or other assistance to an
applicant who, with intent to avoid the requirements of
Section 106 of the NHPA, has intentionally significantly
adversely affected a historic property to which the permit
would relate, or having legal power to prevent it, allowed
such significant adverse effect to occur, unless the Corps,
after consultation with the Advisory Council on Historic
Preservation (ACHP), determines that circumstances
justify granting such assistance despite the adverse effect
created or permitted by the applicant. If circumstances
justify granting the assistance, the Corps is required to
notify the ACHP and provide documentation specifying
the circumstances, explaining the degree of damage to the
integrity of any historic properties affected, and proposed
mitigation. This documentation must include any views
obtained from the applicant, SHPO/THPO, appropriate
Indian tribes if the undertaking occurs on or affects
historic properties on tribal lands or affects properties of
interest to those tribes, and other parties known to have a
legitimate interest in the impacts to the permitted activity
on historic properties.
19. Designated Critical Resource Waters. Critical
resource waters include, NOAA-designated marine sanctuaries,
National Estuarine Research Reserves, state natural heritage
sites, and outstanding national resource waters or other waters
officially designated by a state as having particular
environmental or ecological significance and identified by the
district engineer after notice and opportunity for public
comment. The district engineer may also designate additional
critical resource waters after notice and opportunity for
comment.
(a) Discharges of dredged or fill material into
waters of the United States are not authorized by NWPs 7,
12, 14, 16, 17, 21, 29, 31, 35, 39, 40, 42, 43, 44, 49, and
Nationwide 3 Permit Summary Page 4
50 for any activity within, or directly affecting, critical
resource waters, including wetlands adjacent to such
waters.
(b) For NWPs 3, 8, 10, 13, 15, 18, 19, 22, 23,
25, 27, 28, 30, 33, 34, 36, 37, and 38, notification is
required in accordance with general condition 27, for any
activity proposed in the designated critical resource
waters including wetlands adjacent to those waters. The
district engineer may authorize activities under these
NWPs only after it is determined that the impacts to the
critical resource waters will be no more than minimal.
20 Mitigation. The district engineer will consider the
following factors when determining appropriate and practicable
mitigation necessary to ensure that adverse effects on the aquatic
environment are minimal:
(a) The activity must be designed and
constructed to avoid and minimize adverse effects, both
temporary and permanent, to waters of the United States
to the maximum extent practicable at the project site (i.e.,
on site).
(b) Mitigation in all its forms (avoiding,
minimizing, rectifying, reducing, or compensating) will
be required to the extent necessary to ensure that the
adverse effects to the aquatic environment are minimal.
(c) Compensatory mitigation at a minimum
one-for-one ratio will be required for all wetland losses
that exceed 1/10 acre and require pre-construction
notification, unless the district engineer determines in
writing that some other form of mitigation would be more
environmentally appropriate and provides a project-
specific waiver of this requirement. For wetland losses of
1/10 acre or less that require pre-construction notification,
the district engineer may determine on a case-by-case
basis that compensatory mitigation is required to ensure
that the activity results in minimal adverse effects on the
aquatic environment. Since the likelihood of success is
greater and the impacts to potentially valuable uplands are
reduced, wetland restoration should be the first
compensatory mitigation option considered.
(d) For losses of streams or other open waters
that require pre-construction notification, the district
engineer may require compensatory mitigation, such as
stream restoration, to ensure that the activity results in
minimal adverse effects on the aquatic environment.
(e) Compensatory mitigation will not be used to
increase the acreage losses allowed by the acreage limits
of the NWPs. For example, if an NWP has an acreage
limit of 1/2 acre, it cannot be used to authorize any project
resulting in the loss of greater than 1/2 acre of waters of
the United States, even if compensatory mitigation is
provided that replaces or restores some of the lost waters.
However, compensatory mitigation can and should be
used, as necessary, to ensure that a project already
meeting the established acreage limits also satisfies the
minimal impact requirement associated with the NWPs.
(f) Compensatory mitigation plans for projects
in or near streams or other open waters will normally
include a requirement for the establishment, maintenance,
and legal protection (e.g., conservation easements) of
riparian areas next to open waters. In some cases, riparian
areas may be the only compensatory mitigation required.
Riparian areas should consist of native species. The width
of the required riparian area will address documented
water quality or aquatic habitat loss concerns. Normally,
the riparian area will be 25 to 50 feet wide on each side of
the stream, but the district engineer may require slightly
wider riparian areas to address documented water quality
or habitat loss concerns. Where both wetlands and open
waters exist on the project site, the district engineer will
determine the appropriate compensatory mitigation (e.g.,
riparian areas and/or wetlands compensation) based on
what is best for the aquatic environment on a watershed
basis. In cases where riparian areas are determined to be
the most appropriate form of compensatory mitigation,
the district engineer may waive or reduce the requirement
to provide wetland compensatory mitigation for wetland
losses.
(g) Permittees may propose the use of
mitigation banks, in-lieu fee arrangements or separate
activity-specific compensatory mitigation. In all cases, the
mitigation provisions will specify the party responsible
for accomplishing and/or complying with the mitigation
plan.
(h) Where certain functions and services of
waters of the United States are permanently adversely
affected, such as the conversion of a forested or scrub-
shrub wetland to a herbaceous wetland in a permanently
maintained utility line right-of-way, mitigation may be
required to reduce the adverse effects of the project to the
minimal level.
21. Water Quality. Where States and authorized Tribes, or
EPA where applicable, have not previously certified compliance
of an NWP with CWA Section 401, individual 401 Water
Quality Certification must be obtained or waived (see 33 CFR
330.4(c)). The district engineer or State or Tribe may require
additional water quality management measures to ensure that the
authorized activity does not result in more than minimal
degradation of water quality.
22. Coastal Zone Management. In coastal states where an
NWP has not previously received a state coastal zone
management consistency concurrence, an individual state coastal
zone management consistency concurrence must be obtained, or
a presumption of concurrence must occur (see 33 CFR 330.4(d)).
The district engineer or a State may require additional measures
to ensure that the authorized activity is consistent with state
coastal zone management requirements.
23. Regional and Case-By-Case Conditions. The activity
must comply with any regional conditions that may have been
added by the Division Engineer (see 33 CFR 330.4(e)) and with
any case specific conditions added by the Corps or by the state,
Indian Tribe, or U.S. EPA in its section 401 Water Quality
Certification, or by the state in its Coastal Zone Management
Act consistency determination.
24. Use of Multiple Nationwide Permits. The use of
more than one NWP for a single and complete project is
prohibited, except when the acreage loss of waters of the United
States authorized by the NWPs does not exceed the acreage limit
Nationwide 3 Permit Summary Page 5
of the NWP with the highest specified acreage limit. For
example, if a road crossing over tidal waters is constructed under
NWP 14, with associated bank stabilization authorized by NWP
13, the maximum acreage loss of waters of the United States for
the total project cannot exceed 1/3-acre.
25. Transfer of Nationwide Permit Verifications. If the
permittee sells the property associated with a nationwide permit
verification, the permittee may transfer the nationwide permit
verification to the new owner by submitting a letter to the
appropriate Corps district office to validate the transfer. A copy
of the nationwide permit verification must be attached to the
letter, and the letter must contain the following statement and
signature:
“When the structures or work authorized by this
nationwide permit are still in existence at the time the
property is transferred, the terms and conditions of this
nationwide permit, including any special conditions, will
continue to be binding on the new owner(s) of the
property. To validate the transfer of this nationwide
permit and the associated liabilities associated with
compliance with its terms and conditions, have the
transferee sign and date below.”
----------------------------------------------------------------
(Transferee)
----------------------------------------------------------------
(Date)
26. Compliance Certification. Each permittee who
received an NWP verification from the Corps must submit a
signed certification regarding the completed work and any
required mitigation. The certification form must be forwarded by
the Corps with the NWP verification letter and will include:
(a) A statement that the authorized work was
done in accordance with the NWP authorization,
including any general or specific conditions;
(b) A statement that any required mitigation
was completed in accordance with the permit conditions;
and
(c) The signature of the permittee certifying the
completion of the work and mitigation.
27. Pre-Construction Notification.
(a) Timing.. Where required by the terms of the
NWP, the prospective permittee must notify the district
engineer by submitting a pre-construction notification
(PCN) as early as possible. The district engineer must
determine if the PCN is complete within 30 calendar days
of the date of receipt and, as a general rule, will request
additional information necessary to make the PCN
complete only once. However, if the prospective
permittee does not provide all of the requested
information, then the district engineer will notify the
prospective permittee that the PCN is still incomplete and
the PCN review process will not commence until all of
the requested information has been received by the district
engineer. The prospective permittee shall not begin the
activity until either:
(1) He or she is notified in writing by the
district engineer that the activity may proceed under
the NWP with any special conditions imposed by the
district or division engineer; or
(2) Forty-five calendar days have passed
from the district engineer’s receipt of the complete
PCN and the prospective permittee has not received
written notice from the district or division engineer.
However, if the permittee was required to notify the
Corps pursuant to general condition 17 that listed
species or critical habitat might affected or in the
vicinity of the project, or to notify the Corps pursuant
to general condition 18 that the activity may have the
potential to cause effects to historic properties, the
permittee cannot begin the activity until receiving
written notification from the Corps that is “no effect”
on listed species or “no potential to cause effects” on
historic properties, or that any consultation required
under Section 7 of the Endangered Species Act (see
33 CFR 330.4(f)) and/or Section 106 of the National
Historic Preservation (see 33 CFR 330.4(g)) is
completed. Also, work cannot begin under NWPs 21,
49, or 50 until the permittee has received written
approval from the Corps. If the proposed activity
requires a written waiver to exceed specified limits of
an NWP, the permittee cannot begin the activity until
the district engineer issues the waiver. If the district
or division engineer notifies the permittee in writing
that an individual permit is required within 45
calendar days of receipt of a complete PCN, the
permittee cannot begin the activity until an individual
permit has been obtained. Subsequently, the
permittee’s right to proceed under the NWP may be
modified, suspended, or revoked only in accordance
with the procedure set forth in 33 CFR 330.5(d)(2).
(b) Contents of Pre-Construction Notification:
The PCN must be in writing and include the following
information:
(1) Name, address and telephone numbers
of the prospective permittee;
(2) Location of the proposed project;
(3) A description of the proposed project;
the project’s purpose; direct and indirect adverse
environmental effects the project would cause; any
other NWP(s), regional general permit(s), or
individual permit(s) used or intended to be used to
authorize any part of the proposed project or any
related activity. The description should be
sufficiently detailed to allow the district engineer to
determine that the adverse effects of the project will
be minimal and to determine the need for
compensatory mitigation. Sketches should be
provided when necessary to show that the activity
complies with the terms of the NWP. (Sketches
usually clarify the project and when provided result
in a quicker decision.);
(4) The PCN must include a delineation of
special aquatic sites and other waters of the United
States on the project site. Wetland delineations must
Nationwide 3 Permit Summary Page 6
be prepared in accordance with the current method
required by the Corps. The permittee may ask the
Corps to delineate the special aquatic sites and other
waters of the United States, but there may be a delay
if the Corps does the delineation, especially if the
project site is large or contains many waters of the
United States. Furthermore, the 45 day period will
not start until the delineation has been submitted to or
completed by the Corps, where appropriate;
(5) If the proposed activity will result in the
loss of greater than 1/10 acre of wetlands and a PCN
is required, the prospective permittee must submit a
statement describing how the mitigation requirement
will be satisfied. As an alternative, the prospective
permittee may submit a conceptual or detailed
mitigation plan.
(6) If any listed species or designated
critical habitat might be affected or is in the vicinity
of the project, or if the project is located in
designated critical habitat, for non-Federal applicants
the PCN must include the name(s) of those
endangered or threatened species that might be
affected by the proposed work or utilize the
designated critical habitat that may be affected by the
proposed work. Federal applicants must provide
documentation demonstrating compliance with the
Endangered Species Act; and
(7) For an activity that may affect a historic
property listed on, determined to be eligible for
listing on, or potentially eligible for listing on, the
National Register of Historic Places, for non-Federal
applicants the PCN must state which historic property
may be affected by the proposed work or include a
vicinity map indicating the location of the historic
property. Federal applicants must provide
documentation demonstrating compliance with
Section 106 of the National Historic Preservation
Act.
(c) Form of Pre-Construction Notification: The
standard individual permit application form (Form ENG
4345) may be used, but the completed application form
must clearly indicate that it is a PCN and must include all
of the information required in paragraphs (b)(1) through
(7) of this general condition. A letter containing the
required information may also be used.
(d) Agency Coordination:
(1) The district engineer will consider any
comments from Federal and state agencies
concerning the proposed activity’s compliance with
the terms and conditions of the NWPs and the need
for mitigation to reduce the project’s adverse
environmental effects to a minimal level.
(2) For all NWP 48 activities requiring pre-
construction notification and for other NWP activities
requiring pre-construction notification to the district
engineer that result in the loss of greater than 1/2-acre
of waters of the United States, the district engineer
will immediately provide (e.g., via facsimile
transmission, overnight mail, or other expeditious
manner) a copy of the PCN to the appropriate Federal
or state offices (U.S. FWS, state natural resource or
water quality agency, EPA, State Historic
Preservation Officer (SHPO) or Tribal Historic
Preservation Office (THPO), and, if appropriate, the
NMFS). With the exception of NWP 37, these
agencies will then have 10 calendar days from the
date the material is transmitted to telephone or fax the
district engineer notice that they intend to provide
substantive, site-specific comments. If so contacted
by an agency, the district engineer will wait an
additional 15 calendar days before making a decision
on the pre-construction notification. The district
engineer will fully consider agency comments
received within the specified time frame, but will
provide no response to the resource agency, except as
provided below. The district engineer will indicate in
the administrative record associated with each pre-
construction notification that the resource agencies’
concerns were considered. For NWP 37, the
emergency watershed protection and rehabilitation
activity may proceed immediately in cases where
there is an unacceptable hazard to life or a significant
loss of property or economic hardship will occur. The
district engineer will consider any comments
received to decide whether the NWP 37 authorization
should be modified, suspended, or revoked in
accordance with the procedures at 33 CFR 330.5.
(3) In cases of where the prospective
permittee is not a Federal agency, the district
engineer will provide a response to NMFS within 30
calendar days of receipt of any Essential Fish Habitat
conservation recommendations, as required by
Section 305(b)(4)(B) of the Magnuson-Stevens
Fishery Conservation and Management Act.
(4) Applicants are encouraged to provide
the Corps multiple copies of pre-construction
notifications to expedite agency coordination.
(5) For NWP 48 activities that require
reporting, the district engineer will provide a copy of
each report within 10 calendar days of receipt to the
appropriate regional office of the NMFS.
(e) In reviewing the PCN for the proposed
activity, the district engineer will determine whether the
activity authorized by the NWP will result in more than
minimal individual or cumulative adverse environmental
effects or may be contrary to the public interest. If the
proposed activity requires a PCN and will result in a loss
of greater than 1/10 acre of wetlands, the prospective
permittee should submit a mitigation proposal with the
PCN. Applicants may also propose compensatory
mitigation for projects with smaller impacts. The district
engineer will consider any proposed compensatory
mitigation the applicant has included in the proposal in
determining whether the net adverse environmental
effects to the aquatic environment of the proposed work
are minimal. The compensatory mitigation proposal may
be either conceptual or detailed. If the district engineer
determines that the activity complies with the terms and
Nationwide 3 Permit Summary Page 7
conditions of the NWP and that the adverse effects on the
aquatic environment are minimal, after considering
mitigation, the district engineer will notify the permittee
and include any conditions the district engineer deems
necessary. The district engineer must approve any
compensatory mitigation proposal before the permittee
commences work. If the prospective permittee elects to
submit a compensatory mitigation plan with the PCN, the
district engineer will expeditiously review the proposed
compensatory mitigation plan. The district engineer must
review the plan within 45 calendar days of receiving a
complete PCN and determine whether the proposed
mitigation would ensure no more than minimal adverse
effects on the aquatic environment. If the net adverse
effects of the project on the aquatic environment (after
consideration of the compensatory mitigation proposal)
are determined by the district engineer to be minimal, the
district engineer will provide a timely written response to
the applicant. The response will state that the project can
proceed under the terms and conditions of the NWP.
If the district engineer determines that the adverse
effects of the proposed work are more than minimal, then
the district engineer will notify the applicant either: (1)
That the project does not qualify for authorization under
the NWP and instruct the applicant on the procedures to
seek authorization under an individual permit; (2) that the
project is authorized under the NWP subject to the
applicant’s submission of a mitigation plan that would
reduce the adverse effects on the aquatic environment to
the minimal level; or (3) that the project is authorized
under the NWP with specific modifications or conditions.
Where the district engineer determines that mitigation is
required to ensure no more than minimal adverse effects
occur to the aquatic environment, the activity will be
authorized within the 45-day PCN period. The
authorization will include the necessary conceptual or
specific mitigation or a requirement that the applicant
submit a mitigation plan that would reduce the adverse
effects on the aquatic environment to the minimal level.
When mitigation is required, no work in waters of the
United States may occur until the district engineer has
approved a specific mitigation plan.
(a) 28. Single and Complete Project. The activity must
be a single and complete project. The same NWP cannot be used
more than once for the same single and complete project.
B. Regional Conditions:
I. Sacramento District (All States, except Colorado)
1. When pre-construction notification (PCN) is required, the
prospective permittee shall notify the Sacramento District in
accordance with General Condition 27 using either the South
Pacific Division Preconstruction Notification (PCN) Checklist or
a completed application form (ENG Form 4345). In addition,
the PCN shall include:
a. A written statement explaining how the activity has
been designed to avoid and minimize adverse effects,
both temporary and permanent, to waters of the United
States;
b. Drawings, including plan and cross-section views,
clearly depicting the location, size and dimensions of the
proposed activity. The drawings shall contain a title
block, legend and scale, amount (in cubic yards) and size
(in acreage) of fill in Corps jurisdiction, including both
permanent and temporary fills/structures. The ordinary
high water mark or, if tidal waters, the high tide line
should be shown (in feet), based on National Geodetic
Vertical Datum (NGVD) or other appropriate referenced
elevation; and
c. Pre-project color photographs of the project site taken
from designatedlocations documented on the plan
drawing.
2. The permittee shall complete compensatory mitigation
required by special conditions of the NWP verification before or
concurrent with construction of the authorized activity, except
when specifically determined to be impracticable by the
Sacramento District. When project mitigation involves use of a
mitigation bank or in-lieu fee program, payment shall be made
before commencing construction.
3. The permittee shall record the NWP verification with the
Registrar of Deeds or other appropriate official charged with the
responsibility for maintaining records of title to or interest in real
property against areas (1) designated to be preserved as part of
mitigation for authorized impacts, including any associated
covenants or restrictions, or (2) where structures such as boat
ramps or docks, marinas, piers, and permanently moored vessels
will be constructed in or adjacent to navigable waters (Section
10 and Section 404). The recordation shall also include a map
showing the surveyed location of the authorized structure and
any associated areas preserved to minimize or compensate for
project impacts.
4. The permittee shall place wetlands, other aquatic areas, and
any vegetative buffers preserved as part of mitigation for
impacts into a separate “preserve” parcel prior to discharging
dredged or fill material into waters of the United States, except
where specifically determined to be impracticable by the
Sacramento District. Permanent legal protection shall be
established for all preserve parcels, following Sacramento
District approval of the legal instrument.
5. The permittee shall allow Corps representatives to inspect
the authorized activity and any mitigation areas at any time
deemed necessary to determine compliance with the terms and
conditions of the NWP verification. The permittee will be
notified in advance of an inspection.
6. For NWPs 29, 39, 40, 42, 43, 44, and 46, requests to waive
the 300 linear foot limitation for intermittent or ephemeral
waters of the U.S. shall include an evaluation of functions and
services provided by the waterbody taking into account the
watershed, measures to be implemented to avoid and minimize
impacts, other measures to avoid and minimize that were found
to be impracticable, and a mitigation plan for offsetting impacts.
7. Road crossings shall be designed to ensure fish passage,
especially for anadromous fisheries. Permittees shall employ
bridge designs that span the stream or river, utilize pier or pile
supported structures, or involve large bottomless culverts with a
natural streambed, where the substrate and streamflow
Nationwide 3 Permit Summary Page 8
conditions approximate existing channel conditions. Approach
fills in waters of the United States below the ordinary high water
mark are not authorized under the NWPs, except where
avoidance has specifically been determined to be impracticable
by the Sacramento District.
8. For NWP 12, clay blocks, bentonite, or other suitable
material shall be used to seal the trench to prevent the utility line
from draining waters of the United States, including wetlands.
9. For NWP 13, bank stabilization shall include the use of
vegetation or other biotechnical design to the maximum extent
practicable. Activities involving hard-armoring of the bank toe
or slope requires submission of a PCN per General Condition 27.
10. For NWP 23, the PCN shall include a copy of the signed
Categorical Exclusion document and final agency
determinations regarding compliance with Section 7 of the
Endangered Species Act, Essential Fish Habitat under the
Magnussen-Stevens Act, and Section 106 of the National
Historic Preservation Act.
11. For NWP 44, the discharge shall not cause the loss of more
than 300 linear feet of streambed. For intermittent and
ephemeral streams, the 300 linear foot limit may be waived in
writing by the Sacramento District. This NWP does not
authorize discharges in waters of the United States supporting
anadromous fisheries.
12. For NWPs 29 and 39, channelization or relocation of
intermittent or perennial drainage, is not authorized, except
when, as determined by the Sacramento District, the relocation
would result in a net increase in functions of the aquatic
ecosystem within the watershed.
13. For NWP 33, temporary fills for construction access in
waters of the United States supporting fisheries shall be
accomplished with clean, washed spawning quality gravels
where practicable as determined by the Sacramento District, in
consultation with appropriate federal and state wildlife agencies.
14. For NWP 46, the discharge shall not cause the loss of
greater than 0.5 acres of waters of the United States or the loss
of more than 300 linear feet of ditch, unless this 300 foot linear
foot limit is waived in writing by the Sacramento District.
15. For NWPs 29, 39, 40, 42, and 43, upland vegetated buffers
shall be established and maintained in perpetuity, to the
maximum extent practicable, next to all preserved open waters,
streams and wetlands including created, restored, enhanced or
preserved waters of the U.S., consistent with General Condition
20. Except in unusual circumstances, vegetated buffers shall be
at least 50 feet in width.
16. All NWPs except 3, 6, 20, 27, 32, 38, and 47, are revoked
for activities in histosols and fens and in wetlands contiguous
with fens. Fens are defined as slope wetlands with a histic
epipedon that are hydrologically supported by groundwater.
Fens are normally saturated throughout the growing season,
although they may not be during drought conditions. For NWPs
3, 6, 20, 27, 32, and 38, prospective permittees shall submit a
PCN to the Sacramento District in accordance with General
Condition 27.
17. For all NWPs, when activities are proposed within 100 feet
of the point of groundwater discharge of a natural spring,
prospective permittees shall submit a PCN to the Sacramento
District in accordance with General Condition 27. A spring
source is defined as any location where ground water emanates
from a point in the ground. For purposes of this condition,
springs do not include seeps or other discharges which lack a
defined channel.
II. California Only
1. In the Lake Tahoe Basin, all NWPs are revoked. Activities
in this area shall be authorized under Regional General Permit
16 or through an individual permit.
2. In the Primary and Secondary Zones of the Legal Delta,
NWPs 29 and 39 are revoked. New development activities in
the Legal Delta will be reviewed through the Corps’ standard
permit process.
III. Nevada Only
1. In the Lake Tahoe Basin, all NWPs are revoked. Activities
in this area shall be authorized under Regional General Permit
16 or through an individual permit.
IV. Utah Only
1. For all NWPs, except NWP 47, prospective permittees shall
submit a PCN in accordance with General Condition 27 for any
activity, in waters of the United States, below 4217 feet mean
sea level (msl) adjacent to the Great Salt Lake and below 4500
feet msl adjacent to Utah Lake.
2. A PCN is required for all bank stabilization activities in a
perennial stream that would affect more than 100 linear feet of
stream
3. For NWP 27, facilities for controlling stormwater runoff,
construction of water parks such as kayak courses, and use of
grout or concrete to construct in-stream structures are not
authorized. A PCN is required for all projects exceeding 1500
linear feet as measured on the stream thalweg, using in stream
structures exceeding 50 cubic yards per structure and/or
incorporating grade control structures exceeding 1 foot vertical
drop. For any stream restoration project, the post project stream
sinuosity shall be appropriate to the geomorphology of the
surrounding area and shall be equal to, or greater than, pre
project sinuosity. Sinuosity is defined as the ratio of stream
length to project reach length. Structures shall allow the passage
of aquatic organisms, recreational water craft or other
navigational activities unless specifically waived in writing by
the District Engineer.
V. Colorado Only
1. Final Regional Conditions Applicable to Specific
Nationwide Permits within Colorado.
a. Nationwide Permit Nos. 12 and 14, Utility Line
Activities and Linear Transportation Projects. In the
Colorado River Basin, utility line and road activities
crossing perennial water or special aquatic sites require
notification to the District Engineer in accordance with
General Condition 27 (Pre-Construction Notification).
b. Nationwide Permit No. 13 Bank Stabilization. In
Colorado, bank stabilization activities necessary for
erosion prevention in streams that average less than 20
feet in width (measured between the ordinary high water
marks) are limited to the placement of no more than 1/4
Nationwide 3 Permit Summary Page 9
cubic yard of suitable fill* material per running foot
below the plane of the ordinary high water mark.
Activities greater than 1/4 cubic yard may be authorized if
the permittee notifies the District Engineer in accordance
with General Condition 27 (Pre-Construction
Notification) and the Corps determines the adverse
environmental effects are minimal. [* See (g) for
definition of Suitable Fill]
c. Nationwide Permit No. 27 Aquatic Habitat
Restoration, Establishment, and Enhancement Activities.
(1) For activities that include a fishery enhancement
component, the Corps will send the Pre-Construction
Notification to the Colorado Division of Wildlife
(CDOW) for review. In accordance with General
Condition 27 (Pre-Construction Notification),
CDOW will have 10 days from the receipt of Corps
notification to indicate that they will be commenting
on the proposed project. CDOW will then have an
additional 15 days after the initial 10-day period to
provide those comments. If CDOW raises concerns,
the applicant may either modify their plan, in
coordination with CDOW, or apply for a standard
individual permit.
(2) For activities involving the length of a stream,
the post-project stream sinuosity will not be
significantly reduced, unless it is demonstrated that
the reduction in sinuosity is consistent with the
natural morphological evolution of the stream
(sinuosity is the ratio of stream length to project
reach length).
(3) Structures will allow the upstream and
downstream passage of aquatic organisms, including
fish native to the reach, as well as recreational water
craft or other navigational activities, unless
specifically waived in writing by the District
Engineer. The use of grout and/or concrete in
building structures is not authorized by this
nationwide permit.
(4) The construction of water parks (i.e., kayak
courses) and flood control projects are not authorized
by this nationwide permit.
d. Nationwide Permits Nos. 29 and 39; Residential
Developments and Commercial and Institutional
Developments. A copy of the existing FEMA/locally-
approved floodplain map must be submitted with the Pre-
Construction Notification. When reviewing proposed
developments, the Corps will utilize the most accurate
and reliable FEMA/locally-approved pre-project
floodplain mapping, not post-project floodplain mapping
based on a CLOMR or LOMR. However, the Corps will
accept revisions to existing floodplain mapping if the
revisions resolve inaccuracies in the original floodplain
mapping and if the revisions accurately reflect pre-project
conditions.
2. Final Regional Conditions Applicable to All Nationwide
Permits within Colorado
e. Removal of Temporary Fills. General Condition 13
(Removal of Temporary Fills) is amended by adding the
following: When temporary fills are placed in wetlands in
Colorado, a horizontal marker (i.e. fabric, certified weed-
free straw, etc.) must be used to delineate the existing
ground elevation of wetlands that will be temporarily
filled during construction.
f. Spawning Areas. General Condition 3 (Spawning
Areas) is amended by adding the following: In Colorado,
all Designated Critical Resource Waters (see enclosure 1)
are considered important spawning areas. Therefore, In
accordance with General Condition 19 (Designated
Critical Resource Waters), the discharge of dredged or fill
material in not authorized by the following nationwide
permits in these waters: NWPs 7, 12, 14, 16, 17, 21, 29,
31, 35, 39, 40, 42, 43, 44, 49, and 50. In addition, in
accordance with General Condition 27 (Pre-Construction
Notification), notification to the District Engineer is
required for use of the following nationwide permits in
these waters: NWPs 3, 8, 10, 13, 15, 18, 19, 22, 23, 25,
27, 28, 30, 33, 34, 36, 37 and 38”.
g. Suitable Fill. In Colorado, use of broken concrete as
fill material requires notification to the District Engineer
in accordance with General Condition 27 (Pre-
Construction Notification). Permittees must demonstrate
that soft engineering methods utilizing native or non-
manmade materials are not practicable (with respect to
cost, existing technology, and logistics), before broken
concrete is allowed as suitable fill. Use of broken
concrete with exposed rebar is prohibited in perennial
waters and special aquatic sites.
h. Invasive Aquatic Species. General Condition 11 is
amended by adding the following condition for work in
perennial or intermittent waters of the United States: If
heavy equipment is used for the subject project that was
previously working in another stream, river, lake, pond, or
wetland within 10 days of initiating work, one the
following procedures is necessary to prevent the spread of
New Zealand Mud Snails and other aquatic hitchhikers:
(1) Remove all mud and debris from equipment
(tracks, turrets, buckets, drags, teeth, etc.) and keep
the equipment dry for 10 days. OR
(2) Remove all mud and debris from Equipment
(tracks, turrets, buckets, drags, teeth, etc.) and
spray/soak equipment with either a 1:1 solution of
Formula 409 Household Cleaner and water, or a
solution of Sparquat 256 (5 ounces Sparquat per
gallon of water). Treated equipment must be kept
moist for at least 10 minutes. OR
(3) Remove all mud and debris from equipment
(tracks, turrets, buckets, drags, teeth, etc.) and
spray/soak equipment with water greater than 120
degrees F for at least 10 minutes.
3. Final Regional Conditions for Revocation/Special
Notification Specific to Certain Geographic Areas
i. Fens: All Nationwide permits, except permit Nos. 3,
6, 20, 27, 32, 38 and 47, are revoked in fens and wetlands
adjacent to fens. Use of nationwide permit Nos. 3, 20, 27
and 38, requires notification to the District Engineer, in
accordance with General Condition 27 (Pre-Construction
Nationwide 3 Permit Summary Page 10
Notification), and the permittee may not begin the activity
until the Corps determines the adverse environmental
effects are minimal. The following defines a fen:
Fen soils (histosols) are normally saturated
throughout the growing season, although they may
not be during drought conditions. The primary
source of hydrology for fens is groundwater.
Histosols are defined in accordance with the U.S.
Department of Agriculture, Natural Resources
Conservation Service publications on Keys to Soil
Taxonomy and Field Indicators of Hydric Soils in the
United States
(http://soils.usda.gov/technical/classification/taxono
my).
j. Springs: Within the state of Colorado, all NWPs,
except permit 47 (original ‘C’), require preconstruction
notification pursuant to General Condition 27 for
discharges of dredged or fill material within 100 feet of
the point of groundwater discharge of natural springs. A
spring source is defined as any location where
groundwater emanates from a point in the ground. For
purposes of this regional condition, springs do not include
seeps or other discharges which do not have a defined
channel.
4. Additional Information
The following provides additional information regarding
minimization of impacts and compliance with existing
general Conditions:
a. Permittees are reminded of the existing General
Condition No. 6 which prohibits the use of unsuitable
material. Organic debris, building waste, asphalt, car
bodies, and trash are not suitable material. Also, General
Condition 12 requires appropriate erosion and sediment
controls (i.e. all fills must be permanently stabilized to
prevent erosion and siltation into waters and wetlands at
the earliest practicable date). Streambed material or other
small aggregate material placed along a bank as
stabilization will not meet General Condition 12. Also,
use of erosion control mates that contain plastic netting
may not meet General Condition 12 if deemed harmful to
wildlife.
b. Designated Critical Resource Waters in Colorado. In
Colorado, a list of designated Critical Resource Waters
has been published in accordance with General Condition
19 (Designated Critical Resource Waters). This list will
be published on the Albuquerque District Regulatory
home page (http://www.spa.usace.army.mil/reg/)
c. Federally-Listed Threatened and Endangered
Species. General condition 17 requires that nod-federal
permittees notify the District Engineer if any listed
species or designated critical habitat might be affected or
is in the vicinity of the project. Information on such
species, to include occurrence by county in Colorado,
may be found at the following U.S. Fish and Wildlife
Service website:
http://www.fws.gov/mountain%2Dprairie/endspp/name_c
ounty_search.htm
.C. Further Information
1. District Engineers have authority to determine if an activity
complies with the terms and conditions of an NWP.
2. NWPs do not obviate the need to obtain other federal, state,
or local permits, approvals, or authorizations required by law.
3. NWPs do not grant any property rights or exclusive
privileges.
4. NWPs do not authorize any injury to the property or rights
of others.
5. NWPs do not authorize interference with any existing or
proposed Federal project.
D. Definitions
Best management practices (BMPs): Policies, practices,
procedures, or structures implemented to mitigate the adverse
environmental effects on surface water quality resulting from
development. BMPs are categorized as structural or non-
structural.
Compensatory mitigation: The restoration, establishment
(creation), enhancement, or preservation of aquatic resources for
the purpose of compensating for unavoidable adverse impacts
which remain after all appropriate and practicable avoidance and
minimization has been achieved.
Currently serviceable: Useable as is or with some maintenance,
but not so degraded as to essentially require reconstruction.
Discharge: The term “discharge” means any discharge of
dredged or fill material.
Enhancement: The manipulation of the physical, chemical, or
biological characteristics of an aquatic resource to heighten,
intensify, or improve a specific aquatic resource function(s).
Enhancement results in the gain of selected aquatic resource
function(s), but may also lead to a decline in other aquatic
resource function(s). Enhancement does not result in a gain in
aquatic resource area.
Ephemeral stream: An ephemeral stream has flowing water
only during, and for a short duration after, precipitation events in
a typical year. Ephemeral stream beds are located above the
water table year-round. Groundwater is not a source of water for
the stream. Runoff from rainfall is the primary source of water
for stream flow.
Establishment (creation): The manipulation of the physical,
chemical, or biological characteristics present to develop an
aquatic resource that did not previously exist at an upland site.
Establishment results in a gain in aquatic resource area.
Historic Property: Any prehistoric or historic district, site
(including archaeological site), building, structure, or other
object included in, or eligible for inclusion in, the National
Register of Historic Places maintained by the Secretary of the
Interior. This term includes artifacts, records, and remains that
are related to and located within such properties. The term
includes properties of traditional religious and cultural
importance to an Indian tribe or Native Hawaiian organization
and that meet the National Register criteria (36 CFR part 60).
Independent utility: A test to determine what constitutes a
single and complete project in the Corps regulatory program. A
project is considered to have independent utility if it would be
constructed absent the construction of other projects in the
Nationwide 3 Permit Summary Page 11
project area. Portions of a multi-phase project that depend upon
other phases of the project do not have independent utility.
Phases of a project that would be constructed even if the other
phases were not built can be considered as separate single and
complete projects with independent utility.
Intermittent stream: An intermittent stream has flowing water
during certain times of the year, when groundwater provides
water for stream flow. During dry periods, intermittent streams
may not have flowing water. Runoff from rainfall is a
supplemental source of water for stream flow.
Loss of waters of the United States: Waters of the United
States that are permanently adversely affected by filling,
flooding, excavation, or drainage because of the regulated
activity. Permanent adverse effects include permanent
discharges of dredged or fill material that change an aquatic area
to dry land, increase the bottom elevation of a waterbody, or
change the use of a waterbody. The acreage of loss of waters of
the United States is a threshold measurement of the impact to
jurisdictional waters for determining whether a project may
qualify for an NWP; it is not a net threshold that is calculated
after considering compensatory mitigation that may be used to
offset losses of aquatic functions and services. The loss of
stream bed includes the linear feet of stream bed that is filled or
excavated. Waters of the United States temporarily filled,
flooded, excavated, or drained, but restored to pre-construction
contours and elevations after construction, are not included in
the measurement of loss of waters of the United States. Impacts
resulting from activities eligible for exemptions under Section
404(f) of the Clean Water Act are not considered when
calculating the loss of waters of the United States.
Non-tidal wetland: A non-tidal wetland is a wetland that is not
subject to the ebb and flow of tidal waters. The definition of a
wetland can be found at 33 CFR 328.3(b). Non-tidal wetlands
contiguous to tidal waters are located landward of the high tide
line (i.e., spring high tide line).
Open water: For purposes of the NWPs, an open water is any
area that in a year with normal patterns of precipitation has water
flowing or standing above ground to the extent that an ordinary
high water mark can be determined. Aquatic vegetation within
the area of standing or flowing water is either non-emergent,
sparse, or absent. Vegetated shallows are considered to be open
waters. Examples of “open waters” include rivers, streams,
lakes, and ponds.
Ordinary High Water Mark: An ordinary high water mark is a
line on the shore established by the fluctuations of water and
indicated by physical characteristics, or by other appropriate
means that consider the characteristics of the surrounding areas
(see 33 CFR 328.3(e)).
Perennial stream: A perennial stream has flowing water year-
round during a typical year. The water table is located above the
stream bed for most of the year. Groundwater is the primary
source of water for stream flow. Runoff from rainfall is a
supplemental source of water for stream flow.
Practicable: Available and capable of being done after taking
into consideration cost, existing technology, and logistics in light
of overall project purposes.
Pre-construction notification: A request submitted by the
project proponent to the Corps for confirmation that a particular
activity is authorized by nationwide permit. The request may be
a permit application, letter, or similar document that includes
information about the proposed work and its anticipated
environmental effects. Pre-construction notification may be
required by the terms and conditions of a nationwide permit, or
by regional conditions. A pre-construction notification may be
voluntarily submitted in cases where pre-construction
notification is not required and the project proponent wants
confirmation that the activity is authorized by nationwide permit.
Preservation: The removal of a threat to, or preventing the
decline of, aquatic resources by an action in or near those
aquatic resources. This term includes activities commonly
associated with the protection and maintenance of aquatic
resources through the implementation of appropriate legal and
physical mechanisms. Preservation does not result in a gain of
aquatic resource area or functions.
Re-establishment: The manipulation of the physical, chemical,
or biological characteristics of a site with the goal of returning
natural/historic functions to a former aquatic resource. Re-
establishment results in rebuilding a former aquatic resource and
results in a gain in aquatic resource area.
Rehabilitation: The manipulation of the physical, chemical, or
biological characteristics of a site with the goal of repairing
natural/historic functions to a degraded aquatic resource.
Rehabilitation results in a gain in aquatic resource function, but
does not result in a gain in aquatic resource area.
Restoration: The manipulation of the physical, chemical, or
biological characteristics of a site with the goal of returning
natural/historic functions to a former or degraded aquatic
resource. For the purpose of tracking net gains in aquatic
resource area, restoration is divided into two categories: re-
establishment and rehabilitation.
Riffle and pool complex: Riffle and pool complexes are special
aquatic sites under the 404(b)(1) Guidelines. Riffle and pool
complexes sometimes characterize steep gradient sections of
streams. Such stream sections are recognizable by their
hydraulic characteristics. The rapid movement of water over a
course substrate in riffles results in a rough flow, a turbulent
surface, and high dissolved oxygen levels in the water. Pools are
deeper areas associated with riffles. A slower stream velocity, a
streaming flow, a smooth surface, and a finer substrate
characterize pools.
Riparian areas: Riparian areas are lands adjacent to streams,
lakes, and estuarine-marine shorelines. Riparian areas are
transitional between terrestrial and aquatic ecosystems, through
which surface and subsurface hydrology connects waterbodies
with their adjacent uplands. Riparian areas provide a variety of
ecological functions and services and help improve or maintain
local water quality. (See general condition 20.)
Shellfish seeding: The placement of shellfish seed and/or
suitable substrate to increase shellfish production. Shellfish seed
consists of immature individual shellfish or individual shellfish
attached to shells or shell fragments (i.e., spat on shell). Suitable
substrate may consist of shellfish shells, shell fragments, or other
appropriate materials placed into waters for shellfish habitat.
Single and complete project: The term “single and complete
project” is defined at 33 CFR 330.2(i) as the total project
proposed or accomplished by one owner/developer or
Nationwide 3 Permit Summary Page 12
partnership or other association of owners/developers. A single
and complete project must have independent utility (see
definition). For linear projects, a “single and complete project” is
all crossings of a single water of the United States (i.e., a single
waterbody) at a specific location. For linear projects crossing a
single waterbody several times at separate and distant locations,
each crossing is considered a single and complete project.
However, individual channels in a braided stream or river, or
individual arms of a large, irregularly shaped wetland or lake,
etc., are not separate waterbodies, and crossings of such features
cannot be considered separately.
Stormwater management: Stormwater management is the
mechanism for controlling stormwater runoff for the purposes of
reducing downstream erosion, water quality degradation, and
flooding and mitigating the adverse effects of changes in land
use on the aquatic environment.
Stormwater management facilities: Stormwater management
facilities are those facilities, including but not limited to,
stormwater retention and detention ponds and best management
practices, which retain water for a period of time to control
runoff and/or improve the quality (i.e., by reducing the
concentration of nutrients, sediments, hazardous substances and
other pollutants) of stormwater runoff.
Stream bed: The substrate of the stream channel between the
ordinary high water marks. The substrate may be bedrock or
inorganic particles that range in size from clay to boulders.
Wetlands contiguous to the stream bed, but outside of the
ordinary high water marks, are not considered part of the stream
bed.
Stream channelization: The manipulation of a stream’s course,
condition, capacity, or location that causes more than minimal
interruption of normal stream processes. A channelized stream
remains a water of the United States.
Structure: An object that is arranged in a definite pattern of
organization. Examples of structures include, without limitation,
any pier, boat dock, boat ramp, wharf, dolphin, weir, boom,
breakwater, bulkhead, revetment, riprap, jetty, artificial island,
artificial reef, permanent mooring structure, power transmission
line, permanently moored floating vessel, piling, aid to
navigation, or any other manmade obstacle or obstruction.
Tidal wetland: A tidal wetland is a wetland (i.e., water of the
United States) that is inundated by tidal waters. The definitions
of a wetland and tidal waters can be found at 33 CFR 328.3(b)
and 33 CFR 328.3(f), respectively. Tidal waters rise and fall in a
predictable and measurable rhythm or cycle due to the
gravitational pulls of the moon and sun. Tidal waters end where
the rise and fall of the water surface can no longer be practically
measured in a predictable rhythm due to masking by other
waters, wind, or other effects. Tidal wetlands are located
channelward of the high tide line, which is defined at 33 CFR
328.3(d).
Vegetated shallows: Vegetated shallows are special aquatic
sites under the 404(b)(1) Guidelines. They are areas that are
permanently inundated and under normal circumstances have
rooted aquatic vegetation, such as seagrasses in marine and
estuarine systems and a variety of vascular rooted plants in
freshwater systems.
Waterbody: For purposes of the NWPs, a waterbody is a
jurisdictional water of the United States that, during a year with
normal patterns of precipitation, has water flowing or standing
above ground to the extent that an ordinary high water mark
(OHWM) or other indicators of jurisdiction can be determined,
as well as any wetland area (see 33 CFR 328.3(b)). If a
jurisdictional wetland is adjacent--meaning bordering,
contiguous, or neighboring--to a jurisdictional waterbody
displaying an OHWM or other indicators of jurisdiction, that
waterbody and its adjacent wetlands are considered together as a
single aquatic unit (see 33 CFR 328.4(c)(2)). Examples of
“waterbodies” include streams, rivers, lakes, ponds, and
wetlands.
Attachment 3 – Correspondence from CDFG for work under Agreement No. 2007-0017-R4
1
Audrey Weichert
From:Michael Hill <MHILL@dfg.ca.gov>
Sent:Tuesday, February 01, 2011 10:53 AM
To:Lynne Dee Althouse
Subject:Re: FW: Higuera Street Culvert Repair
Good morning, LynneDee. Thank you for your call this morning. As we discussed, the City of San Luis Obispo plans on
removing a portion of South Higuera Street and pouring a section of concrete to line the bottom of concrete box culvert
that passes under the street. The culvert bottom is lined with concrete at both the inlet and outlet, but the center
portion is unlined and has accumulated sediment and other debris that could lead to clogs and localized upstream
flooding. Replacing the unlined bottom with a concrete liner would facilitate the flow of water without reducing the
flow capacity through the site, as well as reducing the likelihood of accumulating debris that could inhibit flow through
the site.
It is my opinion that the above actions fall within the activities authorized by the City's routine maintenance agreement
(Agreement 1600-2007-0017-R4). Specifically, I believe the above actions are authorized by the second and third bullet
points in the Agreement, which state as follows:
* "Maintenance activities in existing non-perennial, fully lined stream channels"
* "Clearing, repair, and replacement of flood control devices such as ... culverts, weirs, or stream flow measuring
stations. The repair
and maintenance must be within the same footprint and use similar materials."
Because the proposed activities are authorized by Agreement 1600-2007-0017-R4, the City will not need to submit a
separate Notification for this project.
Thank you very much for discussing this matter with me. If you have any additional questions, please don't hesitate to
contact me again. Take care.
Mike Hill
Environmental Scientist
Lake and Streambed Alteration Program
897 Oak Park Blvd., #259
Pismo Beach, California 93449
805-489-7355 office
805-489-1163 fax
805-471-7222 cell
CPESC, AFS Certified Fisheries Professional
>>> Lynne Dee Althouse <LynneDee@althouseandmeade.com> 2/1/2011 10:28 AM
>>> >>>
Attachment 4 – USACE Maintenance Exemption Summary
US Army Corps of Engineers
Sacramento District
1325 J Street
Sacramento, CA 95814-2922
Maintenance Exemption
Summary
Maintenance (Including Emergency Reconstruction)
Pursuant to Section 404 of the Clean Water Act (33 USC 1344) and Federal Regulations (33 CFR 323.4(a)(2)), certain discharges for the
maintenance, including emergency reconstruction of recently damaged parts, of currently serviceable structures such as dikes, dams, levees,
groins, riprap, breakwaters, causeways, bridge abutments or approaches, and transportation structures, have been exempted from requiring a
Section 404 permit. Maintenance does not include any modification that changes the character, scope, or size of the original fill design.
Emergency reconstruction must occur within a reasonable period of time after damage occurs in order to qualify for this exemption.
A Section 404 permit is required if either of the following occurs:
(1) Any discharge of dredged or fill material resulting from the above activities which contains any toxic pollutant listed under Section 307
of the Clean Water Act shall be subject to any applicable toxic effluent standard or prohibition, and shall require a permit.
(2) Any discharge of dredged or fill material into waters of the United States incidental to the above activities must have a permit if it is part
of an activity whose purpose is to convert an area of the waters of the United States into a use to which it was not previously subject, where
the flow or circulation of waters of the United States may be impaired or the reach of such waters reduced. Where the proposed discharge
will result in significant discernible alterations to flow or circulation, the presumption is that flow or circulation may be impaired by such
alteration. For example, a permit will be required for the conversion of a wetland from silvicultural to agricultural use when there is a
discharge of dredged or fill material into waters of the United States in conjunction with construction of dikes, drainage ditches, or other
works or structures used to effect such conversion. A conversion of a Section 404 wetland to a non- wetland is a change of use of an area of
waters of the United States. A discharge which elevates the bottom of waters of the United States without converting it to dry land does not
thereby reduce the reach of, but may alter the flow or circulation of, waters of the United States.
If the proposed discharge satisfies all of the above restrictions, it is automatically exempted and no further permit action from the Corps of
Engineers is required. If any of the restrictions of this exemption will not be complied with, a permit is required and should be requested
using ENG Form 4345 (Application for a Department of the Army permit). A nationwide permit authorized by the Clean Water Act may be
available for the proposed work. State or local approval of the work may also be required.
For general information on the Corps’ Regulatory Program please check our web site at www.spk.army.mil/regulatory.html. For additional
information or for a written determination regarding a specific project, please contact the Corps at the following addresses:
Sacramento Main Office-1325 J Street, Room 1480, Sacramento, CA 95814 (916) 557-5250
Redding Field Office-152 Hartnell, Redding, CA 96002 (530) 223-9534
Reno Office-300 Booth Street, Room 2103, Reno, NV 89509 (775) 784-5304
Intermountain Region Main Office-533 West 2600 South, Suite 150, Bountiful, UT 84010 (801) 295-8380
Colorado/Gunnison Basin Office-402 Rood Ave., Room 142, Grand Junction, CO 81501 (970) 243-1199
Durango Office-278 Sawyer Dr., Unit #1, Durango, CO 81301 (970) 375-9506
Frisco Office-301 W Main, Suite 202, P.O. Box 607, Frisco, CO 80443 (970) 668-9676
St. George Office-321 North Mall Drive, Suite L-101, St. George, UT 84790 (435) 986-3979
Updated OCT 2005
[51 FR 41232, Nov. 13, 1986, as amended at 58 FR 45036, Aug. 25, 1993]
_____________________________________________________________________________
§ 323.4 Discharges not requiring permits.
(a) General. Except as specified in paragraphs (b) and (c) of this section, any discharge of
dredged or fill material that may result from any of the following activities is not prohibited by
or otherwise subject to regulation under section 404:
(1)
(i) Normal farming, silviculture and ranching activities such as plowing, seeding,
cultivating, minor drainage, and harvesting for the production of food, fiber, and forest products,
or upland soil and water conservation practices, as defined in paragraph (a)(1)(iii) of this section.
(ii) To fall under this exemption, the activities specified in paragraph (a)(1)(i) of this
section must be part of an established ( i.e. , on-going) farming, silviculture, or ranching
operation and must be in accordance with definitions in §323.4(a)(1)(iii). Activities on areas
lying fallow as part of a conventional rotational cycle are part of an established operation.
Activities which bring an area into farming, silviculture, or ranching use are not part of an
established operation. An operation ceases to be established when the area on which it was
conducted has been coverted to another use or has lain idle so long that modifications to the
hydrological regime are necessary to resume operations. If an activity takes place outside the
waters of the United States, or if it does not involve a discharge, it does not need a section 404
permit, whether or not it is part of an established farming, silviculture, or ranching operation.
(iii)
(A) Cultivating means physical methods of soil treatment employed within established
farming, ranching and silviculture lands on farm, ranch, or forest crops to aid and improve their
growth, quality or yield.
(B) Harvesting means physical measures employed directly upon farm, forest, or ranch
crops within established agricultural and silvicultural lands to bring about their removal from
farm, forest, or ranch land, but does not include the construction of farm, forest, or ranch roads.
(C)
(1) Minor drainage means:
(i) The discharge of dredged or fill material incidental to connecting upland drainage
facilities to waters of the United States, adequate to effect the removal of excess soil moisture
from upland croplands. (Construction and maintenance of upland (dryland) facilities, such as
ditching and tiling, incidential to the planting, cultivating, protecting, or harvesting of crops,
involve no discharge of dredged or fill material into waters of the United States, and as such
never require a section 404 permit.);
(ii) The discharge of dredged or fill material for the purpose of installing ditching or other
such water control facilities incidental to planting, cultivating, protecting, or harvesting of rice,
cranberries or other wetland crop species, where these activities and the discharge occur in
waters of the United States which are in established use for such agricultural and silvicultural
wetland crop production;
(iii) The discharge of dredged or fill material for the purpose of manipulating the water
levels of, or regulating the flow or distribution of water within, existing impoundments which
have been constructed in accordance with applicable requirements of CWA, and which are in
established use for the production of rice, cranberries, or other wetland crop species. (The
provisions of paragraphs (a)(1)(iii)(C)( 1 ) ( ii ) and ( iii ) of this section apply to areas that are in
established use exclusively for wetland crop production as well as areas in established use for
conventional wetland/non-wetland crop rotation (e.g., the rotations of rice and soybeans) where
such rotation results in the cyclical or intermittent temporary dewatering of such areas.)
(iv) The discharges of dredged or fill material incidental to the emergency removal of
sandbars, gravel bars, or other similar blockages which are formed during flood flows or other
events, where such blockages close or constrict previously existing drainageways and, if not
promptly removed, would result in damage to or loss of existing crops or would impair or
prevent the plowing, seeding, harvesting or cultivating of crops on land in established use for
crop production. Such removal does not include enlarging or extending the dimensions of, or
changing the bottom elevations of, the affected drainageway as it existed prior to the formation
of the blockage. Removal must be accomplished within one year of discovery of such blockages
in order to be eligible for exemption.
(2) Minor drainage in waters of the U.S. is limited to drainage within areas that are part
of an established farming or silviculture operation. It does not include drainage associated with
the immediate or gradual conversion of a wetland to a non-wetland (e.g., wetland species to
upland species not typically adapted to life in saturated soil conditions), or conversion from one
wetland use to another (for example, silviculture to farming). In addition, minor drainage does
not include the construction of any canal, ditch, dike or other waterway or structure which drains
or otherwise significantly modifies a stream, lake, swamp, bog or any other wetland or aquatic
area constituting waters of the United States. Any discharge of dredged or fill material into the
waters of the United States incidental to the construction of any such structure or waterway
requires a permit.
(D) Plowing means all forms of primary tillage, including moldboard, chisel, or wide-
blade plowing, discing, harrowing and similar physical means utilized on farm, forest or ranch
land for the breaking up, cutting, turning over, or stirring of soil to prepare it for the planting of
crops. The term does not include the redistribution of soil, rock, sand, or other surficial materials
in a manner which changes any area of the waters of the United States to dry land. For example,
the redistribution of surface materials by blading, grading, or other means to fill in wetland areas
is not plowing. Rock crushing activities which result in the loss of natural drainage
characteristics, the reduction of water storage and recharge capabilities, or the overburden of
natural water filtration capacities do not constitute plowing. Plowing as described above will
never involve a discharge of dredged or fill material.
(E) Seeding means the sowing of seed and placement of seedlings to produce farm, ranch,
or forest crops and includes the placement of soil beds for seeds or seedlings on established farm
and forest lands.
(2) Maintenance, including emergency reconstruction of recently damaged parts, of
currently serviceable structures such as dikes, dams, levees, groins, riprap, breakwaters,
causeways, bridge abutments or approaches, and transportation structures. Maintenance does not
include any modification that changes the character, scope, or size of the original fill design.
Emergency reconstruction must occur within a reasonable period of time after damage occurs in
order to qualify for this exemption.
(3) Construction or maintenance of farm or stock ponds or irrigation ditches, or the
maintenance (but not construction) of drainage ditches. Discharges associated with siphons,
pumps, headgates, wingwalls, weirs, diversion structures, and such other facilities as are
appurtenant and functionally related to irrigation ditches are included in this exemption.
(4) Construction of temporary sedimentation basins on a construction site which does not
include placement of fill material into waters of the U.S. The term “construction site” refers to
any site involving the erection of buildings, roads, and other discrete structures and the
installation of support facilities necessary for construction and utilization of such structures. The
term also includes any other land areas which involve land-disturbing excavation activities,
including quarrying or other mining activities, where an increase in the runoff of sediment is
controlled through the use of temporary sedimentation basins.
(5) Any activity with respect to which a State has an approved program under section
208(b)(4) of the CWA which meets the requirements of sections 208(b)(4) (B) and (C).
(6) Construction or maintenance of farm roads, forest roads, or temporary roads for
moving mining equipment, where such roads are constructed and maintained in accordance with
best management practices (BMPs) to assure that flow and circulation patterns and chemical and
biological characteristics of waters of the United States are not impaired, that the reach of the
waters of the United States is not reduced, and that any adverse effect on the aquatic
environment will be otherwise minimized. These BMPs which must be applied to satisfy this
provision shall include those detailed BMPs described in the State's approved program
description pursuant to the requirements of 40 CFR 233.22(i), and shall also include the
following baseline provisions:
(i) Permanent roads (for farming or forestry activities), temporary access roads (for
mining, forestry, or farm purposes) and skid trails (for logging) in waters of the U.S. shall be
held to the minimum feasible number, width, and total length consistent with the purpose of
specific farming, silvicultural or mining operations, and local topographic and climatic
conditions;
(ii) All roads, temporary or permanent, shall be located sufficiently far from streams or
other water bodies (except for portions of such roads which must cross water bodies) to
minimize discharges of dredged or fill material into waters of the U.S.;
(iii) The road fill shall be bridged, culverted, or otherwise designed to prevent the
restriction of expected flood flows;
(iv) The fill shall be properly stabilized and maintained during and following construction
to prevent erosion;
(v) Discharges of dredged or fill material into waters of the United States to construct a
road fill shall be made in a manner that minimizes the encroachment of trucks, tractors,
bulldozers, or other heavy equipment within waters of the United States (including adjacent
wetlands) that lie outside the lateral boundaries of the fill itself;
(vi) In designing, constructing, and maintaining roads, vegetative disturbance in the
waters of the U.S. shall be kept to a minimum;
(vii) The design, construction and maintenance of the road crossing shall not disrupt the
migration or other movement of those species of aquatic life inhabiting the water body;
(viii) Borrow material shall be taken from upland sources whenever feasible;
(ix) The discharge shall not take, or jeopardize the continued existence of, a threatened or
endangered species as defined under the Endangered Species Act, or adversely modify or destroy
the critical habitat of such species;
(x) Discharges into breeding and nesting areas for migratory waterfowl, spawning areas,
and wetlands shall be avoided if practical alternatives exist;
(xi) The discharge shall not be located in the proximity of a public water supply intake;
(xii) The discharge shall not occur in areas of concentrated shellfish production;
(xiii) The discharge shall not occur in a component of the National Wild and Scenic
River System;
(xiv) The discharge of material shall consist of suitable material free from toxic
pollutants in toxic amounts; and
(xv) All temporary fills shall be removed in their entirety and the area restored to its
original elevation.
(b) If any discharge of dredged or fill material resulting from the activities listed in paragraphs
(a) (1) through (6) of this section contains any toxic pollutant listed under section 307 of the
CWA such discharge shall be subject to any applicable toxic effluent standard or prohibition, and
shall require a section 404 permit.
(c) Any discharge of dredged or fill material into waters of the United States incidental to any of
the activities identified in paragraphs (a) (1) through (6) of this section must have a permit if it is
part of an activity whose purpose is to convert an area of the waters of the United States into a
use to which it was not previously subject, where the flow or circulation of waters of the United
States nay be impaired or the reach of such waters reduced. Where the proposed discharge will
result in significant discernible alterations to flow or circulation, the presumption is that flow or
circulation may be impaired by such alteration. For example, a permit will be required for the
conversion of a cypress swamp to some other use or the conversion of a wetland from
silvicultural to agricultural use when there is a discharge of dredged or fill material into waters of
the United States in conjunction with construction of dikes, drainage ditches or other works or
structures used to effect such conversion. A conversion of a section 404 wetland to a non-
wetland is a change in use of an area of waters of the United States. A discharge which elevates
the bottom of waters of the United States without converting it to dry land does not thereby
reduce the reach of, but may alter the flow or circulation of, waters of the United States.
(d) Federal projects which qualify under the criteria contained in section 404(r) of the CWA are
exempt from section 404 permit requirements, but may be subject to other State or Federal
requirements.
_____________________________________________________________________________
§ 323.5 Program transfer to States.
Section 404(h) of the CWA allows the Administrator of the Environmental Protection Agency
(EPA) to transfer administration of the section 404 permit program for discharges into certain
waters of the United States to qualified States. (The program cannot be transferred for those
waters which are presently used, or are susceptible to use in their natural condition or by
reasonable improvement as a means to transport interstate or foreign commerce shoreward to
their ordinary high water mark, including all waters which are subject to the ebb and flow of the
tide shoreward to the high tide line, including wetlands adjacent thereto). See 40 CFR parts 233
and 124 for procedural regulations for transferring section 404 programs to States. Once a State's
404 program is approved and in effect, the Corps of Engineers will suspend processing of section
404 applications in the applicable waters and will transfer pending applications to the State
agency responsible for administering the program. District engineers will assist EPA and the
States in any way practicable to effect transfer and will develop appropriate procedures to ensure
orderly and expeditious transfer.
_____________________________________________________________________________
§ 323.6 Special policies and procedures.
(a) The Secretary of the Army has delegated to the Chief of Engineers the authority to issue or
deny section 404 permits. The district engineer will review applications for permits for the