HomeMy WebLinkAbout12-11-2020 Caltrans Agreement No. 50LP291 - Grant Funds for California Blvd and Foothill Blvd Railroad CrossingSTATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
Agency: San Luis Obispo
Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
Unit
Project ID
Phase
Subjob
Object
Amount
FFY
Encumbrance
Doc No
3328
0521000061
S
049
$400,000.00
2020/2021
50LP291
Item
Chapter
Statutes
Fiscal Year
CONTRACT — FOOTHILL BLVD
2660-102-0890
6
2020
2020/2021
The funds as listed above are available for the period and purpose of the
PROJECT NUMBER (FED ID) STPLR-7500(291)
expenditure stated herein.
CALTRANS ACCOUNTING ID: 0521000061
SERVICE CONTRACT: 50LP291
Caltrans Division of Local Assistance
The numbers above shall be included with all invoices submitted to Caltrans
Office of Federal Programs — Section
Highway Railroad Grade Crossing Safety Program
P.O. Box 942874, MS 1
(Section 130)
Sacramento, CA 94274-0001
LOCAL AGENCY:
City of San Luis Obispo
Effective Date of Contract: December 11, 2020
ADDRESS:
Public Works
Or upon signature, whichever is later.
Phone:
919 Palm Street
Expiration Date of Contract: December 31, 2024
San Luis Obispo, CA 93401
The City of San Luis Obispo (hereinafter referred to as Local Agency), hereby agrees to do the work set forth herein for the State
of California, Department of Transportation (hereinafter referred to as Caltrans) in accordance with all applicable laws including
but not limited to, California Streets and Highways Code section 114(b) and California Government Code 14038 and regulations
and the provisions of this form including the attached sheets and Exhibits A-E. This Agreement shall be effective the date defined
herein or when executed by all parties, whichever is later and is subject to all the terms and conditions thereof. This agreement
authorizes reimbursement of eligible costs incurred during the term of this agreement.
The work is located in the City of San Luis Obispo at the grade crossing located at the intersection of Foothill Boulevard and the
Union Pacific Railroad (hereinafter referred to as Railroad) tracks, identified as; California Public Utilities Commission (CPUC)
No. 001E-247.15 / SLO-1022, Federal DOT No. 745352P. All work to be completed by Local Agency under the terms of this
Contract is described in Exhibits A & B (hereinafter referred to as Project).
Under this agreement, funding is authorized for work in phases, beginning with the Preliminary Engineering (PE) phase. Additional
funding to complete this contract will only be provided through the execution of amendments for the subsequent phase(s) of work
needed; Right of Way (RW), Utility Relocation (R/W-UTIL), and Construction (CON).
Estimated Total Project Cost (Local Agency): $796,250.00
TOTAL AMOUNT OF CONTRACT $400,000.00
(Preliminary Engineering)
It is expressly agreed that all persons engaged on this work are employees of the Local Agency and/or contractors hired by the
Local Agency pursuant to its own policies and procedures and that none are employees of Caltrans.
Further, Caltrans hereby agrees to the terms as above set forth, and hereby agrees to pay the actual allowable costs incurred up
to the limit set forth herein; provided, that by mutual consent of the Local Agency and Caltrans, this contract may be modified or
terminated at any time, noting that a contract amendment is necessary prior to undertaking any construction activities.
IN WITNESS WHEREOF, the parties have duly executed this contract as of the dates shown below with the effective date shown
above.
CALIFORNIA DEPARTMENT OF TRANSPORTATION CITY OF SAN LUIS OBISPO
Signature
Name
Title
Date
Bruce Roberts
Caltrans Section 130 Program Manager
Signature
Name
Title
Date
Derek Johnson
City Manager
STATE OF CALIFORNIA Agency: San Luis Obispo
DEPARTMENT OF TRANSPORTATION Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
1. It is mutually understood between the parties that this contract may have been written before
ascertaining the availability of congressional or legislative appropriation of funds, for the mutual
benefit of both parties, in order to avoid program and fiscal delays that might occur if the contract
were executed after appropriations are actually made.
2. This contract is valid and enforceable only if sufficient funds are made available to Caltrans by
the United States Government or the California State Legislature for the purpose of this program. In
addition, this contract is subject to any additional restrictions, limitations, conditions or any statute
enacted by the Congress or the State Legislature that may affect the provisions, terms or funding of
this contract in any manner. It is mutually agreed that if the Congress or the State Legislature does
not appropriate sufficient funds for the program, this contract shall be amended to reflect any
reduction of funds.
3. This service contract is for the elimination of hazards at Railroad -Highway intersections
(crossings) with funds provided to Caltrans under Section 130, Title 23 USC. Said elimination of
hazards is a cooperative effort between Caltrans, Local Agency, CPUC and Railroad. The CPUC
has evaluated the railroad highway intersection and determined what improvements are necessary;
Caltrans acts as a conduit for the federal funds to the Local Agency and the Railroad. The Local
Agency and Railroad are responsible for building and maintaining the improvements as approved by
the CPUC.
4. The work to be performed by the Local Agency is attached hereto as a part of Exhibit A and made
a part hereof (hereinafter referred to as Scope of Work). The Scope of work is based on; an analysis
of existing conditions, accident history, field diagnostic review to define initial mutually agreed upon
recommendations of improvements best suited for railroad -highways grade crossing hazards
eliminations for the specific location and is subject to revisions based on the completion of design,
traffic engineering, signal pre-emption, or changed conditions, but only if approved by Caltrans and
CPUC..
5. The planned work items and an estimate of total project cost is attached hereto as Exhibit B and
made a part hereof.
6. The existing conditions of the Project are documented in photographs and attached hereto as
Exhibit C.
7. The total allowable costs reimbursable by Caltrans under this phase of the Service Contract, shall
not exceed $400,000.00, for Preliminary Engineering (PE).
8. Each phase of work; Preliminary Engineering (PE), Right of Way (R/W), Utility Relocation (R/W-
UTIL), and Construction (CON), will require an additional federal authorization through the issuance
of an updated E-76 with a new funding sequence for the phase of work. Any unexpended prior
obligations from the completed phase(s), will be used in conjunction with the required additional
federal funds for the next phase of work. Authorization of federal funds will be performed by
Caltrans, aligned with the project schedule and provided the state has sufficient Obligation Authority
(OA) and available federal funds to undertake this action.
9. The reimbursement of federal funds is limited to the amounts approved on E-76 for either the
Local Agency or Railroad. All Project costs must also comply with the E-76, attached hereto as
STATE OF CALIFORNIA Agency: San Luis Obispo
DEPARTMENT OF TRANSPORTATION Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
Exhibit D. Only work performed after the date of federal authorization is eligible for federal
reimbursement, the Local Agency reimbursement rate is equal to; 100% of eligible costs.
10. When federal funds are not available for obligation, a local agency may request in writing
authorization to proceed with the project (or project phase) under the Local Assistance advance
construction procedures. Under local advance construction procedures, the local agency will use its
own funds to perform work eligible for future federal reimbursement. The local agency must have
sufficient local funds to pay for all project costs until such time as federal funds become available.
11. Local Agency will not proceed with any work on the Project, nor will Local Agency purchase
any materials, until authorized through the execution of this contract and Caltrans' issuance of a
Notice to Proceed (hereinafter referred to as NTP). Authorization and issuance of the NTP shall not
be issued by Caltrans until sufficient State or Federal funds have been obligated for the projects.
State liability pursuant to this contract is limited to the amount set forth in this contract
12. The Local Agency agrees to perform the Project work and to provide and furnish all necessary
labor, materials, tools, and equipment required therefore, and to prosecute Project diligently to
completion. Caltrans and Local Agency agree that the Project work as provided herein is pursuant
to Federal rules and regulations and should adhere to all guidance and requirements for local federal -
aid projects from the Caltrans Local Assistance Procedures Manual (LAPM). Local Agency
agrees to perform its work in accordance with Federal Highway Administration (FHWA) FHWA-
1273, a true and correct copy of which is attached hereto as Exhibit E as may be amended or updated,
as if those provisions were set forth fully herein. Caltrans is acting as a conduit for disbursement of
Federal Surface Transportation Program funds for hazard elimination at railroad intersections on city
streets, county roads and State Highways.
13. The Local Agency shall comply with the Buy America provisions set forth in 23 CFR 635.410
for the Project, for steel, iron and manufactured goods produced in the United States, subject to the
conditions therein set forth.
14. Any person, company or corporation who performs construction work authorized under terms of
this contract must have a valid and current California contractor's license. All authorized work
performed by employees of Local Agency and any CPUC regulated public utility, City, County or
Public Service District is not subject to the above contractor's license requirement.
15. Local Agency must coordinate Project work with the Railroad that owns or operates the tracks
where the intersection is located.
16. Local Agency will secure all legally required and necessary permits and approvals before
commencing Project construction.
17. Where Project work is in conjunction with work done by Railroad, Railroad will construct
railroad track and signal work to its own standard specifications, Local Agency will not perform any
work on the Railroad tracks or within railroad right of way without securing written permission from
the railroad. Project work done within twenty-five feet of the centerline of the Railroad track may
require a Railroad employee to protect the workers of Local Agency or its contractors. This
provision is pursuant to federal law regulation and must be clearly agreed to in writing between Local
Agency and Railroad before commencement of Project work at the railroad -highway intersection.
STATE OF CALIFORNIA Agency: San Luis Obispo
DEPARTMENT OF TRANSPORTATION Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
A copy of this agreement between Railroad and Local Agency shall be provided to Caltrans by
Local Agency as soon as it is executed.
18. Caltrans will reimburse the Local Agency on the basis of actual cost, not to exceed the Project
costs set forth herein. Any cost of the work determined by Caltrans to be not reimbursable, shall be
borne and paid for solely and exclusively by Local Agency. Indirect overhead charges will not be
allowed unless Local Agency has an Indirect Cost Rate Proposal approved by Caltrans' Audits and
Investigations.
19. Any warning devices, medians, signs, pavement markings, structures or other improvements,
which may be installed in conjunction with Project must be agreed upon between Railroad and the
California Public Utilities Commission and the Local Agency must receive approval of a CPUC
General Order 88-13, prior to commencing any construction activities and is responsible as the lead
applicant from initiation through close-out.
20. Guidance, regulatory, warning and temporary traffic control signs, curb and pavement, or other
markings and traffic signals installed or placed on any project constructed with federal funds shall
conform to the Manual of Uniform Traffic Control Devices (MUTCD) and its California Supplement
(CAMUTCD). Deviations from the Mandatory Standards for signs, markings, and traffic signals as
defined and shown in the MUTCD and CAMUTCD are not permitted.
21. Local Agency invoice procedures shall conform to the California Prompt Payment Act (Gov.
Code § 927 et seq.). Correspondence and/or invoices are to be mailed to:
Caltrans Division of Local Assistance
Office of Federal Programs Section 130, MS-1
P.O. Box 942874
Sacramento, CA 94274
Physical Address:
California Department of Transportation
Division of Local Assistance,
1200 N Street, Room 2400
Sacramento, California 95814.
22. Not more frequently than once a month, but at least quarterly, Local Agency will prepare and
submit to Caltrans invoices for actual allowable costs incurred. Caltrans will review the invoice for
compliance with this contract. Payment will be made by Caltrans to Local Agency within forty-five
(45) days of the date of receipt of an invoice by Caltrans, unless disputed. Invoices which are
determined not in compliance, or include unallowable costs, will be returned to Local Agency for
correction of deficiencies, after which Local Agency will resubmit the invoice to Caltrans as
prescribed above.
23. The Local Agency shall prepare and submit to Caltrans, not less than quarterly, a project status
report that includes, at a minimum; a comprehensive summary of the overall project status,
accomplishments to date, activities under way, risks, issues, planned activities and schedule updates.
24. The Local Agency, upon completion of the Project work, will provide to Caltrans a written
declaration/notification that the Project has been final billed and ready to be closed. This declaration
STATE OF CALIFORNIA Agency: San Luis Obispo
DEPARTMENT OF TRANSPORTATION Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
shall be based upon actual allowable Project cost, Project Scope and Project cost limits set forth
herein. Upon receipt of this declaration, Caltrans will pay all outstanding allowable invoiced Project
costs. If upon final accounting, it is determined that Caltrans previously paid more than its share of
said project, Local Agency shall refund the difference between Caltrans' share and the amount paid
by Caltrans. All records of the Local Agency, its contractors and subcontractors are subject to audit
by representatives of the State of California and Federal Highway Administration. Such records will
be retained and made immediately available for inspection by Caltrans' Auditors for a period of three
years from Caltrans' date of final payment of aforementioned final invoice. Further, Local Agency
agrees to include a similar right of the State to audit records and interview staff in any subcontract
related to performance of this Contract. (Gov. Code §8546.7, Pub. Contract Code §10115 et seq.,
CCR Title 2, Section 1896).
25 Local Agency agrees to pay prevailing wages for the work performed, pursuant to the California
Labor Code § 1720, or any other applicable law.
26. All work to be done hereunder by Local Agency shall be done only by its employees on a force
account basis, or by contractors, the cost thereof to be paid to Local Agency by Caltrans in the
manner hereinafter set forth.
27. The Local Agency agrees that the 2 CFR Part 200, Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards shall be used to determine the allowable
individual items of indirect cost. Local Agency agrees to comply with the applicable Federal
procedures in accordance with Office of Management and Budget Circular 2 CFR 200.
28. All applicable portions of 23 CFR Part 140, Subpart I are by reference incorporated herein and
made a part hereof.
29. Caltrans agrees to reimburse Local Agency for qualified insurance expenses as authorized by
23 CFR 646 et seq., and as set forth in the cost estimates or approved through amendment.
30. The Local Agency has 180 days after the expiration date of this contract to submit the final
invoice to Caltrans for verification and payment. No compensation or reimbursement is payable for
any cost or expense that is submitted on an invoice following 180 days after the expiration date of the
contract.
31. In accordance with the California Public Utilities Commission General Orders, and in
cooperation with the Railroad, the Local Agency shall maintain the Project improvements located
in its right of way.
32. Subject to the availability of labor and material and securing the required and necessary permits
and approvals of phase authorizations, it is the intent of the parties hereto that all construction work
under this service contract shall be completed within the effective date of this contract, unless a time
extension is requested by Local Agency and approved in writing by Caltrans. The expiration date
of this contract is shown on the face sheet. Costs incurred after the expiration date of contract are
unallowable and shall not be billed by the Local Agency to Caltrans.
STATE OF CALIFORNIA Agency: San Luis Obispo
DEPARTMENT OF TRANSPORTATION Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
33. AMENDMENT: No amendment or variation of the terms of this Contract shall be valid unless
made in writing, signed by the parties and approved as required. No oral understanding or Agreement
not incorporated in this Contract is binding on any of the parties.
34. ASSIGNMENT: This Contract is not assignable, in whole or in part, without the consent of
Caltrans in the form of a formal written amendment.
35. AUDIT: Local Agency agrees that Caltrans or its designated representative shall have the right
to review and to copy any records and supporting documentation pertaining to the performance of
this Contract. Local Agency agrees to maintain such records for possible audit for a minimum of
three (3) years after final payment, unless a longer period of records retention is stipulated. Local
Agency agrees to allow the auditor(s) access to such records during normal business hours and to
allow interviews of any employees who might reasonably have information related to such records.
36. INDEMNIFICATION: Local Agency agrees to indemnify, defend and save harmless the State, its
officers, agents and employees from any and all claims and losses accruing or resulting to any and all
contractors, subcontractors, suppliers, laborers, and any other person, firm or corporation furnishing
or supplying work services, materials, or supplies in connection with the performance of this Contract,
and from any and all claims and losses accruing or resulting to any person, firm or corporation who
may be killed, injured or damaged except to the extent that such death injury or damage results from
the sole or active negligence of Caltrans.
37. DISPUTES: Local Agency shall continue to perform under this Contract during any dispute.
38. TERMINATION FOR CAUSE: Caltrans may terminate this Contract and be relieved of any
payments should the Local Agency fail to perform the requirements of this Contract at the time and
in the manner herein provided. In the event of such termination Caltrans may proceed with the work
in any manner deemed proper by Caltrans. All costs to Caltrans shall be deducted from any sum
due the Local Agency under this Contract and the balance, if any, shall be paid to the Local Agency
upon demand.
39. INDEPENDENT CONTRACTOR: Local Agency, and the agents and employees of Local Agency,
in the performance of this Contract, shall act in an independent capacity and not as officers or
employees or agents of Caltrans or State.
40. NON-DISCRIMINATION CLAUSE: During the performance of this Contract, Local Agency and
its subcontractors shall not unlawfully discriminate, harass, or allow harassment against any employee
or applicant for employment because of sex, race, color, ancestry, religious creed, national origin,
physical disability (including HIV and AIDS), mental disability, medical condition (cancer), age
(over 40), marital status, and denial of family care leave. Contractor and subcontractors shall ensure
that the evaluation and treatment of their employees and applicants for employment are free from
such discrimination and harassment. Contractor and subcontractors shall comply with the provisions
of the Fair Employment and Housing Act (Gov. Code § 12990 (a-f) et seq.) and the applicable
regulations promulgated thereunder (California Code of Regulations, Title 2, Section 7285 et seq.).
The applicable regulations of the Fair Employment and Housing Commission implementing
Government Code Section 12990 (a-f), set forth in Chapter 5 of Division 4 of Title 2 of the California
Code of Regulations, are incorporated into this Contract by reference and made a part hereof as if set
forth in full. Contractor and its subcontractors shall give written notice of their obligations under this
STATE OF CALIFORNIA Agency: San Luis Obispo
DEPARTMENT OF TRANSPORTATION Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
clause to labor organizations with which they have a collective bargaining or other Agreement. Local
Agency shall include the nondiscrimination and compliance provisions of this clause in all
subcontracts to perform work under the Contract.
41. GOVERNING LAW: This contract is governed by and shall be interpreted in accordance with the
laws of the State of California.
42. FORUM SELECTION CLAUSE: Sacramento County shall be used as the primary venue for any
action arising from this contract, or an alternative location of competent jurisdiction within the State of
California may be used, only if mutually agreed upon in writing.
43. ORDER OF PRECEDENCE; This Contract; Exhibit A, Scope of Work; Exhibit B, Cost Estimate;
Exhibit C, Existing Conditions; Exhibit D, E-76, Exhibit E, FHWA-1273; are incorporated by
reference and constitute the entire agreement between Caltrans and Local Agency. The documents
listed in this paragraph shall be hereinafter referred to as the "Contract". In the event of a conflict
between the contract documents, the controlling document shall be this Contract, then Exhibit D,
Exhibit E, Exhibit A, Exhibit B, Exhibit C. In the event and to the extent any provisions contained
in multiple documents address the same or substantially the same subject matter but do not actually
conflict, the more recent provisions shall be deemed to have superseded provisions over any
conflicting provisions defined in the body of the contract or its exhibits.
44. ANTITRUST CLAIMS: The Local Agency by signing this Contract hereby certifies that if these
services or goods are obtained by means of a competitive bid, the Local Agency shall comply with
the requirements of the Government Code Sections set out below:
a. The Government Code Chapter on Antitrust claims contains the following definitions:
1. "Public purchase" means a purchase by means of competitive bids of goods, services, or
materials by the State or any of its political subdivisions or public agencies on whose
behalf the Attorney General may bring an action pursuant to subdivision (c) of Section
16750 of the Business and Professions Code.
2. "Public purchasing body" means the State or the subdivision or agency making a public
purchase. Government Code Section 4550.
b. In submitting a bid to a public purchasing body, the bidder offers and agrees that if the bid is
accepted, it will assign to the purchasing body all rights, title, and interest in and to all causes
of action it may have under Section 4 of the Clayton Act (15 U.S.C. Sec. 15) or under the
Cartwright Act (Chapter 2 (commencing with Section 16700) of Part 2 of Division 7 of the
Business and Professions Code), arising from purchases of goods, materials, or services by
the bidder for sale to the purchasing body pursuant to the bid. Such assignment shall be made
and become effective at the time the purchasing body tenders final payment to the bidder.
Government Code Section 4552.
c. If an awarding body or public purchasing body receives, either through judgment or
settlement, a monetary recovery for a cause of action assigned under this chapter, the assignor
shall be entitled to receive reimbursement for actual legal costs incurred and may, upon
demand, recover from the public body any portion of the recovery, including treble damages,
attributable to overcharges that were paid by the assignor but were not paid by the public body
as part of the bid price, less the expenses incurred in obtaining that portion of the recovery.
Government Code Section 4553.
STATE OF CALIFORNIA Agency: San Luis Obispo
DEPARTMENT OF TRANSPORTATION Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
d. Upon demand in writing by the assignor, the assignee shall, within one year from such
demand, reassign the cause of action assigned under this part if the assignor has been or may
have been injured by the violation of law for which the cause of action arose and (a) the
assignee has not been injured thereby, or (b) the assignee declines to file a court action for the
cause of action. See Government Code Section 4554.
45. CHILD SUPPORT COMPLIANCE ACT: "For any Contract in excess of $100,000, the Local Agency
acknowledges in accordance with Public Contract Code 7110, that:
a. The Local Agency recognizes the importance of child and family support obligations and
shall fully comply with all applicable state and federal laws relating to child and family
support enforcement, including, but not limited to, disclosure of information and compliance
with earnings assignment orders, as provided in Chapter 8 (commencing with section 5200)
of Part 5 of Division 9 of the Family Code; and
b. The Local Agency, to the best of its knowledge is fully complying with the earnings
assignment orders of all employees and is providing the names of all new employees to the
New Hire Registry maintained by the California Employment Development Department."
46. UNENFORCEABLE PROVISION: In the event that any provision of this Contract is unenforceable
or held to be unenforceable, then the parties agree that all other provisions of this Contract have force
and effect and shall not be affected thereby.
47. PRIORITY HIRING CONSIDERATIONS: If this Contract includes services in excess of $200,000,
the Contractor shall give priority consideration in filling vacancies in positions funded by the Contract
to qualified recipients of aid under Welfare and Institutions Code Section 11200 in accordance with
Public Contract Code Section 10353.
Expiration of this Contract does not release any party hereto from any ongoing performance
requirements agreed to herein.
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
Exhibit A
Fed Xing ID: 745352P
CPUC ID: 001E-247.151 SLO-1022
Scope of Work
Agency: San Luis Obispo
Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
Crossing Current Conditions:
The crossing is very heavily used with a high ADT and high pedestrian use due to the close proximity
to the Cal Poly San Luis Obispo campus. The campus is located east of the tracks and residential
apartments and restaurants west of the tracks. There is a single UP Coast subdivision mainline track
at the crossing. The crossing has 5 travel lanes (2 westbound and 3 eastbound), 2 bicycle lanes, and
2 sidewalks through the crossing. The sidewalks in the northwest and southwest quadrants are in poor
condition. The sidewalks in the northeast and southeast quadrants were recently refurbished as part
of the new bicycle path along California Blvd. The crossing has 2 Commission Standard 9 (flashing
light signal assembly with automatic gates) warning devices. The Foothill and California Blvd
intersection is signalized with railroad preemption. The intersection has a separate bicycle phase with
bicycle signals.
Local Agency Scope of Work:
Reconstruct and install sidewalk:
o Approximately 40 feet in the northeast quadrant
o Approximately 40 feet in the northwest quadrant
o Approximately 40 feet in the southeast quadrant
o Approximately 50 feet in the southwest quadrant
Install pedestrian channelization in all quadrants.
Install detectable warning (tactile strips) on all sidewalk approaches.
Relocate the bicycle curb ramp in the southeast quadrant to the southwest quadrant.
Underground the existing overhead utilities in the southeast and southwest quadrants.
Refurbish the asphalt transition approximately ten feet on each approach following the crossing
panel replacement.
Refresh or replace all pavement markings and signage:
o From the track to the east to the intersection of California and Foothill.
o From the track to the west to the railroad RXR advanced pavement markings.
Install four exit swing gates one in each quadrant adjacent to the pedestrian gate in that quadrant.
Modify traffic signal to utilize preemption time.
All modifications shall be in accordance with the CAMUTCD, and CPUC General Orders.
STATE OF CALIFORNIA Agency: San Luis Obispo
DEPARTMENT OF TRANSPORTATION Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
Exhibit B
Fed Xing ID: 745352P
CPUC ID: 001E-247.151 SLO-1022
Cost Estimate
Work Item
Quantity
Unit
Unit Cost
Total
Detectable Warning Tiles
4
EA
7500
30000
Asphalt Concrete Overlay
100
TON
125
12500
Class2 Aggregate Base / Fill
500
TON
100
50000
Exit Swing Gates
4
EA
25000
100000
Sidewalk
1500
SF
100
150000
Curb & Gutter
170
LF
125
21250
Traffic Signal Modification
1
LS
50000
50000
Utilities Underground
1
LS
50000
50000
Striping & Signage
1
LS
25000
25000
Permit and Flagging Fees
l
LS
30000
30000
Mobilization
l
LS
20000
20000
Traffic Control
l
LS
30000
30000
Subtotal
568,750
Engineering
15%
85,313
Contingency
15%
85,313
Construction Administration & Inspection
10%
56,875
City Estimate
$796,250
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
Exhibit C
Fed Xing ID: 745352P
CPUC ID: 001E-247.151 SLO-1022
Existing Conditions
East Approach
Agency: San Luis Obispo
Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
South Sidewalk
North Sidewalk
Agency: San Luis Obispo
Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
Exhibit D
Fed Xing ID: 745352P
CPUC ID: 001E-247.15 / SLO-1022
E-76
Agency: San Luis Obispo
Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
AUTHORIZATION I AGREEMENT SUMMARY - (E-76(
FEDERAL AID PROGRAM
CALIFORNIA DEPARTMENT OF TRANSPORTATION
OLA LOCATOR:
OSSLO-O-SLO
PROJECT LOCATION:
PREFIX:
STPLR
CITY OF SAN LUIS OBISPO AT THE RAILROAD HIGHWAY GRADE CROSSING OF FOOTHILL BLVDAND UNION PACIFIC RAILROAD.
PROJECT NO:
7500(291)
TYPE OF WORK:
SEO NO:
1
HIGHWAY RAILROAD GRACE CROSSING HAZARDS ELIMINATION WITH LOCAL
PR@V AUTM/AGR€€
DATES:
STATE PROJ NO: 0521000061 L.N
FED RR NO'S: 74536
PE.
AGENCY:
SAN LUIS OBISPO
PUC CODES: 001E-
I
ROUTE.
PROD OVERSIGH7.ASSUMEDILOCAL AOMIN
CON_
DISASTER NO:
ENV STATUS I DT:
SPR:
TIP DATA
RW STATUS I DT:
MCS:
MPO:
SLOCOG
INV RTE:
OTH:
FSTIP YR.
1&19
BEG MP'.
STIP REF',
END MP',
FSTIP ID NO:
22300000718
BRIDGE NO:
PROG COOS
Z$50
LINE NO IMPV TYPE
10 15
FUNC SYS URBAN AREA
URBIRURAL
[1FIJ,1fQ
FUNDING SUMMARY
PHASE
PROJECTCOST
FEDERAL COST
AC COST
PE PREV. OBLIGATION
$0.00
S0.00
$0,00
PE
PE THIS REQUEST
$2.000.000.00
$2,000.000.00
$0,00
PE SUBTOTAL
$2.000.000.00
$2,000.440.00
$0,00
RW PREV, OBLIGATION
50.00
S0.00
$0,00
I
RW THIS REQUEST
$0.00
S0.00
$0,00
RW SUBTOTAL
S0.00
S0.00
$0,00
CON PREV, OBLGATION
$0.00
$0-00
$0,00
CON
CON THIS REQU EST
S0.00
S0.00
$0.00
CON SUBTOTAL
$0.00
$0.00
$000
07H PREV, OBLIGATION
S0.00
S0.00
$0,00
OTH
OTH THIS REQUEST
$0.00
$0.00
$0,00
07H SUBTOTAL
S0.00
S0.00
$0,00
STATE REMARKS
TOTAL. $2.000,000.00
$2,000,000.00
$0.00
12N212020 1st Sequence for Preliminary Engineering. Design and Estlmate prig I. conslruclion. This is a resubmittel of pmjeM 7500(274) but funded by phase.
AUTHORIZATION
AUTHORIZATION TO PROCEED WITH REQUEST: PRE PREPARED IN FADS BY: ROBERTS, BRUCE ON 2020-12-02 651-1262
FOR: REVIEWED IN FADS BY: ROBERTS. BRUCE ON 2020-12-02 651-1252
DOCUMENT TYPE: AAGR SUBMITTED IN FADS BY: ROBERTS. BRUCE ON 202(12-02 FOR CALTRANS
PROCESSED IN FADS BY; SIGNATURE, NOT REQUIRED ON 2020.12.02 FOR FHWA
E-76 AUTHORIZED DATE IN FMIS BY: GRACE REGIDOR ON 2020-12-11 11:51:15.0
Note: Local Agency funding is a portion of the total obligation
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
Exhibit E
Fed Xing ID: 745352P
CPUC ID: 001E-247.15 / SLO-1022
FHWA-1273 (12 pages)
REQUIRED CONTRACT PROVISIONS
FEDERAL -AID CONSTRUCTION CONTRACTS
I. General
II. Nondiscrimination
III. Nonsegregated Facilities
IV. Davis -Bacon and Related Act Provisions
V. Contract Work Hours and Safety Standards Act
Provisions
VI. Subletting or Assigning the Contract
VI 1. Safety: Accident Prevention
VIII. False Statements Concerning Highway Projects
IX. Implementation of Clean Air Act and Federal Water
Pollution Control Act
X. Compliance with Governmentwide Suspension and
Debarment Requirements
XI. Certification Regarding Use of Contract Funds for
Lobbying
ATTACHMENTS
A. Employment and Materials Preference for Appalachian
Development Highway System or Appalachian Local Access
Road Contracts (included in Appalachian contracts only)
I. GENERAL
1. Form FHWA-1273 must be physically incorporated in each
construction contract funded under Title 23 (excluding
emergency contracts solely intended for debris removal). The
contractor (or subcontractor) must insert this form in each
subcontract and further require its inclusion in all lower tier
subcontracts (excluding purchase orders, rental agreements
and other agreements for supplies or services).
The applicable requirements of Form FHWA-1273 are
incorporated by reference for work done under any purchase
order, rental agreement or agreement for other services. The
prime contractor shall be responsible for compliance by any
subcontractor, lower -tier subcontractor or service provider.
Form FHWA-1273 must be included in all Federal -aid design -
build contracts, in all subcontracts and in lower tier
subcontracts (excluding subcontracts for design services,
purchase orders, rental agreements and other agreements for
supplies or services). The design -builder shall be responsible
for compliance by any subcontractor, lower -tier subcontractor
or service provider.
Contracting agencies may reference Form FHWA-1273 in bid
proposal or request for proposal documents, however, the
Form FHWA-1273 must be physically incorporated (not
referenced) in all contracts, subcontracts and lower -tier
subcontracts (excluding purchase orders, rental agreements
and other agreements for supplies or services related to a
construction contract).
2. Subject to the applicability criteria noted in the following
sections, these contract provisions shall apply to all work
performed on the contract by the contractor's own organization
and with the assistance of workers under the contractor's
immediate superintendence and to all work performed on the
contract by piecework, station work, or by subcontract.
Agency: San Luis Obispo
Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
FHWA-1273 -- Revised May 1, 2012
3. A breach of any of the stipulations contained in these
Required Contract Provisions may be sufficient grounds for
withholding of progress payments, withholding of final
payment, termination of the contract, suspension /debarment
or any other action determined to be appropriate by the
contracting agency and FHWA.
4. Selection of Labor: During the performance of this contract,
the contractor shall not use convict labor for any purpose
within the limits of a construction project on a Federal -aid
highway unless it is labor performed by convicts who are on
parole, supervised release, or probation. The term Federal -aid
highway does not include roadways functionally classified as
local roads or rural minor collectors.
II. NONDISCRIMINATION
The provisions of this section related to 23 CFR Part 230 are
applicable to all Federal -aid construction contracts and to all
related construction subcontracts of $10,000 or more. The
provisions of 23 CFR Part 230 are not applicable to material
supply, engineering, or architectural service contracts.
In addition, the contractor and all subcontractors must comply
with the following policies: Executive Order 11246, 41 CFR 60,
29 CFR 1625-1627, Title 23 USC Section 140, the
Rehabilitation Act of 1973, as amended (29 USC 794), Title VI
of the Civil Rights Act of 1964, as amended, and related
regulations including 49 CFR Parts 21, 26 and 27, and 23 CFR
Parts 200, 230, and 633.
The contractor and all subcontractors must comply with: the
requirements of the Equal Opportunity Clause in 41 CFR 60-
1.4(b) and, for all construction contracts exceeding $10,000,
the Standard Federal Equal Employment Opportunity
Construction Contract Specifications in 41 CFR 60-4.3.
Note: The U.S. Department of Labor has exclusive authorityto
determine compliance with Executive Order 11246 and the
policies of the Secretary of Labor including 41 CFR 60, and 29
CFR 1625-1627. The contracting agency and the FHWA have
the authority and the responsibility to ensure compliance with
Title 23 USC Section 140, the Rehabilitation Act of 1973, as
amended (29 USC 794), and Title VI of the Civil Rights Act of
1964, as amended, and related regulations including 49 CFR
Parts 21, 26 and 27, and 23 CFR Parts 200, 230, and 633.
The following provision is adopted from 23 CFR 230, Appendix
A, with appropriate revisions to conform to the U.S.
Department of Labor (US DOL) and FHWA requirements.
1. Equal Employment Opportunity: Equal employment
opportunity (EEO) requirements not to discriminate and to take
affirmative action to assure equal opportunity as set forth
under laws, executive orders, rules, regulations (28 CFR 35,
29 CFR 1630, 29 CFR 1625-1627, 41 CFR 60 and 49 CFR 27)
and orders of the Secretary of Labor as modified by the
provisions prescribed herein, and imposed pursuant to 23
U.S.C. 140 shall constitute the EEO and specific affirmative
action standards for the contractor's project activities under
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
this contract. The provisions of the Americans with Disabilities
Act of 1990 (42 U.S.C. 12101 et seq.) set forth under 28 CFR
35 and 29 CFR 1630 are incorporated by reference in this
contract. In the execution of this contract, the contractor
agrees to comply with the following minimum specific
requirement activities of EEO:
a. The contractor will work with the contracting agency and
the Federal Government to ensure that it has made every
good faith effort to provide equal opportunity with respect to all
of its terms and conditions of employment and in their review
of activities under the contract.
b. The contractor will accept as its operating policy the
following statement:
"It is the policy of this Company to assure that applicants
are employed, and that employees are treated during
employment, without regard to their race, religion, sex, color,
national origin, age or disability. Such action shall include:
employment, upgrading, demotion, or transfer, recruitment or
recruitment advertising; layoff or termination; rates of pay or
other forms of compensation, and selection for training,
including apprenticeship, pre -apprenticeship, and/or on-the-
job training."
2. EEO Officer: The contractor will designate and make
known to the contracting officers an EEO Officer who will have
the responsibility for and must be capable of effectively
administering and promoting an active EEO program and who
must be assigned adequate authority and responsibility to do
so.
3. Dissemination of Policy: All members of the contractor's
staff who are authorized to hire, supervise, promote, and
discharge employees, or who recommend such action, or who
are substantially involved in such action, will be made fully
cognizant of, and will implement, the contractor's EEO policy
and contractual responsibilities to provide EEO in each grade
and classification of employment. To ensure that the above
agreement will be met, the following actions will be taken as a
minimum:
a. Periodic meetings of supervisory and personnel office
employees will be conducted before the start of work and then
not less often than once every six months, at which time the
contractor's EEO policy and its implementation will be
reviewed and explained. The meetings will be conducted by
the EEO Officer.
b. All new supervisory or personnel office employees will be
given a thorough indoctrination by the EEO Officer, covering
all major aspects of the contractor's EEO obligations within
thirty days following their reporting for duty with the contractor.
c. All personnel who are engaged in direct recruitment for
the project will be instructed by the EEO Officer in the
contractor's procedures for locating and hiring minorities and
women.
d. Notices and posters setting forth the contractor's EEO
policy will be placed in areas readily accessible to employees,
applicants for employment and potential employees.
e. The contractor's EEO policy and the procedures to
implement such policy will be brought to the attention of
employees by means of meetings, employee handbooks, or
other appropriate means.
Agency: San Luis Obispo
Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
4. Recruitment: When advertising for employees, the
contractor will include in all advertisements for employees the
notation: "An Equal Opportunity Employer." All such
advertisements will be placed in publications having a large
circulation among minorities and women in the area from
which the project work force would normally be derived.
a. The contractor will, unless precluded by a valid
bargaining agreement, conduct systematic and direct
recruitment through public and private employee referral
sources likely to yield qualified minorities and women. To
meet this requirement, the contractor will identify sources of
potential minority group employees, and establish with such
identified sources procedures whereby minority and women
applicants may be referred to the contractor for employment
consideration.
b. In the event the contractor has a valid bargaining
agreement providing for exclusive hiring hall referrals, the
contractor is expected to observe the provisions of that
agreement to the extent that the system meets the contractor's
compliance with EEO contract provisions. Where
implementation of such an agreement has the effect of
discriminating against minorities or women, or obligates the
contractor to do the same, such implementation violates
Federal nondiscrimination provisions.
c. The contractor will encourage its present employees to
refer minorities and women as applicants for employment.
Information and procedures with regard to referring such
applicants will be discussed with employees.
5. Personnel Actions: Wages, working conditions, and
employee benefits shall be established and administered, and
personnel actions of every type, including hiring, upgrading,
promotion, transfer, demotion, layoff, and termination, shall be
taken without regard to race, color, religion, sex, national
origin, age or disability. The following procedures shall be
followed:
a. The contractor will conduct periodic inspections of project
sites to insure that working conditions and employee facilities
do not indicate discriminatory treatment of project site
personnel.
b. The contractor will periodically evaluate the spread of
wages paid within each classification to determine any
evidence of discriminatory wage practices.
c. The contractor will periodically review selected personnel
actions in depth to determine whether there is evidence of
discrimination. Where evidence is found, the contractor will
promptly take corrective action. If the review indicates that the
discrimination may extend beyond the actions reviewed, such
corrective action shall include all affected persons.
d. The contractor will promptly investigate all complaints of
alleged discrimination made to the contractor in connection
with its obligations under this contract, will attempt to resolve
such complaints, and will take appropriate corrective action
within a reasonable time. If the investigation indicates that the
discrimination may affect persons other than the complainant,
such corrective action shall include such other persons. Upon
completion of each investigation, the contractor will inform
every complainant of all of their avenues of appeal.
6. Training and Promotion:
a. The contractor will assist in locating, qualifying, and
increasing the skills of minorities and women who are
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
applicants for employment or current employees. Such efforts
should be aimed at developing full journey level status
employees in the type of trade orjob classification involved.
b. Consistent with the contractor's work force requirements
and as permissible under Federal and State regulations, the
contractor shall make full use of training programs, i.e.,
apprenticeship, and on-the-job training programs for the
geographical area of contract performance. In the event a
special provision for training is provided under this contract,
this subparagraph will be superseded as indicated in the
special provision. The contracting agency may reserve
training positions for persons who receive welfare assistance
in accordance with 23 U.S.C. 140(a).
c. The contractor will advise employees and applicants for
employment of available training programs and entrance
requirements for each.
d. The contractor will periodically review the training and
promotion potential of employees who are minorities and
women and will encourage eligible employees to apply for
such training and promotion.
7. Unions: Ifthe contractor relies in whole or in part upon
unions as a source of employees, the contractorwill use good
faith efforts to obtain the cooperation of such unions to
increase opportunities for minorities and women. Actions by
the contractor, either directly or through a contractor's
association acting as agent, will include the procedures set
forth below:
a. The contractor will use good faith efforts to develop, in
cooperation with the unions, joint training programs aimed
toward qualifying more minorities and women for membership
in the unions and increasing the skills of minorities and women
so that they may qualify for higher paying employment.
b. The contractor will use good faith efforts to incorporate an
EEO clause into each union agreement to the end that such
union will be contractually bound to refer applicants without
regard to their race, color, religion, sex, national origin, age or
disability.
c. The contractor is to obtain information as to the referral
practices and policies of the labor union except that to the
extent such information is within the exclusive possession of
the labor union and such labor union refuses to furnish such
information to the contractor, the contractor shall so certify to
the contracting agency and shall set forth what efforts have
been made to obtain such information.
d. In the event the union is unable to provide the contractor
with a reasonable flow of referrals within the time limit set forth
in the collective bargaining agreement, the contractor will,
through independent recruitment efforts, fill the employment
vacancies without regard to race, color, religion, sex, national
origin, age or disability, making full efforts to obtain qualified
and/or qualifiable minorities and women. The failure of a union
to provide sufficient referrals (even though it is obligated to
provide exclusive referrals under the terms of a collective
bargaining agreement) does not relieve the contractor from the
requirements of this paragraph. In the event the union referral
practice prevents the contractor from meeting the obligations
pursuant to Executive Order 11246, as amended, and these
special provisions, such contractor shall immediately notify the
contracting agency.
8. Reasonable Accommodation for Applicants
Employees with Disabilities: The contractor must be familiar
Agency: San Luis Obispo
Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
with the requirements for and comply with the Americans with
Disabilities Act and all rules and regulations established there
under. Employers must provide reasonable accommodation in
all employment activities unless to do so would cause an
undue hardship.
9. Selection of Subcontractors, Procurement of Materials
and Leasing of Equipment: The contractor shall not
discriminate on the grounds of race, color, religion, sex,
national origin, age or disability in the selection and retention
of subcontractors, including procurement of materials and
leases of equipment. The contractor shall take all necessary
and reasonable steps to ensure nondiscrimination in the
administration of this contract.
a. The contractor shall notify all potential subcontractors and
suppliers and lessors of their EEO obligations under this
contract.
b. The contractor will use good faith efforts to ensure
subcontractor compliance with their EEO obligations.
10. Assurance Required by49 CFR 26.13(b):
a. The requirements of 49 CFR Part 26 and the State
DOT's U.S. DOT -approved DBE program are incorporated by
reference.
b. The contractor or subcontractor shall not discriminate on
the basis of race, color, national origin, or sex in the
performance of this contract. The contractor shall carry out
applicable requirements of 49 CFR Part 26 in the award and
administration of DOT -assisted contracts. Failure by the
contractor to carry out these requirements is a material breach
of this contract, which may result in the termination of this
contract or such other remedy as the contracting agency
deems appropriate.
11. Records and Reports: The contractor shall keep such
records as necessary to document compliance with the EEO
requirements. Such records shall be retained for a period of
three years following the date of the final payment to the
contractor for all contract work and shall be available at
reasonable times and places for inspection by authorized
representatives of the contracting agency and the FHWA.
a. The records kept by the contractor shall document the
following:
(1) The number and work hours of minority and non -
minority group members and women employed in each work
classification on the project,
(2) The progress and efforts being made in cooperation
with unions, when applicable, to increase employment
opportunities for minorities and women, and
(3) The progress and efforts being made in locating, hiring,
training, qualifying, and upgrading minorities and women;
b. The contractors and subcontractors will submit an annual
report to the contracting agency each July for the duration of
the project, indicating the number of minority, women, and
non -minority group employees currently engaged in each work
classification required by the contract work. This information is
to be reported on Form FHWA-1391. The staffing data should
represent the project work force on board in all or any part of
the last payroll period preceding the end of July. If on-the-job
training is being required by special provision, the contractor
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
will be required to collect and report training data. The
employment data should reflect the work force on board during
all or any part of the last payroll period preceding the end of
July.
III. NONSEGREGATED FACILITIES
This provision is applicable to all Federal -aid construction
contracts and to all related construction subcontracts of
$10,000 or more.
The contractor must ensure that facilities provided for
employees are provided in such a manner that segregation on
the basis of race, color, religion, sex, or national origin cannot
result. The contractor may neither require such segregated
use by written or oral policies nor tolerate such use by
employee custom. The contractor's obligation extends further
to ensure that its employees are not assigned to perform their
services at any location, under the contractor's control, where
the facilities are segregated. The term "facilities" includes
waiting rooms, work areas, restaurants and other eating areas,
time clocks, restrooms, washrooms, locker rooms, and other
storage or dressing areas, parking lots, drinking fountains,
recreation or entertainment areas, transportation, and housing
provided for employees. The contractor shall provide separate
or single -user restrooms and necessary dressing or sleeping
areas to assure privacy between sexes.
IV. DAVIS-BACON AND RELATED ACT PROVISIONS
This section is applicable to all Federal -aid construction
projects exceeding $2,000 and to all related subcontracts and
lower -tier subcontracts (regardless of subcontract size). The
requirements apply to all projects located within the right-of-
way of a roadway that is functionally classified as Federal -aid
highway. This excludes roadways functionally classified as
local roads or rural minor collectors, which are exempt.
Contracting agencies may elect to apply these requirements to
other projects.
The following provisions are from the U.S. Department of
Labor regulations in 29 CFR 5.5 "Contract provisions and
related matters" with minor revisions to conform to the FHWA-
1273 format and FHWA program requirements.
1. Minimum wages
a. All laborers and mechanics employed or working upon
the site of the work, will be paid unconditionally and not less
often than once a week, and without subsequent deduction or
rebate on any account (except such payroll deductions as are
permitted by regulations issued by the Secretary of Labor
under the Copeland Act (29 CFR part 3)), the full amount of
wages and bona fide fringe benefits (or cash equivalents
thereof) due at time of payment computed at rates not less
than those contained in the wage determination of the
Secretary of Labor which is attached hereto and made a part
hereof, regardless of any contractual relationship which may
be alleged to exist between the contractor and such laborers
and mechanics.
Contributions made or costs reasonably anticipated for bona
fide fringe benefits under section 1(b)(2) of the Davis -Bacon
Act on behalf of laborers or mechanics are considered wages
paid to such laborers or mechanics, subject to the provisions
Agency: San Luis Obispo
Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
of paragraph 1.d. of this section; also, regular contributions
made or costs incurred for more than a weekly period (but not
less often than quarterly) under plans, funds, or programs
which cover the particular weekly period, are deemed to be
constructively made or incurred during such weekly period.
Such laborers and mechanics shall be paid the appropriate
wage rate and fringe benefits on the wage determination for
the classification of work actually performed, without regard to
skill, except as provided in 29 CFR 5.5(a)(4). Laborers or
mechanics performing work in more than one classification
may be compensated at the rate specified for each
classification for the time actually worked therein: Provided,
That the employer's payroll records accurately set forth the
time spent in each classification in which work is performed.
The wage determination (including any additional classification
and wage rates conformed under paragraph 1.b. of this
section) and the Davis -Bacon poster (WH-1321) shall be
posted at all times by the contractor and its subcontractors at
the site of the work in a prominent and accessible place where
it can be easily seen by the workers.
b.(1) The contracting officer shall require that any class of
laborers or mechanics, including helpers, which is not listed in
the wage determination and which is to be employed under the
contract shall be classified in conformance with the wage
determination. The contracting officer shall approve an
additional classification and wage rate and fringe benefits
therefore only when the following criteria have been met:
(i) The work to be performed by the classification
requested is not performed by a classification in the wage
determination: and
(ii) The classification is utilized in the area by the
construction industry; and
(iii) The proposed wage rate, including any bona fide
fringe benefits, bears a reasonable relationship to the
wage rates contained in the wage determination.
(2) If the contractor and the laborers and mechanics to be
employed in the classification (if known), or their
representatives, and the contracting officer agree on the
classification and wage rate (including the amount
designated for fringe benefits where appropriate), a report of
the action taken shall be sent by the contracting officer to the
Administrator of the Wage and Hour Division, Employment
Standards Administration, U.S. Department of Labor,
Washington, DC 20210. The Administrator, or an authorized
representative, will approve, modify, or disapprove every
additional classification action within 30 days of receipt and
so advise the contracting officer or will notify the contracting
officer within the 30-day period that additional time is
necessary.
(3) In the event the contractor, the laborers or mechanics
to be employed in the classification or their representatives,
and the contracting officer do not agree on the proposed
classification and wage rate (including the amount
designated for fringe benefits, where appropriate), the
contracting officer shall refer the questions, including the
views of all interested parties and the recommendation ofthe
contracting officer, to the Wage and Hour Administrator for
determination. The Wage and Hour Administrator, or an
authorized representative, will issue a determination within
30 days of receipt and so advise the contracting officer or
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
will notify the contracting officer within the 30-day period that
additional time is necessary.
(4) The wage rate (including fringe benefits where
appropriate) determined pursuant to paragraphs 1.b.(2) or
1.b.(3) of this section, shall be paid to all workers performing
work in the classification under this contract from the first
day on which work is performed in the classification.
c. Whenever the minimum wage rate prescribed in the
contract for a class of laborers or mechanics includes a fringe
benefit which is not expressed as an hourly rate, the contractor
shall either pay the benefit as stated in the wage determination
or shall pay another bona fide fringe benefit or an hourly cash
equivalent thereof.
d. If the contractor does not make payments to a trustee or
other third person, the contractor may consider as part of the
wages of any laborer or mechanic the amount of any costs
reasonably anticipated in providing bona fide fringe benefits
under a plan or program, Provided, That the Secretary of
Labor has found, upon the written request of the contractor,
that the applicable standards of the Davis -Bacon Act have
been met. The Secretary of Labor may require the contractor
to set aside in a separate account assets for the meeting of
obligations under the plan or program.
2. Withholding
The contracting agency shall upon its own action or upon
written request of an authorized representative of the
Department of Labor, withhold or cause to be withheld from
the contractor under this contract, or any other Federal
contract with the same prime contractor, or any other federally -
assisted contract subject to Davis -Bacon prevailing wage
requirements, which is held by the same prime contractor, so
much of the accrued payments or advances as may be
considered necessary to pay laborers and mechanics,
including apprentices, trainees, and helpers, employed by the
contractor or any subcontractor the full amount of wages
required by the contract. In the event of failure to pay any
laborer or mechanic, including any apprentice, trainee, or
helper, employed or working on the site of the work, all or part
of the wages required by the contract, the contracting agency
may, after written notice to the contractor, take such action as
may be necessary to cause the suspension of any further
payment, advance, or guarantee of funds until such violations
have ceased.
3. Payrolls and basic records
a. Payrolls and basic records relating thereto shall be
maintained by the contractor during the course of the work and
preserved for a period of three years thereafter for all laborers
and mechanics working at the site of the work. Such records
shall contain the name, address, and social security number of
each such worker, his or her correct classification, hourly rates
of wages paid (including rates of contributions or costs
anticipated for bona fide fringe benefits or cash equivalents
thereof of the types described in section 1(b)(2)(B) of the
Davis -Bacon Act), daily and weekly number of hours worked,
deductions made and actual wages paid. Whenever the
Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that
the wages of any laborer or mechanic include the amount of
any costs reasonably anticipated in providing benefits under a
plan or program described in section 1(b)(2)(B) of the Davis -
Agency: San Luis Obispo
Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
Bacon Act, the contractor shall maintain records which show
that the commitment to provide such benefits is enforceable,
that the plan or program is financially responsible, and that the
plan or program has been communicated in writing to the
laborers or mechanics affected, and records which show the
costs anticipated or the actual cost incurred in providing such
benefits. Contractors employing apprentices or trainees under
approved programs shall maintain written evidence of the
registration of apprenticeship programs and certification of
trainee programs, the registration of the apprentices and
trainees, and the ratios and wage rates prescribed in the
applicable programs.
b.(1) The contractor shall submit weekly for each week in
which any contract work is performed a copy of all payrolls to
the contracting agency. The payrolls submitted shall set out
accurately and completely all of the information required to be
maintained under 29 CFR 5.5(a)(3)(i), except that full social
security numbers and home addresses shall not be included
on weekly transmittals. Instead the payrolls shall only need to
include an individually identifying number for each employee
e.g. , the last four digits of the employee's social security
number). The required weekly payroll information may be
submitted in any form desired. Optional Form WH-347 is
available for this purpose from the Wage and Hour Division
Web site at http:/Mww.dol.gov/esa/whd/forms/wh347instr.htm
or its successor site. The prime contractor is responsible for
the submission of copies of payrolls by all subcontractors.
Contractors and subcontractors shall maintain the full social
security number and current address of each covered worker,
and shall provide them upon request to the contracting agency
for transmission to the State DOT, the FHWA or the Wage and
Hour Division of the Department of Labor for purposes of an
investigation or audit of compliance with prevailing wage
requirements. It is not a violation of this section for a prime
contractor to require a subcontractor to provide addresses and
social security numbers to the prime contractor for its own
records, without weekly submission to the contracting agency..
(2) Each payroll submitted shall be accompanied by a
"Statement of Compliance," signed by the contractor or
subcontractor or his or her agent who pays or supervises the
payment of the persons employed under the contract and shall
certify the following:
(i) That the payroll for the payroll period contains the
information required to be provided under §5.5 (a)(3)(ii) of
Regulations, 29 CFR part 5, the appropriate information is
being maintained under §5.5 (a)(3)(i) of Regulations, 29
CFR part 5, and that such information is correct and
complete,
(ii) That each laborer or mechanic (including each
helper, apprentice, and trainee) employed on the contract
during the payroll period has been paid the full weekly
wages earned, without rebate, either directly or indirectly,
and that no deductions have been made either directly or
indirectly from the full wages earned, other than
permissible deductions as set forth in Regulations, 29 CFR
part 3;
(iii) That each laborer or mechanic has been paid not
less than the applicable wage rates and fringe benefits or
cash equivalents for the classification of work performed,
as specified in the applicable wage determination
incorporated into the contract.
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
(3) The weekly submission of a properly executed
certification set forth on the reverse side of Optional Form
WH-347 shall satisfy the requirement for submission of the
"Statement of Compliance" required by paragraph 3.b.(2) o
this section.
(4) The falsification of any of the above certifications may
subject the contractor or subcontractor to civil or criminal
prosecution under section 1001 of title 18 and section 231 of
title 31 of the United States Code.
c. The contractor or subcontractor shall make the records
required under paragraph 3.a. of this section available for
inspection, copying, or transcription by authorized
representatives of the contracting agency, the State DOT, the
FHWA, or the Department of Labor, and shall permit such
representatives to interview employees during working hours
on the job. If the contractor or subcontractor fails to submit the
required records or to make them available, the FHWA may,
after written notice to the contractor, the contracting agency or
the State DOT, take such action as maybe necessary to
cause the suspension of any further payment, advance, or
guarantee of funds. Furthermore, failure to submit the required
records upon request or to make such records available may
be grounds for debarment action pursuant to 29 CFR 5.12.
4. Apprentices and trainees
a. Apprentices (programs of the USDOL).
Apprentices will be permitted to work at less than the
predetermined rate for the work they performed when they are
employed pursuant to and individually registered in a bona fide
apprenticeship program registered with the U.S. Department of
Labor, Employment and Training Administration, Office of
Apprenticeship Training, Employer and Labor Services, or with
a State Apprenticeship Agency recognized by the Office, or if a
person is employed in his or her first 90 days of probationary
employment as an apprentice in such an apprenticeship
program, who is not individually registered in the program, but
who has been certified by the Office of Apprenticeship
Training, Employer and Labor Services or a State
Apprenticeship Agency (where appropriate) to be eligible for
probationary employment as an apprentice.
The allowable ratio of apprentices tojourneymen on the job
site in any craft classification shall not be greater than the ratio
permitted to the contractor as to the entire work force under
the registered program. Any worker listed on a payroll at an
apprentice wage rate, who is not registered or otherwise
employed as stated above, shall be paid not less than the
applicable wage rate on the wage determination for the
classification of work actually performed. In addition, any
apprentice performing work on the job site in excess of the
ratio permitted under the registered program shall be paid not
less than the applicable wage rate on the wage determination
for the work actually performed. Where a contractor is
performing construction on a project in a locality other than
that in which its program is registered, the ratios and wage
rates (expressed in percentages of the journeyman's hourly
rate) specified in the contractor's or subcontractor's registered
program shall be observed.
Every apprentice must be paid at not less than the rate
specified in the registered program for the apprentice's level of
progress, expressed as a percentage of the journeymen hourly
Agency: San Luis Obispo
Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
rate specified in the applicable wage determination.
Apprentices shall be paid fringe benefits in accordance with
the provisions of the apprenticeship program. If the
apprenticeship program does not specify fringe benefits,
apprentices must be paid the full amount of fringe benefits
listed on the wage determination for the applicable
classification. If the Administrator determines that a different
practice prevails for the applicable apprentice classification,
fringes shall be paid in accordance with that determination.
In the event the Office of Apprenticeship Training, Employer
and Labor Services, or a State Apprenticeship Agency
recognized by the Office, withdraws approval of an
apprenticeship program, the contractor will no longer be
permitted to utilize apprentices at less than the applicable
predetermined rate for the work performed until an acceptable
program is approved.
b. Trainees (programs of the USDOL).
Except as provided in 29 CFR 5.16, trainees will not be
permitted to work at less than the predetermined rate for the
work performed unless they are employed pursuant to and
individually registered in a program which has received prior
approval, evidenced by formal certification by the U.S.
Department of Labor, Employment and Training
Administration.
The ratio of trainees to journeymen on the job site shall not be
greater than permitted under the plan approved by the
Employment and Training Administration.
Every trainee must be paid at not less than the rate specified
in the approved program for the trainee's level of progress,
expressed as a percentage ofthe journeyman hourly rate
specified in the applicable wage determination. Trainees shall
be paid fringe benefits in accordance with the provisions of the
trainee program. If the trainee program does not mention
fringe benefits, trainees shall be paid the full amount of fringe
benefits listed on the wage determination unless the
Administrator of the Wage and Hour Division determines that
there is an apprenticeship program associated with the
corresponding journeyman wage rate on the wage
determination which provides for less than full fringe benefits
for apprentices. Any employee listed on the payroll at a trainee
rate who is not registered and participating in a training plan
approved by the Employment and Training Administration shall
be paid not less than the applicable wage rate on the wage
determination for the classification of work actually performed.
In addition, any trainee performing work on the job site in
excess of the ratio permitted under the registered program
shall be paid not less than the applicable wage rate on the
wage determination for the work actually performed.
In the event the Employment and Training Administration
withdraws approval of a training program, the contractor will no
longer be permitted to utilize trainees at less than the
applicable predetermined rate for the work performed until an
acceptable program is approved.
c. Equal employment opportunity. The utilization of
apprentices, trainees and journeymen under this part shall be
in conformity with the equal employment opportunity
requirements of Executive Order 11246, as amended, and 29
CFR part 30.
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
d. Apprentices and Trainees (programs ofthe U.S. DOT).
Apprentices and trainees working under apprenticeship and
skill training programs which have been certified by the
Secretary of Transportation as promoting EEO in connection
with Federal -aid highway construction programs are not
subject to the requirements of paragraph 4 ofthis Section IV.
The straight time hourly wage rates for apprentices and
trainees under such programs will be established by the
particular programs. The ratio of apprentices and trainees to
journeymen shall not be greater than permitted by the terms of
the particular program.
5. Compliance with Copeland Act requirements. The
contractor shall comply with the requirements of 29 CFR part
3, which are incorporated by reference in this contract.
6. Subcontracts. The contractor or subcontractor shall insert
Form FHWA-1273 in any subcontracts and also require the
subcontractors to include Form FHWA-1273 in any lower tier
subcontracts. The prime contractor shall be responsible for the
compliance by any subcontractor or lower tier subcontractor
with all the contract clauses in 29 CFR 5.5.
7. Contract termination: debarment. A breach of the
contract clauses in 29 CFR 5.5 may be grounds for termination
of the contract, and for debarment as a contractor and a
subcontractor as provided in 29 CFR 5.12.
8. Compliance with Davis -Bacon and Related Act
requirements. All rulings and interpretations of the Davis -
Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5
are herein incorporated by reference in this contract.
9. Disputes concerning labor standards. Disputes arising
out ofthe labor standards provisions ofthis contract shall not
be subject to the general disputes clause of this contract. Such
disputes shall be resolved in accordance with the procedures
of the Department of Labor set forth in 29 CFR parts 5, 6, and
7. Disputes within the meaning ofthis clause include disputes
between the contractor (or any of its subcontractors) and the
contracting agency, the U.S. Department of Labor, or the
employees or their representatives.
10. Certification of eligibility.
a. By entering into this contract, the contractor certifies that
neither it (nor he or she) nor any person or firm who has an
interest in the contractor's firm is a person or firm ineligible to
be awarded Government contracts by virtue of section 3(a) of
the Davis -Bacon Act or 29 CFR 5.12(a)(1).
b. No part of this contract shall be subcontracted to any person
or firm ineligible for award of a Government contract by virtue
of section 3(a) of the Davis -Bacon Act or 29 CFR 5.12(a)(1).
c. The penalty for making false statements is prescribed in the
U.S. Criminal Code, 18 U.S.C. 1001.
Agency: San Luis Obispo
Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
V. CONTRACT WORK HOURS AND SAFETY
STANDARDS ACT
The following clauses apply to any Federal -aid construction
contract in an amount in excess of $100,000 and subject to the
overtime provisions of the Contract Work Hours and Safety
Standards Act. These clauses shall be inserted in addition to
the clauses required by 29 CFR 5.5(a) or 29 CFR 4.6. As
used in this paragraph, the terms laborers and mechanics
include watchmen and guards.
1. Overtime requirements. No contractor or subcontractor
contracting for any part ofthe contract work which may require
or involve the employment of laborers or mechanics shall
require or permit any such laborer or mechanic in any
workweek in which he or she is employed on such work to
work in excess of forty hours in such workweek unless such
laborer or mechanic receives compensation at a rate not less
than one and one-half times the basic rate of pay for all hours
worked in excess of forty hours in such workweek.
2. Violation; liability for unpaid wages; liquidated
damages. In the event of any violation of the clause set forth
in paragraph (1.) of this section, the contractor and any
subcontractor responsible therefor shall be liable for the
unpaid wages. In addition, such contractor and subcontractor
shall be liable to the United States (in the case of work done
under contract for the District of Columbia or a territory, to such
District or to such territory), for liquidated damages. Such
liquidated damages shall be computed with respect to each
individual laborer or mechanic, including watchmen and
guards, employed in violation of the clause set forth in
paragraph (1.) ofthis section, in the sum of $10 for each
calendar day on which such individual was required or
permitted to work in excess of the standard workweek of forty
hours without payment of the overtime wages required by the
clause set forth in paragraph (1.) of this section.
3. Withholding for unpaid wages and liquidated damages.
The FHWA or the contacting agency shall upon its own action
or upon written request of an authorized representative of the
Department of Labor withhold or cause to be withheld, from
any moneys payable on account of work performed by the
contractor or subcontractor under any such contract or any
other Federal contract with the same prime contractor, or any
other federally -assisted contract subject to the Contract Work
Hours and Safety Standards Act, which is held by the same
prime contractor, such sums as may be determined to be
necessary to satisfy any liabilities of such contractor or
subcontractor for unpaid wages and liquidated damages as
provided in the clause set forth in paragraph (2.) of this
section.
4. Subcontracts. The contractor or subcontractor shall insert
in any subcontracts the clauses set forth in paragraph (1.)
through (4.) ofthis section and also a clause requiring the
subcontractors to include these clauses in any lower tier
subcontracts. The prime contractor shall be responsible for
compliance by any subcontractor or lower tier subcontractor
with the clauses set forth in paragraphs (1.) through (4.) ofthis
section.
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
VI. SUBLETTING OR ASSIGNING THE CONTRACT
This provision is applicable to all Federal -aid construction
contracts on the National Highway System.
1. The contractor shall perform with its own organization
contract work amounting to not less than 30 percent (or a
greater percentage if specified elsewhere in the contract) of
the total original contract price, excluding any specialty items
designated by the contracting agency. Specialty items maybe
performed by subcontract and the amount of any such
specialty items performed may be deducted from the total
original contract price before computing the amount of work
required to be performed by the contractor's own organization
(23 CFR 635.116).
a. The term "perform work with its own organization" refers
to workers employed or leased by the prime contractor, and
equipment owned or rented by the prime contractor, with or
without operators. Such term does not include employees or
equipment of a subcontractor or lower tier subcontractor,
agents of the prime contractor, or any other assignees. The
term may include payments for the costs of hiring leased
employees from an employee leasing firm meeting all relevant
Federal and State regulatory requirements. Leased
employees may only be included in this term if the prime
contractor meets all of the following conditions:
(1) the prime contractor maintains control over the
supervision ofthe day-to-day activities ofthe leased
employees;
(2) the prime contractor remains responsible for the quality
of the work of the leased employees;
(3) the prime contractor retains all power to accept or
exclude individual employees from work on the project, and
(4) the prime contractor remains ultimately responsible for
the payment of predetermined minimum wages, the
submission of payrolls, statements of compliance and all
other Federal regulatory requirements.
b. "Specialty Items" shall be construed to be limited to work
that requires highly specialized knowledge, abilities, or
equipment not ordinarily available in the type of contracting
organizations qualified and expected to bid or propose on the
contract as a whole and in general are to be limited to minor
components ofthe overall contract.
2. The contract amount upon which the requirements set forth
in paragraph (1) of Section VI is computed includes the cost of
material and manufactured products which are to be
purchased or produced by the contractor under the contract
provisions.
3. The contractor shall furnish (a) a competent superintendent
or supervisor who is employed by the firm, has full authority to
direct performance ofthe work in accordance with the contract
requirements, and is in charge of all construction operations
(regardless of who performs the work) and (b) such other of its
own organizational resources (supervision, management, and
engineering services) as the contracting officer determines is
necessary to assure the performance of the contract.
4. No portion of the contract shall be sublet, assigned or
otherwise disposed of except with the written consent of the
contracting officer, or authorized representative, and such
consent when given shall not be construed to relieve the
contractor of any responsibility for the fulfillment ofthe
contract. Written consent will be given only after the
contracting agency has assured that each subcontract is
Agency: San Luis Obispo
Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
evidenced in writing and that it contains all pertinent provisions
and requirements ofthe prime contract.
5. The 30% self -performance requirement of paragraph (1) is
not applicable to design -build contracts; however, contracting
agencies may establish their own self -performance
requirements.
VII. SAFETY: ACCIDENT PREVEN110N
T h I s p r o v I s I o n I s applicable to all Federal -aid
construction contracts and to all related subcontracts.
1. In the performance of this contract the contractor shall
comply with all applicable Federal, State, and local laws
governing safety, health, and sanitation (23 CFR 635). The
contractor shall provide all safeguards, safety devices and
protective equipment and take any other needed actions as it
determines, or as the contracting officer may determine, to be
reasonably necessary to protect the life and health of
employees on the job and the safety of the public and to
protect property in connection with the performance ofthe
work covered by the contract.
2. It is a condition of this contract, and shall be made a
condition of each subcontract, which the contractor enters into
pursuant to this contract, that the contractor and any
subcontractor shall not permit any employee, in performance
of the contract, to work in surroundings or under conditions
which are unsanitary, hazardous or dangerous to his/her
health or safety, as determined under construction safety and
health standards (29 CFR 1926) promulgated by the Secretary
of Labor, in accordance with Section 107 ofthe Contract Work
Hours and Safety Standards Act (40 U.S.C. 3704).
3. Pursuant to 29 CFR 1926.3, it is a condition of this contract
that the Secretary of Labor or authorized representative
thereof, shall have right of entry to any site of contract
performance to inspect or investigate the matter of compliance
with the construction safety and health standards and to carry
out the duties of the Secretary under Section 107 ofthe
Contract Work Hours and Safety Standards Act (40
U.S.C.3704).
Vill. FALSE STATEMENTS CONCERNING HIGHWAY
PROJECTS
T h i s p r o v i s i o n i s applicable to all Federal -aid
construction contracts and to all related subcontracts.
In order to assure high quality and durable construction in
conformity with approved plans and specifications and a high
degree of reliability on statements and representations made
by engineers, contractors, suppliers, and workers on Federal -
aid highway projects, it is essential that all persons concerned
with the project perform their functions as carefully, thoroughly,
and honestly as possible. Willful falsification, distortion, or
misrepresentation with respect to any facts related to the
project is a violation of Federal law. To prevent any
misunderstanding regarding the seriousness ofthese and
similar acts, Form FHWA-1022 shall be posted on each
Federal -aid highway project (23 CFR 635) in one or more
places where it is readily available to all persons concerned
with the project:
18 U.S.C. 1020 reads as follows:
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
'Whoever, being an officer, agent, or employee of the United
States, or of any State or Territory, or whoever, whether a
person, association, firm, or corporation, knowingly makes any
false statement, false representation, or false report as to the
character, quality, quantity, or cost of the material used or to
be used, or the quantity or quality of the work performed or to
be performed, or the cost thereof in connection with the
submission of plans, maps, specifications, contracts, or costs
of construction on any highway or related project submitted for
approval to the Secretary of Transportation, or
Whoever knowingly makes any false statement, false
representation, false report or false claim with respect to the
character, quality, quantity, or cost of any work performed or to
be performed, or materials furnished or to be furnished, in
connection with the construction of any highway or related
project approved by the Secretary of Transportation; or
Whoever knowingly makes any false statement or false
representation as to material fact in any statement, certificate,
or report submitted pursuant to provisions of the Federal -aid
Roads Act approved July 1, 1916, (39 Stat. 355), as amended
and supplemented;
Shall be fined under this title or imprisoned not more than 5
years or both."
IX. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL
WATER POLLUTION CONTROL ACT
This provision is applicable to all Federal -aid construction
contracts and to all related subcontracts.
By submission oft his bid/proposal or the execution oft his
contract, or subcontract, as appropriate, the bidder, proposer,
Federal -aid construction contractor, or subcontractor, as
appropriate, will be deemed to have stipulated as follows:
1. That any person who is or will be utilized in the
performance of this contract is not prohibited from receiving an
award due to a violation of Section 508 of the Clean Water Act
or Section 306 of the Clean Air Act.
2. That the contractor agrees to include or cause to be
included the requirements of paragraph (1) of this Section X in
every subcontract, and further agrees to take such action as
the contracting agency may direct as a means of enforcing
such requirements.
X. CERTIFICATION REGARDING DEBARMENT,
SUSPENSION, INELIGIBILITY AND VOLUNTARY
EXCLUSION
This provision is applicable to all Federal -aid construction
contracts, design -build contracts, subcontracts, lower -tier
subcontracts, purchase orders, lease agreements, consultant
contracts or any other covered transaction requiring FHWA
approval or that is estimated to cost $25,000 or more — as
defined in 2 CFR Parts 180 and 1200.
1. Instructions for Certification — First Tier Participants:
a. By signing and submitting this proposal, the prospective
first tier participant is providing the certification set out below.
b. The inability of a person to provide the certification set out
below will not necessarily result in denial of participation in this
Agency: San Luis Obispo
Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
covered transaction. The prospective first tier participant shall
submit an explanation of why it cannot provide the certification
set out below. The certification or explanation will be
considered in connection with the department or agency's
determination whether to enter into this transaction. However,
failure of the prospective first tier participant to furnish a
certification or an explanation shall disqualify such a person
from participation in this transaction.
c. The certification in this clause is a material representation
of fact upon which reliance was placed when the contracting
agency determined to enter into this transaction. If it is later
determined that the prospective participant knowingly rendered
an erroneous certification, in addition to other remedies
available to the Federal Government, the contracting agency
may terminate this transaction for cause of default.
d. The prospective first tier participant shall provide
immediate written notice to the contracting agency to whom
this proposal is submitted if anytime the prospective first tier
participant learns that its certification was erroneous when
submitted or has become erroneous by reason of changed
circumstances.
e. The terms "covered transaction," "debarred,"
"suspended," "ineligible," "participant," "person," "principal,"
and "voluntarily excluded," as used in this clause, are defined
in 2 CFR Parts 180 and 1200. "First Tier Covered
Transactions" refers to any covered transaction between a
grantee or subgrantee of Federal funds and a participant (such
as the prime or general contract). "Lower Tier Covered
Transactions" refers to any covered transaction under a First
Tier Covered Transaction (such as subcontracts). "First Tier
Participant" refers to the participant who has entered into a
covered transaction with a grantee or subgrantee of Federal
funds (such as the prime or general contractor). "Lower Tier
Participant" refers any participant who has entered into a
covered transaction with a First Tier Participant or other Lower
Tier Participants (such as subcontractors and suppliers).
f. The prospective first tier participant agrees by submitting
this proposal that, should the proposed covered transaction be
entered into, it shall not knowingly enter into any lower tier
covered transaction with a person who is debarred,
suspended, declared ineligible, or voluntarily excluded from
participation in this covered transaction, unless authorized by
the department or agency entering into this transaction.
g. The prospective first tier participant further agrees by
submitting this proposal that it will include the clause titled
"Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion -Lower Tier Covered Transactions,"
provided by the department or contracting agency, entering
into this covered transaction, without modification, in all lower
tier covered transactions and in all solicitations for lower tier
covered transactions exceeding the $25,000 threshold.
h. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that is not debarred, suspended, ineligible, or
voluntarily excluded from the covered transaction, unless it
knows that the certification is erroneous. A participant is
responsible for ensuring that its principals are not suspended,
debarred, or otherwise ineligible to participate in covered
transactions. To verify the eligibility of its principals, as well as
the eligibility of any lower tier prospective participants, each
participant may, but is not required to, check the Excluded
Parties List System website (httos://www.eols.aov�, which is
compiled by the General Services Administration.
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
i. Nothing contained in the foregoing shall be construed to
require the establishment of a system of records in order to
render in good faith the certification required by this clause.
The knowledge and information of the prospective participant
is not required to exceed that which is normally possessed by
a prudent person in the ordinary course of business dealings.
j. Except for transactions authorized under paragraph (f) of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a
person who is suspended, debarred, ineligible, or voluntarily
excluded from participation in this transaction, in addition to
other remedies available to the Federal Government, the
department or agency may terminate this transaction for cause
or default.
2. Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion — First Tier
Participants:
a. The prospective first tier participant certifies to the best of
its knowledge and belief, that it and its principals:
(1) Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from
participating in covered transactions by any Federal
department or agency;
(2) Have not within a three-year period preceding this
proposal been convicted of or had a civil judgment rendered
against them for commission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or performing
a public (Federal, State or local) transaction or contract under
a public transaction, violation of Federal or State antitrust
statutes or commission of embezzlement, theft, forgery,
bribery, falsification or destruction of records, making false
statements, or receiving stolen property;
(3) Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, State or
local) with commission of any of the offenses enumerated in
paragraph (a)(2) of this certification; and
(4) Have not within a three-year period preceding this
application/proposal had one or more public transactions
(Federal, State or local) terminated for cause or default.
b. Where the prospective participant is unable to certify to
any of the statements in this certification, such prospective
participant shall attach an explanation to this proposal.
2. Instructions for Certification - Lower Tier Participants:
(Applicable to all subcontracts, purchase orders and other
lower tier transactions requiring prior FHWA approval or
estimated to cost $25,000 or more - 2 CFR Parts 180 and
1200)
a. By signing and submitting this proposal, the prospective
lower tier is providing the certification set out below.
b. The certification in this clause is a material representation
of fact upon which reliance was placed when this transaction
was entered into. If it is later determined that the prospective
lower tier participant knowingly rendered an erroneous
certification, in addition to other remedies available to the
Federal Government, the department, or agency with which
Agency: San Luis Obispo
Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
this transaction originated may pursue available remedies,
including suspension and/or debarment.
c. The prospective lower tier participant shall provide
immediate written notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant
learns that its certification was erroneous by reason of
changed circumstances.
d. The terms "covered transaction," "debarred,"
"suspended," "ineligible," "participant," "person," "principal,"
and "voluntarily excluded," as used in this clause, are defined
in 2 CFR Parts 180 and 1200. You may contact the person to
which this proposal is submitted for assistance in obtaining a
copy of those regulations. "First Tier Covered Transactions"
refers to any covered transaction between a grantee or
subgrantee of Federal funds and a participant (such as the
prime or general contract). "Lower Tier Covered Transactions"
refers to any covered transaction under a First Tier Covered
Transaction (such as subcontracts). "First Tier Participant"
refers to the participant who has entered into a covered
transaction with a grantee or subgrantee of Federal funds
(such as the prime or general contractor). "Lower Tier
Participant" refers any participant who has entered into a
covered transaction with a First Tier Participant or other Lower
Tier Participants (such as subcontractors and suppliers).
e. The prospective lower tier participant agrees by
submitting this proposal that, should the proposed covered
transaction be entered into, it shall not knowingly enter into
any lower tier covered transaction with a person who is
debarred, suspended, declared ineligible, or voluntarily
excluded from participation in this covered transaction, unless
authorized by the department or agency with which this
transaction originated.
f. The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause titled
"Certification Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion -Lower Tier Covered Transaction,"
without modification, in all lower tier covered transactions and
in all solicitations for lower tier covered transactions exceeding
the $25,000 threshold.
g. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that is not debarred, suspended, ineligible, or
voluntarily excluded from the covered transaction, unless it
knows that the certification is erroneous. A participant is
responsible for ensuring that its principals are not suspended,
debarred, or otherwise ineligible to participate in covered
transactions. To verify the eligibility of its principals, as well as
the eligibility of any lower tier prospective participants, each
participant may, but is not required to, check the Excluded
Parties List System website (httos:L4mww.eols.aov!), which is
compiled by the General Services Administration.
h. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render
in good faith the certification required by this clause. The
knowledge and information of participant is not required to
exceed that which is normally possessed by a prudent person
in the ordinary course of business dealings.
i. Except for transactions authorized under paragraph a of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a
person who is suspended, debarred, ineligible, or voluntarily
excluded from participation in this transaction, in addition to
other remedies available to the Federal Government, the
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
department or agency with which this transaction originated
may pursue available remedies, including suspension and/or
debarment.
Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion --Lower Tier
Participants:
1. The prospective lower tier participant certifies, by
submission of this proposal, that neither it nor its principals is
presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from participating in
covered transactions by any Federal department or agency.
2. Where the prospective lower tier participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
XI. CERTIFICATION REGARDING USE OF CONTRACT
FUNDS FOR LOBBYING
This provision is applicable to all Federal -aid construction
contracts and to all related subcontracts which exceed
$100,000 (49 CFR 20).
1. The prospective participant certifies, by signing and
submitting this bid or proposal, to the best of his or her
knowledge and belief, that:
a. No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of
any Federal agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of
Congress in connection with the awarding of any Federal
contract, the making of any Federal grant, the making of any
Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or
cooperative agreement.
b. If any funds other than Federal appropriated funds have
been paid or will be paid to any person for influencing or
attempting to influence an officer or employee of any Federal
agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or
cooperative agreement, the undersigned shall complete and
submit Standard Form-LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions.
2. This certification is a material representation of fact upon
which reliance was placed when this transaction was made or
entered into. Submission of this certification is a prerequisite
for making or entering into this transaction imposed by 31
U.S.C. 1352. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
3. The prospective participant also agrees by submitting its
bid or proposal that the participant shall require that the
language of this certification be included in all lower tier
subcontracts, which exceed $100,000 and that all such
recipients shall certify and disclose accordingly.
Agency: San Luis Obispo
Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
STATE OF CALIFORNIA
DEPARTMENT OF TRANSPORTATION
ATTACHM ENT A - EM PLOYM ENT AND MATERIALS
PREFERENCE FOR APPALACHIAN DEVELOPMENT
HIGHWAY SYSTEM OR APPALACHIAN LOCAL ACCESS
ROAD CONTRACTS
This provision is applicable to all Federal -aid projects funded
under the Appalachian Regional Development Act of 1965.
1. During the performance of this contract, the contractor
undertaking to do work which is, or reasonably may be, done
as on -site work, shall give preference to qualified persons who
regularly reside in the labor area as designated by the DOL
wherein the contract work is situated, or the subregion, or the
Appalachian counties of the State wherein the contract work is
situated, except:
a. To the extent that qualified persons regularly residing in
the area are not available.
b. For the reasonable needs of the contractor to employ
supervisory or specially experienced personnel necessary to
assure an efficient execution of the contract work.
c. For the obligation of the contractor to offer employment to
present or former employees as the result of a lawful collective
bargaining contract, provided that the number of nonresident
persons employed under this subparagraph (1c) shall not
exceed 20 percent of the total number of employees employed
by the contractor on the contract work, except as provided in
subparagraph (4) below.
2. The contractor shall place a job order with the State
Employment Service indicating (a) the classifications of the
laborers, mechanics and other employees required to perform
the contract work, (b) the number of employees required in
each classification, (c) the date on which the participant
estimates such employees will be required, and (d) any other
pertinent information required by the State Employment
Service to complete the job order form. The job order may be
placed with the State Employment Service in writing or by
telephone. If during the course of the contract work, the
information submitted by the contractor in the original job order
is substantially modified, the participant shall promptly notify
the State Employment Service.
3. The contractor shall give full consideration to all qualified
job applicants referred to him by the State Employment
Service. The contractor is not required to grant employment to
any job applicants who, in his opinion, are not qualified to
perform the classification of work required.
4. If, within one week following the placing of a job order by
the contractor with the State Employment Service, the State
Employment Service is unable to refer any qualified job
applicants to the contractor, or less than the number
requested, the State Employment Service will forward a
certificate to the contractor indicating the unavailability of
applicants. Such certificate shall be made a part ofthe
contractor's permanent project records. Upon receipt of this
certificate, the contractor may employ persons who do not
normally reside in the labor area to fill positions covered by the
certificate, notwithstanding the provisions of subparagraph (1 c)
above.
5. The provisions of 23 CFR 633.207(e) allow the
contracting agency to provide a contractual preference for the
use of mineral resource materials native to the Appalachian
region.
Agency: San Luis Obispo
Project: Foothill Blvd
Sheet 1 of 24
December 11, 2020
6. The contractor shall include the provisions of Sections 1
through 4 of this Attachment A in every subcontract for work
which is, or reasonably may be, done as on -site work.