HomeMy WebLinkAbout1.5 Scope of Work (Specials)
SPECIAL PROVISIONS
FOR
CITY OF SAN LUIS OBISPO
Tank Farm Road & Orcutt Road Roundabout
Specification No. 1000164
JUNE 2021
PUBLIC WORKS DEPARTMENT
ENGINEERING DIVISION
919 Palm Street
San Luis Obispo, CA 93401
(805) 781-7200
Tank Farm Road & Orcutt Road Roundabout
Specification No. 1000164
Approval Date: June 1, 2021
<<May 28, 2021>>
<<Signature Date>> May 28, 2021
TABLE OF CONTENTS
NOTICE TO BIDDERS .................................................................................................... A
BID SUBMISSION .................................................................................................................................... A
BID DOCUMENTS ................................................................................................................................... B
PROJECT INFORMATION ...................................................................................................................... C
QUALIFICATIONS ................................................................................................................................... C
AWARD ..................................................................................................................................................... E
ACCOMMODATION ................................................................................................................................. E
BID FORMS .................................................................................................................... E
BID ITEM LIST FOR TANK FARM ROAD & ORCUTT ROAD ROUNDABOUT, SPECIFICATION NO.
1000164 ..................................................................................................................................................... F
LIST OF SUBCONTRACTORS ................................................................................................................. I
PUBLIC CONTRACT CODE SECTION 10285.1 STATEMENT .............................................................. J
PUBLIC CONTRACT CODE SECTION 10162 QUESTIONNAIRE ......................................................... J
PUBLIC CONTRACT CODE SECTION 10232 STATEMENT ................................................................. J
LABOR CODE SECTION 1725.5 STATEMENTS .................................................................................... J
NON-COLLUSION DECLARATION ......................................................................................................... L
BIDDER ACKNOWLEDGEMENTS ......................................................................................................... M
QUALIFICATIONS ................................................................................................................................... N
ATTACH BIDDER'S BOND TO ACCOMPANY BID ............................................................................... O
SPECIAL PROVISIONS .................................................................................................. 1
DIVISION I GENERAL PROVISIONS ....................................................................................................... 1
1 GENERAL ........................................................................................................................................... 1
2 BIDDING ............................................................................................................................................. 2
3 CONTRACT AWARD AND EXECUTION ........................................................................................... 2
4 SCOPE OF WORK ............................................................................................................................. 2
5 CONTROL OF WORK ........................................................................................................................ 2
7 LEGAL RELATIONS AND RESPONSIBILITY TO THE PUBLIC ....................................................... 3
8 PROSECUTION AND PROGRESS ................................................................................................... 3
9 PAYMENT ........................................................................................................................................... 4
DIVISION II GENERAL CONSTRUCTION ............................................................................................... 4
12 TEMPORARY TRAFFIC CONTROL ................................................................................................ 4
13 WATER POLLUTION CONTROL ..................................................................................................... 4
14 ENVIRONMENTAL STEWARDSHIP ............................................................................................... 5
DIVISION III EARTHWORK AND LANDSCAPE ..................................................................................... 6
19 EARTHWORK ................................................................................................................................... 6
20 LANDSCAPE .................................................................................................................................... 7
22 FINISHING ROADWAY .................................................................................................................... 7
DIVISION V SURFACINGS AND PAVEMENTS ...................................................................................... 7
37 BITUMINOUS SEALS ....................................................................................................................... 7
39 ASPHALT CONCRETE .................................................................................................................... 8
DIVISION VI STRUCTURES ..................................................................................................................... 8
47 EARTH RETAINING SYSTEMS ....................................................................................................... 8
51 CONCRETE STRUCTURES ............................................................................................................ 8
52 REINFORCEMENT .......................................................................................................................... 9
DIVISION VII DRAINAGE FACILITIES .................................................................................................... 9
71 EXISTING DRAINAGE FACILITIES ................................................................................................. 9
DIVISION VIII MISCELLANEOUS CONSTRUCTION .............................................................................. 9
73 CONCRETE CURBS AND SIDEWALKS ......................................................................................... 9
77 LOCAL INFRASTRUCTURE ............................................................................................................ 9
80 FENCES ......................................................................................................................................... 10
DIVISION IX TRAFFIC CONTROL DEVICES ........................................................................................ 10
82 SIGNS AND MARKERS ................................................................................................................. 10
83 RAILINGS AND BARRIERS ........................................................................................................... 10
84 MARKINGS ..................................................................................................................................... 10
DIVISION XIII APPENDICES .................................................................................................................. 11
APPENDIX A - FORM OF AGREEMENT ....................................................................... 1
APPENDIX B – JURISDICTIONAL PERMITS ................................................................ 4
BID FORMS
A
NOTICE TO BIDDERS
BID SUBMISSION
Sealed bids will be mailed to the following address: City of San Luis Obispo Public Works
Department, 919 Palm Street, San Luis Obispo, CA 93401, Attn: Jennifer Rice.
Bids delivered in person will not be accepted. All mailed bids must be delivered and in
possession of the Project Manager by
2:00 PM on JULY 1, 2021
at which time bids will be publicly opened and read aloud via Microsoft Teams video
conference and conference call. In-person attendance of the bid opening will not be
permitted in adherence to social distancing measures. Use the following link:
https://teams.microsoft.com/l/meetup-
join/19%3ameeting_NTgyZGE5M2EtOTIxMi00MDMzLTg2NGMtODI3NzkxMGI5ZDYx%
40thread.v2/0?context=%7b%22Tid%22%3a%22a78b182d-94e4-4507-a9a9-
330dcb148164%22%2c%22Oid%22%3a%22a8add278-38fa-47c3-8727-
acd5a57b58ec%22%7d
Or join by phone with this number: 1 (209) 645-4165with Conference ID number: 246 903
531
Submit bid in a sealed envelope plainly marked:
Tank Farm Road & Orcutt Road Roundabout, Specification No. 1000164
Any bid received after the time and date specified will not be considered and will be
returned to the bidder unopened. Bids received by Fax or Email will not be considered.
By submission of bid you agree to comply with all instruction and requirements in this
notice and the contract documents.
All bids must be submitted on the Bid Item List form(s) provided and submitted with all
other Bid Forms included in these Special Provisions.
Each bid must be accompanied by either a:
1. certified check
2. cashier's check
3. bidder's bond
made payable to the City of San Luis Obispo for an amount equal to ten percent of the
bid amount as a guaranty. Guaranty will be forfeited to the City San Luis Obispo if the
bidder, to whom the contract is awarded, fails to enter into the contract.
BID FORMS
BID FORMS
B
The City of San Luis Obispo reserves the right to accept or reject any or all bids or waive
any informality in a bid.
All bids are to be compared based on the City Engineer's estimate of the quantities of
work to be done, as shown on the Bid Item List.
Bids will only be accepted from bidders that are licensed in compliance with the provisions
of Chapter 9, Division III of Business and Professions Code.
The award of the contract, if awarded, will be to the lowest responsive bid submitted by a
responsible contractor whose bid complies with the requirements prescribed. If the
contract is awarded, the contract will be awarded within 60 calendar days after the
opening of the bids.
Failure to raise defects in the notice to bidders or bid forms prior to bid opening constitute
a waiver of those defects.
BID DOCUMENTS
A copy of the plans and special provisions may be downloaded, free of charge, from the
City’s website at:
www.slocity.org/government/department-directory/public-works/public-works-bids-
proposals
A printed copy may be obtained at the office of the City Engineer by paying a non-
refundable fee of:
1. $85.00 if picked up in person, or
2. $115.00 if by mailing to the office of the City Engineer
Request must include Specification Number. The office of the City Engineer is located at:
919 Palm Street
San Luis Obispo, CA 93401
Standard Specifications and Engineering Standards referenced in the Special Provisions
may be downloaded, free of charge, from the City’s website at:
www.slocity.org/government/department-directory/public-works/documents-
online/construction-documents
A printed copy may be obtained by paying a non-refundable fee of:
1. $30.00 if picked up in person, or
2. $40.00 if by mailing to the office of the City Engineer
You are responsible to obtain all issued addenda prior to bid opening. Addenda will be
available to download at the City’s website listed above or at the office of the City
Engineer.
BID FORMS
BID FORMS
C
Contact the project manager, Jennifer Rice at (805) 781-7058 or the Public Works
Department at (805) 781-7200 prior to bid opening to verify the number of addenda
issued.
You are responsible to verify your contact information is correct on the plan holders list
located on the City’s website at:
www.slocity.org/government/department-directory/public-works/public-works-bids-
proposals.
PROJECT INFORMATION
In general the project is to construct a four-leg, single-lane roundabout at the intersection
of Tank Farm Road and Orcutt Road. Improvements include, but are not limited to, basin
construction, culvert modifications, roadway excavation and paving, sidewalk, drainage
improvements, lighting, and landscaping.
The project estimated construction cost is $3,045,096
Contract time is established as 165 working days.
The fixed liquidated damages amount is established at $3,000 per day for failure to
complete the work within the contract time.
In compliance with section 1773 of the Labor Code, the State of California Department of
Industrial Relations has established prevailing hourly wage rates for each type of
workman. Current wage rates may be obtained from the Division of Labor at:
https://www.dir.ca.gov/oprl/DPreWageDetermination.htm
This project is subject to compliance monitoring and enforcement by the Department of
Industrial Relations.
QUALIFICATIONS
You must possess a valid Class A Contractor's License at the time of the bid opening.
You and any subcontractors required to pay prevailing wage must be registered
with the Department of Industrial Relations pursuant to Section 1725.5 of the Labor
Code.
You must have experience constructing projects similar to the work specified for this
project. Provide three similar reference projects completed as either the prime or
subcontractor. All referenced projects must have been completed within the last five years
from this project’s bid opening date.
BID FORMS
BID FORMS
D
One of the three reference projects must have been completed under contract with
a city, county, state or federal government agency as the prime contractor.
All of the referenced projects must be for roadway construction or reconstruction.
At least one of the referenced projects must include a minimum paving tonnage of
1000.
At least one of the referenced projects must include installation of minimum 1500’
of water, sewer or storm drain facilities.
Failure to provide reference projects as specified in this section and as required on the
qualification form is cause to reject a bid as being non-responsive.
The City reserves the right to reject any bid based on non-responsiveness if a bidder fails
to provide a bid that complies with all bidding instructions.
The City reserves the right to reject a responsive bid based on the non-responsibility of
the bidder if the Director of Public Works or Designee finds, after providing notice and a
hearing to the bidder, that the bidder lacks the
1. knowledge
2. experience,
3. or is otherwise not responsible
as defined in Section 3.24 of the San Luis Obispo Municipal Code to complete the project
in the best interest of the City.
Rejected bidders may appeal this determination. Appeal must comply with the
requirements in this Notice to Bidders.
It is the City of San Luis Obispo’s intent to award the contract to the lowest responsive
bid submitted by a responsible bidder. If in the bidder’s opinion the contract has been or
may be improperly awarded, the bidder may protest the contract award.
Protests must be filed no later than five working days after either:
1. bid opening date
2. notification of rejected bid.
Protest must be in writing and received by the project manager located at:
919 Palm Street
San Luis Obispo, CA 93401.
Valid protests must contain the following information:
1. the reasons for the protest
2. any supporting documentation
3. the ruling expected by the City to remedy the protest.
Any protest not containing all required information will be deemed invalid and rejected.
BID FORMS
BID FORMS
E
The City will consider additional documentation or other supporting information regarding
the protest if submitted in compliance to the specified time limits. Anything submitted after
the specified time limit will be rejected and not be considered.
The Director of Public Works or Designee may request additional information to be
submitted within three days of the request, unless otherwise specified, and will notify the
protester of ruling within ten days of determination.
If the protester is not satisfied with ruling, the protester may appeal the ruling to the City
Council in compliance with Chapter 1.20 of the City of San Luis Obispo Municipal Code.
Pursuant to the Public Records Act (Government Code, § 6250, et seq.), the City will
make public records available upon request.
AWARD
The lowest bidder will be determined using the BID TOTAL.
As a condition to executing a contract with the City, two bonds each equal to one hundred
percent of the total contract price are required in compliance with Section 3-1.05 of the
Standard Specifications.
You may substitute securities for moneys withheld under the contract in compliance with
the provisions of the Public Contract Code, Section 10263.
ACCOMMODATION
If any accommodations are needed to participate in the bid process, please contact
Argelia Chang at (805) 781-7200 or by Telecommunications Device for the Deaf at (805)
781-7107. Requests should be made as early as possible in the bidding process to allow
time for accommodation.
BID FORMS
All bid forms must be completed and submitted with your bid. Failure to submit these
forms and required bid bond is cause to reject the bid as nonresponsive. Staple all bid
forms together.
THE UNDERSIGNED, agrees that they have carefully examined: the location of the
proposed work, the plans and specifications and read the accompanying instructions to
bidders
and propose to furnish all: materials and labor
to complete all the required work satisfactorily in compliance with: plans, specifications and
special provisions
for the prices set forth in the bid item list:
BID FORMS
BID FORMS
F
BID ITEM LIST FOR TANK FARM ROAD & ORCUTT ROAD ROUNDABOUT,
SPECIFICATION NO. 1000164
Item
No. SS* Item Description
Unit of
Measure
Estimated
Quantity
Item Price
(in figures)
Total (in
figures)
1 5 Jurisdictional Permits Compliance LS 1
2 8 Progress Schedule (Critial Path Method) LS 1
3 12 Temporary Traffic Control LS 1
4 12 Type III Barricade EA 2
5 12 Channelizer (Surface Mounted) EA 229
6 12 Temporary Traffic Stripe LF 14,157
7 12 Temporary Railing (Type K) LF 2,500
8 12 Alternative Temporary Crash Cushion EA 3
9 12 Construction Area Signs LS 1
10 12 Portable Changeable Message Sign EA 3
11 13 Prepare and Implement Storm Water Pollution
Prevention Plan
LS 1
12 13 Temporary Erosion Control LS 1
13 14 Pre-Construction Surveys (Bird and Monarch
Butterfly)
LS 1
14 15 Adjust Gas Valve to Grade (City Std 6040) EA 2
15 15 Adjust Communication Manhole to Grade (City
Std 9030)
EA 1
16 15 Modify Existing Tank Farm Road Culvert LS 1
17 19 Roadway Excavation (F) CY 5,838
18 19 Basin Excavation CY 5,192
19 19 Structure Backfill (Headwalls) CY 345
20 20 Planting LS 1
21 20 Plant Establishment Work MONTH 12
22 20 Wood Chip Mulch CY 161
23 20 Irrigation LS 1
24 20 Gravel Mulch (1.5" Diameter Gravel) CY 2
25 21 Topsoil Backfill CY 1,300
26 21 Hydroseed SQFT 25,634
27 21 Hydromulch SQFT 30,043
28 21 Imported Biofiltration Soil CY 479
29 21 Erosion Control (Dry Seed) SQFT 4,409
30 21 Rolled Erosion Control Product (blanket) SQFT 8,214
31 21 Compost SQFT 8,214
32 26 Class 3 Aggregate Base CY 427
33 26 Class 2 Aggregate Base CY 3,826
34 37 Slurry Seal (Type II) SQFT 10,123
35 39 Temporary Hot Mix Asphalt (Type A) TON 300
36 39 Hot Mix Asphalt (Type A) TON 2,503
37 39 6" Asphalt Berm (City Std 7120) LF 845
38 51 Structural Concrete - Box Culvert (Orcutt Road
Box Culvert Extension)
CY 15
39 51 Structural Concrete - Wingwall (Orcutt Road
Box Culvert Extension)
CY 15
BID FORMS
BID FORMS
G
40 51 Structural Concrete - Headwall (Orcutt Road
Box Culvert Extension)
CY 2
41 51 Structural Concrete - Retaining Wall (Orcutt
Road Driveway Culvert Modification)
CY 62
42 71 Remove Existing Orcutt Road Culvert Headwall CY 8
43 71 Partial Existing Orcutt Road Box Culvert
Removal
LS 1
44 72 Rock Slope Protection Fabric (Class 8) SQYD 52
45 72 Concreted - Rock Slope Protection (1/4 T,
Method B)
CY 52
46 73 Remove Concrete Curb LF 187
47 73 Remove Concrete Curb & Gutter LF 719
48 73 Remove Concrete Sidewalk (Full Structural
Depth)
SQFT 4,764
49 73 Raised Cobblestone Median (City Std 4940) SQFT 561
50 73 Minor Concrete (City Std 4020 Curb) LF 2,847
51 73 Minor Concrete (Caltrans Type D4 Curb) LF 500
52 73 Minor Concrete (Truck Apron Type 2 Curb) LF 300
53 73 Detectable Warning Surface (City Std 4440) SQFT 425
54 73 Minor Concrete (City Std 4030 Curb & Gutter) LF 1,984
55 73 Minor Concrete (Modified City Std 4030 Curb &
Gutter)
LF 268
56 73 Minor Concrete (Driveway) SQFT 368
57 73 Minor Concrete (Sidewalk) SQFT 14,376
58 73 Minor Concrete (Stamped PCC) SQFT 6,499
59 73 Minor Concrete (Textured Truck Apron / Truck
Blister)
SQFT 3,112
60 75 Beehive Grate EA 1
61 77 Reset Centerline Monuments EA 6
62 77 Clearing and Grubbing LS 1
63 77 Pavement Repair (Surface Restoration) SQYD 113
64 77 Remove Asphalt Berm LF 850
65 77 8" DIP Main (Recycled Water) LF 771
66 77 Relocate 6" Lateral LF 62
67 77 Remove Recycled Water Hydrant, Tee
Connection and Lateral
EA 1
68 77 Abandon Lateral and Blowoff (City Std 6050) EA 3
69 77 Adjust Water Meter EA 3
70 77 Adjust Water Valve to Grade EA 10
71 77 Relocate Fire Hydrant (City Std 6310) EA 1
72 77 Recycled Water Hydrant Assembly (City Std
6315)
LS 1
73 77 Adjust Sewer Manhole to Grade EA 5
74 77 Abandon Sewer Lateral and Cleanout (City Std
6050)
EA 1
75 77 18" HDPE Pipe LF 16
76 77 12" Reinforced Concrete Pipe (Class III) LF 395
77 77 18" Reinforced Concrete Pipe (Class III) LF 241
78 77 12" Concrete Flared End Section EA 1
79 77 18" Concrete Flared End Section EA 1
80 77 4" Perforated Plastic Pipe Underdrain,
Cleanouts, and 45 Degree Wyes
LS 1
BID FORMS
BID FORMS
H
81 77 48" Storm Drain Manhole (City Std 3520) EA 3
82 77 Catch Basin (City Std 3355) EA 5
83 77 Catch Basin with Extended Side Opening (City
Std 3355 & 3360)
EA 2
84 77 Drainage Inlet Marker EA 7
85 77 Utility Area Catch Basin, Medium Duty 24" X
10"
EA 1
86 77 Filterra Offline System LS 1
87 80 Remove Wire Fence LF 1,036
88 80 Rail Fence (Basin) LF 188
89 81 Pavement Marker (Retroreflective) EA 167
90 82 Furnish Single Sheet Aluminum Sign (0.063"-
Unframed)
SQFT 299
91 82 Furnish Single Sheet Aluminum Sign (0.080"-
Unframed)
SQFT 32
92 82 Furnish Single Sheet Aluminum Sign (0.063"-
Framed)
SQFT 16
93 82 Roadside Sign - One Post (City Std 7210) EA 33
94 82 Roadside Sign - Two Post (City Std 7210) EA 4
95 82 Install Sign (Strap and Saddle Bracket Method) EA 6
96 82 Object Marker EA 3
97 82 Relocate Roadside Sign-One Post EA 4
98 82 Remove Roadside Sign EA 9
99 82 Reclaimed Water Sign EA 12
100 83 Midwest Guardrail System LF 90
101 83 Flared Terminal System End Treatment EA 2
102 83 Cable Railing LF 60
103 83 Remove Guardrail LF 246
104 84 6" Thermoplastic Traffic Stripe LF 6,849
105 84 8" Thermoplastic Traffic Stripe LF 50
106 84 Thermoplastic Pavement Marking SQFT 1,528
107 87 Lighting System LS 1
108 87 Flashing Beacon System LS 1
Bid Total $
Company Name:
SS* Refers to section in the Standard Specifications, with modifications in the Special Provisions, that describe
required work.
(F) Final Pay Item per Section 9-1.02A
BID FORMS
BID FORMS
I
LIST OF SUBCONTRACTORS
Pursuant to Section 4100 of the Public Contracts Code and section 2-1.33C of the
standard specifications, the Bidder is required to furnish the following information for each
Subcontractor performing more than 1/2 percent (0.5%) of the total base bid. Do not list
alternative subcontractors for the same work. Subcontracting must not total more than
fifty percent (50%) of the submitted bid except as allowed in section 5-1.13 of the standard
specifications.
For Streets & Highways projects, subcontractors performing less than ten thousand dollars
($10,000) worth of work need not be mentioned. Subcontractors required to pay
prevailing wage, must be registered with the Department of Industrial Relations
pursuant to Labor Code section 1725.5 to be listed.
NOTE: If there are no subcontractors, write “NONE” and submit with bid.
Name Under Which
Subcontractor is Licensed License Number
DIR Public
Works
Registration
Number
Address and Phone
Number of Office, Mill or
Shop
Specific
Description of
Subcontract
% of
Total
Base
Bid
Attach additional sheets as needed.
BID FORMS
BID FORMS
J
PUBLIC CONTRACT CODE SECTION 10285.1 STATEMENT
In compliance with Public Contract Code Section 10285.1 (Chapter 376, Stats. 1985), the
bidder hereby declares under penalty of perjury under the laws of the State of California
that the bidder, or any subcontractor to be engaged by the bidder, has ____, has not
____ been convicted within the preceding three years of any offenses referred to in that
section, including any charge of fraud, bribery, collusion, conspiracy, or any other act in
violation of any state or federal antitrust law in connection with the bidding upon, award
of, or performance of, any public works contract, as defined in Public Contract Code
Section 1101, with any public entity, as defined in Public Contract Code Section 1100,
including the Regents of the University of California or the Trustees of the California State
University. The term "bidder" is understood to include any partner, member, officer,
director, responsible managing officer, or responsible managing employee thereof, as
referred to in Section 10285.1.
NOTE: The bidder must place a check mark after "has" or "has not" in one of the blank
spaces provided. The above Statement is part of the Bid. Signing this Bid on the signature
portion constitute signature of this Statement. Bidders are cautioned that making a false
certification may subject the certifier to criminal prosecution.
PUBLIC CONTRACT CODE SECTION 10162 QUESTIONNAIRE
In compliance with Public Contract Code Section 10162, the Bidder must complete, under
penalty of perjury, the following questionnaire:
Has the bidder, any officer of the bidder, or any employee of the bidder who has a
proprietary interest in the bidder, ever been disqualified, removed, or otherwise prevented
from bidding on, or completing a federal, state, or local government project because of a
violation of law or a safety regulation?
Yes No
If the answer is yes, attach a letter explaining the circumstances
PUBLIC CONTRACT CODE SECTION 10232 STATEMENT
In compliance with Public Contract Code Section 10232, you hereby state under penalty of
perjury, that no more than one final unappealable finding of contempt of court by a federal
court has been issued against you within the immediately preceding two-year period
because of your failure to comply with an order of a federal court which orders you to comply
with an order of the National Labor Relations Board.
LABOR CODE SECTION 1725.5 STATEMENTS
The bidder has delinquent liability to an employee or the state for any assessment of back
wages or related damages, interest, fines, or penalties pursuant to any final judgment,
order, or determination by a court or any federal, state, or local administrative agency,
including a confirmed arbitration award. Any judgment, order, or determination that is
under appeal is excluded, provided that the contractor has secured the payment of any
amount eventually found due through a bond or other appropriate means.
BID FORMS
BID FORMS
K
Yes No
The bidder is currently debarred under Section 1777.1 or under any other federal or state
law providing for the debarment of contractors from public works.
Yes No
NOTE: The above Statements and Questionnaire are part of the Bid. Signing this Bid on
the signature portion constitute signature of this Statement and Questionnaire. Bidders are
cautioned that making a false certification may subject the certifier to criminal prosecution.
BID FORMS
BID FORMS
L
NON-COLLUSION DECLARATION
I, , declare that
I am of ,
the party making the foregoing bid that the bid is not made in the interest of, or on behalf
of, any undisclosed person, partnership, company, association, organization, or
corporation; that the bid is genuine and not collusive or sham; that the bidder has not
directly or indirectly induced or solicited any other bidder to put in a false or sham bid, and
has not directly or indirectly colluded, conspired, connived, or agreed with any bidder or
anyone else to put in a sham bid, or that anyone refrained from bidding; that the bidder has
not in any manner, directly or indirectly, sought by agreement, communication, or
conference with anyone to fix the bid price of the bidder or any other bidder, or to fix any
overhead, profit, or cost element of the bid price, or of that of any other bidder, or to secure
any advantage against the public body awarding the contract of anyone interested in the
proposed contract; that all statements contained in the bid are true; and, further, that the
bidder has not, directly or indirectly, submitted his or her bid price or any breakdown thereof,
or the contents thereof, or divulged information or data relative thereto, or paid, and will not
pay, any fee to any corporation, partnership, company association, organization, bid
depository, or to any member or agent thereof to effectuate a collusive or sham bid.
Executed on , 20 , in __
I declare under penalty of perjury under the laws of the State of California that the foregoing
is true and correct.
(Signature and Title of Declarant)
(SEAL)
Subscribed and sworn to before me
this _______day of _________, 20_____
Notary Public
Company Name:____________________
BID FORMS
BID FORMS
M
BIDDER ACKNOWLEDGEMENTS
By signing below, the bidder acknowledges and confirms that this bid is based on the information contained
in all contract documents, including the notice to bidders, plans, specifications, special provisions, and
addendum number(s) . (Note: You are responsible to verify the number of
addenda prior to the bid opening.)
The undersigned further agrees that in case of default in executing the required contract, with necessary
bonds, within eight days, (not including Saturdays, Sundays, and legal holidays), after having received a
mailed notice that the contract is ready for signature, the proceeds of the check or bond accompanying his
bid will become the property of the City of San Luis Obispo.
Licensed in accordance with an act providing for the registration of contractors, License No. , Expiration
Date .
The above statement is made under penalty of perjury, and any bid not containing this information "will be
considered non-responsive and will be rejected” by the City.
Signature of Bidder
(Print Name and Title of Bidder)
DIR– Public Works
Registration No:
Business Name (DBA):
Owner/Legal Name:
Indicate One: Sole-proprietor Partnership Corporation
List Partners/Corporate Officers:
Name Title
Name Title
Name Title
Business Address
Street Address
Mailing Address
City, State, Zip Code
Phone Number
Fax Number
Email Address
Date
BID FORMS
BID FORMS
N
QUALIFICATIONS
Failure to furnish complete reference information ON THIS FORM, as specified in this
project’s Notice to Bidders and indicated below, is cause to reject the bid. Additional
information may be attached but is not a substitute for this form.
Reference Number 1
Customer Name & Contact Individual
Telephone & Email
Project Name (Site Address):
Is this similar to the project being bid
or did this project include roadway
excavation, paving and utility activity?
Yes □ No □
Describe the services provided and how this project is similar to
that which is being bid:
Date project completed:
Was this contract for a public agency?
Yes □ No □
Reference Number 2
Customer Name & Contact Individual
Telephone & Email
Project Name (Site Address):
Is this similar to the project being bid
and did this project include a
minimum paving tonnage of 1,000?
Yes □ No □
Describe the services provided and how this project is similar to
that which is being bid:
Date project completed:
Was this contract for a public agency?
Yes □ No □
Reference Number 3
Customer Name & Contact Individual
Telephone & Email
Project Name (Site Address):
Is this similar to the project being bid
and did this project include installation
of a minimum 500’ water line, sewer
line or storm drain utility? Yes □
No □
Describe the services provided and how this project is similar to
that which is being bid:
Date project completed: Was this contract for a public agency?
Yes □ No □
BID FORMS
BID FORMS
O
ATTACH BIDDER'S BOND TO ACCOMPANY BID
Know all men by these presents:
That we ____________________________________________, AS PRINCIPAL, and
_______________________________________________________, AS SURETY, are held and firmly
bound unto the City of San Luis Obispo in the sum of:
____________________________________________________ Dollars (_____________) to be paid to
said City or its certain attorney, its successors and assigns; for which payment, well and truly to be made, we
bind ourselves, our heirs, executors and administrators, successors or assigns, jointly and severally, firmly by
these presents:
THE CONDITION OF THIS OBLIGATION IS SUCH, that if the certain bid of the above
bounden ______________________________________________________________________
to construct ___________________________________________________________________
(insert name of street and limits to be improved or project)
dated _____________________ is accepted by the City of San Luis Obispo, and if the above
bounden _______________________________________________________, his heirs, executors,
administrators, successors, and assigns shall duly enter into and execute a contract for such construction and
shall execute and deliver the two bonds described within ten (10) days (not including Saturdays, Sundays, or
legal holidays) after the above bounden,
______________________________________________________, has received notice by and from the
said City of San Luis Obispo that said contract is ready for execution, then this obligation shall become null
and void; otherwise, it shall be and remain in full force and virtue.
IN WITNESS WHEREOF, we hereunto set our hands and seals this ___ day of ______, 20____.
Bidder Principal:
Signature Date
Title:
Surety:
Bidder's signature is not required to be notarized. Surety's signature must be notarized.
Equivalent form may be substituted
(Rev. 6-30-14)
SPECIAL PROVISIONS
SPECIAL PROVISIONS
1
SPECIAL PROVISIONS
ORGANIZATION
Special provisions are under headings that correspond with the main section heading of
the Standard Specifications. Each special provision begins with a revision clause that
describes or introduces a revision to the Standard Specifications. Any paragraph added
or deleted by a revision clause does not change the paragraph number of the Standard
Specifications for any other reference to a paragraph of the Standard Specifications.
DIVISION I GENERAL PROVISIONS
1 GENERAL
Add to Section 1-1.01 GENERAL:
The work must be done in compliance with the City of San Luis Obispo, Department of
Public Works:
1. Tank Farm Road & Orcutt Road Roundabout Special Provisions
2. Project Plans
3. City of San Luis Obispo Standard Specifications and Engineering
Standards – 2020 edition
4. City of San Luis Obispo Grading Ordinance, Standard Specifications, and
Details for Public Works Construction where applicable
5. State of California, Department of Transportation (Caltrans) Standard
Specifications and Standard Plans – 2015 edition
6. Standards of the United States Department of Labor, Occupational Safety
and Health Administration, Office of Standards and Rules of the State
Division of Occupational Health and Safety
7. Recommendations of the Project Geotechnical Engineer as noted in the
Project Soils Report
8. The requirements of all permits issued for work by the City of San Luis
Obispo
In case of conflict between documents, governing ranking must comply with section 5-
1.02 of the City of San Luis Obispo’s Standard Specifications.
Failure to comply with the provisions of these sections is a material breach of contract:
1. Sections 5 through 8 of the Standard Specifications
2. Section 12 through 15 of the Standard Specifications
3. Section 77-1 of the Standard Specifications
4. Section 81 of the Standard Specifications
5. authorized working hours
6. OSHA compliance
SPECIAL PROVISIONS
SPECIAL PROVISIONS
2
2 BIDDING
Replace Section 2-1.33A BID DOCUMENT COMPLETION AND SUBMITTAL, General
with:
Furnish bid using blank forms provided in the Special Provisions. Bid must include all
forms and must be signed by the bidder.
3 CONTRACT AWARD AND EXECUTION
Replace first and second paragraphs in Section 3-1.18 CONTRACT EXECUTION
with:
Upon notification of project award, return:
1. executed contract
2. insurance
3. contract bonds
within five business days after the bidder receives the contract.
4 SCOPE OF WORK
Add to Section 4-1.03 WORK DESCRIPTION:
Comply with the provisions of Sections 5, 8, 9, 12-15, 19-22, 26, 37, 39, 47, 51, 71-73,
77, 80-84, 86 and 90 for general, material, construction, and payment specifics.
5 CONTROL OF WORK
Add to Section 5-1.20B(5) Comply with Local, State and Federal Regulations:
The project shall comply with the following jurisdictional permits:
1. Army Corps of Engineers – Nationwide Permit 14
2. California Department of Fish and Wildlife – Lake and Streambed Agreement
Project Application
3. Regional Water Quality Control Board – 401 Certification
Copies of the jurisdictional permits are provided in Appendix B in the Appendices to these
Special Provisions.
Replace Section 5-1.20H RESERVED with:
5-1.20H Payment
Payment for complying with the construction provisions of the jurisdictional permits shall
be based on the contract lump sum (LS) price paid for “Jurisdictional Permits
Compliance”. No additional payment will be made therefor.
SPECIAL PROVISIONS
SPECIAL PROVISIONS
3
7 LEGAL RELATIONS AND RESPONSIBILITY TO THE PUBLIC
Replace last paragraph in Section 7-1.02K(3) LAWS, Labor Code – Certified Payroll
Records (labor code 1776) with:
Furnish the Engineer one Portable Document Format (PDF) file which contains all certified
payroll records for the prior month’s work. Redact the PDF file making the employee’s social
security number illegible. Failure to submit PDF file with other monthly payroll records is
considered an incomplete payroll submission and penalties will be assessed.
Add to Section 7-1.03B PUBLIC CONVENIENCE, Traffic Control Plan
Work hours are restricted to 7:00 a.m. to 4:00 p.m. Monday through Friday during Stage
Construction Stage 1, Stage 2, Stage 3 and Stage 5 upon approval of the Engineer.
Off peak hours are restricted to 9:00 a.m. to 4:00 p.m. and night work only hours are
restricted to 6:00 p.m. to 5:00 a.m. Monday through Friday during Stage Construction
Stage 4 upon approval of the Engineer. If night work, the Contractor will need to obtain
a night work permit from the City
Provide traffic control plan and traffic control application at or before the preconstruction
meeting. Traffic control plan must be drawn to scale. Traffic control application may be
obtained on the City’s website:
www.slocity.org/government/department-directory/public-works/documents-
online/construction-documents
Upon approval of the traffic control plan, the City will issue a no-fee Encroachment Permit.
Permittee is responsible to comply with all conditions of the traffic control plan. Complete
work using due diligence to restore free flowing of traffic.
8 PROSECUTION AND PROGRESS
Replace the first paragraph in Section 8-1.02B SCHEDULE, General with:
This project will require a Level 2 Critical Path Method Schedule.
Add to the end of Section 8-1.02B (4) Payment:
Payment for preparing and submitting baseline, monthly updated, and final updated
progress schedules shall be based on the contract lump sum (LS) price paid for “Progress
Schedule (Critical Path Method)”. No additional payment will be made therefor.
Add to Section 8-1.04B START OF JOB SITE ACTIVITIES, Standard Start:
Contract time will start on the first Monday after preconstruction meeting.
SPECIAL PROVISIONS
SPECIAL PROVISIONS
4
9 PAYMENT
Add to Section 9-1.03 Payment Scope:
Unless otherwise specified, payment for items of work identified in the Bid Item List shall
be as specified in the City of San Luis Obispo Standard Specifications, Caltrans 2015
Standard Specifications, as identified on the Plans and in the project Special Provisions,
and as directed by the Engineer. The contract unit prices paid for each bid item shall
include full compensation for furnishing all labor, materials, tools, equipment, and
incidentals necessary to complete all of the work and no additional payment will be made
therefor.
DIVISION II GENERAL CONSTRUCTION
12 TEMPORARY TRAFFIC CONTROL
Add to the end of Section 12-1.04 PAYMENT:
Unless otherwise specified on the Bid Item List, payment for furnishing, installing and
maintaining temporary traffic control elements is included in the contract lump sum (LS)
price paid for “Temporary Traffic Control” and shall include full compensation for
furnishing all labor, materials, tools, equipment and incidentals, and for doing all the work
in accordance with the Plans, Special Provisions and Specifications, and as directed by
the Engineer. No additional payment will be made therefor.
13 WATER POLLUTION CONTROL
Replace Section 13-3.01, STORM WATER POLLUTION PREVENTION PLAN with:
The project’s area of disturbance will be greater than one acre.
Within 10 days of Contract approval, submit 3 copies of your Storm Water Pollution Plan
(SWPPP) for review. The Engineer provides comments and specifies the date when the
review stopped if revisions are required. Change and resubmit a revised SWPPP within
5 days of receiving the Engineer’s comments. The City’s review resumes when a
complete SWPPP has been resubmitted.
When the Engineer authorizes the SWPPP, submit an electronic copy and 4 printed
copies of the authorized SWPPP. Within 5 days after the Engineer receives the
authorized SWPPP, the City will electronically file a Notice of Intent on the RWQCB Storm
Water Multiple Application and Reporting Tracking System (SMARTS) website and will
pay the associated fee for the submittal. From the date the Notice of Intent is submitted
to the RWQCB, it may take up to 30 days for the RWQCB to issue a WDID number. Do
not begin work until a WDID number has been issued.
If the RWQCB requires review of the authorized SWPPP, the Engineer submits the
authorized SWPPP to the RWQCB for its review and comment. If the Engineer requests
changes to the SWPPP based on the RWQCB’s comments, amend the SWPPP within 5
days.
SPECIAL PROVISIONS
SPECIAL PROVISIONS
5
14 ENVIRONMENTAL STEWARDSHIP
Replace Section 14-12.04 RESERVED with:
14-12.04 ORCUTT AREA SPECIFIC PLAN (SPECIFIC PLAN) REQUIREMENTS
14-12.04A Construction Requirements
Development under the Specific Plan shall abide by the requirements of the City Arborist
for construction. Requirements shall include but not be limited to: the protection of trees
with construction setbacks from trees; construction fencing around trees; grading limits
around the base of trees as required.
14-12.04B Air Quality Requirements
14-12.04B(1) General
Specific Plan applicants shall be required to ensure that all construction equipment and
portable engines are properly maintained and tuned according to manufacturer's
specifications.
Specific Plan applicants shall be required to ensure that off-road and portable diesel
powered equipment, including but not limited to bulldozers, graders, cranes, loaders,
scrapers, backhoes, generator sets, compressors, auxiliary power units, shall be fueled
exclusively with CARB motor vehicle diesel fuel (non-taxed off-road diesel is acceptable).
Specific Plan applicants shall be required to install a diesel oxidation catalyst on each of
the two pieces of equipment projected to generate the greatest emissions.
14-12.04B(2) Dust Control
The following measures shall be implemented to reduce PM10 emissions during all
Specific Plan construction:
1. Reduce the amount of the disturbed area where possible.
2. Use water trucks or sprinkler systems in sufficient quantities to prevent airborne dust
from leaving the site. Water shall be applied as soon as possible whenever wind
speeds exceed 15 miles per hour. Reclaimed (nonpotable) water should be used
whenever possible.
3. All dirt- stock -pile areas shall be sprayed daily as needed.
4. Permanent dust control measures shall be identified in the approved Specific Plan
revegetation and landscape plans and implemented as soon as possible following
completion of any soil disturbing activities.
5. Exposed ground areas that are planned to be reworked at dates greater than one
month after initial grading shall be sown with a fast - germinating native grass seed
and watered until vegetation is established.
SPECIAL PROVISIONS
SPECIAL PROVISIONS
6
6. All disturbed soil areas not subject to revegetation shall be stabilized using approved
chemical soil binders, jute netting, or other methods approved in advance by the
APCD.
7. All roadways, driveways, sidewalks, etc., to be paved shall be completed as soon as
possible. In addition, building pads shall be laid as soon as possible after grading
unless seeding or soil binders are used.
8. Vehicle speed for all construction vehicles shall not exceed 15 mph on any unpaved
surface at the construction site.
9. All trucks hauling dirt, sand, soil or other loose materials shall be covered or shall
maintain at least two feet of freeboard (minimum vertical distance between top of load
and top of trailer) in accordance with CVC Section 23114.
10. Install wheel washers where vehicles enter and exit unpaved roads onto streets, or
wash off trucks and equipment leaving the site.
11. Sweep streets at the end of each day if visible soil material is carried onto adjacent
paved roads. Water sweepers with reclaimed water shall be used where feasible.
14-12.04B(3) Cover Stockpiled Soils
If importation, exportation, or stockpiling of fill material is involved, soil stockpiled for more
than two days shall be covered, kept moist, or treated with soil binders to prevent dust
generation. Trucks transporting material shall be tarped from the point of origin.
14-12.04B(4) Dust Control Monitor
On all projects with an area of disturbance greater than 1 acre, the contractor or builder
shall designate a person or persons to monitor the dust control program and to order
increased watering as necessary to prevent transport of dust off site. Their duties shall
include holiday and weekend periods when work may not be in progress.
14-12.04D Payment
Full compensation for compliance with Specific Plan Requirements is included in the
payment for other bid items unless a bid item of work is shown on the bid list item.
DIVISION III EARTHWORK AND LANDSCAPE
19 EARTHWORK
Add to Section 19-2.03A General:
Subgrade excavations over existing gas facilities must be undertaken with extra caution.
No heavy equipment shall be used for excavation within 2 feet from centerline of gas
facilities. All excavation within two feet of gas facilities must use hand tools only unless
otherwise allowed by the Engineer and utility owner.
Add to Section 19-5.03A General:
Compaction of subgrade within 2 feet from centerline of existing gas facilities must use
vibratory plate compaction equipment unless otherwise allowed by the Engineer and
utility owner.
SPECIAL PROVISIONS
SPECIAL PROVISIONS
7
20 LANDSCAPE
Add to Section 20-2.01D Payment:
Payment for furnishing and installing irrigation system shall be at the lump sum (LS) price
paid for “Irrigation” and shall include full compensation for furnishing all labor, materials,
tools, equipment and incidentals, and for doing all the work in accordance with the Plans,
Special Provisions and Specifications section 20-2, and as directed by the Engineer. No
additional payment will be made therefor.
Payment for furnishing and installing 1-inch grey PVC conduit is included in the lump sum
(LS) price paid for “Irrigation” and shall include full compensation for furnishing all labor,
materials, tools, equipment and incidentals, and for doing all the work in accordance with
the Plans, Special Provisions and Specifications section 20-2, and as directed by the
Engineer. No additional payment will be made therefor.
Replace Section 20-3.02D PAYMENT with:
Payment for furnishing and installing plants shall be at the lump sum (LS) price paid for
“Planting” and shall include full compensation for furnishing all labor, materials, amend,
tools, equipment and incidentals, and for doing all the work in accordance with the Plans,
Special Provisions and Specifications section 20-3, and as directed by the Engineer. No
additional payment will be made therefor.
Replace Section 20-5.03C(4) PAYMENT with:
The payment quantity for gravel mulch is the volume measured in the vehicle at the point of
delivery.
22 FINISHING ROADWAY
Replace “Not Used” in Section 22-1.04 PAYMENT with:
Payment for finishing roadway is included in the various items of work involved and no
separate payment will be made.
DIVISION V SURFACINGS AND PAVEMENTS
37 BITUMINOUS SEALS
Replace the third paragraph in Section 37-303D(4)(b) Slurry Seal with:
The spread rate for slurry seal is be 12 pounds of dry aggregate per square yard. The
completed rate shall be within 10 percent of the spread rate.
Add to the end of Section 37-3.04 PAYMENT:
Payment for furnishing and applying slurry seal (Type II) shall be at the contract unit price
paid per square foot.
SPECIAL PROVISIONS
SPECIAL PROVISIONS
8
39 ASPHALT CONCRETE
Add to Section 39-1.10 Spreading and Compacting Equipment:
When placed directly on subgrade, the first lift of HMA within 2 feet from centerline of
existing gas facilities must be compacted utilizing a plate compactor or other equivalent
lightweight equipment as approved by the Engineer and utility owner.
Replace Section 39-2.01C(9) Miscellaneous Areas and Dikes with:
39-2.01C(9) Miscellaneous Areas, Dikes and Asphalt Berms
Replace first paragraph in Section 39-2.01C(9) Miscellaneous Areas and Dikes
with:
Prepare the area to receive HMA for miscellaneous areas, dikes, and asphalt berms
including excavation and backfill as needed.
Replace "Not Used" in Section 39-2.02D Payment with:
The City does not adjust payment of HMA due to crude oil price index fluctuations.
Payment for tack coat, asphalt binder and asphaltic emulsion is included in the payment
for type of HMA involved and no separate payment will be made.
DIVISION VI STRUCTURES
47 EARTH RETAINING SYSTEMS
Replace the sixth paragraph in Section 47-2.02A MATERIAL, General with:
Rock for rock slope protection at drainpipe outlets must be small-rock slope protection
and must comply with the gradation specified for 7-inch-thick layer in section 72-4.02.
51 CONCRETE STRUCTURES
Add to List in 1st Paragraph, Section 51-1.04 PAYMENT:
5. Box Culvert (Orcutt Road Box Culvert Extension)
6. Wingwall (Orcutt Road Box Culvert Extension)
7. Headwall (Orcutt Road Box Culvert Extension)
8. Retaining Wall (Orcutt Road Driveway Modification)
Replace Section 51-2.02A(4) Payment with:
Payment for furnishing and installing joint sealant identified on the Plans is included in the
payment for “Minor Concrete (Textured Truck Apron/Truck Blister)” and no separate
payment will be made.
SPECIAL PROVISIONS
SPECIAL PROVISIONS
9
52 REINFORCEMENT
Add to Section 52-1.04 PAYMENT:
Payment for furnishing bar reinforcing streel identified on the Plans is included in the
payment for the various bid items and no separate payment will be made.
DIVISION VII DRAINAGE FACILITIES
71 EXISTING DRAINAGE FACILITIES
Replaced “Not Used” in Section 71-1.04 PAYMENT with:
Payment for removing the existing Orcutt Road culvert headwall shall be at the contract unit
price per cubic yard (CY) paid for “Remove Existing Orcutt Road Culvert Headwall” and shall
include full compensation for furnishing all labor, materials, tools, equipment and incidentals,
and for doing all the work in accordance with the Plans, Special Provisions and
Specifications, and as directed by the Engineer. No additional payment will be made
therefor.
Payment for partial removal of the existing Orcutt Road box culvert shall be at the contract
lump sum (LS) price paid for “Partial Orcutt Road Box Culvert Removal” and shall include
full compensation for furnishing all labor, materials, tools, equipment and incidentals, and for
doing all the work in accordance with the Plans, Special Provisions and Specifications, and
as directed by the Engineer. No additional payment will be made therefor.
DIVISION VIII MISCELLANEOUS CONSTRUCTION
73 CONCRETE CURBS AND SIDEWALKS
Add between the first and second paragraphs in Section 73-1.01 GENERAL:
Removal of concrete includes the removal of detectable warning surfaces.
Replace the first sentence in paragraph 6 in Section 73-1.04 PAYMENT with:
Detectable warning surface is paid for as a separate bid item.
77 LOCAL INFRASTRUCTURE
Add to the end of Section 77-4.04 PAYMENT:
Payment for furnishing and installing Filterra Offline drainage systems shall be at the
contract lump sum (LS) price paid for “Filterra Offline System” and shall include full
compensation for furnishing all labor, materials, tools, equipment and incidentals, and for
doing all the work in accordance with the Plans, Special Provisions and Specifications, and
as directed by the Engineer. No additional payment will be made therefor.
SPECIAL PROVISIONS
SPECIAL PROVISIONS
10
80 FENCES
Replace Section 80-15.04 RESERVED with:
80-15.04 Remove Fences
80-15.03A General
Section 80-15.04 includes specifications for removing fences.
80-15.03B Materials
Not Used
80-15.03C Construction
Not Used
80-15.04D Payment
Payment for removing existing wire fence shall be at the contract unit price per linear foot
(LF) paid for “Remove Wire Fence” and shall include full compensation for furnishing all
labor, materials, tools, equipment and incidentals, and for doing all the work in accordance
with the Plans, Special Provisions and Specifications, and as directed by the Engineer. No
additional payment will be made therefor.
DIVISION IX TRAFFIC CONTROL DEVICES
82 SIGNS AND MARKERS
Add to the end of Section 82-3.04 PAYMENT:
Payment for furnishing sign panel is not included in the payment for roadside signs - one
post. Sign post and sleeve shall be per City Std 7210.
Payment for furnishing sign panel is not included in the payment for roadside signs - two
post. Sign post and sleeve shall be per City Std 7210.
83 RAILINGS AND BARRIERS
Replace the first paragraph in Section 83-2.02D PAYMENT with:
The payment quantity for Midwest guardrail systems is the length measured along the
face of the element from end post to end post of the completed railing and includes buried
post anchors. The point of measurement at the end post is the center of the bolt attaching
the rail element to the end post. The payment quantity for flared terminal system end
treatment is based on each terminal system end treatment required.
84 MARKINGS
Add to Section 84.203C Application of Stripes and Markings:
Traffic Striping to be applied shall be per Caltrans Standard Plans 2018.
SPECIAL PROVISIONS
SPECIAL PROVISIONS
11
DIVISION XIII APPENDICES
Appendix A – Form of Agreement
Appendix B – Jurisdictional Permits
B1 – Army Corps of Engineers – Nationwide Permit 14
B2 – California Department of Fish and Wildlife – Lake and Streambed Agreement
Project Application
B3 – Regional Water Quality Control Board – 401 Certification
NOTE: This Appendix will be issued as a Contract Addendum or Contract
Change Order pending date of issuance.
APPENDIX
APPENDIX
1
APPENDIX A - FORM OF AGREEMENT
THIS AGREEMENT, made on _____________, by and between the City of San Luis
Obispo, a municipal corporation and charter city, San Luis Obispo County, California
(hereinafter called the Owner) and COMPANY NAME (hereinafter called the Contractor).
WITNESSETH:
That the Owner and the Contractor for the consideration stated herein agree as follows:
ARTICLE 1, SCOPE OF WORK: The Contractor shall perform everything required to be
performed, shall provide and furnish all of the labor, materials, necessary tools,
expendable equipment, and all utility and transportation services required to complete all
the work of construction of
NAME OF PROJECT, SPEC NO.
in strict compliance with the plans and specifications therefor, including any and all
Addenda, adopted by the Owner, in strict compliance with the Contract Documents
hereinafter enumerated.
It is agreed that said labor, materials, tools, equipment, and services shall be furnished and
said work performed and completed under the direction and supervision and subject to the
approval of the Owner or its authorized representatives.
ARTICLE II, CONTRACT PRICE: The Owner shall pay the Contractor as full consideration
for the faithful performance of this Contract, subject to any additions or deductions as
provided in the Contract Documents, the contract prices as follows:
Item
No.
Item Unit of
Measure
Estimated
Quantity
Item Price
(in figures)
Total
(in figures)
1.
2.
3.
BID TOTAL: $ .00
Payments are to be made to the Contractor in compliance with and subject to the provisions
embodied in the documents made a part of this Contract.
Should any dispute arise respecting the true value of any work omitted, or of any extra work
which the Contractor may be required to do, or respecting the size of any payment to the
Contractor, during the performance of this Contract, said dispute shall be decided by the
Owner and its decision shall be final, and conclusive.
APPENDIX
APPENDIX
2
ARTICLE III, COMPONENT PARTS OF THIS CONTRACT: The Contract consists of the
following documents, all of which are as fully a part thereof as if herein set out in full, and if
not attached, as if hereto attached:
1. Notice to Bidders and Information for Bidders
2. Standard Specifications and Engineering Standards
3. Special Provisions, any Addenda, Plans and Contract Change Orders
4. Caltrans Standard Specifications and Standard Plans 2015
5. Accepted Bid and Bid Bond
6. List of Subcontractors
7. Public Contract Code Sections 10285.1 Statement
8. Public Contract Code Section 10162 Questionnaire
9. Public Contract Code Section 10232 Statement
10. Labor Code Section 1725.5 Statements
11. Bidder Acknowledgements
12. Qualifications
13. Non-collusion Declaration
14. Agreement and Bonds
15. Insurance Requirements and Forms
ARTICLE IV INDEMNIFICATION: The Contractor shall indemnify, defend with legal
counsel approved by City, and hold harmless City, its officers, officials, employees and
volunteers from and against all liability, loss, damage, expense, cost (including without
limitation reasonable legal counsel fees, expert fees and all other costs and fees of
litigation) of every nature arising out of or in connection with the Contractor’s negligence,
recklessness or willful misconduct in the performance of work hereunder or its failure to
comply with any of its obligations contained in this Agreement, except such loss or damage
which is caused by the sole or active negligence or willful misconduct of the City. Should
conflict of interest principles preclude a single legal counsel from representing both the City
and the Contractor, or should the City otherwise find the Contractor’s legal counsel
unacceptable, then the Contractor shall reimburse the City its costs of defense, including
without limitation reasonable legal counsel fees, expert fees and all other costs and fees of
litigation. The Contractor shall promptly pay any final judgment rendered against the City
(and its officers, officials, employees and volunteers) with respect to claims determined by
a trier of fact to have been the result of the Contractor’s negligent, reckless or wrongful
performance. It is expressly understood and agreed that the foregoing provisions are
intended to be as broad and inclusive as is permitted by the law of the State of California
and will survive termination of this Agreement.
The Contractor obligations under this section apply regardless of whether such claim,
charge, damage, demand, action, proceeding, loss, stop notice, cost, expense, judgment,
civil fine or penalty, or liability was caused in part or contributed to by an Indemnitee.
However, without affecting the rights of the City under any provision of this agreement, the
Contractor shall not be required to indemnify and hold harmless the City for liability
attributable to the active negligence of City, provided such active negligence is determined
by agreement between the parties or by the findings of a court of competent jurisdiction. In
APPENDIX
APPENDIX
3
instances where the City is shown to have been actively negligent and where the City’s
active negligence accounts for only a percentage of the liability involved, the obligation of
the Contractor will be for that entire portion or percentage of liability not attributable to the
active negligence of the City.
ARTICLE V. It is further expressly agreed by and between the parties hereto that should
there be any conflict between the terms of this instrument and the bid of said Contractor,
then this instrument shall control and nothing herein shall be considered as an acceptance
of the said terms of said bid conflicting herewith.
IN WITNESS WHEREOF, the parties to these presents have hereunto set their hands this
year and date first above written.
CITY OF SAN LUIS OBISPO
A Municipal Corporation
__________________________________
Derek Johnson, City Manager
APPROVED AS TO FORM CONTRACTOR:
Name of Company
________________________________
By:________________________________
J. Christine Dietrick
City Attorney
Name of CAO/President
Its: CAO/PRESIDENT
(2nd signature required if Corporation):
By:________________________________
Name of Corporate Officer
Its: ____________________
APPENDIX
APPENDIX
4
APPENDIX B – JURISDICTIONAL PERMITS
NATIONWIDE PERMIT 14
Linear Transportation Projects
Effective Date: March 19, 2017
(NWP Final Notice, 82 FR 4 )
14.Linear Transportation Projects. Activities required for crossings of waters of the United
States associated with the construction, expansion, modification, or improvement of linear
transportation projects (e.g., roads, highways, railways, trails, airport runways, and taxiways) in
waters of the United States. For linear transportation projects in non-tidal waters, the discharge
cannot cause the loss of greater than 1/2-acre of waters of the United States. For linear
transportation projects in tidal waters, the discharge cannot cause the loss of greater than 1/3-acre
of waters of the United States. Any stream channel modification, including bank stabilization, is
limited to the minimum necessary to construct or protect the linear transportation project; such
modifications must be in the immediate vicinity of the project.
This NWP also authorizes temporary structures, fills, and work, including the use of
temporary mats, necessary to construct the linear transportation project. Appropriate measures must
be taken to maintain normal downstream flows and minimize flooding to the maximum extent
practicable, when temporary structures, work, and discharges, including cofferdams, are necessary
for construction activities, access fills, or dewatering of construction sites. Temporary fills must
consist of materials, and be placed in a manner, that will not be eroded by expected high flows.
Temporary fills must be removed in their entirety and the affected areas returned to pre-
construction elevations. The areas affected by temporary fills must be revegetated, as appropriate.
This NWP cannot be used to authorize non-linear features commonly associated with
transportation projects, such as vehicle maintenance or storage buildings, parking lots, train
stations, or aircraft hangars.
Notification: The permittee must submit a pre-construction notification to the district
engineer prior to commencing the activity if: (1) the loss of waters of the United States exceeds
1/10-acre; or (2) there is a discharge in a special aquatic site, including wetlands. (See general
condition 32.) (Authorities: Sections 10 and 404)
Note 1: For linear transportation projects crossing a single waterbody more than one time
at separate and distant locations, or multiple waterbodies at separate and distant locations, each
crossing is considered a single and complete project for purposes of NWP authorization. Linear
transportation projects must comply with 33 CFR 330.6(d).
Note 2: Some discharges for the construction of farm roads or forest roads, or temporary
roads for moving mining equipment, may qualify for an exemption under section 404(f) of the
Clean Water Act (see 33 CFR 323.4).
Note 3: For NWP 14 activities that require pre-construction notification, the PCN must
include any other NWP(s), regional general permit(s), or individual permit(s) used or intended to
be used to authorize any part of the proposed project or any related activity, including other
separate and distant crossings that require Department of the Army authorization but do not require
pre-construction notification (see paragraph (b) of general condition 32). The district engineer will
evaluate the PCN in accordance with Section D, “District Engineer’s Decision.” The district
engineer may require mitigation to ensure that the authorized activity results in no more than
minimal individual and cumulative adverse environmental effects (see general condition 23).
Appendix B1 – Army Corps of Engineers – Nationwide Permit 14
Nationwide Permit General Conditions
Note: To qualify for NWP authorization, the prospective permittee must comply with the
following general conditions, as applicable, in addition to any regional or case-specific conditions
imposed by the division engineer or district engineer. Prospective permittees should contact the
appropriate Corps district office to determine if regional conditions have been imposed on an
NWP. Prospective permittees should also contact the appropriate Corps district office to determine
the status of Clean Water Act Section 401 water quality certification and/or Coastal Zone
Management Act consistency for an NWP. Every person who may wish to obtain permit
authorization under one or more NWPs, or who is currently relying on an existing or prior permit
authorization under one or more NWPs, has been and is on notice that all of the provisions of 33
CFR 330.1 through 330.6 apply to every NWP authorization. Note especially 33 CFR 330.5
relating to the modification, suspension, or revocation of any NWP authorization.
1.Navigation. (a) No activity may cause more than a minimal adverse effect on navigation.
(b) Any safety lights and signals prescribed by the U.S. Coast Guard, through regulations or
otherwise, must be installed and maintained at the permittee's expense on authorized facilities in
navigable waters of the United States.
(c)The permittee understands and agrees that, if future operations by the United States
require the removal, relocation, or other alteration, of the structure or work herein authorized, or if,
in the opinion of the Secretary of the Army or his authorized representative, said structure or work
shall cause unreasonable obstruction to the free navigation of the navigable waters, the permittee
will be required, upon due notice from the Corps of Engineers, to remove, relocate, or alter the
structural work or obstructions caused thereby, without expense to the United States. No claim
shall be made against the United States on account of any such removal or alteration.
2.Aquatic Life Movements. No activity may substantially disrupt the necessary life cycle
movements of those species of aquatic life indigenous to the waterbody, including those species
that normally migrate through the area, unless the activity's primary purpose is to impound water.
All permanent and temporary crossings of waterbodies shall be suitably culverted, bridged, or
otherwise designed and constructed to maintain low flows to sustain the movement of those aquatic
species. If a bottomless culvert cannot be used, then the crossing should be designed and
constructed to minimize adverse effects to aquatic life movements.
3.Spawning Areas. Activities in spawning areas during spawning seasons must be avoided
to the maximum extent practicable. Activities that result in the physical destruction (e.g., through
excavation, fill, or downstream smothering by substantial turbidity) of an important spawning area
are not authorized.
4.Migratory Bird Breeding Areas. Activities in waters of the United States that serve as
breeding areas for migratory birds must be avoided to the maximum extent practicable.
5.Shellfish Beds. No activity may occur in areas of concentrated shellfish populations,
unless the activity is directly related to a shellfish harvesting activity authorized by NWPs 4 and
48, or is a shellfish seeding or habitat restoration activity authorized by NWP 27.
6.Suitable Material. No activity may use unsuitable material (e.g., trash, debris, car bodies,
asphalt, etc.). Material used for construction or discharged must be free from toxic pollutants in
toxic amounts (see section 307 of the Clean Water Act).
Appendix B1 – Army Corps of Engineers –
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7.Water Supply Intakes. No activity may occur in the proximity of a public water supply
intake, except where the activity is for the repair or improvement of public water supply intake
structures or adjacent bank stabilization.
8.Adverse Effects From Impoundments. If the activity creates an impoundment of water,
adverse effects to the aquatic system due to accelerating the passage of water, and/or restricting its
flow must be minimized to the maximum extent practicable.
9.Management of Water Flows. To the maximum extent practicable, the pre-construction
course, condition, capacity, and location of open waters must be maintained for each activity,
including stream channelization, storm water management activities, and temporary and permanent
road crossings, except as provided below. The activity must be constructed to withstand expected
high flows. The activity must not restrict or impede the passage of normal or high flows, unless the
primary purpose of the activity is to impound water or manage high flows. The activity may alter
the pre-construction course, condition, capacity, and location of open waters if it benefits the
aquatic environment (e.g., stream restoration or relocation activities).
10.Fills Within 100-Year Floodplains. The activity must comply with applicable FEMA-
approved state or local floodplain management requirements.
11.Equipment. Heavy equipment working in wetlands or mudflats must be placed on mats,
or other measures must be taken to minimize soil disturbance.
12.Soil Erosion and Sediment Controls. Appropriate soil erosion and sediment controls
must be used and maintained in effective operating condition during construction, and all exposed
soil and other fills, as well as any work below the ordinary high water mark or high tide line, must
be permanently stabilized at the earliest practicable date. Permittees are encouraged to perform
work within waters of the United States during periods of low-flow or no-flow, or during low tides.
13.Removal of Temporary Fills. Temporary fills must be removed in their entirety and the
affected areas returned to pre-construction elevations. The affected areas must be revegetated, as
appropriate.
14.Proper Maintenance. Any authorized structure or fill shall be properly maintained,
including maintenance to ensure public safety and compliance with applicable NWP general
conditions, as well as any activity-specific conditions added by the district engineer to an NWP
authorization.
15.Single and Complete Project. The activity must be a single and complete project. The
same NWP cannot be used more than once for the same single and complete project.
16.Wild and Scenic Rivers. (a) No NWP activity may occur in a component of the
National Wild and Scenic River System, or in a river officially designated by Congress as a “study
river” for possible inclusion in the system while the river is in an official study status, unless the
appropriate Federal agency with direct management responsibility for such river, has determined in
writing that the proposed activity will not adversely affect the Wild and Scenic River designation
or study status.
(b)If a proposed NWP activity will occur in a component of the National Wild and Scenic
River System, or in a river officially designated by Congress as a “study river” for possible
Appendix B1 – Army Corps of Engineers –
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inclusion in the system while the river is in an official study status, the permittee must submit a
pre-construction notification (see general condition 32). The district engineer will coordinate the
PCN with the Federal agency with direct management responsibility for that river. The permittee
shall not begin the NWP activity until notified by the district engineer that the Federal agency with
direct management responsibility for that river has determined in writing that the proposed NWP
activity will not adversely affect the Wild and Scenic River designation or study status.
(c)Information on Wild and Scenic Rivers may be obtained from the appropriate Federal
land management agency responsible for the designated Wild and Scenic River or study river (e.g.,
National Park Service, U.S. Forest Service, Bureau of Land Management, U.S. Fish and Wildlife
Service). Information on these rivers is also available at: http://www.rivers.gov/.
17.Tribal Rights. No NWP activity may cause more than minimal adverse effects on tribal
rights (including treaty rights), protected tribal resources, or tribal lands.
18.Endangered Species. (a) No activity is authorized under any NWP which is likely to
directly or indirectly jeopardize the continued existence of a threatened or endangered species or a
species proposed for such designation, as identified under the Federal Endangered Species Act
(ESA), or which will directly or indirectly destroy or adversely modify the critical habitat of such
species. No activity is authorized under any NWP which “may affect” a listed species or critical
habitat, unless ESA section 7 consultation addressing the effects of the proposed activity has been
completed. Direct effects are the immediate effects on listed species and critical habitat caused by
the NWP activity. Indirect effects are those effects on listed species and critical habitat that are
caused by the NWP activity and are later in time, but still are reasonably certain to occur.
(b)Federal agencies should follow their own procedures for complying with the
requirements of the ESA. If pre-construction notification is required for the proposed activity, the
Federal permittee must provide the district engineer with the appropriate documentation to
demonstrate compliance with those requirements. The district engineer will verify that the
appropriate documentation has been submitted. If the appropriate documentation has not been
submitted, additional ESA section 7 consultation may be necessary for the activity and the
respective federal agency would be responsible for fulfilling its obligation under section 7 of the
ESA.
(c) Non-federal permittees must submit a pre-construction notification to the district
engineer if any listed species or designated critical habitat might be affected or is in the vicinity of
the activity, or if the activity is located in designated critical habitat, and shall not begin work on
the activity until notified by the district engineer that the requirements of the ESA have been
satisfied and that the activity is authorized. For activities that might affect Federally-listed
endangered or threatened species or designated critical habitat, the pre-construction notification
must include the name(s) of the endangered or threatened species that might be affected by the
proposed activity or that utilize the designated critical habitat that might be affected by the
proposed activity. The district engineer will determine whether the proposed activity “may affect”
or will have “no effect” to listed species and designated critical habitat and will notify the non-
Federal applicant of the Corps’ determination within 45 days of receipt of a complete pre-
construction notification. In cases where the non-Federal applicant has identified listed species or
critical habitat that might be affected or is in the vicinity of the activity, and has so notified the
Corps, the applicant shall not begin work until the Corps has provided notification that the
proposed activity will have “no effect” on listed species or critical habitat, or until ESA section 7
consultation has been completed. If the non-Federal applicant has not heard back from the Corps
within 45 days, the applicant must still wait for notification from the Corps.
Appendix B1 – Army Corps of Engineers –
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(d) As a result of formal or informal consultation with the FWS or NMFS the district
engineer may add species-specific permit conditions to the NWPs.
(e)Authorization of an activity by an NWP does not authorize the “take” of a threatened or
endangered species as defined under the ESA. In the absence of separate authorization (e.g., an
ESA Section 10 Permit, a Biological Opinion with “incidental take” provisions, etc.) from the FWS
or the NMFS, the Endangered Species Act prohibits any person subject to the jurisdiction of the
United States to take a listed species, where "take" means to harass, harm, pursue, hunt, shoot,
wound, kill, trap, capture, or collect, or to attempt to engage in any such conduct. The word “harm”
in the definition of “take'' means an act which actually kills or injures wildlife. Such an act may
include significant habitat modification or degradation where it actually kills or injures wildlife by
significantly impairing essential behavioral patterns, including breeding, feeding or sheltering.
(f) If the non-federal permittee has a valid ESA section 10(a)(1)(B) incidental take permit
with an approved Habitat Conservation Plan for a project or a group of projects that includes the
proposed NWP activity, the non-federal applicant should provide a copy of that ESA section
10(a)(1)(B) permit with the PCN required by paragraph (c) of this general condition. The district
engineer will coordinate with the agency that issued the ESA section 10(a)(1)(B) permit to
determine whether the proposed NWP activity and the associated incidental take were considered
in the internal ESA section 7 consultation conducted for the ESA section 10(a)(1)(B) permit. If
that coordination results in concurrence from the agency that the proposed NWP activity and the
associated incidental take were considered in the internal ESA section 7 consultation for the ESA
section 10(a)(1)(B) permit, the district engineer does not need to conduct a separate ESA section 7
consultation for the proposed NWP activity. The district engineer will notify the non-federal
applicant within 45 days of receipt of a complete pre-construction notification whether the ESA
section 10(a)(1)(B) permit covers the proposed NWP activity or whether additional ESA section 7
consultation is required.
(g)Information on the location of threatened and endangered species and their critical
habitat can be obtained directly from the offices of the FWS and NMFS or their world wide web
pages at http://www.fws.gov/ or http://www.fws.gov/ipac and
http://www.nmfs.noaa.gov/pr/species/esa/ respectively.
19.Migratory Birds and Bald and Golden Eagles. The permittee is responsible for ensuring
their action complies with the Migratory Bird Treaty Act and the Bald and Golden Eagle Protection
Act. The permittee is responsible for contacting appropriate local office of the U.S. Fish and
Wildlife Service to determine applicable measures to reduce impacts to migratory birds or eagles,
including whether “incidental take” permits are necessary and available under the Migratory Bird
Treaty Act or Bald and Golden Eagle Protection Act for a particular activity.
20.Historic Properties. (a) In cases where the district engineer determines that the activity
may have the potential to cause effects to properties listed, or eligible for listing, in the National
Register of Historic Places, the activity is not authorized, until the requirements of Section 106 of
the National Historic Preservation Act (NHPA) have been satisfied.
(b)Federal permittees should follow their own procedures for complying with the
requirements of section 106 of the National Historic Preservation Act. If pre-construction
notification is required for the proposed NWP activity, the Federal permittee must provide the
district engineer with the appropriate documentation to demonstrate compliance with those
requirements. The district engineer will verify that the appropriate documentation has been
Appendix B1 – Army Corps of Engineers –
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submitted. If the appropriate documentation is not submitted, then additional consultation under
section 106 may be necessary. The respective federal agency is responsible for fulfilling its
obligation to comply with section 106.
(c) Non-federal permittees must submit a pre-construction notification to the district
engineer if the NWP activity might have the potential to cause effects to any historic properties
listed on, determined to be eligible for listing on, or potentially eligible for listing on the National
Register of Historic Places, including previously unidentified properties. For such activities, the
pre-construction notification must state which historic properties might have the potential to be
affected by the proposed NWP activity or include a vicinity map indicating the location of the
historic properties or the potential for the presence of historic properties. Assistance regarding
information on the location of, or potential for, the presence of historic properties can be sought
from the State Historic Preservation Officer, Tribal Historic Preservation Officer, or designated
tribal representative, as appropriate, and the National Register of Historic Places (see 33 CFR
330.4(g)). When reviewing pre-construction notifications, district engineers will comply with the
current procedures for addressing the requirements of section 106 of the National Historic
Preservation Act. The district engineer shall make a reasonable and good faith effort to carry out
appropriate identification efforts, which may include background research, consultation, oral
history interviews, sample field investigation, and field survey. Based on the information
submitted in the PCN and these identification efforts, the district engineer shall determine whether
the proposed NWP activity has the potential to cause effects on the historic properties. Section 106
consultation is not required when the district engineer determines that the activity does not have the
potential to cause effects on historic properties (see 36 CFR 800.3(a)). Section 106 consultation is
required when the district engineer determines that the activity has the potential to cause effects on
historic properties. The district engineer will conduct consultation with consulting parties
identified under 36 CFR 800.2(c) when he or she makes any of the following effect determinations
for the purposes of section 106 of the NHPA: no historic properties affected, no adverse effect, or
adverse effect. Where the non-Federal applicant has identified historic properties on which the
activity might have the potential to cause effects and so notified the Corps, the non-Federal
applicant shall not begin the activity until notified by the district engineer either that the activity
has no potential to cause effects to historic properties or that NHPA section 106 consultation has
been completed.
(d)For non-federal permittees, the district engineer will notify the prospective permittee
within 45 days of receipt of a complete pre-construction notification whether NHPA section 106
consultation is required. If NHPA section 106 consultation is required, the district engineer will
notify the non-Federal applicant that he or she cannot begin the activity until section 106
consultation is completed. If the non-Federal applicant has not heard back from the Corps within
45 days, the applicant must still wait for notification from the Corps.
(e) Prospective permittees should be aware that section 110k of the NHPA (54 U.S.C.
306113) prevents the Corps from granting a permit or other assistance to an applicant who, with
intent to avoid the requirements of section 106 of the NHPA, has intentionally significantly
adversely affected a historic property to which the permit would relate, or having legal power to
prevent it, allowed such significant adverse effect to occur, unless the Corps, after consultation
with the Advisory Council on Historic Preservation (ACHP), determines that circumstances justify
granting such assistance despite the adverse effect created or permitted by the applicant. If
circumstances justify granting the assistance, the Corps is required to notify the ACHP and provide
documentation specifying the circumstances, the degree of damage to the integrity of any historic
properties affected, and proposed mitigation. This documentation must include any views obtained
from the applicant, SHPO/THPO, appropriate Indian tribes if the undertaking occurs on or affects
Appendix B1 – Army Corps of Engineers –
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historic properties on tribal lands or affects properties of interest to those tribes, and other parties
known to have a legitimate interest in the impacts to the permitted activity on historic properties.
21.Discovery of Previously Unknown Remains and Artifacts. If you discover any
previously unknown historic, cultural or archeological remains and artifacts while accomplishing
the activity authorized by this permit, you must immediately notify the district engineer of what
you have found, and to the maximum extent practicable, avoid construction activities that may
affect the remains and artifacts until the required coordination has been completed. The district
engineer will initiate the Federal, Tribal, and state coordination required to determine if the items
or remains warrant a recovery effort or if the site is eligible for listing in the National Register of
Historic Places.
22.Designated Critical Resource Waters. Critical resource waters include, NOAA-managed
marine sanctuaries and marine monuments, and National Estuarine Research Reserves. The district
engineer may designate, after notice and opportunity for public comment, additional waters
officially designated by a state as having particular environmental or ecological significance, such
as outstanding national resource waters or state natural heritage sites. The district engineer may
also designate additional critical resource waters after notice and opportunity for public comment.
(a) Discharges of dredged or fill material into waters of the United States are not authorized
by NWPs 7, 12, 14, 16, 17, 21, 29, 31, 35, 39, 40, 42, 43, 44, 49, 50, 51, and 52 for any activity
within, or directly affecting, critical resource waters, including wetlands adjacent to such waters.
(b)For NWPs 3, 8, 10, 13, 15, 18, 19, 22, 23, 25, 27, 28, 30, 33, 34, 36, 37, 38, and 54,
notification is required in accordance with general condition 32, for any activity proposed in the
designated critical resource waters including wetlands adjacent to those waters. The district
engineer may authorize activities under these NWPs only after it is determined that the impacts to
the critical resource waters will be no more than minimal.
23.Mitigation. The district engineer will consider the following factors when determining
appropriate and practicable mitigation necessary to ensure that the individual and cumulative
adverse environmental effects are no more than minimal:
(a)The activity must be designed and constructed to avoid and minimize adverse effects,
both temporary and permanent, to waters of the United States to the maximum extent practicable at
the project site (i.e., on site).
(b) Mitigation in all its forms (avoiding, minimizing, rectifying, reducing, or compensating
for resource losses) will be required to the extent necessary to ensure that the individual and
cumulative adverse environmental effects are no more than minimal.
(c) Compensatory mitigation at a minimum one-for-one ratio will be required for all
wetland losses that exceed 1/10-acre and require pre-construction notification, unless the district
engineer determines in writing that either some other form of mitigation would be more
environmentally appropriate or the adverse environmental effects of the proposed activity are no
more than minimal, and provides an activity-specific waiver of this requirement. For wetland losses
of 1/10-acre or less that require pre-construction notification, the district engineer may determine
on a case-by-case basis that compensatory mitigation is required to ensure that the activity results
in only minimal adverse environmental effects.
Appendix B1 – Army Corps of Engineers –
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(d) For losses of streams or other open waters that require pre-construction notification, the
district engineer may require compensatory mitigation to ensure that the activity results in no more
than minimal adverse environmental effects. Compensatory mitigation for losses of streams should
be provided, if practicable, through stream rehabilitation, enhancement, or preservation, since
streams are difficult-to-replace resources (see 33 CFR 332.3(e)(3)).
(e) Compensatory mitigation plans for NWP activities in or near streams or other open
waters will normally include a requirement for the restoration or enhancement, maintenance, and
legal protection (e.g., conservation easements) of riparian areas next to open waters. In some cases,
the restoration or maintenance/protection of riparian areas may be the only compensatory
mitigation required. Restored riparian areas should consist of native species. The width of the
required riparian area will address documented water quality or aquatic habitat loss concerns.
Normally, the riparian area will be 25 to 50 feet wide on each side of the stream, but the district
engineer may require slightly wider riparian areas to address documented water quality or habitat
loss concerns. If it is not possible to restore or maintain/protect a riparian area on both sides of a
stream, or if the waterbody is a lake or coastal waters, then restoring or maintaining/protecting a
riparian area along a single bank or shoreline may be sufficient. Where both wetlands and open
waters exist on the project site, the district engineer will determine the appropriate compensatory
mitigation (e.g., riparian areas and/or wetlands compensation) based on what is best for the aquatic
environment on a watershed basis. In cases where riparian areas are determined to be the most
appropriate form of minimization or compensatory mitigation, the district engineer may waive or
reduce the requirement to provide wetland compensatory mitigation for wetland losses.
(f)Compensatory mitigation projects provided to offset losses of aquatic resources must
comply with the applicable provisions of 33 CFR part 332.
(1)The prospective permittee is responsible for proposing an appropriate compensatory
mitigation option if compensatory mitigation is necessary to ensure that the activity results in no
more than minimal adverse environmental effects. For the NWPs, the preferred mechanism for
providing compensatory mitigation is mitigation bank credits or in-lieu fee program credits (see 33
CFR 332.3(b)(2) and (3)). However, if an appropriate number and type of mitigation bank or in-
lieu credits are not available at the time the PCN is submitted to the district engineer, the district
engineer may approve the use of permittee-responsible mitigation.
(2)The amount of compensatory mitigation required by the district engineer must be
sufficient to ensure that the authorized activity results in no more than minimal individual and
cumulative adverse environmental effects (see 33 CFR 330.1(e)(3)). (See also 33 CFR 332.3(f)).
(3)Since the likelihood of success is greater and the impacts to potentially valuable uplands
are reduced, aquatic resource restoration should be the first compensatory mitigation option
considered for permittee-responsible mitigation.
(4)If permittee-responsible mitigation is the proposed option, the prospective permittee is
responsible for submitting a mitigation plan. A conceptual or detailed mitigation plan may be used
by the district engineer to make the decision on the NWP verification request, but a final mitigation
plan that addresses the applicable requirements of 33 CFR 332.4(c)(2) through (14) must be
approved by the district engineer before the permittee begins work in waters of the United States,
unless the district engineer determines that prior approval of the final mitigation plan is not
practicable or not necessary to ensure timely completion of the required compensatory mitigation
(see 33 CFR 332.3(k)(3)).
Appendix B1 – Army Corps of Engineers –
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(5) If mitigation bank or in-lieu fee program credits are the proposed option, the mitigation
plan only needs to address the baseline conditions at the impact site and the number of credits to be
provided.
(6)Compensatory mitigation requirements (e.g., resource type and amount to be provided
as compensatory mitigation, site protection, ecological performance standards, monitoring
requirements) may be addressed through conditions added to the NWP authorization, instead of
components of a compensatory mitigation plan (see 33 CFR 332.4(c)(1)(ii)).
(g)Compensatory mitigation will not be used to increase the acreage losses allowed by the
acreage limits of the NWPs. For example, if an NWP has an acreage limit of 1/2-acre, it cannot be
used to authorize any NWP activity resulting in the loss of greater than 1/2-acre of waters of the
United States, even if compensatory mitigation is provided that replaces or restores some of the lost
waters. However, compensatory mitigation can and should be used, as necessary, to ensure that an
NWP activity already meeting the established acreage limits also satisfies the no more than
minimal impact requirement for the NWPs.
(h)Permittees may propose the use of mitigation banks, in-lieu fee programs, or permittee-
responsible mitigation. When developing a compensatory mitigation proposal, the permittee must
consider appropriate and practicable options consistent with the framework at 33 CFR 332.3(b).
For activities resulting in the loss of marine or estuarine resources, permittee-responsible mitigation
may be environmentally preferable if there are no mitigation banks or in-lieu fee programs in the
area that have marine or estuarine credits available for sale or transfer to the permittee. For
permittee-responsible mitigation, the special conditions of the NWP verification must clearly
indicate the party or parties responsible for the implementation and performance of the
compensatory mitigation project, and, if required, its long-term management.
(i) Where certain functions and services of waters of the United States are permanently
adversely affected by a regulated activity, such as discharges of dredged or fill material into waters
of the United States that will convert a forested or scrub-shrub wetland to a herbaceous wetland in
a permanently maintained utility line right-of-way, mitigation may be required to reduce the
adverse environmental effects of the activity to the no more than minimal level.
24.Safety of Impoundment Structures. To ensure that all impoundment structures are
safely designed, the district engineer may require non-Federal applicants to demonstrate that the
structures comply with established state dam safety criteria or have been designed by qualified
persons. The district engineer may also require documentation that the design has been
independently reviewed by similarly qualified persons, and appropriate modifications made to
ensure safety.
25.Water Quality. Where States and authorized Tribes, or EPA where applicable, have not
previously certified compliance of an NWP with CWA section 401, individual 401 Water Quality
Certification must be obtained or waived (see 33 CFR 330.4(c)). The district engineer or State or
Tribe may require additional water quality management measures to ensure that the authorized
activity does not result in more than minimal degradation of water quality.
26.Coastal Zone Management. In coastal states where an NWP has not previously received
a state coastal zone management consistency concurrence, an individual state coastal zone
management consistency concurrence must be obtained, or a presumption of concurrence must
occur (see 33 CFR 330.4(d)). The district engineer or a State may require additional measures to
ensure that the authorized activity is consistent with state coastal zone management requirements.
Appendix B1 – Army Corps of Engineers –
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27.Regional and Case-By-Case Conditions. The activity must comply with any regional
conditions that may have been added by the Division Engineer (see 33 CFR 330.4(e)) and with any
case specific conditions added by the Corps or by the state, Indian Tribe, or U.S. EPA in its section
401 Water Quality Certification, or by the state in its Coastal Zone Management Act consistency
determination.
28.Use of Multiple Nationwide Permits. The use of more than one NWP for a single and
complete project is prohibited, except when the acreage loss of waters of the United States
authorized by the NWPs does not exceed the acreage limit of the NWP with the highest specified
acreage limit. For example, if a road crossing over tidal waters is constructed under NWP 14, with
associated bank stabilization authorized by NWP 13, the maximum acreage loss of waters of the
United States for the total project cannot exceed 1/3-acre.
29.Transfer of Nationwide Permit Verifications. If the permittee sells the property
associated with a nationwide permit verification, the permittee may transfer the nationwide permit
verification to the new owner by submitting a letter to the appropriate Corps district office to
validate the transfer. A copy of the nationwide permit verification must be attached to the letter,
and the letter must contain the following statement and signature:
“When the structures or work authorized by this nationwide permit are still in existence at
the time the property is transferred, the terms and conditions of this nationwide permit, including
any special conditions, will continue to be binding on the new owner(s) of the property. To validate
the transfer of this nationwide permit and the associated liabilities associated with compliance with
its terms and conditions, have the transferee sign and date below.”
_____________________________________________
(Transferee)
_____________________________________________
(Date)
30.Compliance Certification. Each permittee who receives an NWP verification letter from
the Corps must provide a signed certification documenting completion of the authorized activity
and implementation of any required compensatory mitigation. The success of any required
permittee-responsible mitigation, including the achievement of ecological performance standards,
will be addressed separately by the district engineer. The Corps will provide the permittee the
certification document with the NWP verification letter. The certification document will include:
(a) A statement that the authorized activity was done in accordance with the NWP
authorization, including any general, regional, or activity-specific conditions;
(b) A statement that the implementation of any required compensatory mitigation was
completed in accordance with the permit conditions. If credits from a mitigation bank or in-lieu fee
program are used to satisfy the compensatory mitigation requirements, the certification must
include the documentation required by 33 CFR 332.3(l)(3) to confirm that the permittee secured the
appropriate number and resource type of credits; and
Appendix B1 – Army Corps of Engineers –
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(c) The signature of the permittee certifying the completion of the activity and mitigation.
The completed certification document must be submitted to the district engineer within 30
days of completion of the authorized activity or the implementation of any required compensatory
mitigation, whichever occurs later.
31.Activities Affecting Structures or Works Built by the United States. If an NWP activity
also requires permission from the Corps pursuant to 33 U.S.C. 408 because it will alter or
temporarily or permanently occupy or use a U.S. Army Corps of Engineers (USACE) federally
authorized Civil Works project (a “USACE project”), the prospective permittee must submit a pre-
construction notification. See paragraph (b)(10) of general condition 32. An activity that requires
section 408 permission is not authorized by NWP until the appropriate Corps office issues the
section 408 permission to alter, occupy, or use the USACE project, and the district engineer issues
a written NWP verification.
32.Pre-Construction Notification. (a) Timing. Where required by the terms of the NWP, the
prospective permittee must notify the district engineer by submitting a pre-construction notification
(PCN) as early as possible. The district engineer must determine if the PCN is complete within 30
calendar days of the date of receipt and, if the PCN is determined to be incomplete, notify the
prospective permittee within that 30 day period to request the additional information necessary to
make the PCN complete. The request must specify the information needed to make the PCN
complete. As a general rule, district engineers will request additional information necessary to
make the PCN complete only once. However, if the prospective permittee does not provide all of
the requested information, then the district engineer will notify the prospective permittee that the
PCN is still incomplete and the PCN review process will not commence until all of the requested
information has been received by the district engineer. The prospective permittee shall not begin
the activity until either:
(1) He or she is notified in writing by the district engineer that the activity may proceed
under the NWP with any special conditions imposed by the district or division engineer; or
(2)45 calendar days have passed from the district engineer’s receipt of the complete PCN
and the prospective permittee has not received written notice from the district or division engineer.
However, if the permittee was required to notify the Corps pursuant to general condition 18 that
listed species or critical habitat might be affected or are in the vicinity of the activity, or to notify
the Corps pursuant to general condition 20 that the activity might have the potential to cause effects
to historic properties, the permittee cannot begin the activity until receiving written notification
from the Corps that there is “no effect” on listed species or “no potential to cause effects” on
historic properties, or that any consultation required under Section 7 of the Endangered Species Act
(see 33 CFR 330.4(f)) and/or section 106 of the National Historic Preservation Act (see 33 CFR
330.4(g)) has been completed. Also, work cannot begin under NWPs 21, 49, or 50 until the
permittee has received written approval from the Corps. If the proposed activity requires a written
waiver to exceed specified limits of an NWP, the permittee may not begin the activity until the
district engineer issues the waiver. If the district or division engineer notifies the permittee in
writing that an individual permit is required within 45 calendar days of receipt of a complete PCN,
the permittee cannot begin the activity until an individual permit has been obtained. Subsequently,
the permittee’s right to proceed under the NWP may be modified, suspended, or revoked only in
accordance with the procedure set forth in 33 CFR 330.5(d)(2).
(b)Contents of Pre-Construction Notification: The PCN must be in writing and include the
following information:
Appendix B1 – Army Corps of Engineers –
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(1)Name, address and telephone numbers of the prospective permittee;
(2) Location of the proposed activity;
(3)Identify the specific NWP or NWP(s) the prospective permittee wants to use to
authorize the proposed activity;
(4)A description of the proposed activity; the activity’s purpose; direct and indirect adverse
environmental effects the activity would cause, including the anticipated amount of loss of
wetlands, other special aquatic sites, and other waters expected to result from the NWP activity, in
acres, linear feet, or other appropriate unit of measure; a description of any proposed mitigation
measures intended to reduce the adverse environmental effects caused by the proposed activity; and
any other NWP(s), regional general permit(s), or individual permit(s) used or intended to be used to
authorize any part of the proposed project or any related activity, including other separate and
distant crossings for linear projects that require Department of the Army authorization but do not
require pre-construction notification. The description of the proposed activity and any proposed
mitigation measures should be sufficiently detailed to allow the district engineer to determine that
the adverse environmental effects of the activity will be no more than minimal and to determine the
need for compensatory mitigation or other mitigation measures. For single and complete linear
projects, the PCN must include the quantity of anticipated losses of wetlands, other special aquatic
sites, and other waters for each single and complete crossing of those wetlands, other special
aquatic sites, and other waters. Sketches should be provided when necessary to show that the
activity complies with the terms of the NWP. (Sketches usually clarify the activity and when
provided results in a quicker decision. Sketches should contain sufficient detail to provide an
illustrative description of the proposed activity (e.g., a conceptual plan), but do not need to be
detailed engineering plans);
(5)The PCN must include a delineation of wetlands, other special aquatic sites, and other
waters, such as lakes and ponds, and perennial, intermittent, and ephemeral streams, on the project
site. Wetland delineations must be prepared in accordance with the current method required by the
Corps. The permittee may ask the Corps to delineate the special aquatic sites and other waters on
the project site, but there may be a delay if the Corps does the delineation, especially if the project
site is large or contains many wetlands, other special aquatic sites, and other waters. Furthermore,
the 45 day period will not start until the delineation has been submitted to or completed by the
Corps, as appropriate;
(6)If the proposed activity will result in the loss of greater than 1/10-acre of wetlands and a
PCN is required, the prospective permittee must submit a statement describing how the mitigation
requirement will be satisfied, or explaining why the adverse environmental effects are no more than
minimal and why compensatory mitigation should not be required. As an alternative, the
prospective permittee may submit a conceptual or detailed mitigation plan.
(7)For non-Federal permittees, if any listed species or designated critical habitat might be
affected or is in the vicinity of the activity, or if the activity is located in designated critical habitat,
the PCN must include the name(s) of those endangered or threatened species that might be affected
by the proposed activity or utilize the designated critical habitat that might be affected by the
proposed activity. For NWP activities that require pre-construction notification, Federal permittees
must provide documentation demonstrating compliance with the Endangered Species Act;
Appendix B1 – Army Corps of Engineers –
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(8)For non-Federal permittees, if the NWP activity might have the potential to cause
effects to a historic property listed on, determined to be eligible for listing on, or potentially
eligible for listing on, the National Register of Historic Places, the PCN must state which historic
property might have the potential to be affected by the proposed activity or include a vicinity map
indicating the location of the historic property. For NWP activities that require pre-construction
notification, Federal permittees must provide documentation demonstrating compliance with
section 106 of the National Historic Preservation Act;
(9) For an activity that will occur in a component of the National Wild and Scenic River
System, or in a river officially designated by Congress as a “study river” for possible inclusion in
the system while the river is in an official study status, the PCN must identify the Wild and Scenic
River or the “study river” (see general condition 16); and
(10)For an activity that requires permission from the Corps pursuant to 33 U.S.C. 408
because it will alter or temporarily or permanently occupy or use a U.S. Army Corps of Engineers
federally authorized civil works project, the pre-construction notification must include a statement
confirming that the project proponent has submitted a written request for section 408 permission
from the Corps office having jurisdiction over that USACE project.
(c)Form of Pre-Construction Notification: The standard individual permit application form
(Form ENG 4345) may be used, but the completed application form must clearly indicate that it is
an NWP PCN and must include all of the applicable information required in paragraphs (b)(1)
through (10) of this general condition. A letter containing the required information may also be
used. Applicants may provide electronic files of PCNs and supporting materials if the district
engineer has established tools and procedures for electronic submittals.
(d)Agency Coordination: (1) The district engineer will consider any comments from
Federal and state agencies concerning the proposed activity’s compliance with the terms and
conditions of the NWPs and the need for mitigation to reduce the activity’s adverse environmental
effects so that they are no more than minimal.
(2)Agency coordination is required for: (i) all NWP activities that require pre-construction
notification and result in the loss of greater than 1/2-acre of waters of the United States; (ii) NWP
21, 29, 39, 40, 42, 43, 44, 50, 51, and 52 activities that require pre-construction notification and
will result in the loss of greater than 300 linear feet of stream bed; (iii) NWP 13 activities in excess
of 500 linear feet, fills greater than one cubic yard per running foot, or involve discharges of
dredged or fill material into special aquatic sites; and (iv) NWP 54 activities in excess of 500 linear
feet, or that extend into the waterbody more than 30 feet from the mean low water line in tidal
waters or the ordinary high water mark in the Great Lakes.
(3)When agency coordination is required, the district engineer will immediately provide
(e.g., via e-mail, facsimile transmission, overnight mail, or other expeditious manner) a copy of the
complete PCN to the appropriate Federal or state offices (FWS, state natural resource or water
quality agency, EPA, and, if appropriate, the NMFS). With the exception of NWP 37, these
agencies will have 10 calendar days from the date the material is transmitted to notify the district
engineer via telephone, facsimile transmission, or e-mail that they intend to provide substantive,
site-specific comments. The comments must explain why the agency believes the adverse
environmental effects will be more than minimal. If so contacted by an agency, the district engineer
will wait an additional 15 calendar days before making a decision on the pre-construction
notification. The district engineer will fully consider agency comments received within the
specified time frame concerning the proposed activity’s compliance with the terms and conditions
Appendix B1 – Army Corps of Engineers –
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of the NWPs, including the need for mitigation to ensure the net adverse environmental effects of
the proposed activity are no more than minimal. The district engineer will provide no response to
the resource agency, except as provided below. The district engineer will indicate in the
administrative record associated with each pre-construction notification that the resource agencies’
concerns were considered. For NWP 37, the emergency watershed protection and rehabilitation
activity may proceed immediately in cases where there is an unacceptable hazard to life or a
significant loss of property or economic hardship will occur. The district engineer will consider any
comments received to decide whether the NWP 37 authorization should be modified, suspended, or
revoked in accordance with the procedures at 33 CFR 330.5.
(4)In cases of where the prospective permittee is not a Federal agency, the district engineer
will provide a response to NMFS within 30 calendar days of receipt of any Essential Fish Habitat
conservation recommendations, as required by section 305(b)(4)(B) of the Magnuson-Stevens
Fishery Conservation and Management Act.
(5)Applicants are encouraged to provide the Corps with either electronic files or multiple
copies of pre-construction notifications to expedite agency coordination.
D. District Engineer’s Decision
1. In reviewing the PCN for the proposed activity, the district engineer will determine
whether the activity authorized by the NWP will result in more than minimal individual or
cumulative adverse environmental effects or may be contrary to the public interest. If a project
proponent requests authorization by a specific NWP, the district engineer should issue the NWP
verification for that activity if it meets the terms and conditions of that NWP, unless he or she
determines, after considering mitigation, that the proposed activity will result in more than minimal
individual and cumulative adverse effects on the aquatic environment and other aspects of the
public interest and exercises discretionary authority to require an individual permit for the proposed
activity. For a linear project, this determination will include an evaluation of the individual
crossings of waters of the United States to determine whether they individually satisfy the terms
and conditions of the NWP(s), as well as the cumulative effects caused by all of the crossings
authorized by NWP. If an applicant requests a waiver of the 300 linear foot limit on impacts to
streams or of an otherwise applicable limit, as provided for in NWPs 13, 21, 29, 36, 39, 40, 42, 43,
44, 50, 51, 52, or 54, the district engineer will only grant the waiver upon a written determination
that the NWP activity will result in only minimal individual and cumulative adverse environmental
effects. For those NWPs that have a waivable 300 linear foot limit for losses of intermittent and
ephemeral stream bed and a 1/2-acre limit (i.e., NWPs 21, 29, 39, 40, 42, 43, 44, 50, 51, and 52),
the loss of intermittent and ephemeral stream bed, plus any other losses of jurisdictional waters and
wetlands, cannot exceed 1/2-acre.
2.When making minimal adverse environmental effects determinations the district
engineer will consider the direct and indirect effects caused by the NWP activity. He or she will
also consider the cumulative adverse environmental effects caused by activities authorized by
NWP and whether those cumulative adverse environmental effects are no more than minimal. The
district engineer will also consider site specific factors, such as the environmental setting in the
vicinity of the NWP activity, the type of resource that will be affected by the NWP activity, the
functions provided by the aquatic resources that will be affected by the NWP activity, the degree or
magnitude to which the aquatic resources perform those functions, the extent that aquatic resource
functions will be lost as a result of the NWP activity (e.g., partial or complete loss), the duration of
the adverse effects (temporary or permanent), the importance of the aquatic resource functions to
the region (e.g., watershed or ecoregion), and mitigation required by the district engineer. If an
Appendix B1 – Army Corps of Engineers –
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appropriate functional or condition assessment method is available and practicable to use, that
assessment method may be used by the district engineer to assist in the minimal adverse
environmental effects determination. The district engineer may add case-specific special conditions
to the NWP authorization to address site-specific environmental concerns.
3. If the proposed activity requires a PCN and will result in a loss of greater than 1/10-acre
of wetlands, the prospective permittee should submit a mitigation proposal with the PCN.
Applicants may also propose compensatory mitigation for NWP activities with smaller impacts, or
for impacts to other types of waters (e.g., streams). The district engineer will consider any proposed
compensatory mitigation or other mitigation measures the applicant has included in the proposal in
determining whether the net adverse environmental effects of the proposed activity are no more
than minimal. The compensatory mitigation proposal may be either conceptual or detailed. If the
district engineer determines that the activity complies with the terms and conditions of the NWP
and that the adverse environmental effects are no more than minimal, after considering mitigation,
the district engineer will notify the permittee and include any activity-specific conditions in the
NWP verification the district engineer deems necessary. Conditions for compensatory mitigation
requirements must comply with the appropriate provisions at 33 CFR 332.3(k). The district
engineer must approve the final mitigation plan before the permittee commences work in waters of
the United States, unless the district engineer determines that prior approval of the final mitigation
plan is not practicable or not necessary to ensure timely completion of the required compensatory
mitigation. If the prospective permittee elects to submit a compensatory mitigation plan with the
PCN, the district engineer will expeditiously review the proposed compensatory mitigation plan.
The district engineer must review the proposed compensatory mitigation plan within 45 calendar
days of receiving a complete PCN and determine whether the proposed mitigation would ensure
the NWP activity results in no more than minimal adverse environmental effects. If the net adverse
environmental effects of the NWP activity (after consideration of the mitigation proposal) are
determined by the district engineer to be no more than minimal, the district engineer will provide a
timely written response to the applicant. The response will state that the NWP activity can proceed
under the terms and conditions of the NWP, including any activity-specific conditions added to the
NWP authorization by the district engineer.
4.If the district engineer determines that the adverse environmental effects of the proposed
activity are more than minimal, then the district engineer will notify the applicant either: (a) that
the activity does not qualify for authorization under the NWP and instruct the applicant on the
procedures to seek authorization under an individual permit; (b) that the activity is authorized
under the NWP subject to the applicant’s submission of a mitigation plan that would reduce the
adverse environmental effects so that they are no more than minimal; or (c) that the activity is
authorized under the NWP with specific modifications or conditions. Where the district engineer
determines that mitigation is required to ensure no more than minimal adverse environmental
effects, the activity will be authorized within the 45-day PCN period (unless additional time is
required to comply with general conditions 18, 20, and/or 31, or to evaluate PCNs for activities
authorized by NWPs 21, 49, and 50), with activity-specific conditions that state the mitigation
requirements. The authorization will include the necessary conceptual or detailed mitigation plan or
a requirement that the applicant submit a mitigation plan that would reduce the adverse
environmental effects so that they are no more than minimal. When compensatory mitigation is
required, no work in waters of the United States may occur until the district engineer has approved
a specific mitigation plan or has determined that prior approval of a final mitigation plan is not
practicable or not necessary to ensure timely completion of the required compensatory mitigation.
E. Further Information
Appendix B1 – Army Corps of Engineers –
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1. District Engineers have authority to determine if an activity complies with the terms and
conditions of an NWP.
2. NWPs do not obviate the need to obtain other federal, state, or local permits, approvals,
or authorizations required by law.
3. NWPs do not grant any property rights or exclusive privileges.
4. NWPs do not authorize any injury to the property or rights of others.
5. NWPs do not authorize interference with any existing or proposed Federal project (see
general condition 31).
F. Definitions
Best management practices (BMPs): Policies, practices, procedures, or structures
implemented to mitigate the adverse environmental effects on surface water quality resulting from
development. BMPs are categorized as structural or non-structural.
Compensatory mitigation: The restoration (re-establishment or rehabilitation),
establishment (creation), enhancement, and/or in certain circumstances preservation of aquatic
resources for the purposes of offsetting unavoidable adverse impacts which remain after all
appropriate and practicable avoidance and minimization has been achieved.
Currently serviceable: Useable as is or with some maintenance, but not so degraded as to
essentially require reconstruction.
Direct effects: Effects that are caused by the activity and occur at the same time and place.
Discharge: The term “discharge” means any discharge of dredged or fill material into
waters of the United States.
Ecological reference: A model used to plan and design an aquatic habitat and riparian area
restoration, enhancement, or establishment activity under NWP 27. An ecological reference may
be based on the structure, functions, and dynamics of an aquatic habitat type or a riparian area type
that currently exists in the region where the proposed NWP 27 activity is located. Alternatively, an
ecological reference may be based on a conceptual model for the aquatic habitat type or riparian
area type to be restored, enhanced, or established as a result of the proposed NWP 27 activity. An
ecological reference takes into account the range of variation of the aquatic habitat type or riparian
area type in the region.
Enhancement: The manipulation of the physical, chemical, or biological characteristics of
an aquatic resource to heighten, intensify, or improve a specific aquatic resource function(s).
Enhancement results in the gain of selected aquatic resource function(s), but may also lead to a
decline in other aquatic resource function(s). Enhancement does not result in a gain in aquatic
resource area.
Ephemeral stream: An ephemeral stream has flowing water only during, and for a short
duration after, precipitation events in a typical year. Ephemeral stream beds are located above the
water table year-round. Groundwater is not a source of water for the stream. Runoff from rainfall is
the primary source of water for stream flow.
Appendix B1 – Army Corps of Engineers –
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Establishment (creation): The manipulation of the physical, chemical, or biological
characteristics present to develop an aquatic resource that did not previously exist at an upland site.
Establishment results in a gain in aquatic resource area.
High Tide Line: The line of intersection of the land with the water’s surface at the
maximum height reached by a rising tide. The high tide line may be determined, in the absence of
actual data, by a line of oil or scum along shore objects, a more or less continuous deposit of fine
shell or debris on the foreshore or berm, other physical markings or characteristics, vegetation
lines, tidal gages, or other suitable means that delineate the general height reached by a rising tide.
The line encompasses spring high tides and other high tides that occur with periodic frequency but
does not include storm surges in which there is a departure from the normal or predicted reach of
the tide due to the piling up of water against a coast by strong winds such as those accompanying a
hurricane or other intense storm.
Historic Property: Any prehistoric or historic district, site (including archaeological site),
building, structure, or other object included in, or eligible for inclusion in, the National Register of
Historic Places maintained by the Secretary of the Interior. This term includes artifacts, records,
and remains that are related to and located within such properties. The term includes properties of
traditional religious and cultural importance to an Indian tribe or Native Hawaiian organization and
that meet the National Register criteria (36 CFR part 60).
Independent utility: A test to determine what constitutes a single and complete non-linear
project in the Corps Regulatory Program. A project is considered to have independent utility if it
would be constructed absent the construction of other projects in the project area. Portions of a
multi-phase project that depend upon other phases of the project do not have independent utility.
Phases of a project that would be constructed even if the other phases were not built can be
considered as separate single and complete projects with independent utility.
Indirect effects: Effects that are caused by the activity and are later in time or farther
removed in distance, but are still reasonably foreseeable.
Intermittent stream: An intermittent stream has flowing water during certain times of the
year, when groundwater provides water for stream flow. During dry periods, intermittent streams
may not have flowing water. Runoff from rainfall is a supplemental source of water for stream
flow.
Loss of waters of the United States: Waters of the United States that are permanently
adversely affected by filling, flooding, excavation, or drainage because of the regulated activity.
Permanent adverse effects include permanent discharges of dredged or fill material that change an
aquatic area to dry land, increase the bottom elevation of a waterbody, or change the use of a
waterbody. The acreage of loss of waters of the United States is a threshold measurement of the
impact to jurisdictional waters for determining whether a project may qualify for an NWP; it is not
a net threshold that is calculated after considering compensatory mitigation that may be used to
offset losses of aquatic functions and services. The loss of stream bed includes the acres or linear
feet of stream bed that are filled or excavated as a result of the regulated activity. Waters of the
United States temporarily filled, flooded, excavated, or drained, but restored to pre-construction
contours and elevations after construction, are not included in the measurement of loss of waters of
the United States. Impacts resulting from activities that do not require Department of the Army
authorization, such as activities eligible for exemptions under section 404(f) of the Clean Water
Act, are not considered when calculating the loss of waters of the United States.
Appendix B1 – Army Corps of Engineers –
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Navigable waters: Waters subject to section 10 of the Rivers and Harbors Act of 1899.
These waters are defined at 33 CFR part 329.
Non-tidal wetland: A non-tidal wetland is a wetland that is not subject to the ebb and flow
of tidal waters. Non-tidal wetlands contiguous to tidal waters are located landward of the high tide
line (i.e., spring high tide line).
Open water: For purposes of the NWPs, an open water is any area that in a year with
normal patterns of precipitation has water flowing or standing above ground to the extent that an
ordinary high water mark can be determined. Aquatic vegetation within the area of flowing or
standing water is either non-emergent, sparse, or absent. Vegetated shallows are considered to be
open waters. Examples of “open waters” include rivers, streams, lakes, and ponds.
Ordinary High Water Mark: An ordinary high water mark is a line on the shore established
by the fluctuations of water and indicated by physical characteristics, or by other appropriate means
that consider the characteristics of the surrounding areas.
Perennial stream: A perennial stream has flowing water year-round during a typical year.
The water table is located above the stream bed for most of the year. Groundwater is the primary
source of water for stream flow. Runoff from rainfall is a supplemental source of water for stream
flow.
Practicable: Available and capable of being done after taking into consideration cost,
existing technology, and logistics in light of overall project purposes.
Pre-construction notification: A request submitted by the project proponent to the Corps for
confirmation that a particular activity is authorized by nationwide permit. The request may be a
permit application, letter, or similar document that includes information about the proposed work
and its anticipated environmental effects. Pre-construction notification may be required by the
terms and conditions of a nationwide permit, or by regional conditions. A pre-construction
notification may be voluntarily submitted in cases where pre-construction notification is not
required and the project proponent wants confirmation that the activity is authorized by nationwide
permit.
Preservation: The removal of a threat to, or preventing the decline of, aquatic resources by
an action in or near those aquatic resources. This term includes activities commonly associated
with the protection and maintenance of aquatic resources through the implementation of
appropriate legal and physical mechanisms. Preservation does not result in a gain of aquatic
resource area or functions.
Protected tribal resources: Those natural resources and properties of traditional or
customary religious or cultural importance, either on or off Indian lands, retained by, or reserved
by or for, Indian tribes through treaties, statutes, judicial decisions, or executive orders, including
tribal trust resources.
Re-establishment: The manipulation of the physical, chemical, or biological characteristics
of a site with the goal of returning natural/historic functions to a former aquatic resource. Re-
establishment results in rebuilding a former aquatic resource and results in a gain in aquatic
resource area and functions.
Appendix B1 – Army Corps of Engineers –
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Rehabilitation: The manipulation of the physical, chemical, or biological characteristics of a
site with the goal of repairing natural/historic functions to a degraded aquatic resource.
Rehabilitation results in a gain in aquatic resource function, but does not result in a gain in aquatic
resource area.
Restoration: The manipulation of the physical, chemical, or biological characteristics of a
site with the goal of returning natural/historic functions to a former or degraded aquatic resource.
For the purpose of tracking net gains in aquatic resource area, restoration is divided into two
categories: re-establishment and rehabilitation.
Riffle and pool complex: Riffle and pool complexes are special aquatic sites under the
404(b)(1) Guidelines. Riffle and pool complexes sometimes characterize steep gradient sections of
streams. Such stream sections are recognizable by their hydraulic characteristics. The rapid
movement of water over a course substrate in riffles results in a rough flow, a turbulent surface,
and high dissolved oxygen levels in the water. Pools are deeper areas associated with riffles. A
slower stream velocity, a streaming flow, a smooth surface, and a finer substrate characterize pools.
Riparian areas: Riparian areas are lands next to streams, lakes, and estuarine-marine
shorelines. Riparian areas are transitional between terrestrial and aquatic ecosystems, through
which surface and subsurface hydrology connects riverine, lacustrine, estuarine, and marine waters
with their adjacent wetlands, non-wetland waters, or uplands. Riparian areas provide a variety of
ecological functions and services and help improve or maintain local water quality. (See general
condition 23.)
Shellfish seeding: The placement of shellfish seed and/or suitable substrate to increase
shellfish production. Shellfish seed consists of immature individual shellfish or individual shellfish
attached to shells or shell fragments (i.e., spat on shell). Suitable substrate may consist of shellfish
shells, shell fragments, or other appropriate materials placed into waters for shellfish habitat.
Single and complete linear project: A linear project is a project constructed for the purpose
of getting people, goods, or services from a point of origin to a terminal point, which often involves
multiple crossings of one or more waterbodies at separate and distant locations. The term “single
and complete project” is defined as that portion of the total linear project proposed or accomplished
by one owner/developer or partnership or other association of owners/developers that includes all
crossings of a single water of the United States (i.e., a single waterbody) at a specific location. For
linear projects crossing a single or multiple waterbodies several times at separate and distant
locations, each crossing is considered a single and complete project for purposes of NWP
authorization. However, individual channels in a braided stream or river, or individual arms of a
large, irregularly shaped wetland or lake, etc., are not separate waterbodies, and crossings of such
features cannot be considered separately.
Single and complete non-linear project: For non-linear projects, the term “single and
complete project” is defined at 33 CFR 330.2(i) as the total project proposed or accomplished by
one owner/developer or partnership or other association of owners/developers. A single and
complete non-linear project must have independent utility (see definition of “independent utility”).
Single and complete non-linear projects may not be “piecemealed” to avoid the limits in an NWP
authorization.
Stormwater management: Stormwater management is the mechanism for controlling
stormwater runoff for the purposes of reducing downstream erosion, water quality degradation, and
flooding and mitigating the adverse effects of changes in land use on the aquatic environment.
Appendix B1 – Army Corps of Engineers –
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Stormwater management facilities: Stormwater management facilities are those facilities,
including but not limited to, stormwater retention and detention ponds and best management
practices, which retain water for a period of time to control runoff and/or improve the quality (i.e.,
by reducing the concentration of nutrients, sediments, hazardous substances and other pollutants)
of stormwater runoff.
Stream bed: The substrate of the stream channel between the ordinary high water marks.
The substrate may be bedrock or inorganic particles that range in size from clay to boulders.
Wetlands contiguous to the stream bed, but outside of the ordinary high water marks, are not
considered part of the stream bed.
Stream channelization: The manipulation of a stream’s course, condition, capacity, or
location that causes more than minimal interruption of normal stream processes. A channelized
stream remains a water of the United States.
Structure: An object that is arranged in a definite pattern of organization. Examples of
structures include, without limitation, any pier, boat dock, boat ramp, wharf, dolphin, weir, boom,
breakwater, bulkhead, revetment, riprap, jetty, artificial island, artificial reef, permanent mooring
structure, power transmission line, permanently moored floating vessel, piling, aid to navigation, or
any other manmade obstacle or obstruction.
Tidal wetland: A tidal wetland is a jurisdictional wetland that is inundated by tidal waters.
Tidal waters rise and fall in a predictable and measurable rhythm or cycle due to the gravitational
pulls of the moon and sun. Tidal waters end where the rise and fall of the water surface can no
longer be practically measured in a predictable rhythm due to masking by other waters, wind, or
other effects. Tidal wetlands are located channelward of the high tide line.
Tribal lands: Any lands title to which is either: 1) held in trust by the United States for the
benefit of any Indian tribe or individual; or 2) held by any Indian tribe or individual subject to
restrictions by the United States against alienation.
Tribal rights: Those rights legally accruing to a tribe or tribes by virtue of inherent
sovereign authority, unextinguished aboriginal title, treaty, statute, judicial decisions, executive
order or agreement, and that give rise to legally enforceable remedies.
Vegetated shallows: Vegetated shallows are special aquatic sites under the 404(b)(1)
Guidelines. They are areas that are permanently inundated and under normal circumstances have
rooted aquatic vegetation, such as seagrasses in marine and estuarine systems and a variety of
vascular rooted plants in freshwater systems.
Waterbody: For purposes of the NWPs, a waterbody is a jurisdictional water of the United
States. If a wetland is adjacent to a waterbody determined to be a water of the United States, that
waterbody and any adjacent wetlands are considered together as a single aquatic unit (see 33 CFR
328.4(c)(2)). Examples of “waterbodies” include streams, rivers, lakes, ponds, and wetlands.
ADDITIONAL INFORMATION
This nationwide permit is effective March 19, 2017, and expires on March 18, 2022.
Information about the U.S. Army Corps of Engineers regulatory program, including nationwide permits, may also be
Appendix B1 – Army Corps of Engineers –
Nationwide Permit 14
found at http://www.swf.usace.army.mil/Missions/Regulatory.aspx and
http://www.usace.army.mil/Missions/CivilWorks/RegulatoryProgramandPermits.aspx
Appendix B1 – Army Corps of Engineers –
Nationwide Permit 14
Rincon Consultants, Inc.
1530 Monterey Street, Suite D
San Luis Obispo , California 93405
805 546 0600 OFFICE AND FAX
info@rinconconsultants.com
www.rinconconsultants.com
E n v i r o n m e n t a l S c i e n t i s t s P l a n n e r s E n g i n e e r s
December 30, 2020
Project No: 20-10160
California Department of Fish and Wildlife
Central Region
LSA Program
1234 East Shaw Avenue
Fresno, California 93710
Subject: Notification of Lake or Streambed Alteration for the Orcutt Tank Farm Roundabout
Project in the City of San Luis Obispo, California
Dear LSA Reviewer:
On behalf of the City of San Luis Obispo Department of Public Works (City), Rincon Consultants, Inc.
(Rincon) is submitting a Notification of Lake or Streambed Alteration to the Central Region California
Department of Fish and Wildlife for the Orcutt Tank Farm Roundabout Project (project). The proposed
project includes roadway improvements at the intersection of Orcutt Road and Tank Farm Road through
construction of a roundabout. The roadway improvements will include an extension of an existing
culvert under Orcutt Road, a culvert replacement under a private driveway west of Orcutt Road, and a
culvert modification at Tank Farm Road. The proposed project will permanently impact approximately
0.01 acre (32 linear feet) of CDFW jurisdictional streambed and temporarily impact approximately 0.01
acre (28 linear feet) of CDFW jurisdictional streambed with the implementation of this roadway
improvements project.
The enclosed includes a Notification of Lake or Streambed Alteration and supporting documents for this
project regarding the involved proposed jurisdiction, location of the project site, purpose of the
proposed project, description of construction activities, qualitative and quantitative analyses of the
project's impacts, and proposed measures to avoid, minimize, and mitigate impacts.
The City is concurrently applying for a Clean Water Act Section 401 Water Quality Certification from the
Central Coast Regional Water Quality Control Board. The project also qualifies for use of the Clean
Water Act Section 404 non-notifying Nationwide Permit 14 from the U.S. Army Corps of Engineers.
This notification and the supporting documents provide details of the proposed project’s current
environmental and design information. Please use these materials to process and ultimately issue a
Section 1602 Lake or Streambed Alteration Agreement. Hard copies of this notification and supporting
documents are available upon request. If you have any questions or additional information is needed,
please feel free to contact Carolynn Daman at cdaman@rinconconsultants.com or Kyle Weichert at
kweichert@rinconconsultants.com.
Appendix B2 – CDFW Application
City of San Luis Obispo Department of Public Works
Orcutt Tank Farm Roundabout Project
Page 2
Sincerely,
Rincon Consultants, Inc.
Carolynn Daman Colby J. Boggs, MS
Regulatory Specialist Principal/Senior Ecologist
Attachments
Figure 1 Regional Location
Figure 2 Jurisdictional Water Impacts
Attachment 1 Notification of Lake or Streambed Alteration
Attachment 2a Orcutt Specific Plan EIR Biological Resources Section
Attachment 2b Righetti Ranch Biological Resources Assessment
Attachment 3 Orcutt Tank Farm Roundabout Jurisdictional Delineation
Attachment 4 Orcutt Tank Farm Roundabout Mitigation and Monitoring Plan
Attachment 5 Orcutt Specific Plan Notice of Determination with Filing Fee
Attachment 6 Copy of Section 401 Water Quality Certification Application
Appendix B2 – CDFW Application
City of San Luis Obispo Department of Public Works
Orcutt Tank Farm Roundabout Project
Page 3
Figure 1 Regional Location
Appendix B2 – CDFW Application
City of San Luis Obispo Department of Public Works
Orcutt Tank Farm Roundabout Project
Page 4
Figure 2 Jurisdictional Water Impacts
Appendix B2 – CDFW Application
State of California – Department of Fish and Wildlife
NOTIFICATION OF LAKE OR STREAMBED ALTERATION
FISH AND GAME CODE SECTION 1602
DFW 2023 (REV. 09/01/20) Page 1
FOR DEPARTMENT USE ONLY
Date Received Amount Received Amount Due Date Complete Notification No.
$ $
Assigned to:
NOTIFICATION OF LAKE OR STREAMBED ALTERATION
Complete EACH field, unless otherwise indicated, following the instructions and submit ALL required enclosures,
attachments, and fee(s) to the CDFW regional office that serves the area where the project will occur. Attach
additional pages to notification, if necessary.
1. APPLICANT PROPOSING PROJECT
Name
Business/Agency
Mailing Address
City, State, Zip
Phone Number
Email
2. CONTACT PERSON (Complete only if different from applicant.)
Name
Business/Agency
Mailing Address
City, State, Zip
Phone Number
Email
While an applicant is legally responsible for complying with Fish and Game Code section 1602 et seq., an applicant may
designate and authorize an agent (e.g., lawyer, consultant, or other individual) to act as a Designated Representative.
The Designated Representative is authorized to sign the notification and any agreement on behalf of the Applicant.
Do you authorize the Contact Person above to represent you as your Authorized Designated Representative?
□Yes, I authorize.□No, I do not authorize.
3. PROPERTY OWNER (Complete only if different from applicant)
Name
Mailing Address
City, State, Zip
Phone Number
Email
Appendix B2 – CDFW Application
Jennifer Rice
City of San Luis Obispo, Public Works Department
919 Palm Street
San Luis Obispo, CA 93401-3218
805.781.7058
jrice@slocity.org
Carolynn Daman
Rincon Consultants, Inc.
1530 Monterey Street, Suite D
San Luis Obispo, CA 93401
805.547.0900
cdaman@rinconconsultants.com
State of California – Department of Fish and Wildlife
NOTIFICATION OF LAKE OR STREAMBED ALTERATION
FISH AND GAME CODE SECTION 1602
DFW 2023 (REV. 09/01/20) Page 2
4. PROJECT NAME AND AGREEMENT TERM
A.Project Name
B. Agreement Term Requested
□Regular (5 years or less)
□Long-term (greater than 5 years)
C. Project Term Beginning (year)Ending (year)
D. Seasonal Work Period
Season(s)* Start Date
(month/day)
End Date
(month/day) E. Number of Work Days
1
2
3
4
5
*Continue on additional page(s) if necessary
5. AGREEMENT TYPE
Check the applicable box. If boxes B – F are checked, complete the specified attachment.
A. Standard (Most construction projects, excluding the categories listed below) – Effective September 1, 2020,
notification for Standard Agreements shall be submitted through the EPIMS Permitting Portal.
B. □Gravel/Sand/Rock Extraction (Attachment A) Mine I.D. Number: __________________________
C. □Timber Harvesting (Attachment B) THP Number: ______________________________
D. Water Diversion/Extraction/Impoundment (Attachment C) – Attachment no longer available. Notification shall
be submitted through the EPIMS Permitting Portal.
E. □Routine Maintenance (Attachment D)
F. Cannabis Cultivation (Attachment E) – Attachment no longer available. Notification shall be submitted
through the EPIMS Permitting Portal.
G. □CDFW Grant Programs Agreement Number: ____________________________________
H. □Master
I. □Master Timber Operations
Appendix B2 – CDFW Application
Orcutt Tank Farm Roundabout
2021 2026
June 1 December 1 50
State of California – Department of Fish and Wildlife
NOTIFICATION OF LAKE OR STREAMBED ALTERATION
FISH AND GAME CODE SECTION 1602
DFW 2023 (REV. 09/01/20) Page 3
6.FEES
See the current fee schedule to determine the appropriate notification fee. Itemize each project’s estimated cost and
corresponding fee. Note: CDFW may not process this notification until the correct fee has been received.
A. Project Name B. Project Cost C. Project Fee
1
2
3
4
5
6
7
8
9
10
D. Base Fee (if applicable)
E. TOTAL FEE*
*Check, money order, and Visa or MasterCard (select Environmental Fees from Menu) payments are accepted.
7.PRIOR NOTIFICATION AND ORDERS
A. Has a notification previously been submitted to, or a Lake or Streambed Alteration Agreement previously been issued
by, CDFW for the project described in this notification?
□Yes (Provide the information below)□No
Applicant Notification Number Date
B. Is this notification being submitted in response to a court or administrative order or notice, or a notice of violation
(NOV) issued by CDFW?
□Yes □ No (Enclose a copy of the order, notice, or NOV. If the applicant was directed to notify CDFW verbally
rather than in writing, identify the person who directed the applicant to submit this notification, the
agency he or she represents, and describe the circumstances relating to the order.)
Name of person who directed notification Agency
Describe circumstances relating to order
□Continued on additional page(s)
Appendix B2 – CDFW Application
Culvert Extension 95,000 2,360.25
Culvert Replacement 110,000 3,464.00
5,824.25
State of California – Department of Fish and Wildlife
NOTIFICATION OF LAKE OR STREAMBED ALTERATION
FISH AND GAME CODE SECTION 1602
DFW 2023 (REV. 09/01/20) Page 4
8.PROJECT LOCATION
A. Address or description of project location.
(Include a map that marks the location of the project with a reference to the nearest city or town, and provide drivin g
directions from a major road or highway.)
□Continued on additional page(s)
B. River, stream, or lake affected by the project.
C. What water body is the river, stream, or lake tributary to?
D. Is the river or stream segment affected by the project listed in the
state or federal Wild and Scenic Rivers Acts?□Yes □No □Unknown
E. County
F. USGS 7.5 Minute Quad Map Name G. Township H. Range I. Section J. ¼ Section
□Continued on additional page(s)
K. Meridian (check one)□Humboldt □Mt. Diablo □San Bernardino
L. Assessor’s Parcel Number(s)
□Continued on additional page(s)
M.Geographic coordinates (Provide the latitude and longitude coordinates for the property where the project(s) will take
place. CDFW utilizes decimal degrees and WGS 84 datum. Access Google Maps Help if you need assistance in
finding your coordinates.)
Latitude/Longitude
Latitude: ##.##### Longitude: -###.#####
Latitude: ##.##### Longitude: -###.#####
Latitude: ##.##### Longitude: -###.#####
Latitude: ##.##### Longitude: -###.#####
Latitude: ##.##### Longitude: -###.#####
Appendix B2 – CDFW Application
San Luis Obispo
San Luis Obispo 31S 13E 06
Lopez Mountain 31S 13E 07
004-706-024
35.251846°-120.626513°
35.250847°-120.625738°
35.250359°-120.625380°
35.250280°-120.626754°
35.250552°-120.623117°
The project site is located in the southeast corner of the City of San Luis Obispo, San Luis Obispo
County, California (Figure 1). Specifically, the project site is located at the intersection of Orcutt Road
and Tank Farm Road. The approximately center of the project is located at latitude 35.250409° and
longitude -120.625414° (WGS84).
Unnamed Intermittent Stream
Acacia Creek
State of California – Department of Fish and Wildlife
NOTIFICATION OF LAKE OR STREAMBED ALTERATION
FISH AND GAME CODE SECTION 1602
DFW 2023 (REV. 09/01/20) Page 5
9.PROJECT CATEGORY
WORK TYPE NEW
CONSTRUCTION
REPLACE
EXISTING STRUCTURE
REPAIR-MAINTAIN-OPERATE
EXISTING STRUCTURE
Bank stabilization – bioengineering/recontouring □ □ □
Bank stabilization – rip-rap/retaining wall/gabion □ □ □
Boat dock/pier □ □□
Boat ramp □□□
Bridge □□□
Channel clearing/vegetation management □ □ □
Culvert □□□
Debris basin □ □ □
Dam □□□
Filling of wetland, river, stream, or lake □□□
Geotechnical survey □□□
Habitat enhancement – revegetation/mitigation □ □ □
Levee □□□
Low water crossing □ □ □
Road/trail □□□
Sediment removal: pond, stream, or marina □□□
flood control □□□
Storm drain outfall structure □ □ □
Temporary stream crossing □□□
Utility crossing: horizontal directional drilling □ □ □
jack/bore □ □ □
open trench □ □ □
Water diversion without facility □ □ □
Water diversion with facility □ □ □
Other (specify): □ □ □
Appendix B2 – CDFW Application
State of California – Department of Fish and Wildlife
NOTIFICATION OF LAKE OR STREAMBED ALTERATION
FISH AND GAME CODE SECTION 1602
DFW 2023 (REV. 09/01/20) Page 6
10.PROJECT DESCRIPTION
A.Describe the project in detail. Include photographs of the project location and immediate surrounding area.
- Written description of all project activities with detailed step-by-step description of project implementation.
- Include any structures (e.g., rip-rap, culverts) that will be placed or modified in or near the stream, river, or lake, and
any channel clearing.
- Specify volume, and dimensions of all materials and features (e.g., rip rap fields) that will be used or installed.
- If water will be diverted or drafted, specify the purpose or use and include Attachment C.
- Enclose diagrams, drawings, design plans, construction specifications, and maps that provide all of the following:
site specific construction details; dimensions of each structure and/or extent of each activity in the bed, channel,
bank or floodplain; overview of the entire project area (i.e., “bird’s -eye view”) showing the location of each structure
and/or activity, significant area features, stockpile areas, areas of temporary disturbance, and where the
equipment/machinery will access the project area.
▪A helpful resource to assist in the development of quality PDF maps in Google Earth. See Using Google
Earth to Map your Property (PDF).
□Continued on additional page(s)
B. Specify the equipment and machinery that will be used to complete the project.
□Continued on additional page(s)
C. Will water be present during the proposed work period (specified in box 4.D) in
the stream, river, or lake (specified in box 8.B).□Yes □ No (Skip to box 11)
D. Will the project require work in the wetted portion of
the channel?
□Yes (Enclose a plan to divert water around work site)
□No
Appendix B2 – CDFW Application
Backhoe, dump truck, concrete pump, boom truck, small crane, grader, concrete saw, bull dozer, and
jackhammer
The proposed project will consist of roadway improvements to the intersection of Orcutt Road and Tank Farm Road. Improvements will
include a roundabout, sidewalks, landscaping, a culvert extension, and a bioretention drainage basin. The proposed project will include
a culvert extension under Orcutt Road, a culvert replacement under the residential driveway off of Orcutt Road, and a culvert
modification at Tank Farm Road.
The existing concrete culvert under Orcutt Road will be extended by approximately 20 feet to the west. The existing headwall, wing
walls and footings will be removed and replaced with a concrete box culvert extension and new headwalls and wing walls. The existing
rock slope protection (RSP) will be removed and replaced with the extended concrete culvert and approximately 13 feet of RSP will be
placed beyond the end of new culvert apron for erosion protection.
The existing corrugated culvert pipe under the residential driveway will be removed and replaced with a 60-inch corrugated culvert pipe.
The new 60-inch culvert pipe will be embedded 1-foot and backfilled with 1-foot of native stream gravel for a natural bottom. New
concrete retaining walls will be constructed upstream and downstream of the culvert. No RSP is proposed upstream or downstream of
the culvert.
The culvert modification at Tank Farm will include a bioretention outfall structure connection to the existing box culvert. No fill or impact
will occur to the intermittent stream from this culvert modification.
All work is proposed during the dry season, when surface water will not be present; therefore, no dewatering or diversion plan is
proposed.
State of California – Department of Fish and Wildlife
NOTIFICATION OF LAKE OR STREAMBED ALTERATION
FISH AND GAME CODE SECTION 1602
DFW 2023 (REV. 09/01/20) Page 7
11. PROJECT IMPACTS
A.Describe impacts to the bed, channel, and bank of the river, stream, or lake, and the associated riparian habitat.
Specify the dimensions of the modifications in length (linear feet) and area (square feet or acres) and the type and
volume of material (cubic yards) that will be moved, displaced, or otherwise disturbed, if applicable.
□Continued on additional page(s)
B. Will the project affect any vegetation?□Yes (Complete the tables below) □ No (Include aerial photo with date
supporting this determination)
Vegetation Type Temporary Impact Permanent Impact
Linear feet: _________________
Total area: _________________
Linear feet: _________________
Total area: _________________
Linear feet: _________________
Total area: _________________
Linear feet: _________________
Total area: _________________
Tree Species Number of Trees to be Removed Trunk Diameter (range)
□Continued on additional page(s)
C. Are any special status animal or plant species, or habitat that could support such species, known to be present on or
near the project site?
□Yes (List each species and/or describe the habitat below)□No □Unknown
□Continued on additional page(s)
D. Identify the source(s) of information that supports a “yes” or “no” answer above in Box 11.C.
□Continued on additional page(s)
E. Has a biological study been completed for the project site?
□Yes (Enclose the biological study)□No
Note: A biological assessment or study may be required to evaluate potential project impacts on biological resources.
Appendix B2 – CDFW Application
Marsh sandwort, San Luis mariposa lily, San Luis Obispo sedge, San Luis Obispo owl's clover, Blochman's
dudleya, Jones' layia, adobe sanicle, Cooper's hawk, northern harrier, yellow warbler, and American badger.
The project will impact the streambed and banks of a intermittent stream. Approximately 0.01 acre (32
linear feet) of the intermittent streams will be permanently impacted with the placement of concrete for the
extension of the existing culvert and the placement of RSP. The existing RSP that is approximately 18
square feet (2 linear feet) will be removed and replaced with the culvert structure. Approximately 0.01 acre
(28 linear feet) of intermittent streams will be temporary impacted during construction from implementation
of the RSP and culvert replacement and retaining wall placement.
Orcutt Specific Plan EIR, Section 4.4 Biological Resources Section (Attachment 1)
State of California – Department of Fish and Wildlife
NOTIFICATION OF LAKE OR STREAMBED ALTERATION
FISH AND GAME CODE SECTION 1602
DFW 2023 (REV. 09/01/20) Page 8
F.Has one or more technical studies (e.g., engineering, hydrologic, geological, or geomorphological) been completed for
the project or project site?
□Yes (Enclose the study(ies))□No
Note: One or more technical studies may be required to evaluate potential project impacts to a lake or streambed.
G. Have fish or wildlife resources or waters of the state been mapped or delineated on the project site?
□Yes (Enclose the mapped results)□No
Note: Check “yes” if fish and wildlife resources or waters of the state on the project site have been mapped or
delineated. “’Wildlife’ means and includes all wild animals, birds, plants, fish, amphibians, reptiles and related
ecological communities, including the habitat upon which the wildlife depends.” (Fish & G. Code, § 89.5.) If “yes” is
checked, submit the mapping or delineation. If the mapping or delineation is in digital format (e.g., GIS shape files or
KMZ), you must submit the information in this format for CDFW to deem your notification complete. If “no” is checked,
or the resolution of the mapping or delineation is insufficient, CDFW may request mapping or delineation (in digital or
non-digital format), or higher resolution mapping or delineation for CDFW to deem the notification complete.
12. MEASURES TO PROTECT FISH, WILDIFE, AND PLANT RESOURCES
A.Describe the techniques that will be used to prevent sediment, hazardous, or other deleterious materials from entering
watercourses during and after construction.
□Continued on additional page(s)
B. Describe project avoidance and/or minimization measures to protect fish, wildlife, and plant resources.
□Continued on additional page(s)
C. Describe any project mitigation and/or compensation measures to protect fish, wildlife, and plant resources.
□Continued on additional page(s)
Appendix B2 – CDFW Application
All project personnel will receive training on how to recognize and avoid the special status species that may
occur within or adjacent to the action area. Pre‐construction surveys shall be conducted by a qualified biologist
at the site two weeks prior to any construction activities to ensure no special status species have moved into
the site. To avoid impacts to nesting bird species and raptors, all initial ground‐disturbing activities shall be
limited to the time period between September 15 and February 1. If initial site disturbance and grading cannot
be conducted during this time period, a pre‐construction survey for active nests within the limits of grading
shall be conducted by a qualified biologist at the site two weeks prior to the start of any construction activities.
Erosion control and landscaping specifications shall allow only natural‐fiber, biodegradable meshes
and coir rolls, to prevent impacts to the environment and to terrestrial wildlife.
Compensatory mitigation will be implemented off-site at a minimum ratio of 2:1 to offset unavoidable
permanent impacts to jurisdictional areas. Off-site mitigation will occur within the same watershed,
located 0.5-mile west of the project, approximately 800 feet downstream of the confluence of
Barrandca Creek and Hansen Creek. Approximately 0.02 acre of streambed enhancement is
proposed. A Mitigation and Monitoring Plan has been prepared, see Attachment 3.
State of California – Department of Fish and Wildlife
NOTIFICATION OF LAKE OR STREAMBED ALTERATION
FISH AND GAME CODE SECTION 1602
DFW 2023 (REV. 09/01/20) Page 9
13.PERMITS
List any local, State, and federal permits required for the project and check the corresponding box(es). E nclose a copy of
each permit that has been issued.
A.____________________________________________________________________□Applied □ Issued
B.____________________________________________________________________□Applied □ Issued
C.____________________________________________________________________□Applied □ Issued
D.Unknown whether □ local, □ State, or □ federal permit is needed for the project. (Check each box that applies)
□Continued on additional page(s)
14. ENVIRONMENTAL REVIEW
A.Has a CEQA lead agency been determined?□Yes (Complete boxes B, C, D, E, and F) □ No (Skip to box 14.G)
B. CEQA Lead Agency
C. Contact Person D. Phone Number
E. Has a draft or final document been prepared for the project pursuant to CEQA and/or NEPA?
□Yes (Check the box below for each CEQA or NEPA document that has been prepared and enclose a copy of each.)
□No (Check the box below for each CEQA or NEPA document listed below that will be or is being prepared.)
□Notice of Exemption
□Initial Study
□Negative Declaration
□THP/ NTMP
□Mitigated Negative Declaration
□Environmental Impact Report
□Notice of Determination (Enclose)
□Mitigation, Monitoring, & Reporting Plan
□NEPA document (type):
____________________________________
F.State Clearinghouse Number (if applicable)
G.If the project described in this notification is not the “whole project” or action pursuant to CEQA, briefly describe the
entire project (Cal. Code Regs., tit. 14 § 15378).
□Continued on additional page(s)
Appendix B2 – CDFW Application
USACE NWP 14 Non-reporting
RWQCB 401 Certification
City of San Luis Obispo
Tyler Corey 805.781.7169
2004011059
The project described is the whole project.
State of California – Department of Fish and Wildlife
NOTIFICATION OF LAKE OR STREAMBED ALTERATION
FISH AND GAME CODE SECTION 1602
DFW 2023 (REV. 09/01/20) Page 10
H. Has a CEQA filing fee been paid pursuant to Fish and Game Code section 711.4?
□Yes (Enclose proof of payment)□No (Briefly explain below the reason a CEQA filing fee has not been paid)
Note: The CEQA filing fee is in addition to the notification fee. If a CEQA filing fee is required, the Lake or Streambed
Alteration Agreement may not be finalized until paid.
15. SITE INSPECTION
Check one box only.
□In the event CDFW determines that a site inspection is necessary, I hereby authorize a CDFW representative to
enter the property where the project described in this notification will take place at any reasonable time, and
hereby certify that I am authorized to grant CDFW such entry.
□I request CDFW to first contact (insert name) _______________________________________________ at
(insert phone number or email address) ____________________________________________ to schedule a
date and time to enter the property where the project described in this notification will take place. I understand
that this may delay CDFW’s determination as to whether a Lake or Streambed Alteration Agreement is required
and/or CDFW’s issuance of a draft agreement pursuant to this notification.
16. DIGITAL FORMAT
Is any of the information included as part of the notification available in digital format (i.e., CD, DVD, etc.)?
□Yes (Please enclose the information via digital media with the completed notification form.)
□No
17.SIGNATURE
I hereby certify that to the best of my knowledge the information in this notification is true and correct and that I am
authorized to sign this notification as, or on behalf of, the applicant. I understand that if any info rmation in this
notification is found to be untrue or incorrect, CDFW may suspend processing this notification or suspend or
revoke any draft or final Lake or Streambed Alteration Agreement issued pursuant to this notification. I understand
also that if any information in this notification is found to be untrue or incorrect and the project described in this
notification has already begun, I and/or the applicant may be subject to civil or criminal prosecution. I understand
that this notification applies only to the project(s) described herein and that I and/or the applicant may be subject to
civil or criminal prosecution for undertaking any project not described herein unless CDFW has been separately
notified of that project in accordance with Fish and Game Code section 1602 or 1611.
__________________________________________________________ _____________________________________
Signature of Applicant or Applicant’s Authorized Representative Date
__________________________________________________________
Print Name
Appendix B2 – CDFW Application
See Attachment 5.
Jennifer Rice
Central Coast Regional Water Quality Control Board
June 2, 2021
Jennifer Rice VIA ELECTRONIC MAIL
City of San Luis Obispo
919 Palm Street
San Luis Obispo, CA 93401-3218
Email: jrice@slocity.org
Dear Jennifer Rice:
WATER QUALITY CERTIFICATION NO. 34021WQ02 FOR THE ORCUTT TANK FARM
ROUNDABOUT PROJECT, SAN LUIS OBISPO COUNTY
Thank you for the opportunity to review your January 22, 2021 application for water quality
certification of the Orcutt Tank Farm Roundabout Project (Project). All required materials were
received February 5, 2021. All supplemental information requested was received on May 4,
2021. The project, if implemented as described in your application and with the additional
mitigation and other conditions required by this Clean Water Act Section 401 Water Quality
Certification (Certification), appears to be protective of beneficial uses of State waters. We are
issuing the enclosed Certification. Should new information come to our attention that indicates a
water quality problem, we may require additional monitoring and reporting, issue waste
discharge requirements, or take other action.
Your Certification application and submitted documents indicate that project activities have the
potential to affect beneficial uses and water quality. The Central Coast Regional Water Quality
Control Board (Central Coast Water Board) issues this Certification to protect water quality and
associated beneficial uses from project activities. We need reports to determine compliance with
this Certification. All technical and monitoring reports requested in this Certification, or any time
after, are required per section 13383 of the California Water Code. Failure to submit reports
required by this Certification, or failure to submit a report of technical quality acceptable to the
Executive Officer, may subject you to enforcement action per section 13385 of the California
Water Code.
Any person affected by this Central Coast Water Board action may petition the State Water
Resources Control Board (State Water Board) to review this action in accordance with California
Water Code section 13320; and Title 23, California Code of Regulations, sections 2050 and
3867-3869. The State Water Board, Office of Chief Counsel, PO Box 100, Sacramento, CA
95812, must receive the petition within 30 days of the date of this Certification. We will provide
upon request copies of the law and regulations applicable to filing petitions.
Appendix B3 – Water Quality Cert
City of San Luis Obispo Certification No. 34021WQ02
2
If you have questions please contact Kathleen Hicks at (805) 549-3458 or via email at
Kathleen.Hicks@waterboards.ca.gov, or Phil Hammer at (805) 549-3882. Please mention the
above certification number in all future correspondence pertaining to this project.
Sincerely,
for
Matthew T. Keeling
Executive Officer
Enclosure: Action on Request for CWA Section 401 Water Quality Certification
cc: With enclosures
Carolynn Daman
Rincon Consultants, Inc.
E-mail: cdaman@rinconconsultants.com
Gerardo Hidalgo
U.S. Army Corps of Engineers
E-mail: Gerardo.L.Hidalgo@usace.army.mil
Julie Vance
California Department of Fish and Wildlife
E-mail: Julie.Vance@wildlife.ca.gov
Linda Connolly
California Department of Fish and Wildlife
E-mail: Linda.Connolly@wildlife.ca.gov
Melissa Scianni
U.S. Environmental Protection Agency
E-mail: scianni.melissa@epa.gov
CWA Section 401 WQC Program
Division of Water Quality
State Water Resources Control Board
E-mail: Stateboard401@waterboards.ca.gov
Tessa Gallagher
Central Coast Water Board
E-mail: Tessa.Gallagher@waterboards.ca.gov
Harvey Packard
Central Coast Water Board
Email: Harvey.Packard@waterboards.ca.gov
Kathleen Hicks
Central Coast Water Board
Email: Kathleen.Hicks@waterboards.ca.gov
R:\RB3\Shared\401\Certifications\San Luis
Obispo\2021\34021WQ02_OrcuttTankFarmRoundabout\R3_OrcuttTankFarmRoundabout_34021WQ02_Cert.docx
Appendix B3 – Water Quality Cert
City of San Luis Obispo Certification No. 34021WQ02 June 2, 2021
1
Action on Request for
Clean Water Act Section 401 Water Quality Certification
for Discharge of Dredged and/or Fill Materials
PROJECT: Orcutt Tank Farm Roundabout
PERMITTEE: Jennifer Rice
City of San Luis Obispo
919 Palm Street
San Luis Obispo, CA 93401-3218
ACTION:
1. Order for Standard Certification
2. Order for Technically-Conditioned Certification
3. Order for Denial of Certification
STANDARD CONDITIONS:
1.This Certification action is subject to modification or revocation upon administrative or
judicial review, including review and amendment per section 13330 of the California Water
Code and section 3867 of Title 23 of the California Code of Regulations (23 CCR).
2.This Certification action is not intended to apply to any discharge from any activity involving
a hydroelectric facility requiring a Federal Energy Regulatory Commission (FERC) license or
an amendment to a FERC license unless the pertinent Certification application was filed per
23 CCR subsection 3855(b) and the application specifically identified that a FERC license or
amendment to a FERC license was being sought.
3.The validity of any non-denial Certification action (Actions 1 and 2) is conditioned upon total
payment of the fee required under 23 CCR section 3833, unless otherwise stated in writing
by the certifying agency.
ADMINISTRATIVE CONDITIONS:
1.This Certification is subject to the acquisition of all local, regional, state, and federal permits
and approvals as required by law. Failure to meet any conditions contained herein or any
conditions contained in any other permit or approval issued by the State of California or any
subdivision thereof may result in the revocation of this Certification and civil or criminal
liability.
2.In the event of a violation or threatened violation of this Certification, the violation or
threatened violation shall be subject to any remedies, penalties, process or sanctions as
provided for under state law. For purposes of section 401(d) of the Clean Water Act, the
applicability of any state law authorizing remedies, penalties, process or sanctions for the
violation or threatened violation constitutes a limitation necessary to assure compliance with
the water quality standards and other pertinent requirements incorporated into this
Certification.
Appendix B3 – Water Quality Cert
City of San Luis Obispo Certification No. 34021WQ02 June 2, 2021
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3.In response to a suspected violation of any condition of this Certification, the Central Coast
Water Board may require the holder of any permit or license subject to this Certification to
furnish, under penalty of perjury, any technical or monitoring reports the Central Coast
Water Board deems appropriate, provided that the burden, including costs, of the reports
shall have a reasonable relationship to the need for the reports and the benefits obtained
from the reports.
4.In response to any violation of the conditions of this Certification, the Central Coast Water
Board may add to or modify the conditions of this Certification as appropriate to ensure
compliance.
5.The Central Coast Water Board reserves the right to suspend, cancel, or modify and reissue
this Certification, after providing notice to the Permittee, if the Central Coast Water Board
determines that the Project fails to comply with any of the terms or conditions of this
Certification.
6.A copy of this Certification, the application, and supporting documentation must be available
at the Project site during construction for review by site personnel and agencies. A copy of
this Certification must also be provided to the contractor and all subcontractors who will work
at the Project site. All personnel performing work on the proposed Project shall be familiar
with the content of this Certification and its posted location on the Project site.
7. The Permittee shall grant Central Coast Water Board staff, or an authorized representative,
upon presentation of credentials and other documents as may be required by law,
permission to enter the Project site at reasonable times, to ensure compliance with the
terms and conditions of this Certification and/or to determine the impacts the Project may
have on waters of the State.
8. The Permittee must, at all times, fully comply with the application, engineering plans,
specifications, and technical reports submitted to support this Certification; all subsequent
submittals required as part of this Certification; and the attached Project Information and
Conditions. The conditions within this Certification and attachment(s) supersede conflicting
provisions within Permittee submittals.
9. The Permittee shall notify the Central Coast Water Board within 24 hours of any unauthorized
discharge to waters of the U.S. and/or State; measures that were implemented to stop and
contain the discharge; measures implemented to clean-up the discharge; the volume and type
of materials discharged and recovered; and additional BMPs or other measures that will be
implemented to prevent future discharges.
10.This Certification is not transferable to any person except after notice to the Executive
Officer of the Central Coast Water Board. The Permittee shall submit this notice in writing at
least 30 days in advance of any proposed transfer. The notice must include a written
agreement between the existing and new responsible party containing a specific date for the
transfer of this Certification's responsibility and coverage between the current responsible
party and the new responsible party. This agreement shall include an acknowledgement that
the existing responsible party is liable for compliance and violations up to the transfer date
and that the new responsible party is liable from the transfer date on.
11.This Order and all of its conditions contained herein continue to have full force and effect
regardless of the expiration or revocation of any federal license or permit issued for the
Appendix B3 – Water Quality Cert
City of San Luis Obispo Certification No. 34021WQ02 June 2, 2021
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Project. For purposes of Clean Water Act, section 401(d), this condition constitutes a
limitation necessary to assure compliance with the water quality standards and other
pertinent requirements of state law. This Order expires if Project construction does not begin
within five years from the date of this Order.
12.The total certification fee for this project is $2,066. The remaining certification fee payable to
the Central Coast Water Board is $0. Annual fees may apply.
CALIFORNIA ENVIRONMENTAL QUALITY ACT FINDINGS:
1.Environmental Review
On September 21, 2010, the City of San Luis Obispo, as lead agency, adopted an initial
study/negative declaration (IS/ND) (State Clearinghouse No. 2004011059) for the Project
and filed a Notice of Determination at the State Clearinghouse on November 15, 2010. The
Central Coast Water Board is a responsible agency under CEQA (Public Resources Code
section 21069) and in making its determinations presumes that the City of San Luis
Obispo’s adopted environmental document comports with the requirements of CEQA and is
valid (Public Resources Code section 21167.3). The Central Coast Water Board has
reviewed and considered the environmental document and the environmental effects of the
Project on water quality and beneficial uses (California Code of Regulations, title 14, section
15096(f)).
2. Incorporation by Reference
CEQA project impacts are analyzed in the Project Final IS/ND which is incorporated herein
by reference. The Permittee’s application for this Order, including all supplemental
information provided, is incorporated herein by reference.
CENTRAL COAST WATER BOARD CONTACT PERSON:
Kathleen Hicks
(805) 549-3458
Kathleen.Hicks@waterboards.ca.gov
Please refer to the above certification number when corresponding with the Central Coast Water
Board concerning this project.
WATER QUALITY CERTIFICATION:
I hereby issue an order certifying that as long as all the conditions listed in this Certification are
met, any discharge from the Orcutt Tank Farm Roundabout Project shall comply with the
applicable provisions of sections 301 ("Effluent Limitations"), 302 ("Water Quality Related
Effluent Limitations"), 303 ("Water Quality Standards and Implementation Plans"), 306
("National Standards of Performance"), and 307 ("Toxic and Pretreatment Effluent Standards")
of the Clean Water Act. This discharge is also regulated pursuant to State Water Board Water
Quality Order No. 2003-0017-DWQ, which requires compliance with all conditions of this
Certification.
Except insofar as may be modified by any preceding conditions, all Certification actions are
contingent on (a) the discharge being limited and all proposed mitigation being completed in
strict compliance with the Permittee’s project description, Certification conditions, and the
attached Project Information and Conditions, and (b) compliance with all applicable
Appendix B3 – Water Quality Cert
City of San Luis Obispo Certification No. 34021WQ02 June 2, 2021
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requirements of the Central Coast Water Board’s policies and Water Quality Control Plan (Basin
Plan).
for June 2, 2021
Matthew T. Keeling Date
Executive Officer
Central Coast Water Board
Appendix B3 – Water Quality Cert
City of San Luis Obispo Certification No. 34021WQ02 June 2, 2021
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PROJECT INFORMATION AND CONDITIONS
Application Date Received: January 22, 2021
All supplemental information received: May 4, 2021
Permittee
Jennifer Rice
City of San Luis Obispo
919 Palm Street
San Luis Obispo, CA 93401-3218
jrice@slocity.org
Permittee
Representatives
Carolynn Daman
Rincon Consultants, Inc.
1530 Monterey Street, Suite D
San Luis Obispo, CA 93401-3218
cdaman@rinconconsultants.com
805-547-0900
Project Name Orcutt Tank Farm Roundabout
Application
Number 34021WQ02
Type of Project Transportation: Roads, Highways and Bridges
Project Location San Luis Obispo
Latitude: 35.250409° N Longitude: -120.625414° W
County San Luis Obispo
Receiving
Water(s)
Unnamed intermittent tributaries to Acacia Creek
310 Estero Bay Hydrologic Unit
Water Body Type Streambed
Designated
Beneficial Uses
Municipal and Domestic Water Supply
Protection of both recreation and aquatic life
Project
Description
(purpose/goal)
The purpose of this project is to improve the roadway at this intersection to
assist in alleviating traffic congestion and increase roadway safety.
Central Coast Regional Water Quality Control Board (Central Coast Water
Board) staff understands that the project includes the following activities:
1.Concrete box culvert extension and headwall, wingwall, and rock slope
protection replacement under Orcutt Road;
2.Embedded corrugated culvert pipe culvert replacement and installation of
new concrete retaining walls under the residential driveway off Orcutt
Road;
3.Culvert connection to a new bioretention outfall structure at Tank Farm
Road; and
4.Roadway improvements including a roundabout, sidewalks, landscaping,
drainage improvements, and a bioretention drainage basin.
U.S. Army Corps
of Engineers
Permit No.
Nationwide Permit 14 – Linear Transportation Projects
Dept. of Fish and
Wildlife
Streambed
Alteration
Agreement
Streambed Alteration Agreement is pending. Final, signed copy shall be
forwarded immediately upon execution.
CEQA Information Negative Declaration
Appendix B3 – Water Quality Cert
City of San Luis Obispo Certification No. 34021WQ02 June 2, 2021
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Lead Agency: City of San Luis Obispo
Total Certification
Fee $2,066
Total Authorized Project Fill/Excavation Quantity
Aquatic
Resource Type
Temporary Impact
Permanent Impact
Physical Loss of Area Degradation of
Ecological Condition
Acres CY 1 LF1 Acres CY LF Acres CY LF
Stream Channel 0.02 5 58 0.01 136 37
Required Project Mitigation Quantity for Temporary Impacts
Aquatic
Resource Type Units Method2
Est. Re-est. Reh. Enh. Pres.
Stream Channel Acres 0.02
LF 58
Required Project Compensatory Mitigation Quantity for Permanent Degradation of
Ecological Condition
Aquatic
Resource Type Mit. Type3 Units Method
Est. Re-est. Reh. Enh. Pres.
Stream Channel PR Acres 0.01
LF 59
Riparian PR Acres 0.01
LF 59
Mitigation
Requirements
1.The Permittee shall implement compensatory mitigation installation,
maintenance, and monitoring as described in the Orcutt Tank Farm
Roundabout Project Mitigation and Monitoring Plan dated January 2021.
2.Offsite compensatory mitigation shall be installed within 12 months of the
commencement of project construction. Onsite compensatory mitigation
shall be installed within 12 months of completion of project construction.
Project
Requirements
The Permittee shall comply with the following requirements:
1.All personnel who engage in construction activities or their oversight at
the project site (superintendent, construction manager, foreman, crew,
contractor, biological monitor, etc.) must attend trainings on the conditions
of this Certification and how to perform their duties in compliance with
those conditions. Every person shall attend an initial training within five
working days of their start date at the project site and follow-up trainings
every year until the project is completed. Trainings shall be conducted by
a qualified individual with expertise in 401 Water Quality Certification
conditions and compliance.
2.All work performed within waters of the State shall be completed in a
manner that minimizes impacts to beneficial uses and habitat. Measures
shall be employed to minimize land disturbances that will adversely
impact the water quality of waters of the State. Disturbance or removal of
vegetation shall not exceed the minimum necessary to complete Project
implementation.
1 Cubic Yards (CY); Linear Feet (LF)
2 Methods: establishment (Est.), reestablishment (Re-est.), rehabilitation (Reh.), enhancement (Enh.), preservation
(Pres.)
3 Mitigation Type: in-lieu fee (ILF); mitigation bank (MB); permittee responsible (PR)
Appendix B3 – Water Quality Cert
City of San Luis Obispo Certification No. 34021WQ02 June 2, 2021
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3.Portions of the project that occur below top of creek banks or in other
waters of the State shall be stabilized for the winter prior to October 1 of
each year, either by completing construction of those portions of the
project (including installation of permanent erosion control measures) or
by implementing winterization stabilization measures capable of
effectively stabilizing the area and preventing erosion under winter rain
and flow conditions generated by the 10-year 24-hour storm event. No
construction activities shall be conducted below top of creek banks or in
other waters of the State during the winter period (October 1 – May 31),
unless prior written approval has been obtained from Central Coast Water
Board staff. Requests to conduct construction activities below top of creek
banks or in other waters of the State during the winter period shall be
submitted to Central Coast Water Board staff at least 21 days prior to the
planned winter period work date. If approval is obtained, the Permittee
shall implement the approved winter work as specified in the Central
Coast Water Board staff approval and as described in any documentation
submitted by the Permittee while seeking the approval.
4.Erosion and sediment control measures shall be on site prior to the start
of construction and kept on site at all times so they are immediately
available for installation in anticipation of rain events.
5. The Permittee shall implement and maintain an effective combination of
erosion and sediment control measures (e.g., revegetation, fiber rolls,
erosion control blankets, hydromulching, compost, straw with tackifiers,
temporary basins) to prevent erosion and capture sediment. The
Permittee shall implement and maintain washout, trackout, dust control,
and any other applicable source control BMPs.
6.Erosion and sediment control measures and other construction BMPs
shall be implemented and maintained in accordance with all specifications
governing their proper design, installation, operation, and maintenance.
7.At any time of year, the Permittee shall not conduct construction activities
below top of creek banks or in other waters of the State during rain events
or on any day for which the National Weather Service has predicted a
25% or more chance of at least 0.1 inch rain in 24 hours (Predicted Rain
Event). The Permittee shall install effective erosion control, sediment
control, and other protective measures no later than the day prior to the
Predicted Rain Event, and prior to the start of any rainfall. Construction
activities below top of creek banks or in other waters of the State may
resume after the rain has ceased, the National Weather Service predicts
clear weather for at least 24 hours, and site conditions are dry enough to
continue work without discharge of sediment or other pollutants from the
project site.
8.Any material stockpiled that is not actively being used during construction
shall be covered and surrounded with a linear sediment barrier.
9. The Permittee shall retain a spill plan and appropriate spill control and
clean up materials (e.g., oil absorbent pads) onsite in case spills occur.
10. The Permittee shall confine all trash and debris in appropriate enclosed
bins and dispose of the trash and debris at an approved site at least
weekly.
11.All construction vehicles and equipment used on site shall be well
maintained and checked daily for fuel, oil, and hydraulic fluid leaks or
other problems that could result in spills of toxic materials.
Appendix B3 – Water Quality Cert
City of San Luis Obispo Certification No. 34021WQ02 June 2, 2021
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12.All vehicle fueling and maintenance activity shall occur at least 100 feet
away from waterways and in designated staging areas with proper spill
prevention and containment, unless a requested exception on a case-by
case basis granted by prior written approval has been obtained from
Central Coast Water Board staff.
13.Dewatering and stream diversion measures are not currently authorized.
If the project requires dewatering or diversion, the Permittee shall submit
detailed dewatering/diversion plans for Central Coast Water Board staff
approval at least 21 days prior to any dewatering or diversion.
Dewatering/diversion plans shall include the area to be dewatered, timing
of dewatering, and method of dewatering to be implemented. All
temporary dewatering/diversion methods shall be designed to have the
minimum necessary impacts to waters of the State to isolate the
immediate work area. All dewatering/diversion methods shall be installed
such that natural flow is maintained upstream and downstream of the
project area. Any temporary dams or diversions shall be installed such
that the diversion does not cause sedimentation, siltation, or erosion
upstream or downstream of the project area. All dewatering/diversion
methods shall be removed immediately upon completion of
dewatering/diversion activities. Dewatering or diversion shall not
commence until the Permittee has obtained Central Coast Water Board
staff approval of the dewatering/diversion plans. Any dewatering/diversion
must be implemented in compliance with approved dewatering/diversion
plans.
14.Post-construction BMPs shall be implemented in accordance with the
submitted Stormwater Control Plan for Post Construction Requirements.
Treatment of runoff from the 85th percentile rain event shall be achieved
by use of stormwater bioretention areas. Peak flows discharged from the
site from the 2- through 100-year storm events shall not exceed pre-
project peak flows. The City of San Luis Obispo is responsible for
maintenance of post-construction BMPs. All post-construction BMPs shall
be implemented and functioning prior to completion of the project.
15.All construction-related equipment, materials, and any temporary BMPs
no longer needed shall be removed and cleared from the site upon
completion of the project.
16.Central Coast Water Board staff shall be notified if mitigations as
described in the 401 Water Quality Certification application for this project
are altered by the imposition of subsequent permit conditions by any local,
state or federal regulatory authority. The Permittee shall inform Central
Coast Water Board staff of any modifications that interfere with
compliance with this Certification.
Monitoring and
Reporting
Requirements
The Permittee shall conduct the following monitoring:
1.Visually inspect the project site and areas of waters of the State adjacent
to project impact areas following completion of project construction and for
five subsequent rainy seasons to ensure that the project is not causing
excessive erosion, stream instability, or other water quality impacts. If the
project does cause water quality impacts, contact the Central Coast Water
Board staff member overseeing the project. You will be responsible for
implementing corrective measures to protect water quality and obtaining
any additional permits necessary corrective measure implementation.
Appendix B3 – Water Quality Cert
City of San Luis Obispo Certification No. 34021WQ02 June 2, 2021
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2.Monitor the compensatory mitigation site for five years. If success criteria
are not achieved within that time, continue annual monitoring and
maintenance until success criteria are achieved. Compensatory mitigation
monitoring shall include assessment of growth, survival, percent cover of
native and invasive species, general health and stature, channel
morphology, progress towards achieving success criteria, and any other
measures identified in the Orcutt Tank Farm Roundabout Project
Mitigation and Monitoring Plan dated January 2021.
The Permittee shall provide the following reporting to
RB3_401Reporting@waterboards.ca.gov [Note: Annual fees are based
on submittal and approval of reporting item 2 below]:
1.Streambed Alteration Agreement - Submit a signed copy of the
Department of Fish and Wildlife’s streambed alteration agreement to the
Central Coast Water Board immediately upon execution and prior to any
discharge to waters of the State.
2.Certification Termination Report – To terminate Certification coverage, the
Permittee must submit for Central Coast Water Board staff review and
approval a Certification Termination Report demonstrating compensatory
mitigation success criteria achievement and monitoring completion. The
Certification Termination Report shall include all information required for
Annual Project Status Reports as specified below. The Certification
Termination Report may serve as the final Annual Project Status Report.
The Certification Termination Report submittal must include “Certification
Termination Report” in the title.
3.Annual Project Status Report – The Permittee shall submit to the Central
Coast Water Board an Annual Project Status Report by May 31 of each
year following the issuance of this Certification, regardless of whether
project construction has started or not. At a minimum, Annual Project
Status Reports shall address activities conducted during the prior
calendar year. The Permittee shall submit Annual Project Status Reports
until the Permittee has conducted all required monitoring, mitigation has
achieved all success criteria, and the Permittee has submitted a
Certification Termination Report. Each Annual Project Status Report shall
include at a minimum:
a.The status of the project: construction not started, construction started,
or construction complete.
b.The date of construction initiation, if applicable.
c.The date of construction completion, if applicable.
d.If project construction is complete:
i.A summary of daily activities, monitoring and inspection
observations, and problems incurred and actions taken;
ii.Status of permanent post-construction stormwater management
BMPs, including photo documentation of all BMPs;
iii.Identification of when site personnel trainings occurred, description
of the topics covered during trainings, and confirmation that every
person that engaged in construction activities or their oversight at
the project site was trained initially and every year thereafter.
iv.A description of the results of the annual visual inspection of the
project site and areas of waters of the State adjacent to project
impact areas, including:
Appendix B3 – Water Quality Cert
City of San Luis Obispo Certification No. 34021WQ02 June 2, 2021
10
1.Erosion conditions;
2.Stream stability conditions;
3. Water quality and beneficial use conditions;
4.Clearly identified photo-documentation of all areas of
permanent and temporary impact, prior to and after project
construction; and
5.Clearly identified representative photo-documentation of other
project areas, prior to and after project construction.
6.If the visual inspection monitoring period is over, but water
quality problems persist, the Annual Report shall identify
corrective measures to be undertaken, including extension of
the monitoring period until the project is no longer causing
excessive erosion, stream instability, or other water quality
problems.
e.Mitigation reporting, if mitigation installation has started, including the
following information:
i.Date of initiation of mitigation installation and date mitigation
installation was completed;
ii.If mitigation installation was completed, confirmation mitigation
was installed according to the requirements of this Certification
and as described in the application, the Orcutt Tank Farm
Roundabout Project Mitigation and Monitoring Plan dated January
2021, and any other associated submittals;
iii.Analysis of monitoring data collected in the field;
iv.Quantification of growth, survival, percent cover of native and
invasive species, general health and stature, channel morphology,
and documentation of progress toward achieving all mitigation
performance criteria;
v.Qualitative and quantitative comparisons of current mitigation
conditions with preconstruction conditions and previous mitigation
monitoring results;
vi.Any remedial or maintenance actions taken or needed;
vii.Any additional information specified in the Orcutt Tank Farm
Roundabout Project Mitigation and Monitoring Plan dated January
2021; and
viii.Annual photo-documentation representative of all mitigation areas,
taken from vantage points from which Central Coast Water Board
staff can identify changes in size and cover of plants. Compare
photos of installed mitigation with photos of the mitigation areas
prior to installation.
f.A description of mitigation completion status that identifies the amount
of mitigation monitoring and maintenance remaining, or certifies and
demonstrates that mitigation is complete and all required mitigation
monitoring and maintenance has been conducted and all success
criteria achieved. If the monitoring period is over, but all success
criteria have not been achieved, the Annual Project Status Report
shall identify corrective measures to be undertaken, including
extension of the monitoring period until the criteria are met.
Appendix B3 – Water Quality Cert
1
Attachment A - 40 CFR Part 121.7 Information
The purpose of Attachment A is to provide information pursuant to title 40, Code of Federal
Regulations (40 CFR) part 121.7(d)(2), which necessitates that all certification conditions be
accompanied by an explanation of why the condition is necessary to assure that any discharge
authorized under the Certification will comply with water quality requirements, and a citation to
federal, state, or tribal law that authorizes the condition.
Notwithstanding any determinations by the U.S. Army Corpsof Engineers or other federal
agency made pursuant to 40 CFR section 121.9, dischargers must comply with the entirety of
this Certification because the Certification also serves as waste discharge requirements in
accordance with State Water Resources Control Board (State Water Board) Water Quality
General Order No. 2003-0017-DWQ.
This attachment includes citations to some sources of authority that are applicable to all
Certification conditions. These sources are specifically identified where they are most relevant
but are also generally applicable to the conditions below. California Code of Regulations, title
23,1 chapter 28 sets forth regulations pertaining to water quality certifications. Conditions are set
forth in this Certification to assure that the discharge complies with water quality objectives
adopted or approved under sections 13170 or 13245 of the California Water Code. These
conditions are also generally required to comply with the state’s Anti-Degradation Policy (State
Water Board Resolution No. 68-16), which requires that for any “activity which produces or may
produce a waste or increased volume or concentration of waste and which discharges or
proposes to discharge to existing high quality waters will be required to meet waste discharge
requirements which will result in the best practicable treatment or control of the discharge
necessary to assure that (a) a pollution or nuisance will not occur and (b) the highest water
quality consistent with maximum benefit to the people of the state will be maintained.” All
Regional Board Water Quality Control Plans incorporate the state’s Anti-Degradation Policy by
reference. The state Anti-Degradation Policy incorporates the federal Antidegradation Policy (40
CFR Part 131.12 (a)(1)), which requires "[e]xisting instream water uses and the level of water
quality necessary to protect the existing uses shall be maintained and protected." According to
the United States Environmental Protection Agency (USEPA), discharges of dredged or fill
material comply with the federal Antidegradation Policy by complying with USEPA’s section
404(b)(1) Guidelines. The State Water Board adopted a modified version of USEPA’s section
404(b)(1) Guidelines in the Dredge or Fill Procedures (State Supplemental Guidelines).
STANDARD CONDITIONS
Standard Condition No. 1
This is a standard condition that “shall be included as conditions of all water quality certification
actions” (California Code of Regulations section 3860(a)).
Standard Condition No. 2
This is a standard condition that “shall be included as conditions of all water quality certification
actions” (California Code of Regulations section 3860(a)).
1 Unless as otherwise noted, all citations are to title 23 of California Code of Regulations.
Appendix B3 – Water Quality Cert
Attachment A – Certification No. 34021WQ02
2
Standard Condition No. 3
This is a standard condition that “shall be included as conditions of all water quality certification
actions” (California Code of Regulations section 3860(a)). This fee requirement condition is
also required pursuant to California Code of Regulations sections 3861(c)(4) and 3833(b), which
require payment of fees by project proponents discharging dredge or fill material.
ADMINISTRATIVE CONDITIONS
Administrative Condition No. 1
This condition is required pursuant to California Code of Regulations section 3856(e), which
requires that copies be provided to the Water Boards of “any final and signed federal, state, and
local licenses, permits, and agreements (or copies of the draft documents, if not finalized) that
will be required for any construction, operation, maintenance, or other actions associated with
the activity. If no final or draft document is available, a list of all remaining agency regulatory
approvals being sought shall be included.”
Administrative Condition No. 2
This condition provides notice of the State’s rights to levee penalties as allowed by State law in
order to protect water quality.
Administrative Condition No. 3
California Water Code section 13267 authorizes the Central Coast Water Board to require
any person or entity who has discharged, discharges, or is suspected of having discharged
or discharging, or who proposes to discharge waste within the region to furnish, under
penalty of perjury, technical or monitoring reports when necessary to investigate the quality
of any waters of the state. These reports are necessary to ensure compliance with water
quality standards.
Administrative Condition Nos. 4, 5
In the event of non-compliance, modified conditions may be necessary to return the discharger
to compliance and prevent violation of water quality standards. If a Permittee is violating the
terms of a Certification that protect water quality standards, canceling the Certification halts
authorization to discharge, which can ensure compliance with water quality standards. California
Water Code section 13381 states that waste discharge requirements or dredged or fill material
permits may be terminated or modified for cause, including, but not limited to, all of the
following: (a) Violation of any condition contained in the requirements or permits; (b) Obtaining
the requirements by misrepresentation, or failure to disclose fully all relevant facts; and (c) A
change in any condition that requires either a temporary or permanent reduction or elimination
of the permitted discharge.
Administrative Condition No. 6
This condition requires site personnel and agencies to be familiar with the content of the
Certification and availability of the document at the project site. This condition is required to
assure that any authorized discharge will comply with the terms and conditions of the
Certification, which requires compliance with water quality objectives and beneficial uses
adopted or approved under sections 13170 or 13245 of the California Water Code.
Administrative Condition No. 7
Conditions related to site access requirements are authorized pursuant to the Central Coast
Water Board’s authority to investigate the quality of any waters of the state within its region
Appendix B3 – Water Quality Cert
Attachment A – Certification No. 34021WQ02
3
under California Water Code section 13267. California Water Code section 13267(c) provides
that “the regional board may inspect the facilities of any person to ascertain whether the
purposes of this division are being met and waste discharge requirements are being complied
with.”
Administrative Condition No. 8
This Certification is issued based on information submitted by the applicant. If the applicant
does not implement the project in accordance with the submitted information, the project may
not comply with water quality standards. Therefore, the applicant must implement the project as
described in order for compliance with water quality standards to be assured, in accordance
with water quality objectives and beneficial uses adopted or approved under sections 13170 or
13245 of the California Water Code.
Administrative Condition No. 9
This condition related to the accidental discharge of hazardous materials is necessary to assure
that discharges comply with any water quality objectives adopted or approved under sections
13170 or 13245 of the California Water Code. Conditions related to notification and reporting
requirements in the event of an accidental discharge of hazardous materials are required
pursuant to section 13271 of the California Water Code, which requires immediate notification of
the Office of Emergency Services of the discharge in accordance with the spill reporting
provision of the state toxic disaster contingency plan adopted pursuant to article 3.7
(commencing with Section 8574.16) of chapter 7 of division 1 of title 2 of the Government Code.
These monitoring and reporting requirements are also consistent with the Central Coast Water
Board’s authority to investigate the quality of any waters of the state within its region under
California Water Code sections 13267 and 13383. The reports related to accidental discharges
also ensure that corrective actions, if any, that are necessary to minimize the impact or clean up
such discharges can be taken as soon as possible in order to achieve compliance with water
quality standards.
Administrative Condition No. 10
Authorization under this Certification is granted based on the application information submitted,
including the legally responsible party. Notification is necessary to confirm whether the new
owner wishes to assume legal responsibility for compliance with this Certification. If not, the
original discharger remains responsible for compliance with this Certification. Correct
identification of a legally responsible party is necessary to ensure compliance with water quality
standards. California Water Code section 13264 prohibits any discharge that is not specifically
authorized in this Certification.
Administrative Condition No. 11
In accordance with State Water Resources Control Board Water Quality Order No. 2003-0017-
DWQ, waste discharge requirements are issued to all persons proposing to discharge dredged
or fill material to waters of the United States where such discharge is also subject to the water
quality certification requirements of Clean Water Act section 401 and such certification has been
issued by the Central Coast Water Board. In order to meet the provisions contained in Division 7
of Clean Water Act and regulations adopted thereunder, Order No. 2003-0017-DWQ requires
dischargers to implement all the terms and conditions of the applicable certification issued for
the discharge irrespective of whether the federal license or permit for which the Certification was
obtained is subsequently deemed invalid because the water body subject to the discharge has
been deemed outside of federal jurisdiction. In addition, continued compliance with
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certification/waste discharge requirements is necessary, regardless of federal permit status, to
ensure compliance with water quality standards is maintained.
Administrative Condition No. 12
This fee requirement condition is required pursuant to California Code of Regulations sections
3861(c)(4) and 3833(b), which requires payment of fees by project proponents enrolling in this
Certification.
PROJECT INFORMATION AND CONDITIONS
Required Project Mitigation and Compensatory Mitigation Quantities; Compensatory
Mitigation Requirements
Conditions related to restoration and/or mitigation of temporary impacts are required to assure
that the discharge complies with water quality standards adopted or approved under sections
13170 or 13245 of the California Water Code. These conditions are also consistent with the
Dredge or Fill Procedures, which require "in all cases where temporary impacts are proposed, a
draft restoration plan that outlines design, implementation, assessment, and maintenance for
restoring areas of temporary impacts to pre-project conditions" (Dredge or Fill Procedures
section IV. A.2(d) and B.4). Restoration and/or mitigation of temporary impacts is necessary to
control discharges of waste, such as sediment from disturbed areas, so that compliance with
water quality standards is maintained. Restoration requirements for temporary impacts are also
authorized by California Water Code section 13263, which requires the imposition of
requirements that implement water quality control plans, and take into consideration the
beneficial uses to be protected and the need to prevent nuisance.
Conditions regarding compensatory mitigation are necessary to ensure compliance with state
and federal anti-degradation policies. Compensatory mitigation requirements are consistent with
State Supplemental Guidelines, section 230.10, restrictions on discharge and the Dredge or Fill
Procedures, section IV.B.1.a (California Code of Regulations section 3013), which requires that
the Water Boards will approve a project only after it has been determined that a sequence of
actions has been taken to first avoid, then to minimize, and lastly compensate for adverse
impacts that cannot be practicably avoided or minimized (see also California Code of
Regulations section 3856(h) requiring submittal of proposed mitigation and description of steps
taken to avoid, minimize, or compensate)). Compensatory mitigation conditions are consistent
with Executive Order W-59-93 commonly referred to as California’s “no net loss” policy for
wetlands. Compensatory mitigation requirements are also authorized by California Water Code
section 13263, which requires the imposition of requirements that implement water quality
control plans, and take into consideration the beneficial uses to be protected and the need to
prevent nuisance.
Project Requirements
Project Requirement No. 1
This condition requires site personnel and agencies to be familiar with the content of the
Certification. Familiarity with the requirements of this Certification is necessary to assure that
any authorized discharge will comply with the terms and conditions of the Certification, which
requires compliance with water quality objectives and beneficial uses adopted or approved
under sections 13170 or 13245 of the California Water Code.
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Project Requirement No. 2
Conditions related to compliance with water quality objectives and designated beneficial uses
are required pursuant to the state’s Anti-Degradation Policy (State Board Resolution No. 68-16),
which requires that for any “activity which produces or may produce a waste or increased
volume or concentration of waste and which discharges or proposes to discharge to existing
high quality waters will be required to meet waste discharge requirements which will result in the
best practicable treatment or control of the discharge necessary to assure that (a) a pollution or
nuisance will not occur and (b) the highest water quality consistent with maximum benefit to the
people of the state will be maintained.” The state Anti-Degradation Policy incorporates the
federal Antidegradation Policy (40 CFR Part 131.12 (a)(1)), which requires "[e]xisting instream
water uses and the level of water quality necessary to protect the existing uses shall be
maintained and protected." According to USEPA, for dischargers of dredged or fill material
comply with the federal Antidegradation Policy by complying with USEPA’s section 404(b)(1)
Guidelines. The State Water Boards adopted a modified version of USEPA’s section 404(b)(1)
Guidelines in the Dredge or Fill Procedures (State Supplemental Guidelines).
Project Requirements Nos. 3, 6, 7
Disturbed areas in delineated waters must be stabilized prior to a rainfall event to assure that
sediment is controlled and the discharge from the proposed project will comply with water
quality objectives established for surface waters. The Water Quality Control Plan for the Central
Coastal Region, section 4.8.5.2, states. “timing [of construction activities] should be established
with reference to environmental sensitivity factors such as fish migrations, spawning or
hatching, and minimum stream flow conditions.”
Conditions related to stormwater management are required to comply with Water Quality
Control Plans and to assure that the discharge complies with water quality objectives adopted or
approved under sections 13170 or 13245 of the California Water Code. Post-rain erosion and
sedimentation problems can contribute to significant degradation of the waters of the state;
therefore, it is necessary to take corrective action to eliminate such discharges in order to avoid
or minimize such degradation. Design, implementation, and maintenance of control measures
and best management practices (BMPs) described in the conditions will assure compliance with
water quality objectives including sediment, turbidity, temperature, suspended material, and
settleable material. The Water Quality Control Plan for the Central Coastal Region, section
3.3.2, prohibits alteration of the suspended sediment load and suspended sediment discharge
rate of surface waters in such as manner as to cause nuisance or adversely affect beneficial
uses.
Project Requirements Nos. 3-5, 8
Conditions related to erosion and sediment control design requirements are required to sustain
fluvial geomorphic equilibrium. Improperly designed and installed BMPs result in excess
sediment, which impairs surface waters, adversely affect beneficial uses, and results in
violations of water quality objectives in the Water Quality Control Plans in California. Water
Quality Control Plans impose design requirements to ensure excess stormwater sediment does
not exceed water quality objectives in the plans. For example: “The discharge or threatened
discharge of soil, silt, bark, slash, sawdust, or other organic and earthen materials into any
stream in the basin in violation of best management practices for timber harvesting,
construction, and other soil disturbance activities and in quantities deleterious to fish, wildlife,
and other beneficial uses is prohibited. The placing or disposal of soil, silt, bark, slash, sawdust,
or other organic and earthen materials from timber harvesting, construction, and other soil
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disturbance activities at locations above the anticipated high water line of any stream in the
basin where they may be washed into said waters by rainfall or runoff in quantities deleterious to
fish, wildlife, and other beneficial uses is prohibited” (Water Quality Control Plan for the Central
Coastal Basin, section 4.8.5.1).
Many waters in California are high in mercury either naturally or due to historic mining activities.
This mercury, when discharged to waters of the state can become bioavailable and impair
beneficial uses including Subsistence Fishing (SUB) and Tribal Subsistence Fishing (T-SUB).
Effective sediment control is required under the Tribal and Subsistence Fishing Beneficial Uses
and Mercury Provisions (Cal. Code of Reg., section 3010.)
In addition, disturbed areas in delineated waters must be stabilized prior to a rainfall event to
assure that the discharge from the proposed project will comply with water quality objectives
established for surface waters. For example, the Water Quality Control Plan for the Central
Coastal Region, section 3.3.2, prohibits the suspended sediment load and suspended sediment
discharge rate of surface waters not to be altered in such as manner as to cause nuisance or
adversely affect beneficial uses.
Conditions related to stormwater management are required to comply with the Water Quality
Control Plans and to assure that the discharge complies with water quality objectives adopted or
approved under Sections 13170 or 13245 of the Water Code. Post-rain erosion and
sedimentation problems can contribute to significant degradation of the waters of the state;
therefore, it is necessary to take corrective action to eliminate such discharges in order to avoid
or minimize such degradation. Implementation of control measures and BMPs described in the
conditions will assure compliance with water quality objectives including sediment, turbidity,
temperature, suspended material, and settleable material. For example, the Water Quality
Control Plan for the Central Coastal Region, section 4.6.4.1, prohibits the discharge of solid
wastes “to rivers, streams, creeks, or any natural drainageways or flood plains of the foregoing.”
Project Requirement No. 9
On-site availability of materials and supplies assures BMPs can be reasonably implemented
and that the discharge complies with water quality objectives. This condition and other
conditions related to best management practices are consistent with the Central Coast Water
Board’s authority to establish, “[w]ater quality conditions that could reasonably be achieved
through the coordinated control of all factors which affect water quality in the area” pursuant to
Water Code section 13241(c). The activities authorized under this Certification have the
potential to result in a discharge that exceed water quality objectives and work in waters of the
state must not cause an exceedance of water quality objectives. As required by California Water
Code section 13369, all Water Quality Control Plans incentivize the use of best management
practices to prevent prohibited discharges into waters of the state.
Project Requirement No. 10
California Water Code section 13264 prohibits any discharge that is not specifically authorized
in this Certification. This condition is necessary to prevent violation of state discharge
prohibitions that protect water quality objectives. Water Quality Control Plans prohibit the
discharge of construction materials and byproducts from being discharged into waters of the
state. For example, the “discharge or threatened discharge of soil, silt, bark, slash, sawdust, or
other organic and earthen materials into any stream in the basin in violation of best
management practices for timber harvesting, construction, and other soil disturbance activities
and in quantities deleterious to fish, wildlife, and other beneficial uses is prohibited. The placing
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or disposal of soil, silt, bark, slash, sawdust, or other organic and earthen materials from timber
harvesting, construction, and other soil disturbance activities at locations above the anticipated
high water line of any stream in the basin where they may be washed into said waters by rainfall
or runoff in quantities deleterious to fish, wildlife, and other beneficial uses is prohibited” (Water
Quality Control Plan for the Central Coast Basin, section 4.8.5.1). Furthermore, section 4.6.4.1
of the Water Quality Control Plan for the Central Coast Region prohibits the discharge of solid
wastes “to rivers, streams, creeks, or any natural drainageways or flood plains of the foregoing.”
This condition prohibiting discharge of materials detrimental to water quality or hazardous to
aquatic life is also consistent with the Dredge or Fill Procedures, Appendix A, Subpart H, which
requires actions to minimize and avoid adverse effects, including actions concerning the
location, the material. and controlling the material after the discharge (section 230.70 et seq.).
Project Requirements Nos. 11, 12
These conditions are required pursuant to the Water Quality Control Plan, and the Policy for
Implementation of Toxics Standards for Inland Surface Waters, Enclosed Bays, and Estuaries of
California (SIP) which prohibit the discharge of substances in concentrations toxic to human,
plant, animal, or aquatic life. For example: “All waters shall be maintained free of toxic
substances in concentrations which are toxic to, or which produce detrimental physiological
responses in, human, plant, animal, or aquatic life.” In addition, “Survival of aquatic life in
surface waters subjected to a waste discharge or other controllable water quality conditions,
shall not be less than that for the same waterbody in areas unaffected by the waste discharge
[…]” (Water Quality Control Plan for the Central Coastal Basin, section 3.3.2.1). Conditions
related to toxic and hazardous materials are necessary to assure that discharges comply with
any water quality objectives adopted or approved under sections 13170 or 13245 of the
California Water Code.
Project Requirement No. 13
Work in waters of the state must not cause exceedances of water quality objectives;
accordingly, these conditions require implementation of best practicable treatments and controls
to prevent pollution and nuisance, and to maintain water quality. Consistent with the Dredge or
Fill Procedures, section IV.A.2.c, water quality monitoring plans are required for any in-water
work, including temporary dewatering or diversions. Appropriate stream diversion and
dewatering measures are BMPs needed to assure that 1) the discharge shall not adversely
affect the beneficial uses of the receiving water or cause a condition of nuisance; 2) the
discharge shall comply with all applicable water quality objectives; and 3) treatment and control
of the discharge shall be implemented to assure that pollution and nuisance will not occur and
the highest water quality is maintained.
These conditions are also required pursuant to the state’s Anti-Degradation Policy (State Water
Board Resolution No. 68-16), which requires that for any “activity which produces or may
produce a waste or increased volume or concentration of waste and which discharges or
proposes to discharge to existing high quality waters will be required to meet waste discharge
requirements which will result in the best practicable treatment or control of the discharge
necessary to assure that (a) a pollution or nuisance will not occur and (b) the highest water
quality consistent with maximum benefit to the people of the state will be maintained.” All Water
Quality Control Plans incorporate the state’s Anti-Degradation Policy by reference.
If surface waters or ponded waters are not appropriately diverted from areas undergoing
grading, construction, excavation, and/or vegetation removal, the waters will be susceptible to
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erosion and increased sediment loads, contamination and pollution from construction
equipment, temperature fluctuations, etc. Diverting waters away from these areas will ensure
that the discharge will not exceed water quality objectives, adversely affect beneficial uses of
the receiving waters, or cause a condition of nuisance. Dewatered areas must also be stabilized
prior to a rainfall event to assure that the discharge from the proposed project will comply with
water quality objectives established for surface waters. For example, the Water Quality Control
Plan for the Central Coastal Region, section 3.3.2, prohibits alteration of the suspended
sediment load and suspended sediment discharge rate of surface waters in such as manner as
to cause nuisance or adversely affect beneficial uses.
Project Requirement No. 14
Conditions related to post-construction stormwater management are required to comply with
Water Quality Control Plans and to assure that the discharge complies with water quality
objectives adopted or approved under sections 13170 or 13245 of the California Water Code.
Post-construction pollution, erosion, and sedimentation problems resulting from stormwater
runoff can contribute to significant degradation of the waters of the state; therefore, it is
necessary to implement post-construction stormwater BMPs to control the volume, velocity,
frequency, pollutant load, and discharge duration of such discharges in order to avoid or
minimize such degradation. Design, implementation, and maintenance of these BMPs is
necessary to assure BMP effectiveness and compliance with water quality objectives, including
for toxic compounds, sediment, turbidity, suspended material, settleable material, and other
pollutants that may result from construction and modification of watershed processes. The
Water Quality Control Plan for the Central Coastal Region, section 3.3.2, prohibits alteration of
the suspended sediment load and suspended sediment discharge rate of surface waters in such
a manner as to cause nuisance or adversely affect beneficial uses. Section 3.3.2 also requires
that all waters shall be maintained free of toxic substances in concentrations which are toxic to,
or which produce detrimental physiological responses in human, plant, animal, or aquatic life.
Project Requirement No. 15
California Water Code section 13264 prohibits any discharge that is not specifically authorized
in this Certification. This condition is necessary to prevent violation of state discharge
prohibitions that protect water quality objectives. Water Quality Control Plans prohibit the
discharge of construction materials and byproducts from being discharged into waters of the
state. For example, “The discharge or threatened discharge of soil, silt, bark, slash, sawdust, or
other organic and earthen materials into any stream in the basin in violation of best
management practices for timber harvesting, construction, and other soil disturbance activities
and in quantities deleterious to fish, wildlife, and other beneficial uses is prohibited.” (Water
Quality Control Plan for the Central Coast Basin, section 4.8.5.1).
This condition prohibiting discharge of materials detrimental to water quality or hazardous to
aquatic life is also consistent with the Dredge or Fill Procedures, Appendix A, Subpart H, which
requires actions to minimize and avoid adverse effects, including actions concerning the
location, the material. and controlling the material after the discharge (§ 230.70 et seq.).
Project Requirement No. 16
Authorization under this Certification is granted based on the application information submitted.
California Water Code section 13264 prohibits any discharge that is not specifically authorized
in this Certification. As such, dischargers must inform Central Coast Water Board staff of
modifications so they may be addressed. California Water Code sections 13267 and 13383
authorize the Central Coast Water Board to require submittal of information.
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Monitoring and Reporting Requirements
These monitoring and reporting requirements are also consistent with the Central Coast Water
Board’s authority to investigate the quality of any waters of the state within its region under
California Water Code sections 13267 and 13383. The reports confirm that the best
management practices and other measures required under this order are sufficient to protect
beneficial uses and water quality objectives. Conditions regarding monitoring and reporting of
BMP implementation and mitigation are necessary to ensure compliance with state and federal
anti-degradation policies and Executive Order W-59-93 commonly referred to as California’s “no
net loss” policy for wetlands.
The condition for a streamed alteration agreement submittal is required pursuant to California
Code of Regulations section 3856(e), which requires that copies be provided to the Water
Boards of “any final and signed federal, state, and local licenses, permits, and agreements (or
copies of the draft documents, if not finalized) that will be required for any construction,
operation, maintenance, or other actions associated with the activity. If no final or draft
document is available, a list of all remaining agency regulatory approvals being sought shall be
included.”
Appendix B3 – Water Quality Cert