HomeMy WebLinkAboutItem 6h. Amendment No. 2 to SLOCOG Cooperative Agreement (SLO-FAST-01) and Authorize Advertisement of 50 Higuera Widening Project (Spec. 2091294) Item 6h
Department: Public Works
Cost Center: 5010
For Agenda of: 4/15/2025
Placement: Consent
Estimated Time: N/A
FROM: Matt Horn, Public Works Director
Prepared By: Bryan Wheeler, Transportation Planner / Engineer
Luke Schwartz, Transportation Manager
SUBJECT: AUTHORIZATION TO ADVERTISE THE 50 HIGUERA WIDENING
PROJECT, SPECIFICATION NO. 2091294, AND APPROVE
AMENDMENT NO. 2 TO SLOCOG COOPERATIVE AGREEMENT SLO-
FAST-01
RECOMMENDATION
1. Authorize the City Manager to execute the second amendment to Cooperative
Agreement No. SLO-FAST-01 with the San Luis Obispo Council of Governments
(SLOCOG); and
2. Delegate authority to the City Manager to execute future amendments to the
Cooperative Agreement with SLOCOG if new funding additions administered via the
amendment total $200,000 or less; and
3. Authorize the Finance Director or their designee to approve fun ding appropriations
administered via the Cooperative Agreement with SLOCOG; and
4. Approve project plans and specifications for the 50 Higuera Widening Project,
Specification No. 2091294; and
5. Authorize staff to advertise for bids and authorize the City Manager to award the
Construction Contract for the 50 Higuera Widening Project if the lowest responsible
bid is within the engineer’s estimate of $611,697; and
6. Appropriate $150,000 in regional Urban State Highway Account (USHA) funding to
the 50 Higuera Widening project account (Specification No. 2091294); and
7. Transfer $22,600 from the New Streetlights project account (Specification No.
2001016) to the 50 Higuera Widening project account (Specification No. 2091294);
and
8. Authorize the City Engineer to approve Contract Change Orders for the 50 Higuera
Widening Project up to the available project budget; and,
9. Upon delivery of a final notice to relevant property owners, Authorize Finance Director
to close the S. Higuera St Widening - Fontana to Chumash Capital Project
(Specification. No. 2091610) and transfer remaining available budget of up to
$252,327 to the 50 Higuera Widening Project (Specification No. 2091294) to support
project construction.
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Item 6h
POLICY CONTEXT
SLOCOG Cooperative Agreement
The recommended action to approve Amendment No. 2 to the Cooperative Agreement
No. SLO-FAST-01 between the City of San Luis Obispo (City) and the San Luis Obispo
Council of Governments (SLOCOG), Attachment A, is consistent with the City of San Luis
Obispo’s Financial Management Manual, Section 740 – Grant Management Policy, and
previous City Council action in approving the original Cooperative Agreement with
SLOCOG (Resolution No. 11172 (2020 Series). The grant funding administered through
the SLOCOG Cooperative Agreement has already been awarded to the City and
approved by the SLOCOG Board. The Cooperative Agreement serves as a mechanism
for the City to request reimbursement from SLOCOG for project expenditures using these
funds.
50 Higuera Widening Project
The City’s General Plan Circulation Element and Mid-Higuera Enhancement Plan identify
plans to widen various segments of Higuera Street to provide width for continuous center
medians/left-turn lanes. With previous authorization from Council, staff has advanced
negotiations with the California Department of Transportation (Caltrans) to acquire the
roadway, pedestrian, and temporary construction easements needed to construct the
planned widening of Higuera Street from Bridge Street to just north of Elks Lane. Further,
the City Council previously approved Resolution No. 11454 (2023 Series) to affirm the
purpose and need for this land acquisition, and the City’s intent to accept these
easements once approved by Caltrans.
Plans and specifications (Attachment B and C) for this project have been completed and
staff is requesting that Council approve these construction documents and authorize staff
to advertise the project for construction bids.
S. Higuera St Widening - Fontana to Chumash
Staff is requesting Council authorization to cancel further action on this project at this
time. This project would widen Higuera Street between Fontana and Chumash. The City
has engaged in good faith negotiations with adjacent property owners to secure the
necessary right of way to complete frontage improvements to these properties since
2020. At this time, City staff and the City’s right of way consultants believe that continued
negotiations are unlikely to result in the City’s acquisition of the necessary right of way to
complete the project. Discontinuing right of way acquisition and construction of widening
of S. Higuera Between Fontana and Chumash does not impact the Higuera Complete
Streets Project or other pending City projects.
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Item 6h
REPORT IN BRIEF
This staff report and the corresponding recommendations to Council cover three related
actions. First, staff is requesting that the Council approve Amendment No. 2 to the
Cooperative Agreement (SLO-FAST-01) between the City and SLOCOG, which provides
a mechanism for the City to appropriate funds and seek reimbursement from SLOCOG
for qualifying project expenditures using grant funds administered by SLOCOG.
Amendment No. 2 provides for $690,000 in total funding ($150,000 in new funding) for
the 50 Higuera Widening Project and $3,001,910 in additional funding for the Higuera
Complete Street Project.
The second action in this staff report includes a request for Council to approve the final
plans and specifications for the 50 Higuera Widening Project and authorize staff to
advertise the project for construction bids. The 50 Higuera Widening Project includes
widening of a portion of Higuera Street between Bridge Street and Elks Lane to provide
width for a center left-turn lane. This action represents the culmination of several years
of efforts to secure project funding, acquire required easements from Caltrans, coordinate
utility relocations, and finalize project construction documents. The proposed street
widening will help address an ongoing pattern of collisions on this street segment, as well
as provide the width needed to accommodate enhanced multimodal transportation
elements planned as part of the separate Higuera Complete Streets Project.
The third action in this staff report is a request for Council to support the staff
recommendation to halt efforts to acquire the private right-of-way needed to construct the
Higuera Widening (Chumash to Fontana) project due. This project would include widening
of the east side of Higuera Street between Chumash Drive and Fontana Avenue to
eliminate the existing sidewalk gap and provide consistent street width with permanent
curb and gutter per City Standards. Despite good faith negotiations since 2020, staff has
been unsuccessful in negotiating the off -site easements needed to construction this
project and does not anticipate success with continued negotiations. This action also
includes a request to close out the Higuera Widening (Chumash to Fontana) project
account and transfer remaining project funds to the 50 Higuera Widening Project to
support construction.
DISCUSSION
Background on SLOCOG Cooperative Agreement
SLOCOG handles a variety of responsibilities, including administering funding from a
variety of state, federal and regional sources to local agencies. The Surface
Transportation Block Grant (STBG) Program, a Federal -aid funding program, provides
flexible funding that may be used by States and localities for transportation projects;
however, use of federal funds can often prove challenging for local entities, as use of
these funds often requires non-federal fund match requirements, burdensome
administrative obligations, and additional environmental analysis for compliance with the
National Environmental Policy Act (NEPA). For this reason, the State of California
established the Regional Surface Transportation Program (RSTP), which allows agencies
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Item 6h
such as SLOCOG to exchange its apportionment of federal STBG program funds for non -
federal RSTP exchange funds, thereby eliminating many of the burdensome obligations
associated with use of federal funds.
On October 20, 2020, the City Council adopted a resolution (Resolution No. 11172 (2020
Series) approving an updated Cooperative Agreement between the City and SLOCOG to
provide a mechanism for the City to continue to request reimbursement for work
performed on eligible STBG/RSTP funded projects. A Cooperative Agreement is a
general agreement that establishes the responsibilities of each agency in relation to
administration of these funds. As part of the City Council Action on October 20, 2022, the
Council delegated authority to the City Manager to execute the SLOCOG RSTP
Exchange/STBG Cooperative Agreement (No. SLO-FAST-01), and delegated authority
to the Finance Director to appropriate grant funds and execute corresponding budget
amendments on a project-by-project basis.
Amendment No. 1 to Cooperative Agreement No. SLO -FAST-01 was approved via City
Manager Report on March 10, 2022, and authorized programming of $40,000 in additional
Regional State Highway Account (RSHA) funding to support the City’s Railroad Square
Safe Parking Program.
Staff is now requesting that the Council authorize the City Manager to execute
Amendment No. 2 to the SLO-FAST-01 Cooperative Agreement to allow for programming
and reimbursement of additional funding already approved by the SLOCOG Board to be
used towards other City projects—specifically, the 50 Higuera Widening Project and the
Higuera Complete Street Project.
The amended Cooperative Agreement (SLO-FAST-01, Amendment 2) is provided as
Attachment A.
Current Projects Identified for Use of SLOCOG Administered Grant Funds
Table 1 below summarizes the City projects that have funding administered by SLOCOG
under the Cooperative Agreement. It should be noted that Amendment No. 2 provides
for $690,000 in total funding ($150,000 in new funding) for the 50 Higuera Widening
Project and $3,001,910 in additional funding for the Higuera Complete Street Project.
The remainder of the projects listed in Table 1 are not changed by Amendment 2.
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Item 6h
Table 1 – Projects Recommended for Use of STBG/RSTP/REAP Grant Funds
Funding
Source/Program Project Name
Approved to Date
Under SLO-FAST-01
Cooperative Agreement
(SLOCOG FY21 – FY27)
Current Balance
Remaining
RSHA Railroad Safety
Trail (Taft to Pepper
Segment)
$300,000 $300,000*
RSHA Signal &
Intersection
Improvements
Citywide –
Orcutt/Tank Farm
Roundabout
$370,000 $370,000*
RSHA Railroad Square
Safe Parking
Program
$40,000 $0
RSHA** Community
Betterments Cycle 1
(Higuera Complete
Street)
$703,000 $703,000
RSHA** Community
Betterments Cycle 2
(Higuera Complete
Street)
$482,000 $482,000
Subtotal RSHA $1,895,000 $1,855,000
USHA Previous Completed
Projects
$1,430,000 $994,670*
USHA** 50 Higuera
Widening (Bridge to
Elks)
$690,000*** $690,000
USHA** Higuera Complete
Street
$402,000 $402,000
Subtotal USHA $2,522,000 $2,086,670
SRTS Cycle 2
(RSHA)
Anholm Greenway
Phase 1A
(Foothill/Ferrini
Crossing)
$100,000 $0
SRTS Cycle 3
(RHSA)
Anholm
Neighborhood
Greenway Phase
1B
$200,000 $200,000*
Subtotal SRTS
(RSHA)
$300,000 $200,000
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Item 6h
Funding
Source/Program Project Name
Approved to Date
Under SLO-FAST-01
Cooperative Agreement
(SLOCOG FY21 – FY27)
Current Balance
Remaining
REAP** Higuera Complete
Street Project
$1,414,910 $1,414,910
Subtotal REAP $1,414,910 $1,414,910
TOTAL ALL FUNDING SOURCES $6,131,910 $5,556,580
*Project complete. Actual balance remaining is $0, value shown above reflects
reimbursement submitted to SLOCOG and pending payment.
**New allocation added with SLO-FAST-01, Amendment 2.
***$540,000 of the $690,000 total USHA funding allocated to the 50 Higuera Widening
(Bridge to Elks) project has already been appropriated to the CIP project account with
2023-25 Financial Plan. No USHA funds have been expended on this project to date.
Once the Cooperative Agreement Amendment has been approved and executed, staff will
coordinate with the Finance Department to appropriate the new funding authorized via this
agreement into the appropriate capital improvement project accounts. Once project
expenditures have been realized, staff will submit the required reimbursement requests to
SLOCOG for processing pursuant to the terms of the Cooperative Agreement.
Background on 50 Higuera Widening Project
Currently, there is no center median or left-turn lanes along Higuera Street between
Bridge Street and Fontana Avenue, which has contributed to a high collision rate,
particularly along the segment between Bridge Street and Elks Lane fronting the Caltrans
property at 50 Higuera Street. This segment has been identified as a high collision rate
location in the City’s previous Traffic Safety Reports, and this segment of Higuera has
been identified as part of the City’s High Injury Network in the City’s Draft Vision Zero
Action Plan. The Final Vision Zero Action Plan is planned to be presented to the Counc il
for potential approval in summer of 2025. In the most recent five-year period, this segment
of Higuera Street between Madonna Road and Elks Lane experienced 20 reported
collisions, including one (1) injury collision and one (1) severe injury/fatal collision. The
City’s previous Traffic Safety Reports and Draft Vision Zero Action Plan recommend
modifying Higuera Street along this segment to add a continuous center median/two -way
left-turn lane. The addition of a center turn lane is also identified in the General Plan
Circulation Element.
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Item 6h
Figure 1: 50 Higuera Widening Project Vicinity Map
In 2014, staff applied for grant funding through the Caltrans Highway Safety Improvement
Program (HSIP), requesting funding to support a roadway widening project along a 600-
foot segment of Higuera Street between Bridge Street and just north of Elks Lane to
provide a dedicated center left-turn lane. The application was successful, and the City
was awarded $451,000 of federal funding to support the development of this project.
Since 2014, City staff have worked to advance construction plans and navigate through
a challenging right-of-way acquisition process with Caltrans. There was considerable
negotiation with the State regarding extents of right-of-way needs, the ownership of the
area and determining which state entity had authority to relinquish the property (Caltrans
itself or California Department of General Services), and by what means. After an
extended effort by both City and Caltrans staff, that property relinquish ment was finally
approved in 2024, which includes City acquisition of the following real estate interests to
support construction of the project:
7,071 sq. ft. permanent roadway easement
1,188 sq. ft. permanent pedestrian/sidewalk easement
5,542 sq. ft. temporary construction easement
The complicated right-of-way acquisition process, staff turnover for both Caltrans and the
City, and complicated utility relocations caused lengthy delays, but construction plans and
specifications and utility coordination efforts have been completed in order to advance to
construction at this time.
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Item 6h
Background on the S. Higuera Street Widening – Fontana to Chumash Project
The S. Higuera St Widening – Fontana to Chumash Project, Spec. No. 2091610, was
originally programmed in the 2017-19 Financial Plan with the intent of connecting the
City’s right-of-way along the segment of S. Higuera Street between Fontana Avenue and
Chumash Drive and extending the existing sidewalk and bike lane across two properties:
2963 and 2995 S. Higuera Street. A 5 -foot roadway easement, 2-foot pedestrian
easement, and 2-foot temporary construction easement were needed across 2963 and
2995 S. Higuera Street to complete this work.
Figure 2: S. Higuera Street Widening – Fontana to Chumash
In addition to the easements needed across these two properties, additional efforts were
needed to execute a 5-foot street easement and 2-foot pedestrian easement across the
frontage 3021 S. Higuera Street. This property had previously re -developed, and installed
a sidewalk, driveway, and bus stop in accordance with City requirements, but neglected
to dedicate the appropriate right-of-way for public street purposes. Under this project, staff
successfully acquired a 5-foot street easement dedication from the current property
owners, and procured an additional 2-foot pedestrian easement at cost to match adjacent
City right-of-way width should the City wish to redevelop the frontage.
The City has engaged in good faith negotiations with each respective property owner
since 2020 under authorization from City Council and have undergone several iterations
of negotiations with each respective property owner through our right of way acquisition
consultant, each one unsuccessful. At this time, City staff and the City’s right of way
consultants believe that further negotiations would not result in the City’s acquisition of
the necessary right-of-way.
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Item 6h
Staff no longer believe that continued use of staff time and funds to continue with right of
way negotiations is an effective use of the budgeted TIF funds. Staff have identified the
50 Higuera Widening Project, Spec. No. 2091294 as having potential for utilizing the
remaining Transportation Impact Fee (TIF) funds for construction, as it is both ready to
construct and eligible for use of the TIF funds. The S. Higuera Widening – Fontana to
Chumash project currently has an available balance of $252,327.50. Should negotiations
remain stagnant, staff recommend that the Council authorize the Finance Director to close
this Capital Project and transfer all remaining funds to the 50 Higuera Widening Project.
The effect of this recommended action is further discussed below.
Relationship to the Higuera Complete Streets Project
A separate, but related City capital improvement project is also currently in design for this
segment of Higuera Street, the Higuera Complete Street Project. The project includes
roadway pavement maintenance, pedestrian curb ramp upgrades, traffic signal upgrades,
buffered and protected bikeways, and other bicycle and pedestrian crossing
improvements along the full extent of Higuera Street between Marsh Street and Los Osos
Valley Road. Within the vicinity of the 50 Higuera Widening Project and the S. Higuera St
Widening Project, the Complete Street Project proposes striping modifications to provide
a three-lane roadway configuration (one traffic lane each direction and a continuous
center turn lane) from just south of Bridge Street to north of Margarita Avenu e, which
allows for increased separation between motor vehicle traffic and people walking and
bicycling, including addition of protected bike lanes. The 50 Higuera Widening Project,
which is planned to be constructed ahead of the Complete Street Project, will not only
provide the additional street width needed to add a center turn lane, but will provide
additional width needed to implement protected bike lanes at this location with the
Complete Street Project, consistent with the recommendations of the City’s Active
Transportation Plan and Draft Vision Zero Action Plan. The 50 Higuera Widening Project
is anticipated to complete construction prior to initiating construction of the Higuera
Complete Street Project.
Discontinuing right of way acquisition and construction of widening of S. Higuera Between
Fontana and Chumash does not impact the Higuera Complete Streets Project. All work
for Higuera Complete Streets remains within City Right of Way at the location of widening
and is not impacted by the recommended action to close the Fontana to Chumash project
and reallocate funding, since the S. Higuera Widening between Fontana to Chumash was
not expected to be constructed prior to the Higuera Complete Streets Project .
Previous Council or Advisory Body Action
SLOCOG Cooperative Agreement
As noted above, on October 20, 2020, the City Council adopted a resolution approving
the original SLOCOG Cooperative Agreement (No. SLO-FAST-01), and the City Manager
approved the first amendment to this agreement on March 10, 2022.
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Item 6h
50 Higuera Widening Project
On February 15, 2023, the City Council met in Closed Session to discuss price and terms
related to property acquisition efforts for the road widening project.
During the regular Council meeting of October 17, 2023, City Council adopted Resolution
No. 11454 (2023 Series), formally authorizing the purchase of the required easements
from Caltrans needed to construct the proposed project.
Public Engagement
Opportunities for public input regarding plans to widen Higuera Street between Bridge
Street and Elks Lane were provided as part of the 2014 General Plan L and Use and
Circulation Element (LUCE) Update, as part of the Mid-Higuera Enhancement Plan, and
with approval of capital improvement project funding appropriations through several
recent City Financial Plans. This specific item was on the Council Agenda for the October
17, 2023, meeting to transfer the property required for the project.
The original SLOCOG Cooperative Agreement was included on the Council Agenda for
the October 20, 2020, meeting and included all required postings and notifications.
This item is the final opportunity for the public to provide input on the 50 Higuera Widening
Project prior to implementation and will follow all required postings and notifications. The
public may have an opportunity to comment on this item at or before the meeting.
CONCURRENCE
This staff report has been reviewed and has concurrence from the Public Works
Department, including the City Engineer, Finance Department, City Attorney’s Office and
City Administration.
ENVIRONMENTAL REVIEW
SLOCOG Cooperative Agreement
The California Environmental Quality Act (CEQA) does not apply to the recommended
action in this report because the action does not constitute a “Project” under CEQA
Guidelines Section 15378. The individual projects funded with grant funds administered
under the Cooperative Agreement will include the necessary environmental reviews and
studies prior to implementation.
50 Higuera Widening Project
Both California Environmental Quality Act (CEQA) and National Environmental Policy Act
(NEPA) environmental review have been completed for the 50 Higuera Widening project.
The project was determined to be Categorically Exempt per CEQA Guidelines Section
15301 (Class 1 Exemption – Existing Facilities), and a Notice of Exemption has been filed
with the County Clerk’s Office. Caltrans, assuming responsibility as lead agency for
environmental review pursuant to NEPA for federally funded projects in California,
determined that the project would not pose any significant impacts on the environment,
approving a Categorical Exclusion (CE) in 2014. No substantial changes to the project,
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Item 6h
project area, or circumstances of the project have occurred that would require further
environmental review.
Higuera Widening – Fontana to Chumash
The California Environmental Quality Act (CEQA) does not apply to the recommended
action in this report to terminate/defer this project, because the action does not constitute
a “Project” under CEQA Guidelines Section 15378. It should also be noted that
implementation of this project is not required to satisfy any formal environmental
mitigation requirements for any previously approved development or infrastructure
projects.
FISCAL IMPACT
Budgeted: Yes Budget Year: 2024-25
Funding Identified: Yes
Fiscal Analysis:
SLOCOG Cooperative Agreement
Table 2 – Fiscal Impact Summary for SLOCOG Cooperative Agreement
Funding Sources Request* Annual Ongoing Cost
State – SLOCOG RSHA Grant $1,185,000
State – SLOCOG USHA Grant $552,000
State – SLOCOG REAP Grant $1,414,910
Net Total $3,150,910
Funding Use
50 Higuera Widening (Bridge to Elks)
Spec. No. 2091294 $150,000**
Higuera Complete Street Project
Spec. No. 2001057 $3,001,910
Net Total $3,150,910
*Current funding request reflects net new grant funding authorized with Cooperative Agreement,
Amendment 2 only.
**As noted in Table 1, a total of $690,000 in USHA funds have been approved by SLOCOG for
the 50 Higuera Widening project in total. $540,000 of these funds were already appropriated to
the project account during the 2023-24 financial planning period. The remaining $150,000 is
now recommended to be appropriated to the project account.
There is no direct fiscal impact associated with executing the amended Cooperative
Agreement itself. By executing the amended agreement, the City would be able to
appropriate additional funding and receive reimbursement for the following:
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Item 6h
$690,000 total approved for expenditure and reimbursement for the 50 Higuera
Widening (Bridge to Elks) Project (Spec. No. 2091294)
o As noted in the financial tables above, $540,000 of this funding has already
been appropriated to the project account. A net new appropriation of $150,000
to the project account can now be applied.
$3,001,910 for the Higuera Complete Street Project (Spec. No. 2001057)
As mentioned above, the previous Council Action in approving the existing Cooperative
Agreement authorizes the Finance Director to appropriate new funds administered under
this Cooperative Agreement. If the amended agreement is not executed, the City would
risk forfeiture of the abovementioned funding.
50 Higuera Widening Project
The 50 Higuera Widening project account (No. 2091294) currently has $546,519 in
available funding, including $5,660 from the General Fund (Capital Outlay), $859 from
Citywide Transportation Impact Fees, $540,000 in Urban State Highway Account (USHA)
grant funds administered through SLOCOG, and $67,500 in remaining federal funding
from the Caltrans HSIP Grant. Note that the remaining HSIP grant funding can be used
for pre-construction utility relocation activities only and is not available to use towards
construction of the project. Staff is discussing with Caltrans to explore the possibility of
using any remaining funds that are not spent on utility relocations to reimburse the City
for previous local funds used for right-of-way acquisition.
To fully fund construction of the 50 Higuera Widening project, staff is recommending
Council appropriate $150,000 in unprogrammed SLOCOG USHA funds to the project
account (described in SLOCOG discussion above) and transfer $22,600 in General Fund
(LRM) funds from the New Streetlights CIP Account (No. 2001016) to support the
installation of new streetlights as part of the project.
These transfers bring the total project funding to $719,119, which is expected to be
sufficient to fund construction of the project, including direct construction costs,
contingencies, and other support costs such as materials testing and consultant
construction engineering support. The engineer’s estimate for direct construction costs,
excluding contingencies, is $611,697.
Staff have notified the property owners of 2963 & 2995 S. Higuera Street of the intent to
recommend that Council defund the project based on stalled negotiations and invited the
property owners to provide comment on this agenda item should they wish to proceed
with negotiations. If no correspondence is received or negotiations re main stalled
following the notice, the Finance Director will close the project account for S. Higuera
Widening – Fontana to Chumash, based upon the authority delegated by Council via the
recommendation of this report. Upon closure of the project, that available project balance
of $252,327.50 (Citywide TIF) may be used for construction contingency for the 50
Higuera Widening project. If closure occurs in advance of the 50 Higuera Widening project
award, the funding would be utilized for construction contract costs, since TIF
expenditures are more restricted than USHA funds.
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Item 6h
The tables below summarize the project costs and funding resources.
Table 3 – Fiscal Impact Summary for 50 Higuera Widening Project
Funding Sources
Total Budget
Available
Current Project
Funding Request
Remaining
Balance
Annual
Ongoing
Cost
50 Higuera
Widening Project
Account No
2091294: General
Fund (Capital
Outlay)
$5,660 $5,660 $0 $
Transfer from New
Streetlights Project
Account No.
2001016: General
Fund (LRM)
$118,939 $22,600 $96,339
Project Account
No. 2091294:
Regional
(SLOCOG USHA
Grant)
$540,000
(Existing)
+
$150,000
(New
Appropriation)
$690,000 $0
50 Higuera
Widening Project
Account No.
2091294:
Citywide TIF
$859 $859 $0
S. Higuera St
Widening –
Fontana to
Chumash Project,
Spec. No.
2091610
Citywide TIF
$252,327 $252,327 $0
Other:
Total $1,067,785 $971,446 $96,339 $
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Item 6h
Table 4 – Detailed Cost and Funding Summary for 50 Higuera Widening Project
50 Higuera Street Widening, 2091294
50 Higuera Widening Account
New
Streetlight
Account
Project Total Costs
(2091294) (2001016)
General
Fund Regional Citywide
Traffic
Impact Fee
(TIF)
General Fund
Capital
Outlay (SLOCOG) Capital Outlay
USHA Grant LRM
Project Costs
Construction
Estimate $3,019 $589,098 $22,600 $611,697
Contingencies (15%) $87,902 $87,902
Construction Costs $3,019 $589,098 $22,600 $702,619
Materials Testing $2,141 $859 $3,000
Printing & Advertising $500 $500
Construction
Engineering $13,000 $13,000
Total Project Costs
$5,660 $602,098 $88,761 $22,600 $719,119 (Construction +
Support Costs)
Project Funding
Current Balance $5,660 $540,000 $859 $118,939 $665,458
Additional Funding
Requested $150,000 $252,327* $22,600 $424,927
Total Project Funding $5,660 $690,000 $253,186 $22,600 $971,446
Remaining Balance $0 $87,902 $165,284 $96,339
*Recommended funding from S. Higuera – Fontana to Chumash.
ALTERNATIVES
SLOCOG Cooperative Agreement
1. Council could deny the request to execute amended SLOCOG Cooperative
Agreement. The City Council could choose to deny the request to execute the
amended SLOCOG Cooperative Agreement at this time. This action would risk
forfeiture of approximately $3.69 million in funding for the 50 Higuera Wideni ng (Bridge
to Elks) and Higuera Complete Street projects, delaying each project indefinitely.
2. Council could decide not to approve the advertisement of the 50 Higuera Street
Widening Project. This action would delay this project, incurring additional cost
escalation and need to pay additional funds to Caltrans to extend temporary
construction easements. Further, this would risk delaying the Higuera Complete Street
projects, which would subject that project to additional cost escalation and potential
risk of forfeiting approximately $9 million in outside grant funding.
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Item 6h
3. Council could decide not to approve the discontinuation of the S. Higuera Street
Widening Project – Fontana to Chumash. Council could continue to keep the
project funded for negotiation. However, Staff no longer believe that continued use of
staff time and project budget to continue with right of way negotiations is an effective
use of the budgeted TIF funds. Once the property owners are noticed of the
discontinuation of the project, those funds could be available as contingency funds for
the 50 Higuera Widening project.
ATTACHMENTS
A - SLOCOG Cooperative Agreement (SLO-FAST-01), Amendment 2.
B - Project Plans (Specification No. 2091294)
C - Project Specifications (Specification No. 20191294)
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SLOCOG RSTP Exchange/STBG General Cooperative Agreement page 1
San Luis Obispo Council of Governments
Agreement No. SLO-FAST-01, Amendment 2
RSTP EXHANGE/STBG COOPERATIVE AGREEMENT
THIS AGREEMENT, ENTERED INTO ON THE DATE BELOW STATED is between the San Luis
Obispo Council of Governments, referred to herein as "SLOCOG", and the
CITY OF San Luis Obispo
a municipal corporation and
political subdivision of the
State of California, referred
to herein as the "CITY".
RECITALS
WHEREAS, SLOCOG and the CITY are authorized, pursuant to requirements of the Fixing
America’s Surface Transportation (FAST Act), FAST Act § 1109(a), to enter into a Cooperative
Agreement for any transportation purpose within the CITY; and
WHEREAS, The FAST Act’s Surface Transportation Block Grant Program (STBGP)
acknowledges that this program has the most flexible eligibilities among all Federal-aid highway
programs and aligns the program’s name with how FHWA has historically administered it; and
WHEREAS, the SLOCOG Board approved allocation of regional Surface Transportation Block
Grant Program (STBGP) funds for the projects identified on the attached Table 1 (summary table)
and the STBGP Program continues all prior Surface Transportation Program (STP) eligibilities
(see in particular 23 U.S.C. 133(b)(15), as amended); and
WHEREAS, each of the individual projects identified in Table 1 are herein referred to as
“PROJECT” or jointly as “PROJECTS”; and
WHEREAS, SLOCOG intends to exchange its apportionment of Federal Surface
Transportation Block Grant Program (STBGP) funds for non-federal Regional Surface
Transportation Exchange (RSTP Exchange) funds for the PROJECTs, thereby eliminating the
non-federal fund match requirement and compliance with the National Environmental Policy Act
(NEPA); and
WHEREAS, all applicable laws, regulations, and policies relating to the use of Regional Surface
Transportation Program Exchange (RSTP Exchange) funds for the PROJECTs, shall apply
notwithstanding any other provisions of this Agreement; and
WHEREAS, all obligations of the CITY under the terms of this Agreement are subject to funding
appropriation by the Legislature, and the receipt and allocation of funding by SLOCOG; and
NOW, THEREFORE, in consideration of the above noted findings and considerations, the
parties agree as follows:
1) The CITY agrees to administer each PROJECT and conduct the applicable environmental
process required under the California Environmental Quality Act (CEQA) for each PROJECT.
2) The CITY agrees to advertise, open and review bids, and to award the contract for each
applicable PROJECT (or combination of projects) as needed, in accordance with State laws
and City policy.
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SLOCOG RSTP Exchange/STBG General Cooperative Agreement page 2
3) The CITY agrees that all phases of each PROJECT will be developed in accordance with
policies, procedures, practices, standards, regulations, and laws that apply to the CITY,
Caltrans (where appropriate), and SLOCOG General Programming Requirements, the 2016
Annual Exchange Agreement and subsequent STBGP annual exchange agreements
between SLOCOG and the State of California (Department of Transportation). If in the
judgment of SLOCOG a project may impact a street, road or highway owned or controlled by
a jurisdiction other than CITY (including without limitation the County, another city, or the State
of California), SLOCOG may require the CITY to establish a project development team (PDT)
composed of representatives of such jurisdictions, as well as SLOCOG.
4) The CITY agrees to construct each PROJECT in accordance with the plans and specifications
of the CITY (and Caltrans when PROJECT involves state highway facilities), and in
accordance with the conditions of funding adopted by SLOCOG.
5) The CITY agrees to maintain the facilities constructed, improved, or otherwise modified.
6) The CITY agrees to utilize, for each PROJECT, an amount of Regional or Urban RSTP
Exchange funds equal to or less than that adopted by SLOCOG, and that SLOCOG’s total
obligation shall not exceed the amounts shown in Table 1 unless a greater amount has been
authorized in advance in writing by SLOCOG.
7) The CITY agrees to account for all costs for the PROJECTS to be paid by SLOCOG pursuant
to this Agreement and agrees to perform all the reimbursable work for each project according
to the billing period identified in the project summary sheets.
8) After the opening of bids on applicable PROJECTS, the CITY shall notify SLOCOG of any
cost overruns or underruns to the original cost estimate. The following will be assumed and
reflected in SLOCOG's RSTP Exchange accounting spreadsheets:
a) If less funding than what was programmed is required for a PROJECT, the cost savings
will be made available for reprogramming into another CITY project as approved by
SLOCOG.
b) If more funding than what was programmed is required for a PROJECT, the CITY will be
solely responsible for providing the additional funding, which can be comprised of various
non-regional funding sources, including cost savings from other CITY RSTP Exchange
projects.
9) The CITY may submit an invoice for reimbursement of funds expended for each PROJECT
no more than once a month, using the attached Reimbursement Request Form (Exhibit A).
All Payments will be prorated between CITY and SLOCOG based on the agreed percentages
of funding, as adopted by SLOCOG and listed on each project summary sheet. All invoices
must contain the following:
a) RSTP Exchange PROJECT number and name
b) A brief description of work accomplished during the billing period.
c) A copy of the consultant’s bill to the CITY (if applicable).
d) Amount expended by the CITY during the billing period, with evidence of funds expended
(e.g. a copy of a CITY check to consultant or accounting documentation, etc.)
e) Amount requested for reimbursement for the billing period
10) SLOCOG agrees to reimburse the CITY within 30 days of receipt of a completed
reimbursement request form (Exhibit A) with all applicable attachments and signatures or as
funds become available on a “1st come, 1st served” basis, an amount expended by the CITY
during the invoices' billing period less the aforesaid proration. If a PROJECT receives both
Regional and Urban Regional Surface Transportation Exchange funding (referred to in
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SLOCOG RSTP Exchange/STBG General Cooperative Agreement page 3
Exhibits hereto as “Regional” and “Urban” respectively), reimbursements shall be made on a
pro rata basis from each source for SLOCOG’s share. SLOCOG's total obligation for each
PROJECT cost shall not exceed the amount shown in Table 1,” unless SLOCOG has in
writing authorized a greater amount per adopted SLOCOG policy.
11) Within two months of either the execution of this agreement or each PROJECT’s completion
and all work incidental thereto, whichever comes later, the CITY must provide SLOCOG
certification in the form provided in Exhibit B hereto, of completion in accordance with the
provisions in this Agreement, and a final invoice containing those items listed above. In the
event that final project costs are less than those listed on Table 1, hereto, the funds shall be
reallocated in accordance with SLOCOG RSTP Exchange policy Exhibit C.
12) If this project has been paid for either entirely, or in part with Regional RSTP Exchange funds,
and CITY, or any of its officials, chooses to publicly memorialize participation in said project,
then CITY shall also memorialize SLOCOG’s financial participation in said project in a manner
agreeable to SLOCOG. This paragraph shall apply to, but is not limited to, signage during
construction, representation at dedications and placement of plaques or other objects of
memorialization, whether at or near the project site or not.
13) The CITY grants to the State of California and/or SLOCOG access to the CITY's books and
records for the purpose of verifying that RSTP Exchange funds paid are properly accounted
for and the proceeds are expended in accordance with the terms of this Agreement. All
documents shall be available for inspection by authorized Caltrans and/or SLOCOG agents
at any time during the PROJECT development and for a four-year period from the date of
completion, or for one year after the audit is completed or waived by Caltrans and/or
SLOCOG, whichever is later.
14) Upon completion of all work under this Agreement, ownership and title to all materials will
automatically be vested in the CITY and no further agreement will be necessary to transfer
ownership to the CITY.
15) If existing public and/or private utilities conflict with the PROJECT construction or violate the
CITY’s encroachment policy (as applicable), the CITY shall make all necessary arrangements
with the owners of such utilities for their protection, relocation or removal. The CITY shall
review the plans for protection, relocation or removal. If any protection, relocation or removal
of utilities is required, such work shall be performed in accordance with CITY policies and
procedures.
16) The CITY shall defend, indemnify and save harmless SLOCOG, its officers and employees
from all and any claims, demands, damages, costs, expenses, judgments, attorneys’ fees or
any liability arising out of this Cooperative Agreement to the performance or attempted
performance of the provisions hereof, or any project referred to in the Exhibits hereto. Nothing
contained in the foregoing indemnity provision shall be construed to require CITY to indemnify
SLOCOG against any responsibility of liability in contravention of Civil Code section 2782-
2782.8.
17) If the CITY transfers its risk connected with design or construction of this project to
independent contractors, CITY agrees to use its best efforts to obtain the independent
contractor’s inclusion of SLOCOG as an indemnitee and in any insurance procured by such
independent contractor(s) for the project, to name SLOCOG as an additional insured.
18) Both the CITY and SLOCOG shall designate a Project Coordinator who shall represent the
respective agencies and through whom all communications between the parties to this
agreement shall occur.
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SLOCOG RSTP Exchange/STBG General Cooperative Agreement page 4
19) Both parties agree that if, in the course of carrying out the PROJECT, there is a disagreement
among the Project Coordinators over the direction of the project, the matter will be forwarded
through a three step conflict resolution process. First, resolution will be attempted between
the CITY Manager and SLOCOG Executive Director. If a dispute continues, a determination
shall be made by the SLOCOG Executive Committee, and, if required, final determination by
the full SLOCOG Board.
20) Nothing in the provisions of this Agreement is intended to create duties, obligations, or rights
for third parties not signatories to this Agreement or affect the legal liability of either party of
the Agreement by imposing any standard of care with respect to the maintenance of local
roads different from the standard of care imposed by law.
21) No alteration or variation of the terms of this Agreement shall be valid unless made in writing
and signed by the parties thereto, and no oral understanding or agreement not incorporated
herein or in the attached Table 1 shall be binding on any of the parties thereto.
22) This Agreement may be terminated or provisions contained therein may be altered, changed,
or amended by mutual consent, in writing, of the parties hereto.
23) Prior to award of a contract for any PROJECT, SLOCOG may terminate the applicable
PROJECT in the Cooperative Agreement by written notice, provided SLOCOG pays the CITY
for all PROJECT-related costs reasonably incurred by the CITY prior to termination. Also,
prior to award of a contract for any PROJECT, the CITY may terminate the applicable
PROJECT in the Cooperative Agreement by written notice, provided the CITY pays SLOCOG
for all costs reasonably incurred by SLOCOG prior to termination.
SIGNATURES:
CITY OF SAN LUIS OBISPO SAN LUIS OBISPO COUNCIL OF
GOVERNMENTS
By: _____________________________ By: ________________________________
Whitney McDonald, City Manager Peter Rodgers, Executive Director
Date: ___________________________ Date: _____________________________
ATTEST:
By: ____________________________________
Teresa Purrington, City Clerk
APPROVED AS TO FORM AND LEGAL EFFECT:
By: ______________________________ By:________________________________
Christine Dietrick, City Attorney Nina Negranti, SLOCOG Counsel
Date: _____________________________ Date: _____________________________
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SLOCOG RSTP Exchange/STBG General Cooperative Agreement page 5
TABLE 1
CITY OF SAN LUIS OBISPO PROJECTS
for
Agreement No. SLO-FAST-01, Amendment 2
SLOCOG# Program Project Name Programmed Balance
*SMAPSL02R RSHA
Railroad Safety Trail -
Taft to Pepper Segment
- ATP-5016(057)
$300,000 $300,000
*SMAPSL03R RSHA
Signal & Intersection
Improvements Citywide
(Tank Farm/Orcutt
Roundabout)
$370,000 $370,000
SMAPCG27R RHSA
SAFE Parking
Assistance –
Unsheltered Homeless
$40,000 $0
**SMAPSLO04R RSHA
Community
Betterments Cycle 1
(Higuera Complete
Street Project)
$703,000 $703,000
**SMAPSLO05R RSHA
Community
Betterments Cycle 2
(Higuera Complete
Street Project)
$482,000 $482,000
*SMAPSLO1U USHA
USHA - City of SLO
(FY 13/14 - 20/21)
(Tank Farm/Orcutt
Roundabout Project)
$1,430,000 $994,670
**SMAPSLO1U USHA
USHA - City of SLO
(FY 21/22 – 26/27)
(50 Higuera Widening
Project HSIPL 5016
(053))
$690,000 $690,000
**SMAPSLO1U USHA
USHA - City of SLO
(FY 21/22 – 26/27)
(Higuera Complete
Street Project)
$402,000 $402,000
**REAP 2.0-SLO REAP Higuera Complete
Street Project $1,414,910 $1,414,910
SMAPCG04R SRTS
Cycle 2
Ramona to Foothill
SRTS Path (Anholm
Phase 1) SRTS Cycle 2
$100,000 $0
*SMAPCG04R SRTS
Cycle 3
Anholm Neighborhood
Greenway Phase 1B $200,000 $200,000
Total $6,131,910 $5,556,580
*Project complete, reimbursement in progress as of 3/4/2025.
**New allocation added with SLO-FAST-01, Amendment 2. Note that City’s internal accounting shows that
$540,000 of this $690,000 has already been approved by SLOCOG Board and programmed in the City’s
capital improvement program budget, but approval these fund have not yet been captured in the SLO -
FAST-01 Cooperative Agreement for reimbursement and no funds have been expended to date.
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SLOCOG RSTP Exchange/STBG General Cooperative Agreement page 6
EXHIBIT A
San Luis Obispo Council of Governments
Regional Surface Transportation Program Exchange (RSTP Exchange)
REIMBURSEMENT REQUEST FORM
Agency Name: Date:
Contact Person:
Project Number(s): Regional: Urban:
Project Title:
This Invoice Covers Work Completed from: / / to: / /
Project Budget Information: (complete box below - refer to cooperative agreement
“Table 1” for budget information)
Total SPENT This invoice -$ When using electronic format: fill in unshaded areas only
Regional Urban
Other Sources
Non Regional
TOTAL
(must equal 100%)
Reimbursement Rate by Fund
Source (must be consistent with Exhibit
A Project Sheet)
0%
Pro-rata Reimbursement by
Funding Source
(Regional/Urban)
-$ -$ -$ -$
Please send a check for $
Total RSTP Exchange share due this invoice (total of heavier shaded
boxes above)
Attachments: 1) A brief description of work completed; and
2) Consultant invoices
3) Proof of payment (e.g. copy of City check to consultant).
Signed:
(Agency Rep.)
Shaded boxes below for SLOCOG Use
Regional Planner Approval Accounting Initials
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SLOCOG RSTP Exchange/STBG General Cooperative Agreement page 7
EXHIBIT B
PROJECT COMPLETION FORM
for
RSTP Exchange Projects
This form notifies SLOCOG of project completion in accordance with the provisions in the Cooperative
Agreement noted below. Our records indicate that the project listed below, funded all or in part with RSTP
Exchange funds, has been completed:
Project Name:
Project Number(s):
Cooperative Agreement Date (Recipient Agency):
Approved RSTP amount:
I certify, on behalf of the City/County
name of authorized official
of , that the project named above was completed
name of jurisdiction
on_____________________ in accordance with the provisions set forth in the cooperative
approximate date of completion
agreement dated ___________________________. It is my understanding that all savings
date jurisdiction representative signed
from a cost underrun will be returned to for
City/County or SLOCOG
reprogramming in accordance with the cooperative agreement.
Signed: Date:
signature of authorized official date signed
Return completed and signed Project Completion Forms within 2 months of the completion of each project
to:
SLOCOG
1114 Marsh Street
San Luis Obispo, CA 93401
Attn: Stephen Hanamaikai
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SLOCOG RSTP Exchange/STBG General Cooperative Agreement page 8
EXHIBIT C
Project Eligibility by Fund Program - Project eligibility requirements by funding program are
summarized below.
I. Regional Surface Transportation Program. The Surface Transportation Program (STP)
provides flexible funding that may be used by States and localities for projects to preserve
and improve the conditions and performance on any Federal-aid highway, bridge and tunnel
projects on any public road, pedestrian and bicycle infrastructure, and transit capital
projects, including intercity bus terminals. SLOCOG’s 2014 RTP will provide guidance on
priority routes for regional funding consideration.
The STP program supports national performance goals as defined in FAST-Act, but there
are no measures tied specifically to this program. Eligible costs for funds under these
programs include pre-project initiation documents (Pre-PID), project study reports (PSR),
preliminary engineering (PE), right-of -way acquisition (RW), capital costs, and construction
costs associated with an eligible activity.
Eligible Project Activities:
Construction, reconstruction, rehabilitation, resurfacing, restoration, preservation, or
operational improvements for highways, streets, and roads; bikeways and other surface
transportation improvements.
Replacement, rehabilitation, and preservation of bridges on any public road, including
construction or reconstruction necessary to accommodate other modes.
Construction of new bridges on a Federal-aid highway.
Capital costs for transit projects eligible for assistance under chapter 53 of title 49,
including vehicles and facilities used to provide intercity passenger bus service.
Carpool projects, fringe and corridor parking facilities and programs, including electric
and natural gas vehicle charging infrastructure, bicycle transportation and pedestrian
walkways, and ADA sidewalk modification.
Highway and transit safety infrastructure improvements and programs, installation of
safety barriers and nets on bridges, hazard eliminations, mitigation of hazards caused by
wildlife, railway-highway grade crossings.
Highway and transit plans research and development.
Capital and operating costs for traffic monitoring, management and control facilities and
programs, including advanced truck stop electrification.
Surface transportation planning.
Transportation Alternatives; newly defined, includes most transportation enhancement
eligibilities with the exception of landscaping.
Transportation control measures (e.g. as defined by region’s APCD Clean Air Plan)
Development and establishment of transportation management systems.
Environmental mitigation efforts
Modifications to intersections with high accident rates or levels of congestion.
Infrastructure-based ITS capital improvements consistent with the Central Coast ITS
Implementation Plan.
Environmental restoration and pollution abatement.
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SLOCOG RSTP Exchange/STBG General Cooperative Agreement page 9
Control of noxious weeds and establishment of native species.
Congestion pricing projects and strategies, including electric toll collection and travel
demand management strategies and programs.
Recreational trails projects.
Construction of marine terminals.
Truck parking facilities.
Surface transportation infrastructure modifications within port terminal boundaries, only if
necessary to facilitate direct intermodal interchange, transfer, and access into and out of
the port.
Construction and operational improvements for a minor collector in the same corridor and
in proximity to an NHS route if the improvement is more cost-effective (as determined by
a benefit-cost analysis) than an NHS improvement and will enhance NHS level of service
and regional traffic flow.
Available Funding
Direct urban and rural apportionment up to minimum required equal to 110%, plus 15%,
of the FY 1990/91 allocation of Federal Aid Secondary (FAS) based upon 2010 census
data (initiated in 2015). Final apportionment tables will be developed for the August
2017 Board meeting.
Regional discretionary funds of $5.0M through FY 2021.
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SLOCOG RSTP Exchange/STBG General Cooperative Agreement page 10
EXHIBIT D
General Programming Policies - All Fund Programs
SLOCOG’s 2014 Regional Transportation Plan / Sustainable Communities Strategy identifies an
overall goal to develop a multi-modal transportation system which is balanced, coordinated, safe,
cost effective, environmentally sound, economically supportive, meeting all the financially
reasonable transportation needs of all citizens in San Luis Obispo County. General programming
policies affecting the decision making and project selection of the surface transportation system
are summarized as follows:
1. SLOCOG will strive to be fair and equitable in the allocation of funding between the various
subregions in the county and among member jurisdictions.
2. SLOCOG will adhere to the federal and state statutes, policies, regulations and guidelines
applicable to each fund being allocated, and require recipients of grants to do the same.
3. SLOCOG will recommend projects for funding that are:
Deliverable
Consistent with the goals, policies, and programs of the 2014 Regional Transportation
Plan
Regionally Significant
Responsive to immediate funding and project needs
Consistent with specific criteria of a particular funding program
High likelihood of leveraging other funding (state, federal and/or local)
4. SLOCOG will seek to implement all programs in a timely and efficient manner.
5. SLOCOG will seek to maximize the use of the funds for general public benefit, and will marshal
other funds when possible to complete funded projects by prioritizing joint-funded projects.
6. SLOCOG will integrate social equity factors in to the decision making process by applying the
findings generated from the Disadvantaged Communities Assessment that is now amended
in to the 2014 RTP/SCS.
7. SLOCOG will, to the extent feasible, assure the integration of all projects with jurisdiction,
region and statewide transportation plans, providing a comprehensive, systematic approach
to resolving transportation problems in the region.
8. SLOCOG will retain maximum flexibility of federal programs under FAST ACT, where feasible,
and will also seek to exchange Surface Transportation Block Grant Program (STBGP)
(federal) funds for Regional Surface Transportation Program (RSTP) Exchange (state) funds,
for reasons of cost efficiency and simplicity in administration. Through the RSTP Exchange
funds ultimately become (local) funds.
9. SLOCOG will retain a continuing commitment to emphasize quality and promote excellence
in the development of competitive proposals, seeking to fund the best possible projects in
terms of cost effectiveness, public benefit and regional and local significance.
10. SLOCOG will reserve discretionary funds for advance development work to ensure regionally
significant projects are well scoped, alternatives assessed, accurate estimates prepared, and
a finance plan for implementation is developed.
11. SLOCOG will reserve off-the-top funding for programs identified in the 2014 RTP/SCS,
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SLOCOG RSTP Exchange/STBG General Cooperative Agreement page 11
including Transportation Demand Management (i.e. Rideshare), Active Transportation
Partnership Program, Highway Safety Improvement Program and Safe Routes to School.
12. SLOCOG will maintain funding commitments for existing programmed projects as long as
those projects have achieved the project delivery milestones set out at the time of
programming. Unavoidable delays to the project delivery milestones will be considered on a
case by case basis.
13. SLOCOG will commit a portion of discretionary funding to match and leverage other
competitive state-wide grant programs (e.g. new SB1 programs, State of CA Active
Transportation Program, Highway Safety Improvement Program (HSIP) for projects of
regional significance.)
14. SLOCOG may consider using the above referenced fund sources to address surface
transportation needs as identified in the June 7th 2017 SLCOOG Board Staff Report item B-3
2018 RTIP Fund Assumptions Programming Approach - Table 2 Sections 1, 2, and 3, and
defer the programming of funds on needs identified in Section 4 (Other Multi-Modal Needs,
including bicycle, pedestrian, and public transit related needs).
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abbreviations
AB AGGREGATE BASE
AC ASPHALT CONCRETE
ADA AMERICAN DISABILITIES ACT
AP ANGLE POINT
BC BEGIN HORIZONTAL CURVE
BMP BEST MANAGEMENT PRACTICE
℄CENTERLINE
Cl CLASS
Conc CONCRETE
DIA. DIAMETER
EC END HORIZONTAL CURVE
Elev ELEVATION
EP EDGE OF PAVEMENT
Exist EXISTING
FG FINISH GRADE
FL FLOW LINE
FP FINISHED PAVERS
ft FOOT OR FEET
GR GRATE
HMA HOT MIX ASPHALT
HP HINGE POINT
INV INVERT ELEVATION
LF LINEAR FOOT
LT LEFT
MAX MAXIMUM
Min MINIMUM
NB NORTHBOUND
NTS NOT TO SCALE
O.D. OUTSIDE DIAMETER
OG ORIGINAL GROUND
(P) PROPOSED
PCC PORTLAND CEMENT CONCRETE
P/L PROPERTY LINE
P.O.S. POINT OF SERVICE
R RADIUS
RCP REINFORCED CONCRETE PIPE
RT RIGHT
R/W RIGHT OF WAY
SB SOUTHBOUND
SEG SUBGRADE ENHANCEMENT GEOTEXTILE
Sta STATION
STD STANDARD
SQFT SQUARE FOOT
SW SIDEWALK
TBC TOP BACK OF CURB
TBW TOP BACK OF SIDEWALK
TC TOP OF CURB
TCE TEMPORARY CONSTRUCTION EASEMENT
Var VARIES
TWLTL TWO-WAY LEFT TURN LANE
CITY OF SAN LUIS OBISPO
PROJECT PLANS FOR
50 HIGUERA STREET WIDENING
VICINITY MAP
N.T.S.
SAN
LUIS
PROJECT LOCATION MAP
1"=1000'
THE BASIS OF BEARINGS USED FOR THIS SURVEY IS THE LINE BETWEEN
FOUND CENTERLINE MONUMENTS ON SOUTH HIGUERA STREET FROM
THE CENTERLINE INTERSECTION OF BRIDGE AND SOUTH HIGUERA
STREETS SOUTH TO A 6.5' JOG AS SHOWN ON MAP RECORDED IN BOOK
103 OF LICENSED SURVEYS AT PAGES 17-18; THAT BEARING BEING S
01°37'00" W.
THE BASIS OF ELEVATIONS USED FOR THIS SURVEY IS THE CITY OF SAN
LUIS OBISPO BENCHMARK NO. 51-A BEING A LEAD AND TACK IN THE TOP
OF THE EASTERLY CURB OF SOUTH HIGUERA STREET OPPOSITE ELKS
LANE. THAT ELEVATION BEING 154.51' (NAVD 88).
1 8
APPROVED BY
SPECIFICATION NO.
FILE NO./LOCATION
DATE
OF
SHEET
Reference Documents:
City Standard Specifications - August 2020 Edition
City Engineering Standards - August 2020 Edition
1. IT SHALL BE THE RESPONSIBILITY OF THE CONTRACTOR OR
PERMITTEE TO CONTACT "UNDERGROUND SERVICE ALERT OF
NORTHERN CALIFORNIA" BY PHONE AT 8-1-1 FORTY-EIGHT (48) HOURS
PRIOR TO START OF CONSTRUCTION FOR LOCATION OF POWER,
TELEPHONE, OIL AND NATURAL GAS UNDERGROUND FACILITIES.
CONTRACTOR OR PERMITEE SHALL ALSO CONTACT THE
APPROPRIATE AGENCY FOR THE LOCATION OF CABLE T.V., WATER,
SEWER, DRAINAGE OR UNDERGROUND FACILITIES.
2. THE CONTRACTOR SHALL POSSESS A CLASS "A" LICENSE AT THE
TIME THE CONTRACT IS AWARDED.
3. ALL WORK SHALL BE PERFORMED IN CONFORMANCE WITH THESE
PLANS, SPECIAL PROVISIONS PREPARED FOR THIS PROJECT, AND
THE 2020 CITY OF SAN LUIS OBISPO STANDARD SPECIFICATIONS AND
ENGINEERING STANDARDS, IN CONJUNCTION WITH THE STATE OF
CALIFORNIA DEPARTMENT OF TRANSPORTATION STANDARD
SPECIFICATIONS AND STANDARD PLANS, 2015 EDITION (REVISED).
general notes:
basis of bearings:
san luis obispo county, california
Brian Nelson
City Engineer
2082T001
03/27/2025
benchmark:
2091294
CIP No. 2091294
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TITLE SHEET
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DEMOLITION PLAN
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Page 812 of 987
SPECIAL PROVISIONS
FOR
CITY OF SAN LUIS OBISPO
50 Higuera Street Widening
Specification No. 2091294
April 2025
PUBLIC WORKS DEPARTMENT
ENGINEERING DIVISION
919 Palm Street
San Luis Obispo, CA 93401
(805) 781-7200
Page 813 of 987
50 Higuera Street Widening
Specification No. 2091294
Approval Date: 4/15/2025
Rashod Gibson
12/20/2024
<<Signature Date>>
Page 814 of 987
TABLE OF CONTENTS
NOTICE TO BIDDERS .................................................................................................... A
BID SUBMISSION ..................................................................................................................................... A
BID DOCUMENTS .................................................................................................................................... B
PROJECT INFORMATION ........................................................................................................................ B
QUALIFICATIONS .................................................................................................................................... C
AWARD .................................................................................................................................................... D
ACCOMMODATION ................................................................................................................................. D
BID FORMS .................................................................................................................... E
BID ITEM LIST FOR HIGUREA STREET WIDENING ............................................................................. F
SPECIFICATION NO. 2091294 ................................................................................................................ F
LIST OF SUBCONTRACTORS ................................................................................................................ H
PUBLIC CONTRACT CODE SECTION 10285.1 STATEMENT ................................................................ I
PUBLIC CONTRACT CODE SECTION 10162 QUESTIONNAIRE ........................................................... I
PUBLIC CONTRACT CODE SECTION 10232 STATEMENT .................................................................. J
LABOR CODE SECTION 1725.5 STATEMENTS .................................................................................... J
NON-COLLUSION DECLARATION .......................................................................................................... K
BIDDER ACKNOWLEDGEMENTS ........................................................................................................... L
QUALIFICATIONS .................................................................................................................................... M
ATTACH BIDDER'S BOND TO ACCOMPANY BID ................................................................................. N
SPECIAL PROVISIONS .................................................................................................. 1
DIVISION I GENERAL PROVISIONS ....................................................................................................... 1
1 GENERAL ........................................................................................................................................... 1
4 SCOPE OF WORK ............................................................................................................................. 1
7 LEGAL RELATIONS AND RESPONSIBILITY TO THE PUBLIC ....................................................... 1
8 PROSECUTION AND PROGRESS ................................................................................................... 2
9 PAYMENT ........................................................................................................................................... 2
DIVISION II GENERAL CONSTRUCTION ............................................................................................... 3
12 TEMPORARY TRAFFIC CONTROL ................................................................................................ 3
15 EXISTING FACILITIES ..................................................................................................................... 4
20 LANDSCAPE AND IRRIGATION ..................................................................................................... 4
22 FINISHING ROADWAY .................................................................................................................... 4
DIVISION V SURFACINGS AND PAVEMENTS ....................................................................................... 4
39 ASPHALT CONCRETE .................................................................................................................... 4
DIVISION VIII MISCELLANEOUS CONSTRUCTION .............................................................................. 4
73 CONCRETE CURBS AND SIDEWALKS ......................................................................................... 4
77 LOCAL INFRASTRUCTURE ............................................................................................................ 6
Page 815 of 987
DIVISION IX TRAFFIC CONTROL DEVICES ........................................................................................... 6
84 MARKINGS ....................................................................................................................................... 6
DIVISION XIII APPENDICES .................................................................................................................... 7
APPENDIX A - FORM OF AGREEMENT
APPENDIX B - EXHIBIT 12-G: REQUIRED FEDERAL-AID CONTRACT LANGUAGE
Page 816 of 987
BID FORMS
A
NOTICE TO BIDDERS
BID SUBMISSION
Sealed bids will be received by the City of San Luis Obispo at the Public Works
Administration Office located at 919 Palm Street, San Luis Obispo, California 93401, until
2:00 p.m. on 05/01/2025
at which time they will be publicly opened and read aloud. Submit bid in a sealed envelope
plainly marked:
50 Higuera Street Widening, Specification No. 2091294:
Any bid received after the time and date specified will not be considered and will be
returned to the bidder unopened. Bids received by Fax or Email will not be considered.
By submission of bid you agree to comply with all instruction and requirements in this
notice and the contract documents.
All bids must be submitted on the Bid Item List form(s) provided and submitted with all
other Bid Forms included in these Special Provisions.
Each bid must be accompanied by either a:
1. certified check
2. cashier's check
3. bidder's bond
made payable to the City of San Luis Obispo for an amount equal to ten percent of the
bid amount as a guaranty. Guaranty will be forfeited to the City San Luis Obispo if the
bidder, to whom the contract is awarded, fails to enter into the contract.
The City of San Luis Obispo reserves the right to accept or reject any or all bids or waive
any informality in a bid.
All bids are to be compared based on the City Engineer's estimate of the quantities of
work to be done, as shown on the Bid Item List.
Bids will only be accepted from bidders that are licensed in compliance with the provisions
of Chapter 9, Division III of Business and Professions Code.
The award of the contract, if awarded, will be to the lowest responsive bid submitted by a
responsible contractor whose bid complies with the requirements prescribed. If the
contract is awarded, the contract will be awarded within 60 calendar days after th e
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.
Page 817 of 987
BID FORMS
BID FORMS
B
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
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
You are responsible to obtain all issued addenda prior to bid opening. Addenda will be
available to download at the City’s website listed above or at the office of the City
Engineer.
Contact the project manager, Bryan Wheeler at (805)781-7178 or bwheeler@slocity.org
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 widen the westside of Higuera Street within the project limits
to provide a separate center turn lane. Improvements include, but are not limited to,
roadway excavation and paving, removal of existing curb, gutter, sidewalk, and curb
ramps, and new curb, gutter, and sidewalk.
The project estimated construction cost is $611,697.
Contract time is established as 60 working days.
The fixed liquidated damages amount is established at $500 per day for failure to
complete the work within the contract time.
In compliance with section 1773 of the Labor Code, the State of California Department of
Industrial Relations has established prevailing hourly wage rates for each type of
workman. Current wage rates may be obtained from the Division of Labor at:
Page 818 of 987
BID FORMS
BID FORMS
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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.
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.
One referenced project must be for roadway paving within the public right of way.
Two referenced projects must be for curb, gutter, sidewalk and curb ramp
construction within the public right of way.
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.
Page 819 of 987
BID FORMS
BID FORMS
D
Protests must be filed no later than five working days after either:
1. bid opening date
2. notification of rejected bid.
Protest must be in writing and received by the project manager located at:
919 Palm Street
San Luis Obispo, CA 93401.
Valid protests must contain the following information:
1. the reasons for the protest
2. any supporting documentation
3. the ruling expected by the City to remedy the protest.
Any protest not containing all required information will be deemed invalid and rejected.
The City will consider additional documentation or other supporting information regarding
the protest if submitted in compliance to the specified time limits. Anything submitted after
the specified time limit will be rejected and not be considered.
The Director of Public Works or Designee may request additional information to be
submitted within three days of the request, unless otherwise specified, and will notify the
protester of ruling within ten days of determination.
If the protester is not satisfied with ruling, the protester may appeal the ruling to the City
Council in compliance with Chapter 1.20 of the City of San Luis Obispo Municipal Code.
Pursuant to the Public Records Act (Government Code, § 6250, et seq.), the City will
make public records available upon request.
AWARD
The lowest bidder will be determined in compliance with Public Contract Code Section
20103.8(c) with the Publicly Disclosed Funding Amount of $611,697 using the TOTAL
PROJECT BID.
As a condition to executing a contract with the City, two bonds each equal to one hundred
percent of the total contract price are required in compliance with Section 3-1.05 of the
Standard Specifications.
You may substitute securities for moneys withheld under the contract in compliance with
the provisions of the Public Contract Code, Section 10263.
ACCOMMODATION
If any accommodations are needed to participate in the bid process, please contact
Argelia Chang at (805) 781-7200 or by Telecommunications Device for the Deaf at (805)
Page 820 of 987
BID FORMS
BID FORMS
E
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:
1. the location of the proposed work
2. the plans and specifications
3. read the accompanying instructions to bidders
and propose to furnish all:
4. materials
5. labor
to complete all the required work satisfactorily in compliance with
6. plans
7. specifications
8. special provisions
for the prices set forth in the bid item list:
Page 821 of 987
BID FORMS
BID FORMS
F
BID ITEM LIST FOR HIGUREA STREET WIDENING
SPECIFICATION NO. 2091294
Item
No. SS(1) Item
Description
Unit of
Measure
Estimated
Quantity
Item
Price
(in
figures)
Total
(in
figures)
1 5 Relocate Survey Monuments LS 1 -
2
7,
12 Temporary Traffic Control LS 1 -
3 12 Portable Changeable Message Sign EA 2
4 13 Temporary Drainage Inlet Protection EA 1
5 13 Temporary Fence (Type Esa) LF 240
6 15 Remove Concrete (Miscellaneous) SQFT 191
7 15 Remove Fence LF 23
8 15 Excavate by hand adjacent to trees EA 4
9 15 Modify Brick Path LS 1 -
10 15 Adjust Existing Telephone Vault to Grade EA 2
11 15
Adjust Existing Water Vault Frame and Cover to
Grade EA 1
12 15 Replace Communications Vault EA 2
13 15 Adjust Valve Frame and Cover to Grade EA 4
14 15
Adjust Sanitary Sewer Manhole Frame and Cover to
Grade EA 1
15 17 Clearing And Grubbing LS 1 -
16 19 Roadway Excavation CY 588
17 20 Check And Test Existing Irrigation Facilities LS 1 -
18 20 Operate Existing Irrigation Facilities LS 1 -
19 20 Turf Restoration LS 1 -
20 21 Move-In/Move-Out (Erosion Control) EA 2
21 26 Class 2 Aggregate Base CY 431
22
9,
37,
94 Asphaltic Emulsion (Fog Seal Coat) SQYD 6400
23 39 Hot Mix Asphalt (Type A) SQFT 13850
24 39 Cold Plane Asphalt Concrete Pavement SQYD 190
25 77 Adjust Sewer Cleanout To Grade EA 2
26 9,73 Cross Gutter (City Std 4310) LS 416 -
27 73 Detectable Warning Surface (City Std 4440) SQFT 68
28 73 Minor Concrete (Curb And Gutter) - (City Std 4030) LF 480
29 73 Minor Concrete (Sidewalk) - (City Std 4110) SQFT 2084
30 73
Minor Concrete (Modified City Std 4110 Sidewalk
w/Rebar) SQFT 732
31 73
Curb Ramp 1 - S. Higuera St/Caltrans Driveway -
South Corner LS 1 -
32 73
Curb Ramp 2 - S. Higuera St/Caltrans Driveway -
North Corner LS 1 -
33 73 Remove Concrete Curb LF 363
34 73 Remove Concrete Sidewalk SQFT 3792
35 73 Remove Concrete (Curb And Gutter) LF 193
Page 822 of 987
BID FORMS
BID FORMS
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36 77
Relocate Exisiting Water Vaults and Fire Department
Connection LS 1 -
37 77 Relocate Irrigation System LS 1 -
38 77 Remove and Replace Fire Hydrant (City Std 6310) EA 2
39 82 Sign Panels LS 1 -
40 82 Punch Post (SLO Std Plan 7210) EA 5
41 84 Pavement Marker (Retroreflective) EA 146
42 84 Two-Component Paint Traffic Stripe LF 7800
43 84 Two-Component Paint Pavement Marking SQFT 249
44 84 Remove Thermoplastic Traffic Striping LS 1 -
45 84 Install Hydrant Reflectors (SLO Std Plan 7920) EA 4
46 86 Lighting System LS 1 -
Bid Total $
Company Name:
(1) refers to section in the Standard Specifications, with modifications in the Special Provisions, that describe required
work.
Page 823 of 987
BID FORMS
BID FORMS
H
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 n ot 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.
Page 824 of 987
BID FORMS
BID FORMS
I
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 beca use of a
violation of law or a safety regulation?
Yes No
If the answer is yes, attach a letter explaining the circumstances
Page 825 of 987
BID FORMS
BID FORMS
J
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.
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.
Page 826 of 987
BID FORMS
BID FORMS
K
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:____________________
Page 827 of 987
BID FORMS
BID FORMS
L
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
Page 828 of 987
BID FORMS
BID FORMS
M
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):
Does this project include Roadway
Paving within the Public Right of
Way? 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):
Does this project include Curb,
Gutter, Sidewalk, and Curb Ramp
Construction within the Public Right of
Way? 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):
Does this project include Curb,
Gutter, Sidewalk, and Curb Ramp
Construction within the Public Right of
Way? 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 □
Page 829 of 987
BID FORMS
BID FORMS
N
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)
Page 830 of 987
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 St andard
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. Higuera Street Widening Special Provisions
2. City of San Luis Obispo Standard Specifications and Engineering Standards –
2020 edition
3. State of California, Department of Transportation Standard Specifications and
Standard Plans – 2015 edition
4. 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
4 SCOPE OF WORK
Add to Section 4-1.03 WORK DESCRIPTION:
Comply with the provisions of Sections 12, 13, 15, 17, 19, 20, 26, 39, 73, 77, 82, 84 and
86 for general, material, construction, and payment specifics.
7 LEGAL RELATIONS AND RESPONSIBILITY TO THE PUBLIC
Add to Section 7-1.03 PUBLIC CONVENIENCE
All entrances and exits to the Caltrans facility shall be accessible for emergency access
at all times. Any other closure of access point shall be approved by Caltrans point person
(Identified at pre-job meeting) and notice shall be given 72 hours in advance of any
closures.
Page 831 of 987
SPECIAL PROVISIONS
SPECIAL PROVISIONS
2
Provide ADA compliant ingress and egress to the main lobby that includes 4 -main
offices and a public access point at all times throughout construction.
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.
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.
CHANGEABLE MESSAGE SIGNS
Two (2) changeable message signs (CMS) must be installed and operational 1 week
prior to the start of construction and be maintained throughout the duration of the project
at locations approved by the Engineer upon review of the submitted Traffic Control P lan.
Changeable message sign shall be programmed for two flashes with the messages to
be approved by the Engineer.
MAINTAIN CALTRANS DRIVEWAY ACCESS
Work at driveway near STA 14+50 shall maintain entry and exit access during
construction. Flagger shall be utilized as necessary. Ensure a minimum 25’ width of
access in and out of the driveway for large vehicles. If less than 25’ is needed for any
phase of construction, you will need approval from (point person at Caltrans) and notice
shall be given 72 hours in advance of any closures.
WATER SHUTOFF
Any work which necessitates the turn-off of potable water shall be done between the
hours of 7pm and 5am and will be completed as night work.
8 PROSECUTION AND PROGRESS
Replace the 1st paragraph in Section 8-1.02A SCHEDULE, General with:
Provide a Level 1 schedule for this work.
9 PAYMENT
Add to Section 9-1.03 Payment Scope:
Page 832 of 987
SPECIAL PROVISIONS
SPECIAL PROVISIONS
3
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, equipme nt, and
incidentals necessary to complete all of the work and no additiona l payment will be made
therefor.
The following additional Bid Item descriptions are included for those atypical bid items
not fully covered in the Standard Specifications:
BID ITEM 8 – Excavation surrounding existing trees, as located in the field, shall be
carried out by hand digging when excavation is within the drip-line of the tree. Arborist
shall be on-site for hand digging operations and shall monitor any root disturbance.
Backfill of excavation shall be completed to protect root structures. All work relating to
the excavation around these trees shall be included in this bid item.
BID ITEM 12 – Work to relocate/replace the communication vault shall be coordinated
with San Luis Obispo City IT department. Contractor shall contact City IT department
prior to commencing and construction work and shall submit
BID ITEMS 26, 31 & 32 – Bid Items shall cover all work related to curb ramp
construction, per these special provisions.
BID ITEM 35 - Payment for this lump sum bid item shall be made on a percent complete
basis, based on the lump sum amount for this item, and includes full compensation for
the demolition of existing street and relocation in accordance with the Contract
Documents. This work includes but is not limited to saw-cutting, AC removal to the
roadway, and an approved fire watch while the system is down per 2013 California Fire
Code - 901.7 Systems out of service. This bid item shall include all the necessary labor,
tools, materials, and equipment required to complete the work.
BID ITEM 37 – The existing irrigation system shall be relocated and/or modified to
achieve the intended operation of the original system. All work relating to the
modification to the irrigation system shall be included in this bid item.
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, p ayment 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
Page 833 of 987
SPECIAL PROVISIONS
SPECIAL PROVISIONS
4
in accordance with the Plans, Special Provisions and Specifications, and as directed by
the Engineer. No additional payment will be made therefore.
15 EXISTING FACILITIES
Replaced “Not Used” in Section 15-1.04 PAYMENT with:
Payment to remove concrete pavement shall be at the contract unit price per square foot
(SQFT) paid for “Remove Concrete (Miscellaneous)” 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 to remove existing concrete sign foundation shall be at the contract unit price per
square foot (SQFT) paid for “Remove Concrete (Miscellaneous)” 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.
20 LANDSCAPE AND IRRIGATION
Add to the end of Section 20-3.01C(2):
All existing trees shall be protected in place and minimal trimming shall occur under the
direct supervision of the City Arborist, as necessary. A City Arborist shall be contacted in
advance of any work adjacent to existing trees, and work shall commence at the direction
of the arborist to protect tree roots and other existing plantings.
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
39 ASPHALT CONCRETE
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.
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.
Page 834 of 987
SPECIAL PROVISIONS
SPECIAL PROVISIONS
5
Add to Section 73-1.02A General:
Concrete must be minor concrete complying with section 90-2 and may contain returned
plastic concrete complying with section 90-9.
Add to Section 73-1.03 Construction:
You must meet with the Engineer for an average of 1.5 hours total per ramp to complete
the following coordination tasks:
1. Before saw-cutting to agree on the limits of demolition and removal.
2. After formwork is set, to verify that grades meet those stated on the Plans.
3. Upon completion of new curb ramp installation to verify finished grades.
Curb ramps have been designed to comply with the current Caltrans Standard Plan
detail RSP A88A and City Std. 4440. Field modifications to the design plans, if approved
by the Engineer, must meet the dimensional and slope requirements of Standard Plan
RSP A88A. When measuring the ADA facility’s dimensions and slopes, consider the
required dimension or slope to have been met if the recorded individual measurements
comply with the following:
• Dimensional measurement does not exceed ½-inch from the dimension shown, i.e.
½-inch less than a minimum dimension, or ½-inch greater than a maximum dimension.
• Slope measurement does not exceed 0.2 percent from the slope shown.
You must give the City a 24-hour notice for inspection of formwork before pouring the
concrete.
You must calibrate all levels used in construction at the beginning of each workday.
You must ensure that new ramp flowlines do not create any "ponding" areas.
You cannot saw-cut and demolish more than 2 corners at any given intersection in order
to allow pedestrian travel.
Curb ramp spandrel design may vary from Engineering Standards, as directed by the
Engineer, in order to accommodate ramp landing.
You are responsible for storing existing signs and boxes for reuse.
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.
As shown on the bid item list, each new curb ramp will be paid in lump sum for all work
shown on the plans for the individual corner. The lump sum price paid for each curb ramp
includes all of the work involved in installing the new curb ramps. The lump sum price
includes all work shown on the Plans, as specified in the Standard Specifications and
these Special Provisions. It also includes work for:
Page 835 of 987
SPECIAL PROVISIONS
SPECIAL PROVISIONS
6
1. public notices
2. layout
3. elevation control
4. tree protection, if applicable
5. protection of existing utilities and improvements
6. saw-cutting
7. demolition
8. removal and disposal of demolished material
9. formwork
10. asphalt concrete “paveouts”, including final HMA and temporary cold mix
11. asphalt concrete over Portland cement concrete (PCC) “paveouts”, including
paving grid and temporary cold mix
12. furnishing and installation of new pull boxes
13. installation of curbs, curb & gutter, spandrel, sidewalk and ramps
14. reinstalling existing pull boxes
15. sidewalk barricades
16. installation of new sidewalk underdrains
17. landscape replacement, if applicable
18. repair of existing irrigation systems & modifications as needed
19. resetting bricks
20. paint and adjust fire hydrants to required clearance per City Standard 6310
21. cleanup
Payment for varying widths of “paveouts” per plans required by City Standards are
included in the applicable curb ramp replacement lump sum price. Payment for AC/PCC
replacement at the intersection of Augusta and Sydney will be paid by a separate bid
item, as shown on the plans.
Full compensation for concrete cross gutters is paid on a Lump Sum basis as shown in
the bid item list and is identified as the portion of the cross gutter between gutter
spandrels. The concrete cross gutter bid item will include paveout as shown on plans.
77 LOCAL INFRASTRUCTURE
Add to Section 77-1.01 Excavation And Restoration, GENERAL;
Protection and restoration of survey monuments and benchmarks must comply with
Section 5-1.26 and 5-1.36.
DIVISION IX TRAFFIC CONTROL DEVICES
84 MARKINGS
Add to Section 84-2.01A Summary,
Traffic Striping to be applied shall be per Caltrans Standard Plans 2015. Traffic striping
shall be completed with two (x2) coats of traffic-rated paint.
See Section 84-2.04 of the City Standard Specifications for payment of traffic striping.
Page 836 of 987
SPECIAL PROVISIONS
SPECIAL PROVISIONS
7
DIVISION XIII APPENDICES
Add Section 100-1.01 APPENDICIES:
Appendix A: Form of Agreement
Appendix B: Exhibit 12-G: Required Federal-Aid Contract Language
Page 837 of 987
APPENDIX A
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.
Page 838 of 987
APPENDIX A
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
Page 839 of 987
APPENDIX A
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: ____________________
Page 840 of 987
Appendix B Exhibit 12-G
Required Federal-Aid Contract Language
Appendix
1
EXHIBIT 12-G: REQUIRED FEDERAL-AID CONTRACT LANGUAGE
(For Local Assistance Construction Projects)
The following language must be incorporated into all Local Assistance Federal-aid construction
contracts.
The following language, with minor edits, was taken from the Code of Federal Regulations.
MAINTAIN RECORDS AND SUBMIT REPORTS DOCUMENTING YOUR
PERFORMANCE UNDER THIS SECTION
1. DISADVANTAGED BUSINESS ENTERPRISES (DBE) ....................................................................................... 2
A. NONDISCRIMINATION STATEMENT ..................................................................................................... 3
B. CONTRACT ASSURANCE ...................................................................................................................... 3
C. PROMPT PROGRESS PAYMENT .......................................................................................................... 3
D. PROMPT PAYMENT OF WITHHELD FUNDS TO SUBCONTRACTORS .............................................. 3
E. TERMINATION AND REPLACEMENT OF DBE SUBCONTRACTORS .................................................. 4
F. COMMITMENT AND UTILIZATION ......................................................................................................... 6
G. RUNNING TALLY OF ATTAINMENTS .................................................................................................... 7
H. COMMERCIALLY USEFUL FUNCTION .................................................................................................. 7
I. USE OF JOINT CHECKS ........................................................................................................................ 8
2. BID OPENING ....................................................................................................................... 9
3. BID RIGGING ........................................................................................................................ 9
4. CONTRACT AWARD ............................................................................................................. 9
5. CONTRACTOR LICENSE ..................................................................................................... 9
6. CHANGED CONDITIONS ...................................................................................................... 9
A. DIFFERING SITE CONDITIONS ............................................................................................................. 9
B. SUSPENSIONS OF WORK ORDERED BY THE ENGINEER ................................................................ 9
C. SIGNIFICANT CHANGES IN THE CHARACTER OF WORK ................................................................ 10
7. BEGINNING OF WORK, TIME OF COMPLETION AND LIQUIDATED DAMAGES .............. 10
8. BUY AMERICA ..................................................................................................................... 10
9. QUALITY ASSURANCE ....................................................................................................... 11
10. PROMPT PAYMENT ............................................................................................................ 12
11. FORM FHWA-1273 REQUIRED CONTRACT PROVISIONS FEDERAL-AID CONTRACTS ............................. 12
12. FEMALE AND MINORITY GOALS ..................................................................................................................... 12
13. TITLE VI ASSURANCES ..................................................................................................................................... 14
14. FEDERAL TRAINEE PROGRAM ........................................................................................................................ 19
15. PROHIBITION OF CERTAIN TELECOMMUNICATIONS AND VIDEO SURVEILLANCE
EQUIPMENT AND SERVICES…………………………………………………………………22
Page 841 of 987
Appendix B Exhibit 12-G
Required Federal-Aid Contract Language
Appendix
2
1. DISADVANTAGED BUSINESS ENTERPRISES (DBE)
The contractor, subrecipient or subcontractor shall take necessary and reasonable steps to ensure
that DBEs have opportunity to participate in the contract (49 CFR 26). To ensure equal
participation of DBEs provided in 49 CFR 26.5, the Agency shows a contract goal for DBEs. The
prime contractor shall make work available to DBEs and select work parts consistent with available
DBE subcontractors and suppliers.
The prime contractor shall meet the DBE goal shown elsewhere in these special provisions or
demonstrate that they made adequate Good Faith Efforts (GFE) to meet this goal. An adequate
GFE means that the bidder must show that it took all necessary and reasonable steps to achieve
a DBE goal that, by their scope, intensity, and appropriateness to the objective, could reasonably
be expected to meet the DBE goal.
If the DBE goal is not met, the contractor needs to complete and submit the DBE GFE
documentation as described in Local Assistance Procedures Manual (LAPM) Chapter 9, Section
9.8 within 5 (five) days of bid opening.
It is the prime contractor’s responsibility to verify that the DBE firm is certified as a DBE on the
date of bid opening by using the California Unified Certification Program (CUCP) database and
possesses the most specific available North American Industry Classification System (NAICS)
codes and Work Code applicable to the type of work the firm will perform on the contract.
Additionally, the prime contractor is responsible to document this verification by printing out the
CUCP data for each DBE firm. A list of DBEs certified by the CUCP can be found at:
https://dot.ca.gov/programs/civil-rights/dbe-search.
DBE participation will only count toward the California Department of Transportation’s federally
mandated statewide overall DBE goal if the DBE performs a commercially useful function under
49 CFR 26.55.
Credit for materials or supplies the prime contractor purchases from DBEs counts towards the
goal in the following manner:
• 100 percent counts if the materials or supplies are obtained from a DBE manufacturer.
• 60 percent counts if the materials or supplies are obtained from a DBE regular dealer.
• Only fees, commissions, and charges for assistance in the procurement and delivery of materials or
supplies count if obtained from a DBE that is neither a manufacturer nor regular dealer. 49 CFR 26.55
defines "manufacturer" and "regular dealer."
The prime contractor receives credit towards the goal if they employ a DBE trucking company that
performs a commercially useful function as defined in 49 CFR 26.55(d) as follows:
• The DBE must be responsible for the management and supervision of the entire trucking operation for
which it is responsible on a particular contract, and there cannot be a contrived arrangement for the
purpose of meeting DBE goals.
• The DBE must itself own and operate at least one fully licensed, insured, and operational truck used on
the contract.
• The DBE receives credit for the total value of the transportation services it provides on the Contract
using trucks it owns, insures, and operates using drivers it employs.
• The DBE may lease trucks from another DBE firm, including an owner-operator who is certified as a
DBE. The DBE who leases trucks from another DBE receives credit for the total value of the
transportation services the lessee DBE provides on the Contract.
• The DBE may also lease trucks from a non-DBE firm, including from an owner-operator. The DBE that
leases trucks equipped with drivers from a non-DBE is entitled to credit for the total value of
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transportation services provided by non-DBE leased trucks equipped with drivers not to exceed the
value of transportation services on the contract provided by DBE-owned trucks or leased trucks with
DBE employee drivers. Additional participation by non -DBE owned trucks equipped with drivers
receives credit only for the fee or commission it receives as a result of the lease arrangement.
• The DBE may lease trucks without drivers from a non-DBE truck leasing company. If the DBE leases
trucks from a non-DBE truck leasing company and uses its own employees as drivers, it is entitled to
credit for the total value of these hauling services.
• A lease must indicate that the DBE has exclusive use of and control over the truck. This does not
preclude the leased truck from working for others during the term of the lease with the consent of the
DBE, so long as the lease gives the DBE absolute priority for use of the leased truck. Leased trucks
must display the name and identification number of the DBE.
A. NONDISCRIMINATION STATEMENT
The contractor, subrecipient or subcontractor will never exclude any person from participation in,
deny any person the benefits of, or otherwise discriminate against anyone in connection with the
award and performance of any contract covered by 49 CFR 26 on the basis of race, color, sex,
or national origin. In administering the Local Agency components of the DBE Program Plan, the
contractor, subrecipient or subcontractor will not, directly, or through contractual or other
arrangements, use criteria or methods of administration that have the effect of defeating or
substantially impairing accomplishment of the objectives of the DBE Program Plan with respect
to individuals of a particular race, color, sex, or national origin.
B. CONTRACT ASSURANCE
Under 49 CFR 26.13(b): The contractor, subrecipient or subcontractor shall not discriminate
on the basis of race, color, national origin, or sex in the performance of this contract. The
contractor shall carry out applicable requirements of 49 CFR 26 in the award and
administration of federal-aid contracts. Failure by the contractor to carry out these
requirements is a material breach of this contract, which may result in the termination of this
contract or such other remedy as the recipient deems appropriate, which may include, but is
not limited to:
(1) Withholding monthly progress payments;
(2) Assessing sanctions;
(3) Liquidated damages; and/or
(4) Disqualifying the contractor from future bidding as non-responsible.
C. PROMPT PROGRESS PAYMENT
In accordance with California Business and Professions Code section 7108.5, the prime
contractor or subcontractor shall pay to any subcontractor, not later than seven days after receipt
of each progress payment, unless otherwise agreed to in writing, the respective amounts allowed
the contractor on account of the work performed by the subcontractors, to the extent of each
subcontractor’s interest therein. In the event that there is a good faith dispute over all or any
portion of the amount due on a progress payment from the prime contractor or subcontractor to
a subcontractor, the prime contractor or subcontractor may withhold no more than 150 percent
of the disputed amount. Any violation of this requirement shall constitute a cause for disciplinary
action and shall subject the licensee to a penalty, payable to the subcontractor, of 2 percent of
the amount due per month for every month that payment is not made.
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In any action for the collection of funds wrongfully withheld, the prevailing party shall be entitled to
his or her attorney’s fees and costs. The sanctions authorized under this requirement shall be
separate from, and in addition to, all other remedies, either civil, administrative, or criminal. This
clause applies to both DBE and non- DBE subcontractors.
D. PROMPT PAYMENT OF WITHHELD FUNDS TO SUBCONTRACTORS
The Agency may hold retainage from the prime contractor and shall make prompt and regular
incremental acceptances of portions, as determined by the Agency, of the contract work, and pay
retainage to the prime contractor based on these acceptances. The Agency shall designate one
of the methods below in the contract to ensure prompt and full payment of any retainage kept by
the prime contractor or subcontractor to a subcontractor. The Agency shall include either Method
1, Method 2, or Method 3 below and delete the other two.
Method 1: No retainage will be held by the Agency from progress payments due to the prime
contractor. Prime contractors and subcontractors are prohibited from holding retainage from
subcontractors. Any delay or postponement of payment may take place only for good cause
and with the Agency’s prior written approval. Any violation of these provisions shall subject
the violating contractor or subcontractor to the penalties, sanctions, and other remedies
specified in Section 7108.5 of the California Business and Professions Code and Section
10262 of the California Public Contract Code. This requirement shall not be construed to limit
or impair any contractual, administrative or judicial remedies, otherwise available to the
contractor or subcontractor in the event of a dispute involving late payment or nonpayment by
the contractor, deficient subcontractor performance and/or noncompliance by a subcontractor.
This clause applies to both DBE and non-DBE subcontractors.
Method 2: No retainage will be held by the Agency from progress payments due to the prime
contractor. Any retainage kept by the prime contractor or by a subcontractor must be paid in
full to the earning subcontractor within seven (7) days after the subcontractor’s work is
satisfactorily completed. Any delay or postponement of payment may take place only for good
cause and with the Agency’s prior written approval. Any violation of these provisions shall
subject the violating contractor or subcontractor to the penalties, sanctions, and remedies
specified in Section 7108.5 of the California Business and Professions Code and Section
10262 of the California Public Contract Code. This requirement shall not be construed to limit
or impair any contractual, administrative or judicial remedies, otherwise available to the
contractor or subcontractor in the event of a dispute involving late payment or nonpayment
by the contractor, deficient subcontractor performance and/or noncompliance by a
subcontractor. This clause applies to both DBE and non-DBE subcontractors.
Method 3: The Agency shall hold retainage from the prime contractor and shall make prompt
and regular incremental acceptances of portions, as determined by the Agency of the contract
work and pay retainage to the prime contractor based on these acceptances. The prime
contractor or subcontractor shall return all monies withheld in retention from all subcontractors
within seven (7) days after receiving payment for work satisfactorily completed and accepted
including incremental acceptances of portions of the contract work by the Agency. Any delay
or postponement of payment may take place only for good cause and with the Agency’s prior
written approval. Any violation of these provisions shall subject the violating prime contractor
or subcontractor to the penalties, sanctions, and other remedies specified in Section 7108.5
of the California Business and Professions Code and Section 10262 of the California Public
Contract Code. This requirement shall not be construed to limit or impair any contractual,
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administrative or judicial remedies otherwise available to the contractor or subcontractor in the
event of a dispute involving late payment or nonpayment by the contractor; deficient
subcontractor performance and/or noncompliance by a subcontractor. This clause applies to
both DBE and non-DBE subcontractors.
Any violation of these provisions of Prompt Progress Payment and Prompt Payment of Withheld
Funds to Subcontractors shall subject the violating prime contractor or subcontractor to the
penalties, sanctions and other remedies specified therein. These requirements shall not be
construed to limit or impair any contractual, administrative, or judicial remedies otherwise available
to the prime contractor or subcontractor in the event of a dispute involving late payment or
nonpayment by the prime contractor, deficient subcontract performance, or noncompliance by a
subcontractor.
E. TERMINATION AND REPLACEMENT OF DBE SUBCONTRACTORS
The prime contractor shall utilize the specific DBEs listed to perform the work and supply the
materials for which each is listed unless the contractor obtains the Agency’s written consent. The
prime contractor shall not terminate or replace a listed DBE for convenience and perform the work
with their own forces or obtain materials from other sources without prior written authorization
from the Agency. Unless the Agency’s prior written consent is provided, the contractor shall not
be entitled to any payment for work or material unless it is performed or supplied by the listed DBE
on the Exhibit 15-G Construction Contract DBE Commitment form, included in the Bid.
Termination of DBE Subcontractors
After a contract with a specified DBE goal has been executed, termination of a DBE may be
allowed for the following, but not limited to, justifiable reasons with prior written authorization from
the Agency:
1. Listed DBE fails or refuses to execute a written contract based on plans and specifications for the
project.
2. The Local Agency stipulated that a bond is a condition of executing the subcontract and the listed DBE
fails to meet the Local Agency’s bond requirements.
3. Work requires a contractor's license and listed DBE does not have a valid license under Contractors
License Law, or is not properly registered with the California Department of Industrial Relations as a
public works contractor.
4. Listed DBE fails or refuses to perform the work or furnish the listed materials (failing or refusing to
perform is not an allowable reason to remove a DBE if the failure or refusal is a result of bad faith or
discrimination).
5. Listed DBE's work is unsatisfactory and not in compliance with the contract.
6. Listed DBE is ineligible to work on the project because of suspension or debarment.
7. Listed DBE becomes bankrupt or insolvent or exhibits credit unworthiness.
8. Listed DBE voluntarily withdraws with written notice from the Contract
9. Listed DBE is ineligible to receive credit for the type of work required.
10. Listed DBE owner dies or becomes disabled resulting in the inability to perform the work on the Contract.
11. The Agency determines other documented good cause.
To terminate a DBE or to terminate a portion of a DBE's work, the contractor must use the following
procedures:
1. Send a written notice to the DBE of Contractor’s intent to use other forces or material sources and include
one or more justifiable reasons listed above. Simultaneously send a copy of this written notice to the
Agency. The written notice to the DBE must request they provide any response within five (5) business
days to both the Contractor and the Agency by either acknowledging their agreement or documenting
their reasoning as to why the use of other forces or sources of mate rials should not occur.
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2. If the DBE does not respond within 5 business days, Contractor may move forward with the request as if
the DBE had agreed to Contractor’s written notice.
3. Submit Contractor’s DBE termination request by written letter to the Agency and include:
• One or more above listed justifiable reasons along with supporting documentation.
• Contractor’s written notice to the DBE regarding the request, including proof of transmission and
tracking documentation of Contractor’s written notice
• The DBE's response to Contractor’s written notice, if received. If a written response was not
provided, provide a statement to that effect.
The Agency shall respond in writing to Contractor’s DBE termination request within 5 business
days. Replacement of DBE Subcontractors
After receiving the Agency’s written authorization of DBE termination request, the Contractor must
obtain the Agency’s written agreement for DBE replacement. The Contractor must find or
demonstrate GFEs to find qualified DBE replacement firms to perform the work to the extent
needed to meet the DBE commitment.
The following procedures shall be followed to request authorization to replace a DBE firm:
1. Submit a request to replace a DBE with other forces or material sources in writing to
the Agency which must include:
a. Description of remaining uncommitted work items made available for replacement DBE solicitation
and participation.
b. The proposed DBE replacement firm's business information, the work they have agreed to
perform, and the following:
• Quote for bid item work and description of work to be performed
• Proposed subcontract agreement and written confirmation of agreement to perform on the
Contract
• Revised Subcontracting Request form
• Revised Exhibit 15-G: Construction Contract DBE Commitment
2. If Contractor has not identified a DBE replacement firm, submit documentation of the
Contractor’s GFEs
to use DBE replacement firms within 7 days of Agency's authorization to terminate the
DBE. The Contractor may request the Agency's approval to extend this submittal period
to a total of 14 days. Submit documentation of actions taken to find a DBE replacement
firm, such as:
• Search results of certified DBEs available to perform the original DBE work identified and/or other
work the Contractor had intended to self-perform, to the extent needed to meet the DBE
commitment
• Solicitations of DBEs for performance of work identified
• Correspondence with interested DBEs that may have included contract details and requirements
• Negotiation efforts with DBEs that reflect why an agreement was not reached
• If a DBE's quote was rejected, provide Contractor’s reasoning for the rejection, such as why the
DBE was unqualified for the work, or why the price quote was unreasonable or excessive
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• Copies of each DBE's and non-DBE's price quotes for work identified, as the Agency may contact
the firms to verify solicitation efforts and determine if the DBE quotes are substantially higher
• Additional documentation that supports the GFE
The Agency shall respond in writing to the Contractor’s DBE replacement request within five (5)
business days. The Contractor must submit a revised Subcontracting Request form if the
replacement plan is authorized by the Agency.
F. COMMITMENT AND UTILIZATION
The Agency’s DBE program must include a monitoring and enforcement mechanism to ensure
that DBE commitments reconcile to DBE utilization.
The bidder shall complete and sign Exhibit 15-G: Construction Contract DBE Commitment
included in the contract documents regardless of whether DBE participation is reported. The
bidder shall provide written confirmation from each DBE that the DBE is participating in the
Contract. LAPM Exhibit 9-I: DBE Confirmation or equivalent form and DBE’s quote must be
submitted. The written confirmation must be submitted no later than 4pm on the 5th day after bid
opening. If a DBE is participating as a joint venture partner, the bidder shall submit a copy of the
joint venture agreement.
If the DBE Commitment form, Exhibit 15-G, is not submitted with the bid, it must be completed
and submitted by all bidders to the Agency within five (5) days of bid opening. If the bidder does
not submit the DBE Commitment form within the specified time, the Agency will find the bidder’s
bid nonresponsive.
The prime contractor shall use each DBE subcontractor as listed on Exhibit 15-G: Construction
Contract DBE Commitment unless they receive written authorization for a termination or
replacement from the Agency.
The Agency shall request the prime contractor to:
1. Notify the Resident Engineer or Inspector of any changes to its anticipated DBE participation
2. Provide this notification before starting the affected work
3. Maintain records including:
• Name and business address of each 1st-tier subcontractor
• Name and business address of each DBE subcontractor, DBE vendor, and DBEtrucking company,
regardless of tier
• Date of payment and total amount paid to each DBE (see Exhibit 9-F: Monthly Disadvantaged
Business Enterprise Payment)
If the prime contractor is a DBE contractor, they shall include the date of work performed by their
own forces and the corresponding value of the work.
Before the 15th of each month, the prime contractor shall submit a Monthly DBE Trucking
Verification (LAPM Exhibit 16-Z1) form.
If a DBE is decertified before completing its work, the DBE must notify the prime contractor in
writing of the decertification date. If a business becomes a certified DBE before completing its
work, the business must notify the prime contractor in writing of the certification date. The prime
contractor shall submit the notifications. Upon work completion, the prime contractor shall
complete a Disadvantaged Business Enterprises (DBE) Certification Status Change, Exhibit 17-
O, form and submit the form within 30 days of contract acceptance.
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Upon work completion, the prime contractor shall complete Exhibit 17-F: Final Report – Utilization
of Disadvantaged Business Enterprises (DBE), First-Tier Subcontractors and submit it within 90
days of contract acceptance. The Agency will withhold $10,000 until the form is submitted. The
Agency releases the withhold upon submission of the completed form.
G. RUNNING TALLY OF ATTAINMENTS
For projects awarded on or after March 1, 2020, but before September 1, 2023:
After submitting an invoice for reimbursement that includes a payment to a DBE, but no later than
the 10th of the following month, the prime contractor/consultant must complete and email the
Exhibit 9-F: Disadvantaged Business Enterprise Running Tally of Payments to
business.support.unit@dot.ca.gov with a copy to local administering agencies.
For projects that are awarded on or after September 1, 2023:
Exhibit 9-F is no longer required. Instead, by the 15th of the month following the month of any
payment(s), the prime contractor must now submit Exhibit 9-P to the Local Agency administering
the contract. If the Contractor does not make any payments to subcontractors, supplier(s) and/or
manufacturers they must report “no payments were made to subs this month” and write this
visibly and legibly on Exhibit 9-P.
H. COMMERCIALLY USEFUL FUNCTION
DBEs must perform a commercially useful function (CUF) under 49 CFR 26.55 when performing
work or supplying materials listed on the DBE Commitment form. The DBE value of work will only
count toward the DBE commitment if the DBE performs a CUF. A DBE performs a CUF when it is
responsible for execution of the work on the contract and is carrying out its responsibilities by
actually performing, managing, and supervising the work involved. If a DBE does not perform or
exercise responsibility for at least 30% of the total cost of its contract with its own work force, or
the DBE subcontracts a greater portion of the work of a contract than would be expected on the
basis of normal industry practice for the type of work involved, it will be presumed that the DBE is
not performing a CUF. Additionally, the DBE must also be responsible, with respect to materials
and supplies used on the contract, for negotiating price, determining quality and quantity, ordering
the material and installing (where applicable), and paying for the material itself.
The Contractor must perform CUF evaluation for each DBE company working on a federal-aid
contract, with or without a DBE goal. Perform a CUF evaluation at the beginning of the DBE’s
work, and continue to monitor the performance of CUF for the duration of the project.
The Contractor must provide written notification to the AGENCY at least 15 days in advance of
each DBE's initial performance of work or supplying materials for the Contract. The notification
must include the DBE's name, work the DBE will perform on the contract, and the location, date,
and time of where their work will take place.
Within 10 (ten) days of a DBE initially performing work or supplying materials on the contract, the
Contractor shall submit to the LPA the initial evaluation and validation of DBE performance of a
CUF using the LAPM 9-J: Disadvantaged Business Enterprise Commercially Useful Function
Evaluation. Include the following information with the submittal:
• Subcontract agreement with the DBE
• Purchase orders
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• Bills of lading
• Invoices
• Proof of payment
The Contractor must monitor all DBE’s performance of CUF by conducting quarterly evaluations
and validations throughout their duration of work on the contract using the LAPM 9-J: DBE
Commercially Useful Function Evaluation. The Contractor must submit to the AGENCY these
quarterly evaluations and validations by the 5th of the month for the previous three (3) months of
work.
The Contractor must notify the AGENCY immediately if the Contractor believes the DBE may
not be performing a CUF.
The AGENCY will verify DBEs performance of CUF by reviewing the initial and quarterly
submissions of LAPM 9-J: DBE Commercially Useful Function Evaluation, submitted supporting
information, field observations, and through any additional AGENCY evaluations. The AGENCY
must evaluate DBEs and their CUF performance throughout the duration of a Contract. The
AGENCY will provide written notice to Contractor and DBE at least two (2) business days prior
to any evaluation. The Contractor and DBE must participate in the evaluation. Upon completing
the evaluation, the AGENCY must share the evaluation results with the Contractor and DBE. An
evaluation could include items that must be remedied upon receipt. If the AGENCY determines
the DBE is not performing a CUF the Contractor must suspend performance of the noncompliant
work.
The Contractor and DBEs must submit any additional CUF related records and documents within
five (5) business days of AGENCY’s request such as:
• Proof of ownership or lease and rental agreements for equipment
• Tax records
• Employee rosters
• Certified payroll records
• Inventory rosters
Failure to submit required DBE Commercially Useful Function Evaluation forms or requested
records and documents can result in withholding of payment for the value of work completed by
the DBE.
If the Contractor and/or the AGENCY determine that a listed DBE is not performing a CUF in
performance of their DBE committed work, immediately suspend performance of the
noncompliant portion of the work. The AGENCY may deny payment for the noncompliant portion
of the work. The AGENCY will ask the Contractor to submit a corrective action plan (CAP) to the
AGENCY within five (5) days of the noncompliant CUF determination. The CAP must identify how
the Contractor will correct the noncompliance findings for the remaining portion of the DBE's work.
The AGENCY has five (5) days to review the CAP in conjunction with the prime contractor’s
review. The Contractor must implement the CAP within five (5) days of the AGENCY's approval.
The AGENCY will then authorize the prior noncompliant portion of work for the DBE's committed
work.
If corrective actions cannot be accomplished to ensure the DBE performs a CUF on the Contract,
then the Contractor may have good cause to request termination of the DBE.
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I. USE OF JOINT CHECKS
A joint check may be used between the Contractor or lower-tier subcontractor and a DBE
subcontractor purchasing materials from a material supplier if the contractor obtains prior approval
from the LPA for the proposed use of joint check upon submittal of the LAPM 9-K: DLA
Disadvantaged Business Enterprises (DBE) Joint Check Agreement Request form.
To use a joint check, the following conditions must be met:
• All parties, including the Contractor, must agree to the use of a joint check
• Entity issuing the joint check acts solely to guarantee payment
• DBE must release the check to the material supplier
• LPA must authorize the request before implementation
• Any party to the agreement must provide requested documentation within 10 days of the LPA's request
for the documentation
• Agreement to use a joint check must be short-term, not to exceed 1 year, allowing sufficient time
needed to establish or increase a credit line with the material supplier
A request for a joint check agreement may be initiated by any party. If a joint check is used, the
DBE remains responsible for all elements of 49 CFR 26.55(c)(1).
Failure to comply with the above requirements disqualifies DBE participation and results in no
credit and no payment to the Contractor for DBE participation.
A joint check may not be used between the Contractor or subcontractor and a DBE regular dealer,
bulk material supplier, manufacturer, wholesaler, broker, trucker, packager, manufacturer’s
representative, or other persons who arrange or expedite transactions.
2. BID OPENING
The Agency publicly opens and reads bids at the time and place shown on the Notice to
Contractors.
3. BID RIGGING
The U.S. Department of Transportation (DOT) provides a toll-free hotline to report bid rigging
activities. Use the hotline to report bid rigging, bidder collusion, and other fraudulent activities. The
hotline number is (800) 424- 9071. The service is available 24 hours 7 days a week and is
confidential and anonymous. The hotline is part of the DOT's effort to identify and investigate
highway construction contract fraud and abuse and is operated under the direction of the DOT
Inspector General.
4. CONTRACT AWARD
If the Agency awards the contract, the award is made to the lowest responsible and responsive
bidder.
5. CONTRACTOR LICENSE
The Contractor must be properly licensed as a contractor from contract award through Contract
acceptance (23 CFR 635.110).
6. CHANGED CONDITIONS
A. DIFFERING SITE CONDITIONS
1. During the progress of the work, if subsurface or latent physical conditions are encountered at the site
differing materially from those indicated in the contract or if unknown physical conditions of an unusual
nature, differing materially from those ordinarily encountered and generally recognized as inherent in the
work provided for in the contract, are encountered at the site, the party discovering such conditions shall
promptly notify the other party in writing of the specific differing conditions before the site is disturbed and
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before the affected work is performed.
2. Upon written notification, the engineer will investigate the conditions, and if it is determined that the
conditions materially differ and cause an increase or decrease in the cost or time required for the
performance of any work under the contract, an adjustment, excluding anticipated profits, will be made
and the contract modified in writing accordingly. The engineer will notify the contractor of the
determination whether or not an adjustment of the contract is warranted.
3. No contract adjustment which results in a benefit to the contractor will be allowed unless the contractor
has provided the required written notice.
4. No contract adjustment will be allowed under this clause for any effects caused on unchanged work.
[This provision may be omitted by the Local Agency, at their option.]
B. SUSPENSIONS OF WORK ORDERED BY THE ENGINEER
1. If the performance of all or any portion of the work is suspended or delayed by the engineer in writing for
an unreasonable period of time (not originally anticipated, customary, or inherent to the construction
industry) and the contractor believes that additional compensation and/or contract time is due as a result
of such suspension or delay, the contractor shall submit to the engineer in writing a request for adjustment
within 7 calendar days of receipt of the notice to resume work. The request shall set forth the reasons and
support for such adjustment.
2. Upon receipt, the engineer will evaluate the contractor's request. If the engineer agrees that the cost
and/or time required for the performance of the contract has increased as a result of such suspension
and the suspension was caused by conditions beyond the control of and not the fault of the contractor,
its suppliers, or subcontractors at any approved tier, and not caused by weather, the engineer will make
an adjustment (excluding profit) and modify the contract in writing accordingly. The contractor will be
notified of the engineer's determination whether or not an adjustment of the contract is warranted.
3. No contract adjustment will be allowed unless the contractor has submitted the request for adjustment
within the time prescribed.
4. No contract adjustment will be allowed under this clause to the extent that performance would have been
suspended or delayed by any other cause, or for which an adjustment is provided or excluded under any
other term or condition of this contract.
C. SIGNIFICANT CHANGES IN THE CHARACTER OF WORK
1. The engineer reserves the right to make, in writing, at any time during the work, such changes in
quantities and such alterations in the work as are necessary to satisfactorily complete the project. Such
changes in quantities and alterations shall not invalidate the contract nor release the surety, and the
contractor agrees to perform the work as altered.
2. If the alterations or changes in quantities significantly change the character of the work under the
contract, whether such alterations or changes are in themselves significant changes to the character of
the work or by affecting other work cause such other work to become significantly different in character,
an adjustment, excluding anticipated profit, will be made to the contract. The basis for the adjustment
shall be agreed upon prior to the performance of the work. If a basis cannot be agreed upon, then an
adjustment will be made either for or against the contractor in such amount as the engineer may
determine to be fair and equitable.
3. If the alterations or changes in quantities do not significantly change the character of the work to be
performed under the contract, the altered work will be paid for as provided elsewhere in the contract.
4. The term “significant change” shall be construed to apply only to the following circumstances:
• When the character of the work as altered differs materially in kind or nature from that involved or
included in the original proposed construction; or
• When a major item of work, as defined elsewhere in the contract, is increased in excess of 125
percent or decreased below 75 percent of the original contract quantity. Any allowance for an
increase in quantity shall apply only to that portion in excess of 125 percent of original contract
item quantity, or in case of a decrease below 75 percent, to the actual amount of work performed.
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7. BEGINNING OF WORK, TIME OF COMPLETION AND LIQUIDATED DAMAGES
The Contractor shall begin work within 15 calendar days after the issuance of the Notice to Proceed.
This work shall be diligently prosecuted to completion before the expiration of WORKING
DAYS beginning on the fifteenth calendar day after the date shown on the Notice to Proceed.
The Contractor shall pay to the City/County the sum of $ per day, for each and every
calendar days’ delay in finishing the work in excess of the number of working days prescribed
above.
8. BUY AMERICA
Buy America Requirements apply to steel and iron, manufactured products, and construction
materials permanently incorporated into the project.
STEEL AND IRON MATERIALS
All steel and iron materials must be melted and manufactured in the United States except:
1. Foreign pig iron and processed, pelletized, and reduced iron ore may be used in the domestic production
of the steel and iron materials [60 Fed Reg 15478 (03/24/1995)];
2. If the total combined cost of the materials produced outside the United States does not exceed the
greater of 0.1 percent of the total contract amount or $2,500, materials produced outside the United
States may be used if authorized.
Furnish steel and iron materials to be incorporated into the work with certificates of compliance
and certified mill test reports. Mill test reports must indicate where the steel and iron were melted
and manufactured. All melting and manufacturing processes for these materials, including an
application of a coating, must occur in the United States. Coating includes all processes that
protect or enhance the value of the material to which the coating is applied.
MANUFACTURED PRODUCTS
Iron and steel used in precast concrete manufactured products must meet the requirements of the
above section (Steel and Iron Materials) regardless of the amount used. Iron and steel used in
other manufactured products must meet the requirements of the above section (Steel and Iron
Materials) if the weight of steel and iron components constitute 90 percent or more of the total
weight of the manufactured product.
CONSTRUCTION MATERIALS
Buy America requirements apply to the following construction materials that are or consist primarily
of:
1. Non-ferrous metals
2. Plastic and polymer-based products such as:
2.1 Polyvinylchloride
2.2 Composite Building Materials
3. Glass
4. Fiber optic cable (including drop cable)
5. Optical fiber
6. Lumber
7. Engineered wood
8. Drywall
Page 852 of 987
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Appendix
13
All manufacturing processes for these materials as defined in 2 CFR 184.6 must occur in the United
States.
Where one or more of these construction materials have been combined by a manufacturer with
other materials through a manufacturing process, Buy America requirements do not apply unless
otherwise specified.
Furnish construction materials to be incorporated into the work with certificates of compliance
with each project delivery. Manufacturer’s certificate of compliance must identify where the
construction material was manufactured and attest specifically to Buy America compliance.
All manufacturing processes for these materials must occur in the
United States. Buy America requirements do not apply to the
following:
1. Tools and construction equipment used in performing the work
2. Temporary work that is not incorporated into the finished project
WAIVERS
If Buy America waivers are granted, use the following language to include in the contract:
The following steel and iron products, manufactured products, or construction materials have
received an approved Buy America waiver for this contract, and therefore, are not subject to Buy
America requirements:
1.
2.
9. QUALITY ASSURANCE
The Local Agency uses a Quality Assurance Program (QAP) to ensure a material is produced to
comply with the Contract. The Local Agency may examine the records and reports of tests the
prime contractor performs if they are available at the job site. Schedule work to allow time for QAP.
10. PROMPT PAYMENT
A. FROM THE AGENCY TO THE CONTRACTORS
The Local Agency shall make all project progress payment within 30 days after receipt of an
undisputed and properly submitted payment request from the Contractor on a construction
contract. If the Local Agency fails to pay promptly, the Local Agency shall pay interest to the
Contractor, which accrues at the rate of 10 percent per annum on the principal amount of a
money judgment remaining unsatisfied and pro-rated as necessary. Upon receipt of the
payment request, the Local Agency shall act in accordance with both of the following:
1. The Local Agency shall review each payment request as soon as feasible after receipt to verify it is a
proper payment request.
2. The Local Agency must return any payment request deemed improper by the Local Agency to the
Contractor as soon as feasible, but not later than seven (7) days, after receipt. A request returned
pursuant to this paragraph shall include documentation setting forth in writing the reasons why it is an
improper payment request.
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Required Federal-Aid Contract Language
Appendix
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B. SUBMITTAL OF EXHIBIT 9-P
For projects awarded on or after September 1, 2023:
The Contractor must submit Exhibit 9-P to the Local Agency administering the contract by the
15th of the month following the month of any payment(s). If the Contractor does not make any
payments to subcontractors, supplier(s) and/or manufacturers they must report “no payments
were made to subs this month” and write this visibly and legibly on Exhibit 9-P.
The Local Agency must verify all Exhibit 9-P information, monitor compliance with prompt
payment requirements for DBE and non-DBE firms, and address any shortfall to the DBE
commitment and prompt payment issues until the end of the project. The Local Agency must
email a copy of Exhibit 9-P to DBE.Forms@dot.ca.gov before the end of the month after
receiving the Exhibit 9-P from the Contractor.
11. FORM FHWA-1273 REQUIRED CONTRACT PROVISIONS FEDERAL-AID CONTRACTS
[Form FHWA-1273 must be physically inserted into the contract without modification, excluding ATTACHMENT
A - EMPLOYMENT AND MATERIALS PREFERENCE FOR APPALACHIAN DEVELOPMENT HIGHWAY
SYSTEM OR APPALACHIAN LOCAL ACCESS ROAD CONTRACTS.]
[The current version of Form FHWA-1273 is accessible at FHWA’s website:
https://www.fhwa.dot.gov/programadmin/contracts/1273/1273.pdf]
12. FEMALE AND MINORITY GOALS
To comply with Section II, "Nondiscrimination," of "Required Contract Provisions Federal-Aid
Construction Contracts," the following are for female and minority utilization goals for Federal-aid
construction contracts and subcontracts that exceed $10,000:
The nationwide goal for female utilization is 6.9 percent.
The goals for minority utilization (45 Fed Reg 65984 (10/3/1980)) are as follows:
MINORITY UTILIZATION GOALS
Economic
Area
Goal
(Percent)
174 Redding CA:
Non-SMSA (Standard Metropolitan Statistical Area) Counties:
CA Lassen; CA Modoc; CA Plumas; CA Shasta; CA Siskiyou; CA Tehama
6.8
175
Eureka, CA
Non-SMSA Counties:
CA Del Norte; CA Humboldt; CA Trinity
6.6
176
San Francisco-Oakland-San Jose, CA:
28.9
25.6
19.6
SMSA Counties:
7120 Salinas-Seaside-Monterey, CA
CA Monterey
7360 San Francisco-Oakland
CA Alameda; CA Contra Costa; CA Marin; CA San Francisco; CA San Mateo
7400 San Jose, CA
CA Santa Clara, CA
7485 Santa Cruz, CA
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CA Santa Cruz 14.9
9.1
17.1
23.2
7500 Santa Rosa
CA Sonoma
8720 Vallejo-Fairfield-Napa, CA
CA Napa; CA Solano
Non-SMSA Counties:
CA Lake; CA Mendocino; CA San Benito
177
Sacramento, CA:
SMSA Counties:
6920 Sacramento, CA
CA Placer; CA Sacramento; CA
Yolo Non-SMSA Counties
CA Butte; CA Colusa; CA El Dorado; CA Glenn; CA Nevada; CA Sierra; CA Sutter; CA
Yuba
16.1
14.3
178
Stockton-Modesto, CA:
SMSA Counties:
5170 Modesto, CA 12.3
CA Stanislaus
8120 Stockton, CA 24.3
CA San Joaquin
Non-SMSA Counties 19.8
CA Alpine; CA Amador; CA Calaveras; CA Mariposa; CA Merced; CA Tuolumne
179
Fresno-Bakersfield, CA
SMSA Counties:
0680 Bakersfield, CA 19.1
CA Kern
2840 Fresno, CA
CA Fresno
Non-SMSA Counties:
CA Kings; CA Madera; CA Tulare
26.1
23.6
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180
Los Angeles, CA:
SMSA Counties: 11.9 0360 Anaheim-Santa Ana-Garden Grove, CA
CA Orange 28.3 4480 Los Angeles-Long Beach, CA
CA Los Angeles 21.5 6000 Oxnard-Simi Valley-Ventura, CA
CA Ventura 19.0 6780 Riverside-San Bernardino-Ontario, CA
CA Riverside; CA San Bernardino 19.7 7480 Santa Barbara-Santa Maria-Lompoc, CA
CA Santa Barbara 24.6 Non-SMSA Counties
CA Inyo; CA Mono; CA San Luis Obispo
181
San Diego, CA:
SMSA Counties 16.9 7320 San Diego, CA
CA San Diego 18.2 Non-SMSA Counties
CA Imperial
For the last full week of July during which work is performed under the contract, the prime
contractor and each non material-supplier subcontractor with a subcontract of $10,000 or more
must complete Form FHWA PR-1391 (Appendix C to 23 CFR 230). Submit the forms by August
15.
13. TITLE VI ASSURANCES
[The U.S. Department of Transportation Order No.1050.2A requires all federal-aid Department of Transportation
contracts between an agency and a contractor to contain Appendix A and E.
Note: Appendix B only requires inclusion if the contract impacts deeds effecting or recording the transfer of real
property, structures, or improvements thereon, or granting interest therein. Appendices C and D only require inclusion
if the contract impacts deeds, licenses, leases, permits, or similar instruments entered into by the recipient.]
APPENDIX A
During the performance of this Agreement, the contractor, for itself, its assignees and
successors in interest (hereinafter collectively referred to as CONTRACTOR) agrees as
follows:
a. Compliance with Regulations: CONTRACTOR shall comply with the regulations relative to
nondiscrimination in federally assisted programs of the Department of Transportation, Title 49, Code of
Federal Regulations, Part 21, as they may be amended from time to time, (hereinafter referred to as the
REGULATIONS), which are herein incorporated by reference and made a part of this agreement.
b. Nondiscrimination: CONTRACTOR, with regard to the work performed by it during the AGREEMENT,
shall not discriminate on the grounds of race, color, sex, national origin, religion, age, or disability in
the selection and retention of sub-applicants, including procurements of materials and leases of
equipment. CONTRACTOR shall not participate either directly or indirectly in the discrimination
prohibited by Section 21.5 of the Regulations, including employment practices when the agreement
covers a program set forth in Appendix B of the Regulations.
c. Solicitations for Sub-agreements, Including Procurements of Materials and Equipment: In all
solicitations either by competitive bidding or negotiation made by CONTRACTOR for work to be
performed under a Sub- agreement, including procurements of materials or leases of equipment, each
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Required Federal-Aid Contract Language
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17
potential sub-applicant or supplier shall be notified by CONTRACTOR of the CONTRACTOR’S
obligations under this Agreement and the Regulations relative to nondiscrimination on the grounds of
race, color, or national origin.
d. Information and Reports: CONTRACTOR shall provide all information and reports required by the
Regulations, or directives issued pursuant thereto, and shall permit access to its books, records, accounts,
other sources of information, and its facilities as may be determined by the recipient or FHWA to be
pertinent to ascertain compliance with such Regulations or directives. Where any information required of
CONTRACTOR is in the exclusive possession of another who fails or refuses to furnish this information,
CONTRACTOR shall so certify to the recipient or FHWA as appropriate, and shall set forth what efforts
CONTRACTOR has made to obtain the information.
e. Sanctions for Noncompliance: In the event of CONTRACTOR’s noncompliance with the
nondiscrimination provisions of this agreement, the recipient shall impose such agreement sanctions
as it or the FHWA may determine to be appropriate, including, but not limited to:
i. withholding of payments to CONTRACTOR under the Agreement within a reasonable period
of time, not to exceed 90 days; and/or
ii. cancellation, termination or suspension of the Agreement, in whole or in part.
f. Incorporation of Provisions: CONTRACTOR shall include the provisions of paragraphs (1) through (6)
in every sub-agreement, including procurements of materials and leases of equipment, unless exempt
by the Regulations, or directives issued pursuant thereto.
CONTRACTOR shall take such action with respect to any sub-agreement or procurement as
the recipient or FHWA may direct as a means of enforcing such provisions including sanctions
for noncompliance, provided, however, that, in the event CONTRACTOR becomes involved
in, or is threatened with, litigation with a sub- applicant or supplier as a result of such direction,
CONTRACTOR may request the recipient enter into such litigation to protect the interests of
the State, and, in addition, CONTRACTOR may request the United States to enter into such
litigation to protect the interests of the United States.
APPENDIX B
CLAUSES FOR DEEDS TRANSFERRING UNITED STATES PROPERTY
The following clauses will be included in deeds effecting or recording the transfer of real
property, structures, or improvements thereon, or granting interest therein from the United
States pursuant to the provisions of Assurance 4:
NOW THEREFORE, the U.S. Department of Transportation as authorized by law and upon the
condition that the recipient will accept title to the lands and maintain the project constructed
thereon in accordance with Title 23 U.S.C., the regulations for the administration of the
preceding statute, and the policies and procedures prescribed by the FHWA of the U.S.
Department of Transportation in accordance and in compliance with all requirements imposed
by Title 49, Code of Federal Regulations, U.S. Department of Transportation, Subtitle A, Office
of the Secretary, Part 21, Non-discrimination in Federally-assisted programs of the U.S.
Department of Transportation pertaining to and effectuating the provisions of Title VI of the Civil
Rights Act of 1964 (78 Stat. 252; 42 U.S.C. § 2000d to 2000d-4), does hereby remise, release,
quitclaim and convey unto the recipient all the right, title and interest of the U.S. Department of
Transportation in and to said lands described in Exhibit A attached hereto and made a part
hereof.
(HABENDUM CLAUSE)
Page 857 of 987
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Required Federal-Aid Contract Language
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TO HAVE AND TO HOLD said lands and interests therein unto the recipient and its successors
forever, subject, however, to the covenants, conditions, restrictions and reservations herein
contained as follows, which will remain in effect for the period during which the real property or
structures are used for a purpose for which Federal financial assistance is extended or for
another purpose involving the provision of similar services or benefits and will be binding on the
recipient, its successors and assigns. The recipient, in consideration of the conveyance of said
lands and interest in lands, does hereby covenant and agree as a covenant running with the
land for itself, its successors and assigns, that (1) no person will on the grounds of race, color,
or national origin, be excluded from participation in, be denied the benefits of, or be otherwise
subjected to discrimination with regard to any facility located wholly or in part on, over, or under
such lands hereby conveyed [,] [and]* (2) that the recipient will use the lands and interests in
lands and interest in lands so conveyed, in compliance with all requirements imposed by or
pursuant to Title 49, Code of Federal Regulations, U.S. Department of Transportation, Subtitle
A, Office of the Secretary, Part 21, Non- discrimination in Federally-assisted programs of the
U.S. Department of Transportation, Effectuation of Title VI of the Civil Rights Act of 1964, and
as said Regulations and Acts may be amended[, and (3) that in the event of breach of any of
the above-mentioned non-discrimination conditions, the Department will have a right to enter or
re-enter said lands and facilities on said lands, and that above described land and facilities will
thereon revert to and vest in and become the absolute property of the U.S. Department of
Transportation and its assigns as such interest existed prior to this instruction].*
(*Reverter clause and related language to be used only when it is determined that such a clause
is necessary in order to make clear the purpose of Title VI.)
APPENDIX C
CLAUSES FOR TRANSFER OF REAL PROPERTY ACQUIRED OR IMPROVED UNDER THE
ACTIVITY, FACILITY, OR PROGRAM
The following clauses will be included in deeds, licenses, leases, permits, or similar
instruments entered into by the recipient pursuant to the provisions of Assurance 7(a):
A. The (grantee, lessee, permittee, etc. as appropriate) for himself/herself, his/her heirs, personal
representatives, successors in interest, and assigns, as a part of the consideration hereof, does hereby
covenant and agree [in the case of deeds and leases add “as a covenant running with the land”] that:
1. In the event facilities are constructed, maintained, or otherwise operated on the property described in
this (deed, license, lease, permit, etc.) for a purpose for which a U.S. Department of Transportation
activity, facility, or program is extended or for another purpose involving the provision of similar services
or benefits, the (grantee, licensee, lessee, permittee, etc.) will maintain and operate such facilities and
services in compliance with all requirements imposed by the Acts and Regulations (as may be amended)
such that no person on the grounds of race, color, or national origin, will be excluded from participation
in, denied the benefits of, or be otherwise subjected to discrimination in the use of said facilities.
B. With respect to licenses, leases, permits, etc., in the event of breach of any of the above Non -
discrimination covenants, the recipient will have the right to terminate the (lease, license, permit, etc.) and to
enter, re-enter, and repossess said lands and facilities thereon, and hold the same as if the (lease, license,
permit, etc.) had never been made or issued.*
C. With respect to a deed, in the event of breach of any of the above Non-discrimination covenants, the
recipient will have the right to enter or re-enter the lands and facilities thereon, and the above described lands
Page 858 of 987
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Required Federal-Aid Contract Language
Appendix
19
and facilities will there upon revert to and vest in and become the absolute property of the recipient and its
assigns.*
(*Reverter clause and related language to be used only when it is determined that such a clause
is necessary to make clear the purpose of Title VI.)
APPENDIX D
CLAUSES FOR CONSTRUCTION/USE/ACCESS TO REAL PROPERTY ACQUIRED UNDER THE
ACTIVITY, FACILITY OR PROGRAM
The following clauses will be included in deeds, licenses, permits, or similar
instruments/agreements entered into by the recipient pursuant to the provisions of Assurance
7(b):
A. The (grantee, licensee, permittee, etc., as appropriate) for himself/herself, his/her heirs, personal
representatives, successors in interest ,and assigns, as a part of the consideration hereof, does hereby
covenant and agree (in the case of deeds and leases add, “as a covenant running with the land”) that (1) no
person on the ground of race, color, or national origin, will be excluded from participation in, denied the
benefits of, or be otherwise subjected to discrimination in the use of said facilities, (2) that in the construction
of any improvements on, over, or under such land, and the furnishings of services thereon, no person on the
ground of race, color, or national origin, will be excluded from participation in, denied the benefits or, or
otherwise be subjected to discrimination, (3) that the (grantee, licensee, lessee, permittee, etc.) will use the
premises in compliance with all other requirement s imposed by or pursuant to the Acts and Regulations, as
amended, set forth in this Assurance.
B. With respect to (licenses, leases, permits, etc.) in the event of breach of any of the above of the above Non -
discrimination covenants, the recipient will have the right to terminate the (license, permits, etc., as appropriate)
and to enter or re-enter and repossess said land and the facilities thereon, and hold the same as if said (license,
permit, etc., as appropriate) had never been made or issued.*
C. With respect to deeds, in the event of breach of any of the above Non-discrimination covenants, the
recipient will there upon revert to and vest in and become the absolute property of the recipient and its
assigns.
(*Reverter clause and related language to be used only when it is determined that such a clause
is necessary to make clear the purpose of Title VI.)
APPENDIX E
During the performance of this contract, the contractor, for itself, its assignees, and
successors in interest (hereinafter referred to as the “contractor”) agrees to comply with the
following non-discrimination statutes and authorities, including, but not limited to:
Pertinent Non-Discrimination Authorities:
• Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252), prohibits discrimination on
the basis of race, color, national origin); and 49 CFR Part 21.
• The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, (42 U.S.C. § 4601),
(prohibits unfair treatment of persons displaced or whose property has been acquired because of Federal or
Federal-aid programs and projects);
• Federal-Aid Highway Act of 1973, (23 U.S.C. § 324 et seq.), prohibits discrimination on the basis of sex;
Page 859 of 987
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Required Federal-Aid Contract Language
Appendix
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• Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794 et seq.), as amended, (prohibits
discrimination on the basis of disability); and 49 CR Part 27;
• The Age Discrimination Act of 1975, as amended, (42 U.S.C. § 6101 et seq.), prohibits discrimination on the
basis of age);
• Airport and Airway Improvement Act of 1982, (49 U.S.C. § 471, Section 47123), as amended, (prohibits
discrimination based on race, creed, color, national origin, or sex);
• The Civil Rights Restoration Act of 1987, (PL 100-209), (Broadened the scope, coverage and applicability of
Title VI of the Civil Rights Act of 1964, The Age Discrimination Act of 1975 and Section 504 of the
Rehabilitation Act of 1973, by expanding the definition of the terms “programs or activities” to include all of
the programs or activities of the Federal-aid recipients, sub-recipients and contractors, whether such
programs or activities are Federally funded or not);
• Titles II and III of the Americans with Disabilities Act, which prohibit discrimination of the basis of disability in
the operation of public entities, public and private transportation systems, places of public accommodation,
and certain testing entities (42 U.S.C. §§ 12131 – 12189) as implemented by Department of Transportation
regulations 49 C.F.R. parts 37 and 38;
• The Federal Aviation Administration’s Non-discrimination statute (49 U.S.C. § 47123) (prohibits
discrimination on the basis of race, color, national origin, and sex);
• Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low-
Income Populations, which ensures discrimination against minority populations by discouraging programs,
policies, and activities with disproportionately high and adverse human health or environmental effects on
minority and low-income populations;
• Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency, and
resulting agency guidance, national origin discrimination includes discrimination because of limited English
proficiency (LEP). To ensure compliance with Title VI, you must take reasonable steps to ensure that LEP
persons have meaningful access to your programs (70 Fed. Reg. at 74087 to 74100);
• Title IX of the Education Amendments of 1972, as amended, which prohibits you from discriminating
because of sex in education programs or activities (20 U.S.C. 1681 et seq).
Federal Trainee Program Special
Provisions (to be used when applicable)
14. FEDERAL TRAINEE PROGRAM
For the Federal training program, the number of trainees or apprentices is .
This section applies if a number of trainees or apprentices is shown on the Notice of Bidders.
As part of the prime contractor’s equal opportunity affirmative action program, provide on-the-job
training to develop full journeymen in the types of trades or job classifications involved.
The prime contractor has primary responsibility for meeting this training requirement.
If the prime contractor subcontracts a contract part, they shall determine how many trainees or
apprentices are to be trained by the subcontractor. Include these training requirements in each
subcontract.
Where feasible, 25 percent of apprentices or trainees in each occupation must be in their 1st year
of apprenticeship or training.
Distribute the number of apprentices or trainees among the work classifications on the basis of
the prime contractor’s needs and the availability of journeymen in the various classifications
within a reasonable recruitment area.
Before starting work, the prime contractor shall submit to the City/County of :
1. Number of apprentices or trainees to be trained for each classification
Page 860 of 987
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Appendix
21
2. Training program to be used
3. Training starting date for each classification
The prime contractor shall obtain the City/County of approval for this submitted
information before the prime contractor starts work. The City/County of credits the
prime contractor for each apprentice or trainee the prime contractor employs on the job who is
currently enrolled or becomes enrolled in an approved program.
The primary objective of this section is to train and upgrade minorities and women toward
journeyman status. The prime contractor shall make every effort to enroll minority and women
apprentices or trainees, such as conducting systematic and direct recruitment through public and
private sources likely to yield minority and women apprentices or trainees, to the extent they are
available within a reasonable recruitment area and show that they have made the efforts. In
making these efforts, the prime contractor shall not discriminate against any applicant for training.
The prime contractor shall not employ as an apprentice or trainee an employee:
1. In any classification in which the employee has successfully completed a training course leading to
journeyman status or in which the employee has been employed as a journeyman
2. Who is not registered in a program approved by the US Department of Labor, Bureau of
Apprenticeship and Training
The prime contractor shall ask the employee if the employee has successfully completed a training
course leading to journeyman status or has been employed as a journeyman. The prime
contractor’s records must show the employee's answers to the questions.
In the training program, the prime contractor shall establish the minimum length and training type
for each classification. The City/County of and FHWA approves a program if one of the
following is met:
1. It is calculated to:
• Meet the equal employment opportunity responsibilities
• Qualify the average apprentice or trainee for journeyman status in the classification involved by
the end of the training period
2. It is registered with the U.S. Department of Labor, Bureau of Apprenticeship and Training, and it is
administered in a way consistent with the equal employment responsibilities of Federal-aid highway
construction contracts
The prime contractor shall obtain the State's approval for their training program before they start
work involving the classification covered by the program.
The prime contractor shall provide training in the construction crafts, not in clerk-typist or
secretarial-type positions. Training is allowed in lower-level management positions such as office
engineers, estimators, and timekeepers if the training is oriented toward construction
applications. Training is allowed in the laborer classification if significant and meaningful training
is provided and approved by the division office. Off-site training is allowed if the training is an
integral part of an approved training program and does not make up a significant part of the
overall training.
The City/County of reimburses the prime contractor 80 cents per hour of training given an
employee on this contract under an approved training program:
1. For on-site training
2. For off-site training if the apprentice or trainee is currently employed on a Federal-aid project and
prime contractor does at least one of the following:
a. Contribute to the cost of the training
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Required Federal-Aid Contract Language
Appendix
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b. Provide the instruction to the apprentice or trainee
c. Pay the apprentice's or trainee's wages during the off-site training period
3. If the prime contractor complies with this section.
Each apprentice or trainee must:
1. Begin training on the project as soon as feasible after the start of work involving the apprentice's or
trainee's skill
2. Remain on the project as long as training opportunities exist in the apprentice's or trainee's work
classification or until the apprentice or trainee has completed the training program
Furnish the apprentice or trainee a:
1. Copy of the training plan approved by the U.S, Department of Labor or a training plan for trainees
approved by both Caltrans and FHWA
2. Certification showing the type and length of training satisfactorily completed
Maintain records and submit reports documenting contractor’s performance under this section.
15. PROHIBITION OF CERTAIN TELECOMMUNICATIONS AND VIDEO SURVEILLANCE
EQUIPMENT AND SERVICES
In response to significant national security concerns, the agency shall check the prohibited
vendor list before making any telecommunications and video surveillance purchase because
recipients and subrecipients of federal funds are prohibited from obligating or expending loan or
grant funds to:
• Procure or obtain;
• Extend or renew a contract to procure or obtain; or
• Enter into a contract (or extend or renew a contract) to procure or obtain equipment, services, or
systems that uses covered telecommunications equipment or services as a substantial or essential
component of any system, or as critical technology as part of any system.
The prohibited vendors (and their subsidiaries or affiliates) are:
• Huawei Technologies Company;
• ZTE Corporation;
• Hytera Communications Corporation;
• Hangzhou Hikvision Digital Technology Company;
• Dahua Technology Company; and
• Subsidiaries or affiliates of the above-mentioned companies.
In implementing the prohibition, the agency administering loan, grant, or subsidy
programs shall prioritize available funding and technical support to assist affected
businesses, institutions and organizations as is reasonably necessary for those
affected entities to transition from covered communications equipment and services,
to procure replacement equipment and services, and to ensure that communications
service to users and customers is sustained.
The contractors should furnish telecommunications and video surveillance
equipment with a certificate of compliance. The certificate must state
telecommunications and video surveillance equipment was not procured or obtained
from manufacturers identified in the above list.
Page 862 of 987