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HomeMy WebLinkAbout03-06-2012 c3 civil traffic design servicescouncil .j aGenaa Repout Meeting Date March 6, 201 2 Item Number C3 C I T Y O F S A N L U I S O B I S P O FROM : Jay D . Walter, Director of Public Work s Prepared By :Dan Van Beveren, Senior Civil Enginee r SUBJECT : REQUEST FOR PROPOSALS — CIVIL ENGINEERING AND TRAFFI C ENGINEERING DESIGN SERVICES, SPECIFICATION NO .90703-2012 A RECOMMENDATION S 1.Approve the Request for Proposals (RFP)to provide Civil Engineering and Traffi c Engineering Design Services for the Capital Improvement Program, Specification No . 90703-2012A . 2.Authorize the City Manager to execute agreements with the selected consulting firms . 3.Authorize the Finance Director to execute and amend Purchase Orders for individual Civi l Engineering and Traffic Engineering consultant service contracts in an amount not-to - exceed the authorized project budget . DISCUSSION Backgroun d The City's Capital Improvement Plan (CIP) includes projects that improve existing infrastructur e and implement Council priorities . The responsibility for delivering a large portion of these project s is assigned to the Public Works Engineering Division . The CIP project work includes a mix o f projects designed and managed exclusively by City staff, and projects which utilize consultan t design services . Staff has recognized the benefit of pre-selecting consultants so that their services can be more - readily utilized . Most recently, in March 2010, Council authorized the Request for Proposals (RFP ) for civil engineering and traffic engineering consultant services, and in June of 2010, the Cit y Manager executed service agreements with the top rated consultants who submitted proposals . These agreements will expire this year thus prompting the need for the City to re-advertise for thes e services, again through the RFP process . Consultant services play a crucial role in the delivery of capital project design . The Public Work s Department has found maintaining a list of prequalified consultants to provide services on an on-call basis for various areas of specialized work has proven to be effective in providing consultant availability to staff:The RFP solicits information packets from interested consultants stating thei r qualifications . After evaluating the submittal packages received, staff will select the top consultant s based on their demonstrated ability to provide civil engineering or traffic engineering services . Once the selected consultants have entered into an agreement with the City, staff will be able to use their services for individual projects as needed, without going through individual RFP's for eac hproject. C3- RFP – Civil EngineeringandTraffic Engineering Design Services Page 2 The oversight of the civil engineering design consultants will be handled largely by Public Works Engineering staff The consultants will operate under the conditions of the agreement included i n the RFP . Individual projects will be scoped with the City department most involved and th e consultant . The specific project work will then be authorized via a Purchase Order through th e Finance Department, referencing the signed agreement . Engineering staff will continue to do othe r project work in addition to managing consultant work . The traffic engineering design consultants will be primarily utilized by the Public Work s Transportation staff. The anticipated services of these consultants consist of providing variou s transportation studies, traffic engineering design, and staff support . FISCAL IMPAC T The RFP agreement,in and of itself, does not obligate any funds for additional CIP consultant work . When the' agreements are executed by the City Manager, staff will begin scoping meetings an d issuance of Purchase Orders . Work will be billed to the individual project accounts, not-to-excee d the authorized project budget . ALTERNATIVE S 1.Individual Project RFPs.The Council could direct staff to proceed in a more traditiona l fashion, issuing RFP's for each individual project . On the plus side, a company with greate r experience in the specific work might be attracted .On the minus side, this process is very tim e consuming and increases the work required for an individual project, reducing overall projec t production . Staff does not recommend this approach because it increases the time to implemen t individual contracts, while providing very little benefit . 2.In-house Approach .The Council could direct staff to complete more of the work in-house . A t this time, Public Works Engineering does not have sufficient staff to deliver the proposed volume o f work. Staff does not believe that hiring additional staff, at least at this time, is practical . It typicall y takes staff a period of one to two years to become fully productive and knowledgeable about th e City's processes, depending upon their skill level and prior public entity experience . Additionally , the current fiscal situation of the City is not conducive to adding new staff positions . ATTACHMEN T Request for Proposals for Civil Engineering and Traffic Engineering Design Services, Specificatio n No . 90703-2012 A .;unGiayenJardpaW~cJi WUS~-X73-Goafp-avilardsalti C3-2 city of san lu g s oBispo ATTACHMENT 919 Palm Street • San Luis Obispo • CA • 9340 1 Notice Requesting Proposals fo r Capital Improvement Plan Design, On-Call Civil Engineering Traffic Engineering Service s Specification No . 90703-2012A March 201 2 The City of San Luis Obispo is requesting sealed proposals for Capital Improvement Plan Civil Engineering & Traffic Engineering Services pursuant to Specification No . 90703-2012A . All proposals must be received by th e Public Works Department at 919 Palm Street, San Luis Obispo, CA 93401 by 3 :00 P .M, on April 5, 2012 . Proposals received after said time will not be considered . To guard against premature opening, each proposa l shall be submitted to the Public Works Department in a sealed envelope plainly marked with the proposal title , specification number, Consultant name, and time and date of the proposal opening . Proposals shall be submitted using the forms provided in the specification package . Obtaining a S p ecification Package Download from the City s Web site www .slocity,org - Bids & Proposals pag e •Pick up a copy of the RFP at the above addres s •Mail a request to the City of San Luis Obispo Public Works Department at the above addres s Fax a request to the City of San Luis Obispo at 805-781-7537 include company name, street address, phone , fax, email and the name of the contact person . Requests must include the RFP title and specification number . A list of companies that have requested a copy of this RFP is maintained on the web page . Project Detail Informatio n Project detail information may be obtained by contacting Dan Van Beveren at (805) 783-7715 . Disadvantaged Business Participatio n DBE and other small businesses as defined in Title 49 CFR 26, are encouraged to participate in the performance of agreements financed in whole or in part with federal funds . g1administrativelservice-supply-contractslengineer architect_cm12012-90703a -civil and traffic engineenngl90T03-2012a civil-traffic engineenng .doc ATTACHMEN T Specification No . 90703-2012 A TABLE OF CONTENT S DESCRIPTION OF WORK :3 GENERAL TERMS AND CONDITIONS ::6 PROPOSAL REQUIREMENTS :6 CONTRACT AWARD AND EXECUTION 7 PROPOSAL CONTENT AND SELECTION PROCESS 8 PROPOSAL CONTENT ,8 PROPOSAL EVALUATION AND CONSULTANT SELECTION 8 FORM OF AGREEMENT__1 0 PROPOSAL SUBMITTAL FORMS ::.:1 7 ACKNOWLEDGEMENT ::;1 7 NON-LOBBYING CERTIFICATION - Federally Funded Contracts :1 7 INSURANCE CERTIFICATE 1 8 PROPOSED SERVICES :1 8 REFERENCES 1 9 STATEMENT OF PAST CONTRACT DISQUALIFICATIONS 2 1 DEBARMENT AND SUSPENSION CERTIFICATION Federally Funded Contracts ::2 1 CERTIFICATION OF CONSULTANT AND CITY For Federally Funded Contracts :2 2 INSURANCE REQUIREMENTS : Consultant Services ..:...;:::23 APPENDICES ::::2 4 Capital Improvement Plan Civil Engineering Design and Traffic Engineering Services Pats of44 ATTACHMEN T Section A DESCRIPTION OF WOR K The City is looking for consultants interested in working closely with City Engineering staff to deliver the City s ongoing Capital Improvement Program in the areas of Civil Engineering and Traffic Engineering . Background: The City adopts a new Financial Plan every two years . This budget document includes a write up of numerou s projects to be completed as part of the Capital Improvement Plan, also known as Appendix B of the Financial Plan . The 2011-13 Capital Improvement Plan may be downloaded directly from the City s web site a t http :l/vvww,slocity .org/finance/downloadIbudgetl 1-13/Apex 20B 20Web .pdf.This work,in recent years,has been completed by a combination of Engineering staff and Consultants. This request for proposals is to develop a two year agreement with consultants to work for the City completing civi l engineering design and traffic engineering work . In Appendix 1, potential proposers will find a list of projects tha t the City has identified for civil engineering design or traffic engineering work . The City foresees contracting wit h more than one firm to accomplish this work . Your company is not required to have capabilities in both areas to submit a proposal . Please identify what areas you believe your company has expertise on the submittal forms . Worksco pe Civil Engineering Design : The consultant(s) selected will be responsible to perform the necessary work to deliver a biddable set of plans and specifications for construction, consistent with current policies and procedures . Because the City is anticipating completing several jobs with a given consultant, the expectation is that th econsultantwill become skilled at delivering projects under City guidelines and formats with limited oversight by City staff. It will be important for the consultant to become an arm of the City, working very independently but reliably : The City will use what tools are available to see that is occurring . The first will be the quality of submittals after th e initial project, which is expected, will be a learning experience . The second is the ability of the consultant to delive r projects on schedule, and the last, to track change orders during construction for things that should have bee n identified during design (contrasted to things that can not be anticipated .)Consultants that are not able to reliably deliver projects will not be considered for future projects under this agreement . The outline below is meant to clarify the consultant s role, but not be an all inclusive list of every task needed t o achieve the work product . A City staff person will be assigned from the Engineering Section as your contact for al l projects . v Attend scoping meeting with project proponent.These are often staff from departments other than Publi c Works . •5 Submit a detailed workscope including a list of key work items, a schedule,including turn around times for City staff items,a list of any sub-consultants needed for the work and a cost proposal . (Final workscope and cost t o be negotiated .) •.Complete research of City archives for Record Drawing information, obtain information from affected utilit y companies, perform facility investigation, research Code requirements and any other record searches require d to complete the work . v Complete any preliminary reports, such as hydraulic reviews, needed under the project scope . Process for public review as required in the workscope . Submit initial 50 draft plans and construction estimate for comment . v Complete 95 draft plans, specifications and estimate and in-house quality assurance check.•• Submit 95 draft plans, specifications and estimate for commen t •Submit final draft for comment . v Submit plans on projects outside the Right-of-Way to the Building Division for building permits, addressin gcomments and resubmitting as needed . Submit completed approved bid package .•S Complete Record Drawing s Capital improvement Klan Civil Engineering Design and Traffic Engineering Services Pats of84 ATTACHMEN T City Staff will typically complete, or manage through others, the following items : +Obtain the environmental document . v Pay all permit fees . v Obtain permits for creek related work from regulatory agencies . v Complete staff reports for approval : •S Advertise and award construction contracts . This work may be assigned to the consultant depending upon consultant s capabilities, available staffing and th e City s available funding . Workscope : Traffic Engineerinq services : The consultant(s) selected will be responsible to perform the necessary work to perform miscellaneous traffi c engineering and planning services to ensure projects are designed to City standards and perform traffic plannin g review of development review projects as needed . Our goal is as follows : •To develop a short list of qualified traffic engineering firms that becomes familiar with City traffic an d transportation standards and principles to assist staff with projects when staff resources don t match projec t delivery needs . Provide consistency with traffic engineering services for development review projects that are processe d through the City s development review process. Consultant may be required to provide a wide variety of services related to municipal transportation engineering . This includes, but is not limited to : 1 . Planning, design, construction assistance, and technical review of efforts directed to roadway design , traffic signals, roadside safety features, signage and striping programs, pavement maintenanc e programs and related features and activities . 2 Traffic Modeling using the City of San Luis Obispo Traffic Model (Transcad), the San Luis Obisp o Council of Governments Countywide Transportation Model (Transcad) or other forecasting softwar e 3.Expertise with traffic operations analysis software such as Synchro Version 7, VISSIM/VISSUM , Highway Capacity Manual software, PASSER and Tranyst . 4.Providing technical assistance to City staff on Intelligent Transportation Systems (ITS) that include : Traffic signal system s Bus rapid transit system desig n Communication master plan s Communication system desig n Traffic signal timin g Video detection system s Lighting system desig n 11.Consultant may be required to prepare or review traffic impact or parking studies and assessments fo r private development projects throughout the City pursuant to the City of San Luis Obispo Traffic Impac t Studies Guidelines . 12.Assist staff with processing projects with Caltrans and other regionallState agencies that requir e permitting of transportation related improvement projects . Capital Improvement Plan Civil Engineering Design and Traffic Engineering Services Page ofg4 tt. ATTACHMEN T Agreement Management . The selected consultant will be expected to assign a single point person who understands the overall agreemen t and can manage paperwork associated with it . This person does not need to be assigned to any of the individua l projects, but should be available to listen and follow up on concerns regarding performance . Cost proposals will b e received after scoping meetings, and may include the cost of the scoping meeting . The City will evaluate th e proposal upon receipt and negotiate workscope further as needed . The consultant will receive a Purchase Orde r after the proposal scope and cost has been accepted, signaling the start of the project work . Capital Improvement Plan Civil Engineering Design and Traffic Engineering Services Pa tS of,4 ATTACHMEN T Section B GENERAL TERMS AND CONDITION S PROPOSAL REQUIREMENT S 1 . Requirement to Meet All Provisions .Each individual or firm submitting a proposal (Consultant) shall meet al l of the terms, and conditions of the Request for Proposals (RFP) specifications package . By virtue of it s proposal submittal, the Consultant acknowledges agreement with and acceptance of all provisions of the RF P specifications . 2 Proposal Submittal .Each proposal must include the form(s) provided in the specifications, accompanied b y any other required submittals or supplemental materials . Proposal documents shall be enclosed in a n envelope that shall be sealed and addressed to the Public Works Department, City of San Luis Obispo, 91 9PalmStreet, San Luis Obispo,CA,93401 . In order to guard against premature opening, the proposal shoul d be clearly labeled with the proposal title, specification number, name of Consultant, and date and time o fproposalopening. No FAX submittals will be accepted . 3 . Insurance Certificate.Each proposal must include a certificate of insurance showing : a.The insurance carrier and its A .M . Best rating . b.Scope of coverage and limits . c.Deductibles and self-insured retention . The purpose of this submittal is to generally assess the adequacy of the Consultant s insurance coverag e during proposal evaluation ; as discussed under paragraph 12 below, endorsements are not required unti l contract award . The City s insurance requirements are detailed in Section F . 4. Submittal of References .Each proposer shall submit a statement of qualifications and references on the for m provided in the RFP package . 5 . Statement of Contract Disqualifications .Each proposer shall submit a statement regarding any pas t government disqualifications on the form provided in the RFP package. 6 . Proposal Withdrawal and Opening,A Consultant may withdraw its proposal, without prejudice prior to th e time specified for the proposal opening, by submitting a written request to the City Engineer for its withdrawal , in which event the proposal will be returned to the Consultant unopened . No proposal received after the tim e specified or at any place other than that stated in the "Notice Requesting Proposals" will be considered . Al l proposals will be opened and declared publicly . Consultants or their representatives are invited to be presen t at the opening of the proposals . 7.Submittal of One Proposal Only .No individual or business entity of any kind shall be allowed to make or file , or to be interested in more than one proposal, except an alternative proposal when specifically requested ; however, an individual or business entity that has submitted a sub-proposal to a Consultant submitting a proposal, or who has quoted prices on materials to such Consultant, is not thereby disqualified from submittin g a sub-proposal or from quoting prices to other Consultants submitting proposals . 8 . Communications .All timely requests for information submitted in writing will receive a written response fro m the City. Telephone communications with City staff are not encouraged, but will be permitted . However, any such oral communication shall not be binding on the City. 9 . Alternative Proposals .The proposer may submit an alternative proposal (or proposals) that it believes wil l also meet the City's project objectives but in a different way . In this case, the proposer must provide a n analysis of the advantages and disadvantages of each of the alternatives, and discuss under wha t circumstances the City would prefer one alternative to the other(s). Capital Improvement Plan Civil Engineering Design and Traffic Engineering Services Pars ofd4 ATTACHMEN T CONTRACT AWARD AND EXECUTIO N 10.Proposal Retention and Award .The City reserves the right to retain all proposals for a period of 60 days fo r examination and comparison . The City also reserves the right to waive non substantial irregularities in an y proposal, to reject any or all proposals, to reject or delete one part of a proposal and accept the other, except t o the extent that proposals are qualified by specific limitations . 11.Competency and Responsibility of Consultant .The City reserves full discretion to determine th e competence and responsibility, professionally and/or financially, of Consultants . Consultants will provide, in a timely manner,all information that the City deems necessary to make such a decision . 12.Contract Requirement.The Consultant to whom award is made shall execute a written contract with the Cit y within ten (10) calendar days after notice of the award has been sent by mail to it at the addressgiven in its proposal . The contract shall be made in the form adopted by the City and incorporated in these specifications . 13.Insurance Requirements .The Consultant shall provide proof of insurance in the form, coverages an d amounts specified in these specifications within 10 (ten) calendar days after notice of contract award as a precondition to contract execution . 14.Business License Tax.The Consultant must have a valid City of San Luis Obispo business license and ta x certificate before execution of the contract . Additional information regarding the City's business license and tax program may be obtained by calling (805) 781-7134 . 15.Failure to Accept Contract .The following will occur if the Consultant to whom the award is mad e (Consultant) fails to enter into the contract : the award will be annulled ; any bid security will be forfeited i n accordance with the special terms and conditions if a Consultant's bond or security is required ; and an awar d may be made to the next highest ranked Consultant with whom a responsible compensation is negotiated, wh o shall fulfill every stipulation as if it were the party to whom the first award was made . Capital Improvement Plan Civil Engineering Design and Traffic Engineering Services Patg ofd4 ATTACHMEN T Section C PROPOSAL CONTENT AND SELECTION PROCES S PROPOSAL CONTEN T 1 . Submittal Form s a.Acknowledgemen t b.Non-Lobbing Certificatio n c.Certificate of Insuranc e d.Proposed Service s e.Reference s f.Statement of Past Disqualifications g.Debarment and Suspension Certificatio n h.Certification of Consultan t i.Disclosure of Lobbying Activitie s 2 . Qualification s a.Experience of your firm in performing similar service s b.Experience of the staff to be assigned to the project in performing similar service s c.Redundancy in the company of staff experienced in this type of wor k d.Resumes of the individuals who would be assigned to this project, including any known sub-consultant s e.Proximity and staffing levels of the nearest company offic e f.Statement and explanation of any instances where your firm has been removed from a project o r disqualified from proposing on a projec t Standard hourly billing rates for consultant and sub-consultant staff Detailed list of services available directly from the compan y 3 . Work Progra m a.Description of your approach to working with City staff to achieve their goal of completing the assigne d Capital Improvement Plan work . b.Services or data anticipated to be provided by the Cit y c.Any other information that would assist us in making this contract award decisio n 4. Proposal Length and Copies a.Proposals should be the minimum length to provide the required information . Charts and other short form approaches to convey information are encouraged . b.3 copies of the proposal must be submitted . PROPOSAL EVALUATION AND CONSULTANT SELECTIO N Proposals will be evaluated by a review committee and contract award process as follows : Consultant Selectio n Proposals will be reviewed by a selection committee and ranked in accordance with the responsiveness , qualifications and understanding of the Consultant relative to these specification requirements . After evaluatin g the proposals, a ranking of the consultants will be generated . Contract award will be based on a combination o f factors that represent the best overall value for completing the workscope as determined by the City, including : the written proposal criteria ; results of background and reference checks ; and proposed compensation rates . Capital Improvement Plan Civil Engineering Design and Traffic Engineering Services P 8 0fa4 ATTACHMEN T 6 . Proposal Review and Award Schedul e The following is an outline of the anticipated schedule for prOpOSal review and contract award : Issue RPP 03/10/1 2 Receive proposals ' 04/05/1 2 Complete proposal evaluation O4/27/l 2 Award contract 05V11/12 Capita/ Improvement Plan Civil Engineering Design and Traffic Engineering Services uf l ATTACHMEN T Section D FORM OF AGREEMENT AGREEMENT THIS AGREEMENT is made and entered into in the City of San Luis Obispo on [day, date, year] by an d between the CITY OF SAN LUIS OBISPO, a municipal corporation, hereinafter referred to as City, an d [CONSULTANT S NAME IN CAPITAL LETTERS], hereinafter referred to as Consultant . WI .TNESSET H WHEREAS, on March 10, 2012, City requested proposals for Capital Improvement Plan Design an d Construction Management Services per Specification No . 90703-2012A. WHEREAS, pursuant to said request, Consultant submitted a proposal that was accepted by City for sai d services . NOW THEREFORE, in consideration of their mutual promises, obligations and covenants hereinafte r contained, the parties hereto agree as follows : 1 . Term .The term of this Agreement shall be from the date this Agreement is made and entered, as first writte n above, until acceptance or completion of said services . Start and Completion of Work .Work on this project shall begin within 5 calendar days after contrac t execution . Individual projects shall be completed in accordance with approved project schedules . 3 . Contract Term for On-Call Service Contracts .The services identified in this specification will be contracte d for by the City between June 2012 and June 2014 . Actual work may extend beyond the final date . 4 . Contract Extension .The term of the contract may be extended by mutual consent for an additional year . Cost Increases for On-call Service Contracts .Labor rates may be increased to reflect increased labo r costs and overhead at each 1 year contract anniversary, provided the City is notified of the increases i n advance . 6 . Work Delays .Should the Consultant be obstructed or delayed in the work required to be done hereunder b y changes in the work or by any default, act, or omission of the City, or by strikes, fire, earthquake, or any other Act of God, or by the inability to obtain materials, equipment, or labor due to federal government restriction s arising out of defense or war programs, then the time of completion may, at the City's sole option, be extende d for such periods as may be agreed upon by the City and the Consultant . In the event that there is insufficient time to grant such extensions prior to the completion date of the contract, the City may, at the time o f acceptance of the work, waive liquidated damages that may have accrued for failure to complete on time, du e to any of the above, after hearing evidence as to the reasons for such delay, and making a finding as to th e causes of same. Termination.If, during the term of the contract, the City determines that the Consultant is not faithfully abidin g by any term or condition contained herein, or the Consultant s work is determined to be deficient, the City ma y notify the Consultant in writing of such defect or failure to perform . This notice will give the Consultant a 1 0 (ten) calendar day notice of time thereafter in which to perform said work or cure the deficiency . If the Consultant has not performed the work or cured the deficiency within the ten days specified in the notice , such shall constitute a breach of the contract and the City may terminate the contract immediately by writte n notice to the Consultant to said effect . Thereafter, neither party shall have any further duties, obligations , responsibilities, or rights under the contract except, however, any and all obligations of the Consultant's suret y shall remain in full force and effect, and shall not be extinguished, reduced, or in any manner waived by th e termination thereof . Capital Improvement Plan Civil Engineering Design and Traffic Engineering Services Patt1e IT4 ATTACHMEN T In said event, the Consultant shall be entitled to the reasonable value of its services performed from th e beginning date in which the breach occurs up to the day it received the City's Notice of Termination,minus any offset from such payment representing the City's damages from such breach . "Reasonable value" include s fees or charges for goods or services as of the last milestone or task satisfactorily delivered or completed b y the Consultant as may be set forth in the Agreement payment schedule ; compensation for any other work , services or goods performed or provided by the Consultant shall be based solely on the City's assessment o f the value of the work-in-progress in completing the overall workscope . The City reserves the right to delay any such payment until completion or confirmed abandonment of th e project, as may be determined in the City's sole discretion, so as to permit a full and complete accounting of costs. In no event, however, shall the Consultant be entitled to receive in excess of the compensation quote d in its proposal . If, at any time during the term of the contract, the City determines that the proposed work is not feasible due t o funding shortages or unforeseen circumstances, the City reserves the right to terminate the contract . Consultant will be paid compensation due and payable to the date of termination . Ability to Perform .The Consultant warrants that it possesses, or has arranged through subcontracts, al l capital and other equipment, labor, materials, and licensesnecessary to carry out and complete the wor k hereunder in compliance with any and all applicable federal, state, county, city,and special district laws , ordinances, and regulations . 9.Sub-contract Provisions .No portion of the work pertinent to this contract shall be subcontracted withou t written authorization by the City, except that which is expressly identified in the Consultant s proposal .An y substitution of sub-consultants must be approved in writing by the City . For any sub-contract for services i n excess of $25,000, the subcontract shall contain all provisions of this agreement . 10.Contract Assignment .The Consultant shall not assign, transfer, convey or otherwise dispose of the contract , or its right, title or interest, or its power to execute such a contract to any individual or business entity of an y kind without the previous written consent of the City . 11.Inspection .The Consultant shall furnish City with every reasonable opportunity for City to ascertain that th e services of the Consultant are being performed in accordance with the requirements and intentions of thi s contract. All work done and all materials furnished,if any, shall be subject to the City's inspection and approval . The inspection of such work shall not relieve Consultant of any of its obligations to fulfill its contrac t requirements . 12.Record Retention and Audit .For the purpose of determining compliance with various laws and regulation s as well as performance of the contract, the Consultant and sub-consultants shall maintain all books , documents, papers, accounting records and other evidence pertaining to the performance of the contract , including but not limited to the cost of administering the contract . Materials shall be made available at thei r respective offices at all reasonable times during the contract period and for three years from the date of fina l payment under the contract . Authorized representatives of the City shall have the option of inspecting andlo r auditing all records . For Federally funded projects, access to records shall also include authorize d representatives of the State and Federal government . Copies shall be furnished if requested . 13.Conflict of Interest .The Consultant shall disclose any financial, business, or other relationship with the Cit y that may have an impact upon the outcome of this contract, or any ensuing City construction project . Th e Consultant shall also list current clients who may have a financial interest in the outcome of this contract, or an yensuing City construction project which will follow . The Consultant covenants that it presently has no interest, and shall not acquire any interest direct, indirect o r otherwise that would conflict in any manner or degree with the performance of the work hereunder . TheConsultant further covenants that, in the performance of this work, no sub-consultant or person having such a ninterest shall be employed . The Consultant certifies that no one who has or will have any financial interest i nperforming this work is an officer or employee of the City . It is hereby expressly agreed that, in theperformance of the work hereunder, the Consultant shall at all times be deemed an independent Consultan tand not an agent or employee of the City; Capital Improvement Pl an Ci vi l En g ine er i n g Design and T r a f f i c E ng i n e e r i n g Services P at ty 1 Q 4 ATTACHMEN T 14.Rebates, Kickbacks or Other Unlawful Consideration .The Consultant warrants that this contract was no t obtained or secured through rebates, kickbacks or other unlawful consideration, either promised or paid to an y City employee . For breach or violation of the warranty, the City shall have the right in its discretion ; to terminate the contract without liability ; to pay only for the value of the work actually performed ; to deduct fro m the contract price ; or otherwise recover the full amount of such rebate, kickback or other unlawful consideration . 15.Covenant Against Contingent Fees .The Consultant warrants by execution of this contract that no person or selling agency has been employed,or retained, to solicit or secure this contract upon an agreement o r understanding,for a commission, percentage, brokerage, or contingent fee, excepting bona fide employees o r bona fide established commercial or selling agencies maintained by the Consultant for the purpose of securin g business . For breach or violation of this warranty, the City has the right to annul this contract without liability ; pay only for the value of the work actually performed, or in its discretion, to deduct from the contract price o r consideration, or otherwise recover the full amount of such commission, percentage, brokerage, or contingen t fee . 16.Compliance with Laws and Wage Rates .The Consultant shall keep itself fully informed of and shall observ e and comply with all applicable state and federal laws and county and City of San Luis Obispo ordinances , regulations and adopted codes during its performance of the work . This includes compliance with prevailin g wage rates and their payment in accordance with California Labor Code . For purposed of this paragraph , construction includes work performed during the design and preconstruction phases of construction, includin g but not limited to, inspection and land surveying work . 17.Payment of Taxes .The contract prices shall include full compensation for all taxes that the Consultant is required to pay . 18.Permits and Licenses .The Consultant shall procure all permits and licenses, pay all charges and fees, an d give all notices necessary . 19.Safety Provisions .The Consultant shall conform to the rules and regulations pertaining to safety establishe d by OSHA and the California Division of Industrial Safety . 20.Public and Employee Safety .Whenever the Consultant's operations create a condition hazardous to th epublicor City employees, it shall, at its expense and without cost to the City, furnish, erect and maintain suc h fences, temporary railings, barricades, lights, signs and other devices and take such other protective measure s as are necessary to prevent accidents or damage or injury to the public and employees . 21.Preservation of City Property .The Consultant shall provide and install suitable safeguards, approved by th e City, to protect City property from injury or damage . If City property is injured or damaged resulting from th e Consultant's operations, it shall be replaced or restored at the Consultant's expense . The facilities shall b e replaced or restored to a condition as good as when the Consultant began work . 22.Immigration Act of 1986 .The Consultant warrants on behalf of itself and all sub-consultants engaged for th e performance of this work that only persons authorized to work in the United States pursuant to the Immigratio n Reform and Control Act of 1986 and other applicable laws shall be employed in the performance of the wor k hereunder, 23.Consultant Non-Discrimination .In the award of subcontracts or in performance of this work, the Consultan t agrees that it will not engage in, nor permit such sub-consultants as it may employ, to engage in discriminatio n in employment of persons on any basis prohibited by State or Federal law . 24.Accuracy of Specifications .The specifications for this project are believed by the City to be accurate and t o contain no affirmative misrepresentation or any concealment of fact . In preparing its proposal, the Consultan t and all sub-consultants named in its proposal shall bear sole responsibility for proposal preparation error s resulting from any misstatements or omissions in the specifications that could easily have been ascertained b y examining either the project site or accurate test data in the City's possession . Although the effect of ambiguities or defects in the specifications will be as determined by law, any patent ambiguity or defect shal l give rise to a duty of Consultant to inquire prior to proposal submittal . Failure to so inquire shall cause an y such ambiguity or defect to be construed against the Consultant . An ambiguity or defect shall be considere d patent if it is of such a nature that the Consultant, assuming reasonable skill, ability and diligence on its part , knew or should have known of the existence of the ambiguity or defect . Furthermore, failure of the Consultan t Capital Improvement Plan Civil Engineering Design and Traffic Engineering Services Pa 12 0(44 ATTACHMEN T or sub-consultants to notify City in writing of specification defects or ambiguities prior to proposal submittal shal l waive any right to assert said defects or ambiguities subsequent to submittal of the proposal . To the extent that these specifications constitute performance specifications, the City shall not be liable fo r costs incurred by the successful Consultant to achieve the project s objective or standard beyond the amount s provided therefor in the proposal . In the event that, after awarding the contract, any dispute arises as a result of any actual or alleged ambiguit y or defect in the specifications, or any other matter whatsoever, Consultant shall immediately notify the City i n writing, and the Consultant and all sub-consultants shall continue to perform, irrespective of whether or not th e ambiguity or defect is major, material, minor or trivial,and irrespective of whether or not a change order, tim e extension, or additional compensation has been granted by City . Failure to provide the hereinbefore describe d written notice within one (1) working day of Consultant's becoming aware of the facts giving rise to the disput e shall constitute a waiver of the right to assert the causative role of the defect or ambiguity in the plans or specifications concerning the dispute . 25.Indemnification for Professional Liability.To the fullest extent permitted by law, Consultant shal l indemnify, protect, defend and hold harmless City and any and all of its officials,employees and agents ("Indemnified Parties") from and against any and all losses, liabilities, damages,costs and expenses, including attorney's fees and costs which arise out of, pertain to, or relate to the negligence, recklessness,or willful misconduct of the Consultant . 26.Non-Exclusive Contract .The City reserves the right to contract for the services listed in this proposal fro m other consultants during the contract term . 27.Project Proposal Submittal .Upon completion of the project scoping meeting, the Consultant shall submit a proposed workscope, compensation and schedule within 10 working days . The cost proposal shall include al l costs including miscellaneous direct cost items . 28.Standards .Documents shall conform to City Standards and City furnished templates shall be used . 29.Consultant Endorsement .Technical reports, plans and specifications shall be stamped and signed by th e Consultant where required . 30.Required Deliverable Products and Revisions .The Consultant will be required to provide document s addressing all elements of the workscope . Plans shall be prepared using City s standardized title blocks an d coversheets . Draft plans shall be submitted for review in full D (24x36) format . Specifications and bi d documents shall conform to standard City formats unless authorized . The City s current Standar d Specifications and Engineering Standards must be incorporated where applicable . City staff will review any documents or materials provided by the Consultant and,where necessary, th e Consultant will respond to staff comments and make such changes as deemed appropriate .Submittals shal lincludethe previous marked up submittal (returned to the Consultant) to assist in the second review . Changes shall be made as requested or a notation made as to why the change is not appropriate . 2 copies of the draft preliminary reports, technical studies and 50 plans and estimat e 1 copy of the final preliminary reports, technical studies plus markups 2 copies of the 90 plans, specifications and estimate plus 50 markup s 2 copy of the 100 plans, specifications and estimate plus 90 markup s 1 copy of the final plans, specifications and estimates plus 100 markup s1copy of the final record drawings after constructio n Draft reports and plan submittals shall be submitted as paper copies . Final documents and record documents shall be submitted as camera-ready original, unbound, each pag eprinted on only one side,including any original graphics in place and scaled to size, ready for reproduction AN Done electronic copy submitted in Adobe Acrobat format including all original stamps and signatures . In the event the City will be compiling the final specifications, incorporating the Consultant s work, the fina lspecificationswillalso be required to be submitted in Microsoft Word format . Capital Improvement Plan Civil Engineering ,Design and Traffic Engineering Services Pa13 oi(d24 ATTACHMEN T In the event the City will be completing the Record Drawings, the final plans will also be required to b esubmitted in AutoCAD . Electronic files shall be submitted on CD and all files must be compatible with the Microsoft operating system .Each CD must be clearly labeled and have a printed copy of the directory . Files may be emailed to the City i nlieu of putting them on CD . 31.Ownership of Materials .Upon completion of all work under this contract, ownership and title to all reports ,documents, plans, specifications, and estimates produced as part of this contract will automatically be vested i nthe city and no further agreement will be necessary to transfer ownership to the City . The Consultant shallfurnish the City all necessary copies of data needed to complete the review and approval process . It is understood and agreed that all calculations, drawings and specifications, whether in hard copy or machin ereadable form,are intended for one-time use in the construction of the project for which this contract has bee nentered into. The Consultant is not liable for claims, liabilities, or losses arising out of,or connected with the modification, o rmisuse by the City of the machine-readable information and data provided by the Consultant under thi sagreement. Further,the Consultant is not liable for claims, liabilities, or losses arising out of, or connected wit hany use by City of the project documentation on other projects, except such use as may be authorized in writin gby the Consultant . 32.Release of Reports and Information .Any reports, information, data, or other material given to, prepared b y or assembled by the Consultant as part of the work or services under these specifications shall be the propert y of City and shall not be made available to any individual or organization by the Consultant without the prio rwritten approval of the City . The Consultant shall not issue any news release or public relations item of any nature, whatsoever, regardin gwork performed or to be performed under this contract without prior review of the contents thereof by the Cit yand receipt of the City s written permission . 33.Copies of Reports and Information .If the City requests additional copies of reports, drawings ,specifications, or any other material in addition to what the Consultant is required to furnish in limited quantitie sas part of the work or services under these specifications, the Consultant shall provide such additional copie sas are requested, and City shall compensate the Consultant for the costs of duplicating of such copies at th eConsultant's direct expense . 34.Attendance at Meetings and Hearings .Consultant sh II attend as many "working" meetings with staff a snecessary to accomplish the workscope tasks . Consult nt shall attend workshops with the public,and Cit ycommission, committee or Council meetings as identified i the individual project scoping . 35.Permit and Filing Fees .The Consultant shall procure al permits, and licenses, pay all charges and fees an dfile all notices necessary as they pertain to the completion of the Consultant s work . The City will pay al lapplication fees for permits required for the completion of he project work. The City requires a 10 day notice toissue a check . 36.Consultant Invoices .The Consultant shall deliver a rnonthly invoice to the City, itemized by project title .Invoice must include a breakdown of hours billed and miscellaneous charges and any sub-consultant invoices , similarly broken down, as supporting detail . 37.Payment .For providing services as specified in this Agreement, City will pay and Consultant shall receive therefore compensation in a total sum not to exceed the individual agreed upon project fee . Should th e Consultant s designs, drawings or specifications contain rrors or deficiencies, the Consultant shall be require d to correct them at no increase in cost to the City . Progress payments shall be made on a monthly basis a$ invoiced by the Consultant for expenses incurred wit h cumulative monthly payments, on an individual project basis, not to exceed : 85 of the agreed upon project fee prior to submittal of 50 document s 95 of the agreed upon project fee prior to submittal of final documents ; an d Capital Improvement Plan Civil Engineering Design and Tr Iffic Engineering Services Pa j 14 Q( 4 ATTACHMEN T 100 of the agreed upon project fee prior to completion of construction or as noted below . The 5 retention until completion of construction shall be released upon completion of design if the City fails t o authorize the advertising for construction within 2 months following the acceptance of a complete final submittal by the Consultant . The Consultant shall be reimbursed for hours worked at the hourly rates attached to this agreement . Hourl y rates include direct salary costs, employee benefits, overhead and fee . In addition, the Consultant shall b e reimbursed for direct costs other than salary and vehicle cost that have been identified and are attached to thi s agreement . The Consultant s personnel shall be reimbursed for per diem expenses at a rate not to exceed tha t currently authorized for State employees under State Department of Personnel Administration rules . 38.Payment Terms .The City's payment terms are 30 days from the receipt of an original invoice and acceptanc e by the City of the materials, supplies, equipment or services provided by the Consultant (Net 30). The Consultant shall pay all sub-consultants within 10 calendar days from receipt of each payment made to th e Consultant by the City . 39.Disadvantaged Business Enterprise (DBE) Use for Federally Funded Projects .Portions of the wor k covered by this agreement are subject to Federal Regulations regarding participation by Disadvantage d Business Enterprises . The City encourages the participation of DBEs as defined in 49 CFR 26 in th e performance of work on those projects identified as federally funded. When projects include DBE participation, the Consultant shall notify the City of any changes to its anticipate d DBE participation, maintain records of DBE usage and complete and submit to the City the final report of DB E utilization prior to receiving final payment . Records shall show the name and business address of each DB E and the total dollar amount actually paid to each . 40.Resolution of Disputes .Any dispute, other than audit, concerning a question of fact arising under thi s contract that is not disposed of by agreement shall be decided by a committee consisting of the City s Projec t Manager and the City Director of Public Works, who may consider written or verbal information submitted by the Consultant.Not later than thirty days after completion of all deliverables necessary to complete the plans , specifications and estimate, the Consultant may request review by the City Council of unresolved claims or disputes, other than audit, in accordance with Chapter 1 .20 Appeals Procedure of the Municipal Code . Any dispute concerning a question of fact arising under an audit of this contract that is not disposed of b y agreement, shall be reviewed by the City s Chief Fiscal Officer . Not later than 30 days after issuance of th e final audit report, the Consultant may request a review by the City s Chief Fiscal Officer of unresolved audit issues .The request for review must be submitted in writing . Neither the pendency of a dispute, nor its consideration by the City will excuse the consultant from full an d timely performance in accordance with the terms of this contract . 41.Agreement Parties . City :Dan Van Beveren Consultant : City of San Luis Obispo 919 Palm Street San Luis Obispo, CA 9340 1 All written notices to the parties hereto shall be sent by United States mail, postage prepaid by registered o rcertified mail addressed as shown above . 42.Incorporation by Reference .City Request for Proposal Specification No .90703-2012A and Consultant'sproposaldated 04/05/12,are hereby incorporated in and made a part of this Agreement . 43.Amendments .Any amendment, modification or variation from the terms of this Agreement shall be in writin gandshallbe effective only upon approval by the City Engineer .If, at any time during the project, the consultan tisdirected to do work by persons other than the City Project Manager and the Consultant believes that the wor kis outside of the scope of the original contract, the Consultant shall inform the Project Manager immediately . I f Capital Improvement Plan Civil Engineering Design and Traffic Engineering Services Pa15 off4 ATTACHMEN T the Project Manager and Consultant both agree that the works outside of the project scope and is necessar yto the successful completion of the project, then a fee will be established for such work based on Consultant's hourly billing rates or a lump sum price agreed upon between the City and the Consultant . Any extra wor kperformed by Consultant without prior written approval from the City Project Manager shall be at Consultant's own expense . 44 . Complete Agreement.This written agreement, including all writings specifically incorporated herein byreference, shall constitute the complete agreement betw en the parties hereto . No oral agreement ,understanding or representation not reduced to writing and specifically incorporated herein shall be of any forc eor effect, nor shall any such oral agreement, understanding or representation be binding upon the partie s hereto . For and in consideration of the payments and agreements hereinbefore mentioned to be made an dperformedbyCity, Consultant agrees with City to do e ~erything required by this Agreement, the sai d specification and incorporated documents` Failure by the Consultant to carry out the requirements of thi sAgreementisa material breach of this agreement which may result in the termination of this Agreement or such other remedy as the City deems appropriate . Authority to Execute Agreement .Both City and Consultant do covenant that each individual executing thi sagreement on behalf of each party is a person duly authorized and empowered to execute Agreements for suc hparty. IN WITNESS WHEREOF, the parties hereto have caused this instrument to be executed the day and year firs tabove written . CITY OF SAN LUIS OBISPO : Katie Lichtig,City Manage r APPROVED AS TO FORM :CONSULTANT : Christine Dietrick, City Attorney By: Capital Improvement Plan Civil Engineering Design and Tr ffic Engineering Services Patti .6 chit/ ATTACH M EN T Section E PROPOSAL SUBMITTAL FORM S (Note : These forms are available in Word format Request via email ) ACKNOWLEDGEMEN T The undersigned declares that she or he : Has carefully examined Specification No . 90703-2012A Is thoroughly familiar with its conten t •Is authorized to represent the proposing firm ; and Agrees to perform the work as set forth in the specification and this proposal . Signature of Authorized Representative :Date : NON-LOBBYING CERTIFICATION - Federally Funded Contract s The prospective participant certifies,by signing and submitting this bid or proposal,to the best of his or her knowledge and belief, that : (I) No federal appropriated funds have been paid or will be paid,by or on behalf of the undersigned,to any person for influencing or attempting to influence an officer or employee of any federal agency,a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connectio n with the awarding of any federal contract, the making of any federal grant, the making of any federal loan , the entering into of any cooperative agreement, and the extension, continuation ;renewal, amendment,o r modification of any federal contract, grant, loan, or cooperative agreement . (2)If any funds other than federal appropriated funds have been paid or will be paid to any person fo r influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress , an officer or employee of Congress, or an employee of a Member of Congress in connection with thi s federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submi t Standard Form-LLL, "Disclosure of Lobbying Activities," in accordance with its instructions . This certification is a material representation of fact upon which reliance was placed when this transaction wa smade or entered into . Submission of this certification is a prerequisite for making or entering into this transactio nimposedbySection1352, Title 31,U .S .Code . Any person who fails to file the required certification shall be subjecttoacivil penalty of not less than $10,000 and not more than $100,000 for each such failure . The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that thelanguage of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such su brecipients shall certify and disclose accordingly . Firm Name and Address : Contact Name: Email :Fax:Phone: Capital Improvement Plan Civil Engineering Design and Traffic Engineering Services Patti7 "1 4 ATTACHMEN T INSURANCE CERTIFICAT E Insurance Company s A .M . Best Ratin g Certificate of insurance attache d The City is considering hiring one or two consultants for areas of expertise based on feed back from this proposa l process.(See Appendix 1 for anticipated work) Below, please identify what area of services your firm is able t o provide and if you believe,over a two year period, your firm could! deliver all or half of the necessary work. Pleas e enter Yes or No for those types of work you are proposing to provide services on . Work Type Our company isinterested in performin gthis type of work W are staffed todel ver all projectsn two years We are staffed t o deliver half of al lprojects in two year s Civil Engineerin g Traffic Engineering The City may wish to consult for other work elements such as environmental document preparation, regulator y permit acquisition(creek related work) or construction management . Please identify below a simple list of othe r services your firm provides . Detailed information should be included in your proposal attachment . PROPOSED SERVICE S Capital Improvement Plan Civil Engineering Design and Traffic Engineering Services Patti 8 cJd 4 ATTACHMENT REFERENCE S Number of years engaged in providing the services included within the scope of the specifications under th epresent business name : Provide a short description of the last three contracts performed by your firm that demonstrate your ability t oprovide the services included with the scope of the specifications . Attach additional detailed information in you rproposal The City reserves the right to contact each of the references listed for additional information regardin gyourfirm's qualifications . Reference No .I Reference No.2 Customer Name Contact Individua l Telephone & Emai l Street Address City, State, Zip Code Date of Service s Contract Amount Description of Service s Project Outcom e Customer Nam e Contact Individual Telephone & Emai l Street Addres s City, State, Zip Code Date of Services Contract Amoun t Description of Service s Project Outcome Capital Improvement Plan Civil Engineering Design and Traffic Engineering Services Patsy 9 a24 ATTACHMEN T Reference No.3 Capital Improvement Plan Civil Engineering Design and Traffic Engineering Services Patty()0 4 Customer Nam e Contact Individua l Telephone & Emai l Street Addres s City, State, Zip Cod e Date of Service s Contract Amount Description of Service s Project Outcome ATTACHMEN T STATEMENT OF PAST CONTRACT DISQUALIFICATION S The Consultant shall state whether it or any of its officers or employees who have a proprietary interest in it, ha s ever been disqualified, removed, or otherwise prevented from bidding on, or completing a federal, state, or loca l government project because of the violation of law, a safety regulation, or for any other reason, including but no t limited to financial difficulties, project delays, or disputes regarding work or product quality, and if so to explain th e circumstances . Do you have any disqualification as described in the above paragraph to declare?Yes If yes, explain the circumstances . Executed on at under penalty o f perjury of the laws of the State of California, that the foregoing is true and correct . Signature of Authorized Consultant Representativ e DEBARMENT AND SUSPENSION CERTIFICATION -- Federally Funded Contract s A . The CONSULTANT's signature affixed herein, shall constitute a certification under penalty of perjury unde r the laws of the State of California, that the CONSULTANT has complied with Title 49, Code of Federa l Regulations, Part 29, Debarment and Suspension Certificate, which certifies that he/she or any perso n associated therewith in the capacity of owner, partner, director, officer, or manager, is not currently under suspension, debarment, voluntary exclusion,or determination of ineligibility by any federal agency ; has not been suspended, debarred, voluntarily excluded, or determined ineligible by any federal agency within th e past three (3) years ; does not have a proposed debarment pending ; and has not been indicted,convicted,o r had a civil judgment rendered against it by a court of competent jurisdiction in any matter involving fraud o r official misconduct within the past three (3)years .Any exceptions to this certification must be disclosed t o the LOCAL AGENCY . Exceptions will not necessarily result in denial of recommendation for award, but will be considered i n determining CONSULTANT responsibility .Disclosures must indicate to whom exceptions apply, initiatin g agency, and dates of action . Do you have any exceptions as described in the above paragraph to declare?Yes If yes, explain the circumstances : Executed on a t perjury of the laws of the State of California, that the foregoing is true and correct . under penalty o f Capital Improvement Plan Civil Engineering Design and Traffic Engineering Services Pa 21i 4 ATTACHMEN T CERTIFICATION OF CONSULTANT AND CITY — For Federally Fnded Contract s I HEREBY CERTIFY that I am the and duly authorized representative of th efirmofwhose address isand that, except as hereby expressly stated, neither I nor the abovelfirm that I represent have : a.employed or retained for a commission, percentage, brokerage, contingent fee, or othe rconsideration, any firm or person (other than a bona fide employee working solely for me or the above consultant )to solicit or secure this agreement ; no r b.agreed,as an express or implied condition for obtaining this contract, to employ or retain th eservices of any firm or person in connection with carrying out the agreement ; nor c.paid, or agreed to pay, to any firm, organization orjperson (other than a bona fide employe eworking solely for me or the above consultant) any fee, contribution, donation, or consideration of any kind, foror i nconnection with, procuring or carrying out this agreement . I acknowledge that this Certificate is to be made available to the California Department of Transportation (Caltrans )in connection with this agreement involving participation of Federal-aid Highway funds, and is subject to applicabl estateandfederal laws, both criminal and civil . Date Consultant Signatur e CITY TO COMPLETE THIS PORTIO N I HEREBY CERTIFY that I am the City Engineer employed by the City of San Luis Obispo and that the consultin gfirm of on its representatives has not been required (excep tas herein expressly stated), directly or indirectly, as an express Or implied condition in connection with obtaining o rcarrying out this Agreement to : employ, retain, agree to employ or retain, any firm or person ; o r b,pay or agree to pay, to any firm, person or organization, any fee, contribution, donation o rconsideration of any kind . I acknowledge that this Certificate is to be made available to the California Department of Transportation (Caltrans )in connection with this Agreement involving participation of federal-aid highway funds, and is subject to applicabl estate and federal laws, both criminal and civil . lDateCity Signatur e Capital Improvement Plan Civil Engineering Design and Tra!fic Engineering Services Pa 22144 ATTACHMENT Section F INSURANCE REQUIREMENTS : Consultant Services The Consultant shall procure and maintain for the duration of the contract insurance against claims for injuries t o persons or damages to property which may arise from or in connection with the performance of the work hereunde r by the Consultant, its agents, representatives, employees or sub-consultants . Minimum Scope of Insurance .Coverage shall be at least as broad as : 1.Insurance Services Office Commercial General Liability coverage (occurrence form CG 0001). 2.Insurance Services Office form number CA 0001 (Ed . 1/87) covering Automobile Liability, code 1 (any auto). 3.Workers' Compensation insurance as required by the State of California and Employer's Liability Insurance . 4.Errors and Omissions Liability insurance as appropriate to the consultant's profession . Minimum Limits of Insurance .Consultant shall maintain limits no less than : 1.General Liability : $1,000,000 per occurrence for bodily injury, personal injury and property damage . I f Commercial General Liability or other form with a general aggregate limit is used, either the general aggregat e limit shall apply separately to this project/location or the general aggregate limit shall be twice the require d occurrence limit . 2.Automobile Liability : $1,000,000 per accident for bodily injury and property damage . 3.Employer's Liability : $1,000,000 per accident for bodily injury or disease . 4.Errors and Omissions Liability : $1,000,000 per occurrence . Deductibles and Self-Insured Retentions .Any deductibles or self-insured retentions must be declared to an d approved by the City . At the option of the City, either : the insurer shall reduce or eliminate such deductibles o r self-insured retentions as respects the City, its officers, officials, employees and volunteers ;or the Consultant shal l procure a bond guaranteeing payment of losses and related investigations, claim administration and defens e expenses . Other Insurance Provisions .The general liability and automobile liability policies are to contain,or be endorse d to contain, the following provisions : 1.The City, its officers, officials, employees, agents and volunteers are to be covered as insureds as respect s liability arising out of activities performed by or on behalf of the Consultant ; products and completed operation s of the Consultant ; premises owned, occupied or used by the Consultant, or automobiles owned,leased, hire d or borrowed by the Consultant . The coverage shall contain no special limitations on the scope of protectio n afforded to the City, its officers, official, employees, agents or volunteers . 2.For any claims related to this project, the Consultant's insurance coverage shall be primary insurance a s respects the City, its officers, officials, employees, agents and volunteers . Any insurance or self-insuranc e maintained by the City, its officers, officials, employees, agents or volunteers shall be excess of the Consultant's insurance and shall not contribute with it . 3 The Consultant's insurance shall apply separately to each insured against whom claim is made or suit i s brought, except with respect to the limits of the insurer's liability . 4 Each insurance policy required by this clause shall be endorsed to state that coverage shall not be suspended , voided, canceled by either party, reduced in coverage or in limits except after thirty (30) days prior writte n notice by certified mail, return receipt requested, has been given to the City . The Consultant agrees to notify the City in the event that the policy is suspended, voided or reduced in coverage or limits . A minimum of 30 days prior written notice by certified mail, return receipt requested, will be provided . Acceptability of Insurers .Insurance is to be placed with insurers with a current A .M . Best's rating of no less tha nA:VI L Verification of Coverage .Consultant shall furnish the City with a certificate of insurance showing maintenance o fthe required insurance coverage . Original endorsements effecting general liability and automobile liability coverag erequired by this clause must also be provided . The endorsements are to be signed by a person authorized by tha tinsurer to bind coverage on its behalf. All endorsements are to be received and approved by the City before wor kcommences. Capital Improvement Plan Civil Engineering Design and Traffic Engineering Services Paee,23 L g4 ATTACHMEN T Section G APPENDICE S Appendix 1 : Potential Civil Engineering Project List iFor Federally Funded Contracts : (to be completed on a project spcific basis not due with proposal ) Appendix 2 : Disadvantaged Business Enterprise Information LAPM Exhibit 10-I Appendix 3 : Standard Agreement for Subcontractor / DBE Participation LAPM Exhibit 10-JAppendix4:Final Utilization Report (to be completed at the project completion) LAPM Exhibit 17-F Appendix 5 :Proposer DBE Information LAPM 10-0Appendix 6 : Disclosure of Lobbying Activities LAPM Exhibit 10-Q Appendix 7 : Proposer List Capital Improvement Plan Civil Engineering Design and Traffic Engineering Services Pavel 1d4 ATTACHME'endi x Potential Project Lis t Below is the current list of Civil Engineering projects tentatively planned for consultant services in the next tw o years . Adjustments may be made throughout the course of the contract . Civil Engineering Projects : Project Estimated Cost of Construction Street Reconstruction & Resurfacing 2013 $1,400,00 0 Curb Ramp Replacements 2013 $75,00 0 Water Reclamation Facility — Sludge Bed Replacement $50,00 0 Broad Street Bank Reinforcement $35,00 0 Street Reconstruction & Resurfacing 2014 $600,000 Curb Ramp Replacements 2014 $75,000 Raw Waterline Replacement $100,000 Madonna Sewer Lift Station Replacement $500,000 Pismo Street Retaining Barrier $200,000 Prado Road Bridge Maintenance $150,000 Marsh Street Bridge Rehabilitation $6,000,00 0 Railroad Safety Trail — Taft to Pepper $1,500,00 0 Bob Jones Trail — Octagon Barn Connection $300,000 Prefumo Creek Bikeway — Oceanaire to Calle Joaquin $300,00 0 Storm Drain System Replacement $250,00 0 Storm Drain Culvert Repairs $160,00 0 Parking Lot Resurfacing $75,00 0 Transit Facility Above Ground Fuel Tank $100,00 0 Transit Facility Expansion $100,000 Traffic Engineering work assigned to the on-call consultant is not defined at this time specific to any projects . Work would include assisting staff with various transportation studies, traffic engineering design,and general City staff support. C3 -2 7 Local Assistance Procedures Manual Appendix 2 ATTACH M EJBIT 10-1 Notice to Proposers DBE Informatio n Exhibit 10-I Notice to Proposers DBE Informatio n LOCAL AGENCY LETTERHEA D (DATE) NOTICE TO PROPOSER S DISADVANTAGED BUSINESS ENTERPRIS E INFORMATIO N The Agency has established an Underutilized DBE goal for this Agreement of O R The Agency has not etablished an Underutilized goal for this Agreement . However, proposers are encouraged t o obtain DBE participation for this Agreement. 1 . TERMS AS USED IN THIS DOCUMEN T The term "Disadvantaged Business Enterprise" or "DBE" means a for-profit small business concer n owned and controlled by a socially and economically disadvantaged person(s) as defined in Title 49, Par t 26 .5, Code of Federal Regulations (CFR). The term "Underutilized Disadvantaged Business! Enterprise" or "UDBE ." DBE classes that have bee n determined in the 2007 Caltrans Disparity Study to have a statistically significant disparity in thei r utilization in previously awarded transportation contracts . UDBEs include : African Americans, Nativ e Americans, Asian-Pacific Americans, and Women . •The term "Agreement" also means "Contract ." •Agency also means the local entity entering into ,this contract with the Contractor or Consultant . •The term "Small Business" or "SB" is as defined in 49 CFR 26 .65 . AUTHORITY AND RESPONSIBILIT Y A.DBEs and other small businesses are strongly encouraged to participate in the performance o f Agreements financed in whole or in part with federal funds (See 49 CFR 26, "Participation b y Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs"). The Contractor should ensure that DBEs and other small businesses have the opportunity to participat e in the performance of the work that is the subject of this solicitation and should take all necessary an d reasonable steps for this assurance . The proposer shall not discriminate on the basis of race, color , national origin, or sex in the award and performance of subcontracts . B.Proposers are encouraged to use services offered by financial institutions owned and controlled by DBEs . LPP 09-02 Page 10-49C3J21831, 2009 ~CA p p' enai x EXHBIT 10-I Local Assistan4TTAO snVf NTINotice to Proposers DBE Informatio n 3.SUBMISSION OF UDBE AND DBE INFORMATIO N If there is a UDBE goal on the contract, a "Local Agency Proposer UDBE Commitment (Consultan t Contract)" (Exhibit 10-01) form shall be included in the Request for Proposal . In order for a proposer to b e considered responsible and responsive, the proposer must make good faith efforts to meet the goa l established for the contract . If the goal is not met, the proposer must document adequate good faith efforts . Only UDBE participation will be counted towards the contract goal ; however,all DBE participation shall be collected and reported . A "Local Agency Proposer DBE Information (Consultant Contract)" (Exhibit 10-02) form shall be include d with the Request for Proposal . The purpose of the form is to collect data required under 49 CFR 26 .Fo r contracts with UDBE goals, this form collects DBE participation by DBEs owned by Hispanic American an d Subcontinent Asian Americans males (persons whose origin are from India, Pakistan, Bangladesh, Bhutan , Maldives Islands, Nepal or Sri Lanka). For contracts with no goals, this form collects information on al l DBEs, including UDBEs . Even if no DBE participation will be reported, the successful proposer must execut e and return the form . 4.DBE PARTICIPATION GENERAL INFORMATIO N It is the proposer's responsibility to be fully informed regarding the requirements of 49 CFR, Part 26, and th e Department's DBE program developed pursuant to the regulations . Particular attention is directed to th e following : A . A DBE must be a small business firm defined pursuant to 13 CFR 121 and be certified through th e California Unified Certification Program (CUCP). B . A certified DBE may participate as . a prime contractor, subcontractor, joint venture partner, as a vendo r of material or supplies, or as a trucking company . C . A UDBE proposer not proposing as a joint venture with a non-DBE, will be required to document one o r a combination of the following ; 1.The proposer is a UDBE and will meet the goal by performing work with its own forces . 2.The proposer will meet the goal through work performed by UDBE subcontractors, suppliers o r trucking companies . 3.The proposer, prior to proposing, made adequate good faith efforts to meet the goal . D . A DBE joint venture partner must be responsible for specific contract items of work or clearly define d portions thereof Responsibility means actually performing, managing, and supervising the work with it s own forces . The DBE joint venture partner must share in the capital contribution, control, management , risks and profits of the joint venture commensurate with its ownership interest .. E . A DBE must perform a commercially useful function pursuant to 49 CFR 26 .55, that is,a DBE firm must be responsible for the execution of a distinct element of the work and must carry out it s responsibility by actually performing, managing and supervising the work . F. The proposer shall list only one subcontractor for each portion of work as defined in their proposal and al l DBE subcontractors should be listed in the bid/cost proposal list of subcontractors . G . A prime contractor who is a certified DBE is eligible to claim all of the work in the Agreement towar d the DBE participation except that portion of the work to be performed by non-DBE subcontractors . Page 10-50 July 31, 2009 Local Assistance Procedures Manual /Appendi x ATTACHME}BIT 10-I Notice to Proposers DBE Information .RESOURCES A.The CUCP database includes the certified DBEs front all certifying agencies participating in the CUCP . If you believe a firm is certified that cannot be located on the database, please contact the Caltrans Offic e of Certification toll free number 1-866-810 .6346 for lassistance . Proposer may call (916) 440-0539 fo r web or download assistance . B.Access the CUCP database from the Department of Transportation, Civil Rights, Business Enterpris e Program web site at : http ://www .dot .ca .gov/hq/bep4. •Click on the link in the left menu titled Disadvantaged Business Enterpris e • Click on Searchfora DBEFirm 'link •Click on Access tothe DBE Query Form located on the first line in the center of the pag e •Searches can be performed by one or more criteri a •Follow instructions on the scree n F.How to Obtain a List of Certified DBEs without Internet Acces s G.DBE Directory : If you do not have Internet access ; Caltrans also publishes a directory of certified DB E firms extracted from the online database . A copy of the directory of certified DBEs may be ordered at : http ://caltrans-opac .ca .gov/publicat .htm MATERIALS OR SUPPLIES PURCHASED FROM DBES COUNT TOWARDS DBE CREDIT, AND IF A DBE IS ALSO A UDBE, PURCHASES WILL COUNT TOWARDS THE UDBE GOAL UNDER THE FOLLOWING CONDITIONS : A.If the materials or supplies are obtained from a DOE manufacturer, count 100 percent of the cost of th e materials or supplies . A DBE manufacturer is a firm that operates or maintains a factory, o r establishment that produces on the premises the Materials, supplies, articles, or equipment required unde r the Agreement and of the general character described by the specifications . B.If the materials or supplies purchased from a DBE regular dealer, count 60 percent of the cost of th e materials or supplies . A DBE regular dealer is a firm that owns, operates or maintains a store , warehouse, or other establishment in which the materials, supplies, articles or equipment of the genera l character described by the specifications and required under the Agreement are bought, kept in stock , and regularly sold or leased to the public in the usual course of business . To be a DBE regular dealer, the firm must be an established, regular business that engages, as its principal business and under its ow n name, in the purchase and sale or lease of the products in question . A person may be a DBE regular dealer in such bulk items as petroleum productssteel, cement, gravel, stone or asphalt without owning , operating or maintaining a place of business provided in this section . Page 10-5 1 LPP 09-02 C3 „1810 31, 2009 EXHBIT 10-I Notice to Proposers DBE Information ee TT~~rruupp~~~~ H nn ppTenai x Local Assistan~CTMoAd+d7rtS ka I C.If the person both owns and operates distribution equipment for the products, any supplementin g of regular dealers' own distribution equipment shall be, by a long-term lease agreement and no t an ad hoc or Agreement-by-Agreement basis . Packagers, brokers, manufacturers ' representatives, or other persons who arrange or expedite transactions are not UDBE regula r dealers within the meaning of this section . D.Materials or supplies purchased from a DBE, which is neither a manufacturer nor a regula r dealer, will be limited to the entire amount of fees or commissions charged for assistance in th e procurement of the materials and supplies, or fees or transportation charges for the delivery o f materials or supplies required on the job site, provided the fees are reasonable and not excessiv e as compared with fees charged for similar services . 7 .FOR DBE TRUCKING COMPANIES : CREDIT FOR DBES WILL COUNT TOWARDS DBE CREDIT, AN D IF A DBE IS A UDBE, CREDIT WILL COUNT TOWARDS THE UDBE GOAL UNDER THE FOLLOWING CONDITIONS : A.The DBE must be responsible for the management and supervision of the entire truckin g operation for which it is responsible on a particular Agreement, and there cannot be a contrive d arrangement for the purpose of meeting the UDBE goal . B.The DBE must itself own and operate at least one fully licensed, insured, and operational truc k used on the Agreement . C.The DBE receives credit for the total value of the transportation services it provides on th e Agreement using trucks it owns, insures, and operates using drivers it employs . D.The DBE may lease trucks from another DBE firm including an owner-operator who is certified as a DBE . A DBE who leases trucks from another DBE receives credit for the total value of th e transportation services the lessee DBE provides on the Agreement . E.The DBE may also lease trucks from a non-DBE firm, including an owner-operator . A DBE wh o leases trucks from a non-DBE is entitled to credit only for the fee or commission it receives as a result of the lease arrangement . A DBE does not receive credit for the total value of th e transportation services provided by the lessee, since these services are not provided by the DBE . F.For the purposes of this Section D, a lease must indicate that the DBE has exclusive use an d control over the truck . This does not preclude the leased truck from working for others durin g the term of the lease with the consent of the DBE, as long as the lease gives the DBE absolut e priority for use of the leased truck . Leased trucks must display the name and identification number of the DBE . Page 10-52 July 31, 2009 Appendix :i Local Assistance Procedures Manual ATTACHMBIT 10-J Standard Agreement for Subcontractor/DBE Participation Exhibit 10-J Standard Agreement for Subcontractor/DBE Participatio n 1 . Subcontractor s A.Nothing contained in this Agreement or otherwise, shall create any contractual relation between th e Agency and any subcontractors, and no subcontract Shall relieve the Contractor of his/her responsibilitie s and obligations hereunder . The Contractor agrees to be as fully responsible to the Agency for the acts an d omissions of its subcontractors and of persons eitherdirectly or indirectly employed by any of them as i t is for the acts and omissions of persons directly employed by the Contractor . The Contractor's obligatio n to pay its subcontractors is an independent obligatio i from the Agency's obligation to make payments to the Contractor. B.Any subcontract in excess of $25,000, entered into as a result of this Agreement, shall contain all th e provisions stipulated in this Agreement to be applicable to subcontractors . C.Contractor shall pay its subcontractors within ten (10) calendar days from receipt of each payment made t o the Contractor by the Agency . D.Any substitution of subcontractors must be approved in writing by the Agency's Contract Manager i n advance of assigning work to a substitute subcontractor . 2 . Disadvantaged Business Enterprise (DBE) Participatio n A.This Agreement is subject to 49 CFR, Part 26 entitled "Participation by Disadvantaged Busines s Enterprises in Department of Transportation Financial Assistance Programs ." Proposers who obtain DB E participation on this contract will assist Caltrans it*meeting its federally mandated statewide overall DB E goal . B.If the contract has an underutilized DBE (UDBE) goal, the Consultant must meet the UDBE goal b y committing UDBE participation or document a good faith effort to meet the goal . If a UDB E subconsultant is unable to perform, the Consultant must make a good faith effort to replace him/her wit h another UDBE subconsultant, if the goal is not otherwise met . A UDBE is a firm meeting the definitio n of a DBE as specified in 49 CFR and is one of the following groups : African Americans, Nativ e Americans, Asian-Pacific Americans, or Women . C.DBEs and other small businesses, as defined in 49 1 CFR, Part 26 are encouraged to participate in th e performance of agreements financed in whole or in part with federal funds . The Consultant, sub-recipien t or subconsultant shall not discriminate on the bass of race, color, national origin, or sex in th e performance of this Agreement . The Consultant Shall carry out applicable requirements of 49 CFR, Par t 26 in the award and administration of US DOT- assisted agreements . Failure by the Consultant to carr y out these requirements is a material breach of thi Agreement, which may result in the termination of thi s Agreement or such other remedy as the recipient deems appropriate . D.Any subcontract entered into as a result of this Agreement shall contain all of the provisions of thi s section . LPP 09-02 Page 10-53 C3 ..J31,2009 Appendix 3 EXHIBIT 10-J Local AssistanfigAQiI r NITI Standard Agreement for Subcontractor/DBE Participatio n 3 . Performance of DBE Consultant and other DBE Subconsultants/Supplier s A.A DBE performs a commercially useful function when it is responsible for execution of the work of th e Agreement and is carrying out its responsibilities by actually performing, managing, and supervising th e work involved . To perform a commercially useful function, the DBE must also be responsible wit h respect to materials and supplies used on the Agreement, for negotiating price, determining quality an d quantity, ordering the material, and installing (where applicable) and paying for the material itself T o determine whether a DBE is performing a commercially useful function, evaluate the amount of wor k subcontracted, industry practices ; whether the amount the firm is to be paid under the Agreement i s commensurate with the work it is actually performing ; and other relevant factors . B.A DBE does not perform a commercially useful function if its role is limited to that of an extra participan t in a transaction, Agreement, or project through which funds are passed in order to obtain the appearanc e of DBE participation . In determining whether a DBE is such an extra participant, examine simila r transactions, particularly those in which DBEs do not participate . C.If a DBE does not perform or exercise responsibility for at least 30 percent of the total cost of it s Agreement with its own work force, or the DBE subcontracts a greater portion of the work of th e Agreement than would be expected on the basis of normal industry practice for the type of work involved , it will be presumed that it is not performing a commercially useful function . 4 . Prompt Payment of Funds Withheld to Subcontractor s (Local agency to use either A,B, or C below ; delete the other two .) A.No retainage will be withheld by the Agency from progress payments due the prime contractor, Retainag e by the prime consultant or subconsultants is prohibited, and no retainage will be held by the prime contractor from progress due subcontractors .Any violation of this provision shall subject the violating prime consultant or subconsultants to the penalties, sanctions, and other remedies specified in Sectio n 7108 .5 of the California Business and Professions Code . This requirement shall not be construed to limi t or impair any contractual, administrative, or judicial remedies, otherwise available to the prime consultan t or subconsultant in the event of a dispute involving late payment or nonpayment by the prime consultan t or deficient subconsultant performance, or noncompliance by a subconsultant . This provision applies t o both DBE and non-DBE prime consultants and subconsultants . B.No retainage will be held by the Agency from progress payments due the prime consultant . Any retainag e held by the prime consultant or subconsultants from progress payments due subconsultants shall b e promptly paid in full to subconsultants within 30 days after the subconsultant's work is satisfactoril y completed . Federal law (49 CFR26 .29) requires that any delay or postponement of payment over the 3 0 days may take place only for good cause and with the Agency's prior written approval . Any violation o f this provision shall subject the violating prime consultant or subconsultant to the penalties, sanctions an d other remedies specified in Section 7108 .5 of the Business and Professions Code . These requirement s shall not be construed to limit or impair any contractual, administrative, or judicial remedies, otherwis e available to the prime consultant or subconsultant in the event of a dispute involving late payment o r nonpayment by the prime consultant, deficient subconsultant performance, or noncompliance by a subconsultant . This provision applies to both DBE and non-DBE prime consultant and subconsultants . Page 10-54 July 31, 2009 81T 9393Q Hppendix 3ATTACH M WTTBITLocal Assistance Procedures Manual H 10-J Standard Agreement for Subcontractor/DBE Participation C . The Agency shall hold retainage from the prime consultant and shall make prompt and regular incrementa l acceptances of portions, as determined by the Agency, of the contract work, and pay retainage to th e prime contractor based on these acceptances . The primeconsultant, or subconsultant, shall return al l monies withheld in retention from a subconsultant within 30 days after receiving payment for wor k satisfactorily completed and accepted including incremental acceptances of portions of the contract work by the agency . Federal law (49 CFR26 .29) requires that any delay or postponement of payment over 3 0 days may take place only for good cause and with the agency's prior written approval . Any violation o f this provision shall subject the violating prime consultant or subconsultant to the penalties, sanctions an d other remedies specified in Section 7108 .5 of the Business and Professions Code : These requirement s shall not be construed to limit or impair any contractual, administrative, or judicial remedies, otherwis e available to the prime consultant or subconsultant in+the event of a dispute involving late payment o r nonpayment by the prime contractor, deficient subconsultant performance, or noncompliance by a subcontractor . This provision applies to both DBE and non-DBE prime consultant and subconsultants . D. Any subcontract entered into as a result of this Agreement shall contain all of the provisions of thi s section . 5 . DBE Record s A . The Consultant shall maintain records of materials purchased and/or supplied from all subcontract s entered into with certified DBEs . The records shall show the name and business address of each DBE o r vendor and the total dollar amount actually paid eadh DBE or vendor, regardless of tier . The records shal l show the date of payment and the total dollar figure paid to all firms . DBE prime consultants shall als o show the date of work performed by their own forces along with the corresponding dollar value of th e work. B . Upon completion of the Agreement, a summary of these records shall be prepared and submitted on th e form entitled, "Final Report-Utilization of Disadvantaged Business Enterprise (DBE), First-Tie r Subcontractors," CEM-2402F (Exhibit 17-F, Chapter 17, of the LAPM), certified correct by th e Consultant or the Consultant's authorized representative and shall be furnished to the Contract Manage r with the final invoice . Failure to provide the summary of DBE payments with the final invoice will resul t in 25% of the dollar value of the invoice being withheld from payment until the form is submitted . The amount will be returned to the Consultant when a Satisfactory "Final Report-Utilization of Disadvantage d Business Enterprises (DBE), First-Tier Subcontractors" is submitted to the Contract Manager . 1)Prior to the fifteenth of each month, the Conspltant shall submit documentation to the Agency's Contract Manager showing the amount paid to DBE trucking companies . The Consultant shall also obtain and submit documentation to the Agency's Contract Manager showing the amount paid b y DBE trucking companies to all firms, including owner-operators,for the leasing of trucks . If the DBE leases trucks from a non-DBE, the Consultant may count only the fee or commission the DB E receives as a result of the lease arrangement) 2)The Consultant shall also submit to the Agency's Contract Manager documentation showing the truc k number, name of owner, California Highwafr Patrol CA number, and if applicable, the DB E certification number of the truck owner for all trucks used during that month . This documentation shall be submitted on the Caltrans"Monthly DBE Trucking Verification,CEM-2404(F) for m provided to the Consultant by the Agency's Contract Manager . LPP 09-02 Page 10-5 5 C3 31, 2009 EXHBIT 10-J Standard Agreement for Subcontractor/DBE Participation Hpp en dix ;3 Local AssistanATOMMa g 6 . DBE Certification and Decertification Statu s If a DBE subconsultant is decertified during the life of the Agreement, the decertified subconsultant shal l notify the Consultant in writing with the date of decertification . If a subconsultant becomes a certified DB E during the life of the Agreement, the subconsultant shall notify the Consultant in writing with the date o f certification . Any changes should be reported to the Agency's Contract Manager within 30 days Materials or supplies purchased from DBEs will count towards DBE credit, and if a DBE is also a UDBE , purchases will count towards the UDBE goal under the following conditions : A.If the materials or supplies are obtained from a DBE manufacturer, 100 % of the cost of the materials o r supplies will count toward the DBE participation . A DBE manufacturer is a firm that operates o r maintains a factory or establishment that produces on the premises the materials, supplies, articles, o r equipment required under the Agreement and of the general character described by the specifications , B.If the materials or supplies purchased from a DBE regular dealer, count 60 % of the cost of the materials o r supplies toward DBE goals . A regular dealer is a firm that owns,operates or maintains a store , warehouse, or other establishment in which the materials, supplies, articles or equipment of the genera l character described by the specifications and required under the Agreement, are bought, kept in stock, an d regularly sold or leased to the public in the usual course of business . To be a regular dealer, the firm must be an established, regular business that engages, as its principal business and under it s own name, in the purchase and sale or lease of the products in question . A person may be a regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone or asphalt without owning , operating or maintaining a place of business provided in this section . C.If the person both owns and operates distribution equipment for the products, any supplementing of regula r dealers' own distribution equipment, shall be by a long-term lease agreement and not an ad hoc o r Agreement-by-Agreement basis . Packagers, brokers, manufacturers' representatives,or other person s who arrange or expedite transactions are not regular dealers within the meaning of this section . D.Materials or supplies purchased from a DBE, which is neither a manufacturer nor a regular dealer,will be limited to the entire amount of fees or commissions charged for assistance in the procurement of the materials and supplies,or fees or transportation charges for the delivery of materials or supplies required on the job site, provided the fees are reasonable and not excessive as compared with fees charged fo r similar services . (Add the following to contracts which require trucking) For DBE trucking companies : credit for DBEs will count towards DBE credit, and if a DBE is also a UDBE, credit will count towards the UDBE goal under the following conditions : A.The DBE must be responsible for the management and supervision of the entire trucking operation fo r which it is responsible . B.The DBE must itself own and operate at least one fully licensed, insured, and operational truck used o n the Agreement . C.The DBE receives credit for the total value of the transportation services it provides on the Agreement using trucks it owns, insures, and operates using drivers it employs . Page 10-56 July 31, 2009 035 Hpp e naix Local Assistance Procedures Manual ATTACH M BIT 10-:r Standard Agreement for Subcontractor/DBE Participatio n D.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 transportatio n services the lessee DBE provides on the Agreement . E.The DBE may also lease trucks from a non-DBE firm, including an owner-operator . The DBE who lease s trucks from a non-DBE is entitled to credit only for the fee or commission it receives as a result of the leas e arrangement. The DBE does not receive credit for the total value of the transportation services provided b y the lessee, since these services are not provided by the DOE . F.For the purposes of this section, a lease must indicate that ; the DBE has exclusive use and control over th e truck . This does not preclude the leased truck from working for others during the term of the lease with th e consent of the DBE, as long as the lease gives the DBE absolute priority for use of the leased truck . Lease d trucks must display the name and identification number of the DBE . LPP 09-02 C3 -J Page 10-5 7 31, 2009 Local Assistance Procedures Manual ATTACHM'fT 17-F Final Report-Utilization of Disadvantaged Business Enterprises (DBE), First-Tier Subcontractors STATE OF CALIFORNIA - DEPARTMENT OF TRANSPORTATION FINAL REPORT-UTILIZATION OF DISADVANTAGED BUSINESS ENTERPRISE S (DBE), FIRST-TIER SUBCONTRACTORS For individuals with sensory disabilities, ADA Notic e this document is available in alternate formats. For information call (916) 654-6410 or TDD (916) 6543880 or write Records and Form s Management, 1120 N Street, MS-89, Sacramento, CA 9581 4 CEM-2402F (REV 02 2008 ) CONTRACT NUMBER COUNTY ROUTE POST MILES FEDERAL AID PROJECT NO .ADMINISTERING AGENCY CONTRACT COMPLETION DAT E PRIME CONTRACTOR BUSINESS ADDRESS ESTIMATED CONTRACT AMOUN T $ DESCRIPTION OF CONTRACT PAYMENTS WORK PERFORMED COMPANY NAME AND DBE DATE WORK DATE OFITEMANDMATERIALCERT.FINALNOBUSINESS ADDRESS NUMBER NON-DBE DBE BA UDBE APA UDBE NA UDBE W UDBE COMPLETE PAYMENTPROVIDED $$$$$$ $$$$$$ $$$$$$ $$$$$$ $$$$$ $$$$$$ $$$$$$ $$$$$ $$$$$$ $$$$$$ $$$$$$ $$$$$$ $$$$$$ $$$$$$ $$$$$$ ORIGINAL COMMITMENT BA- Black America n $TOTAL $$$$$.APA- Asian-Pacific Islande r UDBE NA-Native America n W-Woman List all First-Tier Subcontractors, Disadvantaged Business Enterprises (DBEs) and underutilized DBEs (UDBEs) regardless of tier, whether or not the fins were originally fated for goal credi t If actual UDBE utifzation (or item of work)was different than that approved attune of award, provide comments on back of form. List actual amount pant to each entity. I CERTIFY THAT THE ABOVE INFORMATION IS COMPLETE AND CORREC T CONTRACTOR REPRESENTATIVE'S SIGNATURE BUSINESS PHONE NUMBER DATE TO THE BEST OF MY INFORMATION AND BELIEF, THE ABOVE INFORMATION IS COMPLETE AND CORREC T RESIDENT ENGINEER'S SIGNATURE BUSINESS PHONE NUMBER DATE Copy Distribution-Caldans contracts Copy Distribution-Local Agency contracts : Original -District Construction Copy-Business Enterprise Program Copy- Contractor Copy Resident Engineer Original -District Local Assistance Engineer Copy-District Local Assistance Engineer Copy- Local Agency file (submitted with the Report of Expenditure) LPP 09-02 Page 17-21 C3 J;ly31,2009 Appen d ix 4 EXHIBIT 17-F Local AssistanAT tFn a N i Final Report-Utilization of Disadvantaged Business Enterprises (DBE),First-Tier Subcontractor s FINAL REPORT — UTILIZATION OF DISADVANTAGED BUSINES S ENTERPRISES (DBE), FIRST-TIER SUBCONTRACTOR S CEM 2402(F)(Rev .02/2008 ) The form requires specific information regarding the construction project : Contract Number, County, Route, Pos t Miles, Federal-aid Project No ., the Administering Agency, the Contract Completion Date and the Estimated Contrac t Amount. It requires the prime contractor name and business address . The focus of the form is to describe who did wha t by contract item number and descriptions, asking for specific dollar values of item work completed broken down b y subcontractors who performed the work both DBE and non-DBE work forces . DBE prime contractors are required t o show the date of work performed by their own forces along with the corresponding dollar value of work . The form has a column to enter the Contract Item No .(or Item No's) and description of work performed or material s provided,as well as a column for the subcontractor name and business 's address . For those firms who are DBE, there is a column to enter their DBE Certification Number . The DBE should provide their certification number to the contractor an d notify the contractor in writing with the date of the decertification if their status should change during the course of th e project . The form has six columns for the dollar value to be entered for the itCm work performed by the subcontractor . The decision of which column to be used for entering the DBE dollar value is based on what program(s ) status the firm is certified . This program status is determined by the California Unified Certification Progra m by ethnicity, gender, ownership, and control issues at timd of certification . To confirm the certification status and program status, access the Department of Transportation Civil Rights web site at : http ://www .dot .ca .gov/hq/bcp or by calling (916) 324-1700 or the toll free number at (888)810-6346 . Based on this DBE Program status, the following table depicts which column to be used : DBE Program Status Column to be use d If program status shows DBE only with no other programs listed DBE If program status shows DBE, Black American BA UDB E If program status shows DBE, Asian-Pacific Islander 1 APA UDB E If program status shows DBE, Native American NA UDB E If program status shows DBE, Woman j W UDBE If a contractor performing work as a DBE on the project becomes 'decertified and still performs work after thei r decertification date, enter the total dollar value performed by this Contractor under the appropriate DBE identificatio n If a contractor performing work as a non-DBE on the project becomes certified as a DBE, enter the dollar value of al l work performed after certification as a DBE under the appropriate,' identification column . Enter the total of each of the six columns in Form CEM-2402(F). Any changes to DBE certification must also be submitted on Fora-CEM 2403(F). Enter the Date Work Completed as well as the Date of Final Payment (the date when the prime contractor made th e "final payment" to the subcontractor for the portion of work listed as being completed). The contractor and the resident engineer sign and date the form indicating that the information provided is complete an d correct. Page 17-2 2 July 31, 2009 The Non-DBE column is used to enter the dollar value of work performed for firms who are not certifie d DBE. column. A .•endix 5ATTACH M rT to-o 1LocalAssistance Procedures Manual Local Agency Proposer UDBE Commitment (Consultant Contracts) EXHIBIT 10-01 LOCAL AGENCY PROPOSER UDBE COMMITMENT (CONSULTANT CONTRACTS ) NOTE : PLEASE REFER TO INSTRUCTIONS ON THE REVERSE SIDE OF THIS FOR M LOCAL AGENCY : LOCATION : PROJECT DESCRIPTION: PROPOSAL DATE ; PROPOSER'S NAME : CON'I'RAC ()DBE GOAL (%): ._-...__ ._._ WOR K ITEM NO. DESCRIPTION OR SERVICES TO B E SUBCONTRACTED (or contracted i f the proposer is a UDBE) UDBE CERT NO. AND EXPIRATIO N DATE NAME OF EACH UDB E (Must be certified at the tim e proposals are due - include UDB E address and phone number) PERCEN T PARTICIPATIO N OF EACH UDB E For Local Agency to Complete : Local Agency Proposal Number :Total Claimed UDB E Commitmen tFederal-Aid Project Number : Federal Share: Proposal Date: Local Agency certifies that the UDBE certifications have been verified and all Signature of Propose r information is complete and accurate/unless noted otherwise,Date (Area Code) Tel . N o Person to Contact (Please Type or Print) Print Name Signature Date Local Agenc Representative (Area Code) Telephone Number : Local Agency Proposer UDBE Commitment (Consultant Cont racts) (Rev 6/27/09) Distribution :(I) Original - Local agency tile s LPP 09-02 Page 10-73C3J31,200 9 5 EXHIBIT 10-01 Local AssistanCCTMOC g 11 • Local Agency Proposer UDBE Commitment (Consultant Contracts ) INSTRUCTIONS — LOCAL AGENCY PROPOSER UDBE COMMITMEN T (CONSULTANT CONTRACTS ) ALL PROPOSERS : PLEASE NOTE : It is the proposer's responsibility to verify that the UDBE(s) falls into one of th e following groups in order to count towards the UDBE contract goal : 1) African Americans ; 2) Asian- Pacific Americans ;3)Native Americans ; 4) Women . This information must be submitted with you r proposal . Failure to submit the required UDBE commitment will be grounds for finding the proposa l nonresponsive . A "UDBE"is a firm meeting the definition of a DBE as specified in 49 CFR and is one of the following groups : African Americans, Native Americans, Asian-Pacific Americans, or Women . The form requires specific information regarding the consultant contract : Local Agency, Location, Projec t Description, Proposal Date, Proposer's Name, and Contract UDBE Goal . The form has a column for the Work Item Number and Description br Services to be subcontracted to UDBEs (o r performed if the proposer is a UDBE). The UDBE prime contractors shall indicate all work to be performed b y UDBEs including work to be performed by its own forces, if a UD1E . The UDBE shall provide a certification number to the Consultant and notify the Consultant in writing with the date of decertification if their status shoul d change during the course of the contract . Enter UDBE prime consultant and subconsultant certificatio n numbers .The form has a column for the Names of certified UDBEs to perform the work (must be certified on th e date proposals are due and include UDBE address and phone number). There is a column for the percent participation of each UDBE . Enter the Total Claimed UDBE Participatio n percentage of items of work submitted with proposal pursuant to the Special Provisions . (If 100% of item is not t o be performed or furnished by the UDBE, describe exact portion of time to be performed or furnished by th e UDBE .) See "Notice to Proposers Disadvantaged Business Enterprise Information," (Exhibit 10-1) to determin e how to count the participation of UDBE firms .Note :If the proposer has not met the contract goal, the loca l agency must evaluate the proposer's good faith efforts to meet the goal in order to be considered for award of th e contract . Exhibit 10-01 must be signed and dated by the consultant submitting the proposal . Also list a phone number in the space provided and print the name of the person to contact . For the Successful Proposer only, local agencies hould complete the Proposal Number, Federal - aid Project Number, Federal Share, and Proposal Date fields and Verify that all information is complete an d accurate before filing . Page 10-74 July 31, 2009 M'048 Local Assistance Procedures Manual ATTACHM °;FP eo-02 5 Local Agency Proposer DBE Information (Consultant Contracts ) EXHIBIT 10-02 LOCAL AGENCY PROPOSER DBE INFORMATION (CONSULTANT CONTRACTS ) NOTE : PLEASE REFER TO INSTRUCTIONS ON THE REVERSE SIDE OF THIS FORM LOCAL AGENCY : LOCATION : PROJECT DESCRIPTION : TOTAL CONTRACT AMOUNT ($): PROPOSER'S NAME : WOR K ITEM NO . DESCRIPTION OR SERVICES TO B E SUBCONTRACTED (or contracted i f the proposer is a DBE ) _ DBE CERT NO , AND EXPIRATION DATE addres s NAME OF EACH DB E (Must be certified at the time proposals are due -include DBE and phone number)_:_r_.v_—•--_. DOLLAR AMOUN T O F EACH DBE ~~..._:__ __._ (-- For Local Agency to Complete : Total Claimed DBE Participatio nLocal Agency Contract Number : %Federal-Aid Project Number : Federal Share : Contarct Award ; Local Agency certifies that the DBE certifications have been verified and al l informations is complete and accurate . Signature of Propose r Print Name Signature Date Date (Area Code)1'eL No .Local Agency Representativ e (Area Code) Telephone Number ; For Caltrans Review :Person to Contact (Please Type or Print) Local Agency Proposer DBE Information (Consultant Conttarcts )Print Name Signature Date Caltrans District Local Assistance Engineer (Rev 6/27/09) Distribution :(I) Copy - Fax or scan a copy to the Caltrans District Local Assistance Engineer (DI ,AE) within 15 days after contract execution . Failure to send a copy to the DLAE within 15 days after contract execution may result in deobligation of funds for this projec t (2) Original - Local agency file s LPP 09-02 Page 10-74 a C3 -J4ll 31, 200 9 ilksR EXHIBIT 10-02 Local Assistan4Tt 4 e a 5 Local Agency Proposer DBE Information (Consultant Contracts ) INSTRUCTIONS - LOCAL AGENCY PROPOSER DBE INFORMATIO N (CONSULTANT CONTRACTS ) SUCCESSFUL PROPOSER : The form requires specific information regarding the consultant or other contract : Local Agency, Location , Project Description, Total Contract Amount, Proposal Date, and successful Proposer's Name . The form has a column for the Work Item Number and Description or Services to be Subcontracted to DBEs . The prime consultant shall indicate all work to be performed by DBEs including, if the prime consultant is a DBE , work performed by its own forces, if a DBE . The DBE shall provide is certification number to the prim e consultant . Enter DBE prime consultant's and subconsultant's certification number . The form has a column fo r the Names of DBE certified contractors to perform the work (must by certified on or before the proposals are du e and include DBE address and phone number). Enter the Total Claimed DBE Participation dollar amount of items of work in the total DBE Dollar Amoun t column . (If 100% of item is not to be performed by the DBE, describe exact portion of time to be performed b y the DBE .) See "Notice to Proposers Disadvantaged Business Enterprise Information," ( Exhibit 10-1) t o determine how to count the participation of DBE firms . Exhibit 10-02 must be signed and dated by the successful proposer 'at contract execution . Also list a phon e number in the space provided and print the name of the person to contact . Local agencies should complete the Contract Number, Federal-aid Project Number, Federal Share, an d Contarct Award fields and verify that all information is complete and accurate before signing and sending a cop y of the form to the District Local Assistance Engineer within 15 days of contract execution . Failure to submit a completed and accurate form within the 15-day time period may result in the deobligation of funds on this project . District DBE Coordinator should verify that all information is complete and accurate . Once th e information has been verified, the District Local Assistance Engineer signs and dates the form . Page 10-74 b July 31, 2009 LPP 09-02 C3-42 Local Assistance Procedures Manual Appenaix 1 ATTACH M Ran'10-Q Disclosure of Lobbying Activities COMPI EXHIBIT 1Q-Q DISCLOSURE OF LOBBYING ACTIVITIE S DISCLOSURE . OF LOBBYING ACTIVITIE S T F, THIS FORM TO DISCLOSE :LOBBYING AC'IIVC'I'IFS PURSUANT T0 .31 U .S .C . 1352 2 . Status of Federal Action :3. Report Type : q a . bid/offer/application 0 a . initial b.initial award b. material chang e c.post-award 1 . Type of Federal Action : q a . contract b.gran t c.cooperative agreemen t d.loan e.loan guarante e f.loan insurance For Material Change Only : year quarter date of last report Name and Address of Reporting Entit y q Prime 0 Subawarde e Tier , if known If Reporting Entity in No . 4 is Subawardee, Enter Name and Address of Prime : Congressional District, if known Congressional District,if known Federal Department/Agency :7 .Federal Program Name/Description : CFDA Number,if applicable Federal Action Number,if known :9.Award Amount,if known : a . Name and Address of Lobby Entity b .Individuals Performing Services (including (if individual, last name, first name, MI)address if different from No. 10a) (last name, first name, MI) (attach Continuation Sheet(s) if necessary ) 11.Amount of Payment (check all that apply)13 . Type of Payment (check all that apply) $q actual q planned a . retaine r b . one-time fe e 12.Form of Payment (check all that apply):_c . commissio n fl a. cash — d . contingent fe e b . in-kind; specify : nature —e deferred Value - f other, specif y 14.Brief Description of Services Performed or to be performed and Date(s) of Service, includin g officer(s),employee(s), or member(s) contacted, for Payment Indicated in Item 11 : (attach Continuation Sheet(s) if necessary) 15.Continuation Sheet(s) attached :Yes q No 0 16.Information requested through this form is authorized by Titl e 31 U .S .C .Section 1352 . This disclosure of lobbying reliance Signature :was placed by the tier above when his transaction was made o r entered into . This disclosure is required pursuant to 31 U .S.C.Print Name :1352 . This information will be reported to Congres s semiannually and will be available for public inspection . An y person who fails to file the required disclosure shall be subject Title : to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure Telephone No .:* Date : Authorized for Local Reproduction Federal Use Only:Standard Form - LL L Standard Form ILL Rev. 04-28-06 8. 10 . LPP 12-01 Page 10-7 7 0904327,2012 Q Appendix 6 EXHIBIT 10-Q Local AssistanA TTA ~l Disclosure of Lobbying Activities INSTRUCTIONS FOR COMPLETION OF SF-LLL , DISCLOSURE OF LOBBYING ACTIVITIE S This disclosure form shall be completed by the reporting entity, whether subawardeeor prime federal recipient at the initiation or receipt o f covered federal action or a material change to previous filing pursuant to title 31 U .S1.C . Section 1352 . The filing of a form is required fo r such payment or agreement to make payment to lobbying entity for influencing or attempting to influence an officer or employee of an y agency, a Member of Congress an officer or employee of Congress or an employee cif a Member of Congress in connection with a covered federal action. Attach a continuation sheet for additional information if the space on the form is inadequate . Complete all items that appl y for both the initial filing and material change report . Refer to the implementing guidance published by the Office of Management an d Budget for additional information . 1 . Identify the type of covered federal action for which lobbying activity is and/or has been secured to influence, the outcome of a covered federal action . 2 . Identify the status of the covered federal action . 3 . Identify the appropriate classification of this report .If this is a follow-up (report caused by a material change to the information previously reported, enter the year and quarter in which the change oceurted . Enter the date of the last, previously submitte d report by this reporting entity for this covered federal action . Enter the full name, address, city, state and zip code of the reporting enti . Include Congressional District if known . Check th e appropriate classification of the reporting entity that designates if it is or xpects to be a prime or subaward recipient . Identify the tier of the subawardee, e .g ., the first subawardee of the prime is the first tier . Subawards include but are not limited t o subcontracts, subgrants and contract awards under grants . 5.If the organization filing the report in Item 4, checks "Subawardee" then'enter the full name, address, city, State and zip code o f the prime federal recipient. Include Congressional District, if known . 6.Enter the name of the federal agency making the award or loan cotnmittent . Include at least one organization level belo w agency name, if known. For example, Department of Transportation, U ited States Coast Guard . 7.Enter the federal program name or description for the covered federal action (item I), If known, enter the full Catalog of Federa l Domestic Assistance (CFDA) number for grants, cooperative agreements, loans and loan commitments. 8.Enter the most appropriate federal identifying number available for the federal action identification in item i (e .g ., Request for Proposal (RFP) number, Invitation for Bid (IFB) number, grant announcement number, the contract grant . or loan award number , the application/proposal control number assigned by the federal agency). Include prefixes, e .g., "RFP-DE-90-001 ." 9.For a covered federal action where there has been an award or loan commitment by the Federal agency, enter the federal amoun t of the award/loan commitments for the prime entity identified in item 4 ;or 5 . 10.(a)Enter the full name, address, city, state and zip code of the lobbying,entity engaged by the reporting entity identified in Item 4 . to influenced the covered federal action . (b) Enter the full names of the individual(s) performing services and include full address if different from 1 .0 (a). Enter Last Name, First Name and Middle Initial (MI). 11, Enter the amount of compensation paid or reasonably expected to be pidid by the reporting entity (Item 4) to the lobbying entit y (Item 10). Indicate whether the payment has been made (actual) or will be made (planned). Check all boxes that apply .If this i s a material change report, enter the cumulative amount of payment made or planned to be made . 12.Check the appropriate box(es). Check all boxes that apply. If payment is made through an in-kind contribution, specify th e nature and value of the in-kind payment , 13.Check the appropriate box(es). Check all boxes that apply. If other, specify nature . 14 .Provide a specific and detailed description of the services that the lobbyist has performed or will be expected to perform and th e date(s) of any services rendered . Include all preparatory and related activity not just time spent in actual contact with federa l officials. Identify the federal officer(s) or employee(s) contacted or the officer(s) employee(s) or Member(s) of Congress tha t were contacted . 15.Check whether or not a continuation sheet(s) is attached . 16.The certifying official shall sign and date the form, print his/her name title and telephone number . Public reporting burden for this collection of information is estimated to average 30-minutes per response, including time for reviewin g instruction, searching existing data sources, gathering and maintaining the datameeded, and completing and reviewing the collection o f information . Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions fo r reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0046), Washington, D .C . 20503 . SF-LLL-Instructions Rev . 06-04-90eENDIF » Page 10-78 May 1,2006