13-0104_RBF CONSULTING_Request for Proposal Ji�at
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SAN JUAN CAPOTNANO,CA 92675
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• • JOHN TAYLOR
October 16, 2012
Subject: Request for Proposal (RFP) to Provide Construction Management
Services for the 1-5 and Ortega Hwy Interchange Pipeline Relocation
Project
Dear Sir or Madam:
The City of San Juan Capistrano hereafter referred to as OWNER is requesting
proposals to provide Construction Management services for the 1-5 and Ortega
Hwy Interchange project (the Relocation Project); as further described in this
request for proposals (RFP), and as detailed in the following attachments A— F.
Hereafter referred to as PROJECT from a qualified engineering and consulting
firm, hereafter referred to as CONSTRUCTION MANAGER or CM.
The PROJECT was designed by Dexter Wilson Engineering, Inc., hereinafter
referred to as ENGINEER, who is under contract with the owner to provide
submittals review and construction oversight services. The construction
management services include: Disadvantage Business Enterprise (DBE)
compliance, project management, pipeline inspection, certified welding
inspection & testing, archeological /paleontological coordination, survey services,
enforcement of traffic control plans, and other services necessary for the
completion of the aforementioned project.
The proposed project consists of the construction 3,611 If of pipe, 694 If of pipe in
cells of the new 15 bridge; the abandonment of 2,864 If of water and sewer lines,
and the relocation of two sewer system manholes within the area of effect for the
"Interstate 5/ State Route 74 (Ortega Highway) Interchange Improvement
Project." Installation of the sewer and water facilities integrates with the
proposed interchange improvement project; currently scheduled by the California
Department of Transportation (Caltrans) to start construction by February 28,
2013.
Attachment 2
RFP —Construction Management Services
1-5 and Ortega Hwy Interchange Pipeline Relocation Project
September 28, 2012
Page 2 of 3
Your firm is invited to submit a proposal for construction management services
for this project.
Proposals made in response to this request must be delivered to:
Mr. Eric P. Bauman, P.E.
City of San Juan Capistrano Utilities Dept.
32400 Paseo Adelanto
San Juan Capistrano, CA 92675
The CITY will not hold a Pre-proposal Conference. However, prospective
Consultants are invited to call or visit the City to meet with staff and discuss the
project.
Proposals should be delivered no later than the date and time in the schedule.
Place cost proposals in a separate envelope, in the format of the Exhibit H. Two
(2) hard copies of the proposal must be included in the submittal along with an
electronic ".pdf. The entire submittal package shall be clearly marked "Proposal
to Provide Construction Management Services for the 1-5 and Ortega Hwy
Pipeline Relocation Project."
The OWNER reserves the right to reject any or all proposals. The OWNER
reserves the right to select the CM which appears most likely to provide the
services under the conditions that would be in the best interest of the OWNER.
The CONSULTANT selected must be able to begin work immediately upon
award of contract and must be able to maintain the level of effort required
meeting the proposed schedule or completion of design and contract documents
per the schedule below.
SCHEDULE:
CM for 1-5 x Ortega Hwy Pipeline Relocation Schedule
10/16/2012 RFP Out
11/13/2012 Proposals Due
12/4/2012 Contract Award to Construction Manger
12/16/2012 Contractor to Start Pre-Caltrans Phase Work
2/28/2013 Contractor to End Pre-Caltrans Phase Work
Caltrans Contractor on site, City's Contractor off site until
Caltrans protides property, and or the work window and site
3/1/2013 to allow CSJC to complete its work.
3/1/2013 Caltrans Work Window Period Begins
If you have any questions regarding this Request for Proposals, please call Eric
Bauman P.E. at 949.487.4312, or e-mail ebauman(a)sanivancaoistrano.org
RFP —Construction Management Services
1-5 and Ortega Hwy Interchange Pipeline Relocation Project
September 28, 2012
Page 3 of 3
Sincerely,
Eric P. Bauman, P.E.
City of San Juan Capistrano Utilities Department
Enclosures:
Exhibit A: A detailed Scope of Work
Exhibit B: Proposal Requirements
Exhibit C: Additional Information
Exhibit D: Sample Consultant Services Agreement
Exhibit E: Plans and Specifications for the PROJECT
Exhibit F: Work Windows
Exhibit G: Cost Proposal Form
Exhibit H: DBE/ UDBE Compliance Forms
EXHIBIT A
SCOPE OF WORK
The construction of the water and sewer pipelines will have to accommodate the
construction timing and phases as directed by the needs of Caltrans as it constructs a
replacement of the Ortega Hwy Bridge crossing over the 1-5. The Caltrans project will
also include modifications to Ortega Hwy in the vicinity, and other related on-ramp and
off-ramp work necessary to the road and Hwy work.
The project is located at the intersection of the 15 and Ortega Hwy. Exhibit E shows the
project location, project components, and miscellaneous water appurtenance work
directed by Caltrans. The project components need to be separately identified for cost
accounting purposes and so are separate line items in the cost proposal form, Exhibit
G.
As referenced herein, the OWNER or City shall mean the City of San Juan Capistrano
or its staff members; and Construction Manger or "CM' shall mean the firm proposing to
act as the Construction Manager for the City of San Juan Capistrano.
The Scope of Work for this project consists of the following tasks:
For this project the CONTRACTOR's work will be broken into several moves on and off
to accommodate the Pre-Caltrans work period and the Caltrans Stage" work. The
Caltrans contractor will provide the work windows for work elements as Caltrans
acquires the property and as working conditions permit (Exhibit F).
The "Pre-Caltrans Work" must be completed within time frame of early January, 2013 —
February 28, 2013. Pre-Caltrans work includes: 1) Group 4 comprising W6, W6A —
W6E, W7, the fire hydrant & meter work show on detail R/18 (plan sheets 10, 11, 13, &
18); and 2) most of Group 6 comprising the miscellaneous work required on the plans,
or depicted in the Caltrans Utility Relocation Sheets U-1 through U-6 (Exhibit E).
The "Caltrans Work" will be done as the work windows are made available in the time
span from February 28, 2013 to December 2014. The work will be broken up by the
Caltrans work schedule and the availability of property including: 1) Group 1 comprising
W4, WBA, & W1 (plan sheets 6 — 7, Exhibit E); 2) Group 2 comprising W2, W3A, W4A,
& W12A (plan sheet 8); 3) Group 3 comprising W12, & W3 (plan sheet 9); 4) remaining
surface work from group 4 above; 5) Group 5 comprising W6F, W6G, W5, & W5A (plan
sheets 12, 13, & 14); and, 6) the remaining work in Group 6 comprising the
miscellaneous work required on the plans, or depicted in the Caltrans Utility Relocation
Sheets U-1 through U-6 (Exhibit E).
Caltrans has committed to making available the work windows defined in Table 1,
"Utility Relocation and Contractor Arranged Time for the Relocation" in Exhibit F to allow
the OWNER to complete the work in Groups 1 — 3, & 5 — 6. The Pre-Caltrans Work is
the major pipeline work in Group.
Task No. 1: General:
Propose the cost for the work described in this section as a single lump sum for each
grouping.
1.1 Monitor the work of the CONTRACTOR and coordinate the work with the
activities and responsibilities of the OWNER to ensure the project is
completed on time and within budget.
1.2 Represent the OWNER's interests among CONTRACTOR, subcontractors,
utility companies, state inspectors, OWNER staff, businesses and general
public.
1.3 Serve as OWNER outreach representative to businesses and residents.
Task No. 2: Construction Progress Meetings
Propose the cost for the work as a single lump sum. For this project this time period will
start upon the notice of award (December 5, 2012) the completion of the pipeline work
(December 2014).
2.1 Conduct pre-construction meeting.
2.2 Attend monthly project progress meetings conducted by the Caltrans
Contractor.
2.3 Conduct meetings with OWNER, CONTRACTOR, subcontractors, and utility
companies as required.
2.4 Write and distribute meeting minutes for comments within three working days
and final version within two working days of receipt of comments.
Task No. 3: Project Control
Propose the cost for the work as a single lump sum. For this project this time period will
start upon the notice of award (December 5, 2012) the completion of the pipeline work
(December 2014).
3.1 Monitor work progress of CONTRACTOR.
3.2 Provide a Construction Manager (CM) to work with the ENGINEER to solve
design interpretation issues. In the event of conflict or ambiguous
interpretation, of the engineering design intent, the CM will, document the
issue and relay the problem to the project design engineer.
3.3 Provide regular monitoring of the construction schedule and immediately
identify areas where the work is behind schedule.
3.4 Monitor CONTRACTOR's personnel, equipment, and materials to ensure that
adequate resources are available to meet the project schedule.
3.5 Coordinate with the CONTRACTOR and OWNER staff to ensure that
OWNER activities and responsibilities are addressed and scheduled.
3.6 Prepare and submit detailed daily and inspection reports, and detailed weekly
and monthly progress reports when the CONTRACTOR is working
3.7 Take construction photographs, before work starts, and in the process of
work.
3.8 If the project requires, confirm with CALTRANS inspector to ensure work
meets CALTRANS Permit Requirements
3.9 Compile an accurate set of "As-Constructed" plans noting all deviations from
the plans.
3.10 CM will verify that all construction and fabricated deliveries conforms with
approved shop drawings; that all delivered materials match the delivered mill
testing certifications. CM will review any deviations or substitutions submitted
by the CONTRACTOR to determine if they are equal to or of better quality
than those specified in the contract documents. CM shall make its
recommendation and review with the ENGINEER all substitutions and receive
the ENGINEERS's and OWNER's concurrence prior to approving any
substitution. CM shall submit to the OWNER two (2) copies of all preliminary
and final shop drawings that have been reviewed for conformance.
3.11 CM shall oversee the verification of intermediate and final acceptance. Final
acceptance shall require all the components for the facility to be fully
operational, including necessary testing, start-up and jurisdictional transfer of
all or the respective portions of each substantially completed facility from its
construction phase to the operational phase.
3.12 CM and OWNER will meet: monthly when construction for the pipeline is
waiting for the next window, and weekly when pipeline construction is active.
CM will submit an updated schedule at each meeting. The schedule shall be
prepared on Microsoft Project of some similar software; and based on that
provided by Caltrans's Contractor.
3.13 Serve as general liaison and overseer to Caltrans, Caltrans Contractor, other
utility companies, state inspectors, OWNER staff, businesses and general
public.
3.14 Serve as OWNER outreach representative to businesses and residents.
Prepare information presentations on the project for presentation by OWNER.
Provide newsletter to inform the affected community for distribution by
OWNER.
3.15 Verify that the CONTRACTOR has secured the required permits, bonds,
insurances, labor affidavits, releases, and waivers.
3.16 Verify that the CONTRACTOR complies with the terms of the permits.
3.17 Provide a submittal schedule and revise/update, as required. Get from
CONTRACTOR all required submittals and shop drawings, material and
equipment submittals, and samples. Examine submittals for compliance as to
form, quantity, clarity, and content. Forward the submittals to the
ENGINEER. Verify that the ENGINEER has reviewed and returned these
documents in a timely manner.
3.18 Ensure that CONTRACTOR submits all required, warranties, and guarantees
for materials installed in a single bound document.
3.19 Measure and verify quantities for the purpose of reviewing, processing
progress and final payments. Recommend progress and final payments.
Task No. 4: Inspection and Testing.
Propose the cost for the Inspection (Task 4A) work as a single lump sum. For this
project this time period will start upon the notice of award (December 5, 2012) the
completion of the pipeline work (December 2014). For the purposes of this project the
CONTRACTOR will be on site for 115 working days.
The OWNER's Inspector will inspect the installation of the PVC line, and be the
OWNER's agent providing observation and sign off for the ACP removal.
The CONSULTANT is to provide specialty inspector for the installation of the welded
steel pipe (W3, & W12).
The CONSULTANT is also to provide relief inspection in the event that the OWNER's
inspector is unavailable. For the purposes of this proposal budget 15 night-time shifts,
and 10 day time shifts of inspection.
Propose the cost of the Testing based on the quantities of work in the plans; and
provided a description of the planned testing in the proposal.
4.1 Coordinate with the OWNER's Inspector to ensure that inspection occurs as
needed. Provide inspector if OWNER's inspector is unavailable.
4.2 Maintain a part time resident engineer near the project site when work by the
CONTRACTOR occurs for the purpose of managing the project, coordinating
inspection, scheduling the surveyor, obtaining certificates, documenting, and
verifying performance of the work. The part time resident engineer may work
off site for work involved in writing reports, documentation, submittals, etc.
This project requires that the part time resident engineer have expertise in
PVC pipeline, Steel pipeline, Welding, the removal and disposal of asbestos
concrete pipe.
4.3 The table below allocates the major components regarding day, nighttime, an
around the clock work:
IDaytime Work I Ni htime Work lWork 24 hrs/da
W2, W3, W6F, W6G, WBA, W4, R/18, W1,
W7, W5, WSA, W12 W4A, W6, W6A-W6E W12A, W3A
Estimated 44 days Estimated 64 days Estimated 4 days
4.4 Monitor the work of the CONTRACTOR and coordinate the work with the
activities and responsibilities of the OWNER to ensure the project is
completed on time and within budget.
4.6 Monitor CONTRACTOR's use of the alignment and grade staking to be
placed by CM's Surveyor.
4.7 Inspect the CONTRACTOR's conformance with traffic control plan.
4.8 Monitor pavement saw cutting, trenching, shoring, trench plating, pipe
bedding, pipe installation, and backfill activities.
4.9 Conduct soils / material testing to ensure pipeline bedding, compaction and
backfill compliance. For the purposes of this project assume one test per 200
foot of pipeline.
4.10 Collect and compile plant certification for concrete delivered to the job. The
only concrete required for this pipeline is for thrust blocks.
4.11 Monitor pressure tests and disinfection tests.
4.12 Monitor pavement replacement activities.
4.13 Monitor replacement of damaged landscaping and irrigation systems and
backflow devices.
4.14 Review items requiring correction with CONTRACTOR and submit final
inspection report to OWNER when corrections have been completed.
Task No. 5: RFI's and Change Orders
Propose the cost for the work described in this section as a single lump sum.
5.1 Process requests for information.
5.2 Investigate change order requests, make recommendations to the OWNER,
and assist in negotiating final payment schedule and amount.
Task No. 6: Survey Services.
Propose the cost for the work described in this section as a single lump sum for each
group of pipeline segments.
6.1 CM will provide one set of line stakes or marks for each main pipeline, and a
benchmark. Stakes for the mainline shall be set at 100-foot intervals and at
all angle points and grade breaks. The CM will also provide staking for key
facilities including valves, bends, tees, blow offs and air vacs. The
CONTRACTOR is to provide the survey services for all other survey work. All
survey crew personnel shall be under the direction of a Registered Civil
Engineer or a Licensed Land Surveyor.
Task No. 7: Environmental Compliance Monitoring.
Propose the cost for the work as a single lump sum. For this project this time period will
start upon the notice of award (December 5, 2012) the completion of the pipeline work
(December 2014). (This project is statutorily exempt from CEQA since it is a
replacement pipeline, and under one mile in length.)
Notwithstanding that exemption, the project must still provide Native Indian monitoring,
Archeological and Paleontological monitoring, implement BMPs for waste and water.
7.1 The construction contract requires that the CONTACTOR provide and pay for the
Native Indian, and the archeological / paleontological monitoring. The CM is
expected to monitor their activities, and verify their presence in the areas noted
on plan sheet 2 of 26 (Exhibit E.)
7.2 The CONTRACTOR will provide and implement erosion and sediment control
measures and waste and material management control Best Management
Practices, BMPs, to prevent construction pollutants from leaving the site.
Contractor can use the latest Orange County Watersheds Programs Construction
Guidance Manual
ocwatersheds.com/Documents/2009 CASQA ConBMP Hand book/Construction
RunoffGuidance-20Manual-2008Version and the Erosion Control BMPs
developed by Orange County Watersheds ocwatersheds.com/Construction-
Activities or the California Stormwater Quality Association CASQA construction
portal.
7.3 The CM is expected to monitor the implementation and compliance with the
submitted BMPs, and per the City's general notes plan sheet 4 of 26 (Exhibit E.)
7.4 The CM is to ensure that the CONTRACTOR adheres to all pertinent
requirements of the City's NPDES permit.
Task No. 8: Project Completion
Propose the cost for the work described in this section as a single lump sum.
8.1 Determine substantial completion of the work or designated phases or portions
thereof.
8.2 Develop "punch list" items and ensure that CONTRACTOR completes all
required work and activities.
8.3 Notify OWNER that the work is ready for final inspection and coordinate final
inspection with CONTRACTOR and OWNER staff.
8.4 Maintain as-built notes on the construction, noting any deviations from the plan.
8.5 Recommend to the OWNER to accept project and to issue final payment.
Task No. 9: DBE/ UDBE Goals:
This project is federally funded. The provisions of Title 49, Part 26, Code of Federal
Regulations (49 CFR 26) and the City of San Juan Capistrano's adopted DBE program
require that Underutilized Disadvantaged Business Enterprises (UDBEs) and
Disadvantaged Business Enterprises (DBEs) have the opportunity to participate in
federal-aid capital improvement projects. The City has established an overall goal of
6.00% DBE participation for this consultant contract, with a UDBE participation goal of
1.00%; for a total DBE/UDBE goal of 7.00%. Exhibit H provides a Notice to Proposers
DBE Information, as well as other required forms that must be completed in order for a
proposer to be considered responsive. The proposer must make good faith efforts to
meet the UDBE/DBE goal established for the contract. If the goal is not met, the
proposer must document adequate good faith efforts. Failure to do so may result in the
rejection of the proposal. The forms for reporting DBE and/or UDBE data and
documenting good faith efforts are included in Attachment H and must be returned with
the proposal; with the exception of Exhibit 17-F, the Final Compliance report which will
only be required at the end of the project by the selected Consultant.
OWNER RESPONSIBILITIES
1. Assign OWNER's Project Manager.
2. Provide the CM with access to field personnel familiar with the water system and its
operation.
3. Provide or make available upon request, reports, drawings, specifications, records,
data and files deemed useful for the project activities.
4. Provide field personnel to operate valves and fire hydrants as required.
MISCELLANEOUS
1. All plans and other documents prepared by the Consultant on behalf of the OWNER
shall become the sole property of the OWNER.
2. The CM is to provide all their own office facilities, unless an onsite office trailer for
the CM is included in the project specifications.
PROPOSAL REQUIREMENTS EXHIBIT B
Although no speck format is required by OWNER, this section is intended to provide
guidelines to the CM regarding features, which OWNER staff will expect to be
included in the proposal. At a minimum, the proposal shall contain the following
information:
1. Content and Format
Organize and present proposal in a neat and logical format, relevant to these
services. CM's proposal shall be clear, accurate, and comprehensive.
The proposal is expected to be for complete CM services. The CM is expected to
know what must be done to produce the requested construction management
services. If a work item must be done, but was not specifically called for in the scope
of work, make this clear in the proposal.
The proposal shall use a 10-point minimum size font and shall be a maximum of 30
pages, including the transmittal/offer letter, but excluding the fee proposal and
resumes of key personnel. The purpose of these restrictions is to minimize the costs
of proposal preparation and to ensure that the response to the RFP is fully relevant to
the project.
The proposal should include the following:
a. Signed transmittal letter or statement of proposal/offer;
b. Approach to the project, including a description of the scope of services, specific
work tasks and activities, and concepts for conducting the work;
c. Descriptions of similar projects by the Project Manager and key staff to be used
on this assignment;
d. Team organization including an organization chart or diagram;
e. Brief resumes of key staff with descriptions of their specific experience and
capabilities;
f. An analysis of the estimated hours that each member of the project team will
contribute for the individual tasks in the scope of work, along with hourly rates,
estimated direct costs, and a total fee for the project.
2. Transmittal Letter/Statement of Proposal/Offer
The proposal shall be signed by an individual authorized to bind the CM and shall
contain a statement that the proposal is an offer for a 90-day period.
3. Scope of Services
A detailed description of the Scope of Work and the methodology for its completion
shall be included in this section. The work plan should discuss any specific issues,
constraints, or anticipated problems that should be anticipated during the project, and
provide a suggested approach for their resolution. It should explain the work tasks
associated with each element of the project, plus any other tasks that are needed for
the sake of completeness or enhancement.
4. Qualifications and Experience
Describe the qualifications and experience of the firm, key staff, and subconsultants
that will perform the work. The CM and subconsultants shall demonstrate
competence to perform these services. Qualifications should be based on direct
experience on recent projects that are similar in scope and size. Projects listed
should be those that key staff named for this project was responsible for performing
services. Include a brief description of these relevant projects and a client reference
and telephone number who may be contacted by the OWNER. Reference should be
for projects completed with-in the previous 5 years, and should be similar in scope
and construction type to this project.
5. Project Team
The proposal shall include descriptions of the specific experience and capabilities of
the designated Project Manager, Project Engineer, Technical Advisors, and other
support staff related to the previously outlined scope of work. Key personnel shall
include the Project Manager, Project Engineer, Technical Advisors, and other support
staff. The Project Manager and Project Engineer assigned to the project shall not be
reassigned without the prior written approval from the OWNER. Include the identity
and qualifications of all subconsultants.
Fee
The fee proposal shall be included in a separate sealed envelope and shall be in the
matrix format shown at the end of this exhibit. An electronic file of the cost matrix is
available from the OWNER upon request. Modifications of the cost matrix may be
made by the CM as required, however, the fee proposal shall follow the general
format shown herein. The CM shall be responsible for the accuracy of the cost
matrix and fee proposal. The proposal shall include the estimated hours that each
member of the project team will contribute for the individual tasks depicted in the
scope of work. Cost and billing schedule of current hourly rates for each of the
project team for the individual tasks in the scope of work. Include the identity and
estimated costs of all subconsultants, reproduction costs, and other direct costs. For
budget purposes, and as a basis for later contract negotiations, provide the total not-
to-exceed fee, including all labor, subconsultants, and direct expenses, separately for
each element of the project, as well as for the entire project. No mark-up of direct
expenses will be allowed.
The selected CM shall not exceed the upper limit fee without prior approval from the
OWNER. The OWNER will not approve a cost extra unless it specifically requests
additional work or effort well outside the scope of work for the project as defined in
the RFP.
7. Non-Collusion Statement
The proposal shall include a statement of non-collusion or conflict of interest.
EXHIBIT C
ADDITIONAL INFORMATION
This exhibit contains additional information and requirements pertaining to the CM
services described in this request for proposal.
1. Schedule
The CM selected must be able to begin work immediately upon award of contract and
must be able to maintain the level of effort required meeting the proposed schedule.
2. Disclaimer
This request for proposals does not commit the OWNER to retain any CMs, to pay
costs incurred in the preparation of proposals, or to proceed with the project. The
OWNER reserves the right to extend the due date for the proposal, to reject any or all
proposals, to negotiate with any qualified proposer, and to appoint more than one
firm to provide services on given elements or portions of the project.
3. Withdrawal of Proposals
Proposals may be withdrawn if written notification of withdrawal of the proposal is
signed by an authorized representative of the firm and received at the designated
OWNER office prior to the closing time for receipt of proposals.
Proposals, including accompanying materials, will become the property of the
OWNER. Proposals will be held in confidence to the extent permitted by law. After
award of a contract or after rejection of all proposals, the proposals will be public
records subject to disclosure under the California Public Records Act. (Government
Code Section 6250 et seq).
The OWNER reserves the right to request additional information from proposers prior
to the final selection, and to consider information about a firm other than that
submitted in the proposal or interview.
4. Site Inspection
CM is urged to make site visits and examinations so as to become thoroughly familiar
with the conditions affecting their evaluation process. Failure to make such additional
investigations will not be the grounds for additional claims or for extension of time
under the contract, and will not relieve the CM of responsibility for meeting all
requirements of the request for proposal.
5. Insurance Requirements
The successful CM will be required to obtain insurance coverage in the amount of
$1,000,000 for claims covered under Workers Compensation, General Liability,
Automobile Liability, and Employers Liability for Death, Bodily Injury, Personal Injury,
and Property Damage. In addition, the successful CM will be required to carry Errors
and Omission Insurance in the amount of$1,000,000.
6. CM Evaluation & Selection Process
The OWNER may select for contract negotiations the firm that, in the OWNER's
judgment, will best meet the OWNER's needs, irrespective of the comparison of fees
and costs estimated by the proposers. The OWNER's CM evaluation and selection
process is based on the following criteria.
a. Demonstrated experience in managing construction projects for a Utility or
City working within the framework of separately managed a Caltrans project.
b. Demonstrated experience in managing construction projects for pipeline in
Caltrans' bridges.
c. Understanding of the project requirements, including identification of critical
elements and key issues;
d. Technical approach and work plan for the project, including innovative
approaches;
e. Qualifications and experience of the Project Manager, Project Engineer, other
key individuals, and subconsultants;
f. Results of reference checks. Reference checks will only be conducted for a
short list of firms or the top rated firm.
g. Clarity of the proposal.
h. Compliance with proposal requirements.
i. Level of effort in hours required to complete the work, fees, and schedules.
The OWNER may elect to interview a short list of qualified firms or to interview only
the top rated firm based on the proposals submitted for the project.
The OWNER staff will negotiate a contract with the best-qualified firm for the desired
CM services at compensation, which the staff determines, is fair and reasonable to
the OWNER. Should OWNER staff be unable to negotiate a satisfactory contract
with the selected firm, negotiations with that firm will be formally terminated.
Negotiations will then be undertaken with the next most qualified firm. Failing to
reach an accord with the second most qualified firm, the OWNER will terminate
negotiations with that firm and continue the negotiation process with the next most
qualified firm until an agreement is reached.
EXHIBIT D
SAMPLE PERSONAL SERVICES AGREEMENT
A sample copy of the OWNER's personal services agreement is attached. Include in
your proposal any proposed modifications to the standard terms and conditions. If
there are no exceptions, a statement to that effect shall be included in the proposal.
While the OWNER negotiates such changes with CMs, the OWNER will consider
your proposed modifications during CM selection and retains the right to reject any
portion of your proposed modifications.
EXHIBIT E
Plans and Specifications for the
RE-BID IMPROVEMENT PLANS FOR 1-5 ORTEGA HIGHWAY INTERCHANGE
(See separate file.)
Bid Documents for the PIPELINE RELOCATION CIP No. 11805, dated October 4,
2012 (See Separate file.)
Caltrans minor utility relocation plans, sheets U1 — U6 (See separate file.)
Caltrans Plans for project 12-000-00-102 (See separate file.)
TABLE 1
Utility Relocation and Contrxtar-Artangatl Time for the Relocation
w
zo u 0 n Description on Work to ba Partitioned by City of San Jlmn Caplatrano's
an a Caltrans Plan(For Contractor Location Days to Complete Work.
U c n u Reference)
i
U 1 (1-07) re WM CSJC PIP Meter pulled 10Sat 7+90 line shut at corporation stop;remove remove meter 0 fl Rt of Complete with Pre-Caltrans Work.
and abandon remainder in place.
U1 (1-08) na WM CSJC RLBO (WM#47884349)not in use. Demolish water service. 41 It Lt of Ste 6+11-W Construct duping Caltrans
line. Stages. Caltrans Contractor to
(1-17) na AM(CSJC)A2G Adjust meter to grade matching new sidwalk. 56 It Lt of Sts 7+54. provide 4 weeks noMcation,l
day to complete 148 8 1.17
U-1 'B'Line (Groupe 1 M)
(1-31) See Existing 2-inch WM#71847290,and 2inch BFD#56487. Use to 33 R Rt of Se 6+37 of Complete with Pre-Caltrans Work,
detail supply invasion line serving temporary supply to WM #9]9481528 'W Line
U-1 #97948153. Demolish service#71847290.Construct replacement
on Plans service,and relocate WM#71847290 and BFD 56487 Par direction
Of
(1-32) See WWBFP Valve Existing 2-inch WM#97948152,and BFD#At 14959,serving Del 45 It Rt of She 6+62'B'
detail (CSJC)RLBO Taco. Construct new service,relocate WM S UFO per direction of Line
U-1 CSJC on site, Demo ish existing service awl meter box.
on Plans
(1-33) See WWBFPVaIvs Existing 2 inch WM#97948153,and BFD#Al 14985,serving 45 If Rt of Ste 6+62'8'
detail (CSJC)RLBO Arby's. Tempoaryly relocate WM 8 BFD per direction of CSJC on Line
U-1 site. Demolish existing(relocated)service and meter box as
on Plans dirrected by CSJC stall.
(1-34) Sea WV(CSJC)RLBO Relocate existing line,valve,and Fire Hydrant per tletail_ 53 R Rt of Ste 6+75'8'
detail on plan. Lina
U-1 _
on Plans
(1,35A) See 6"Water(CSJC) 536 Rt of Sta 6+75'B'
tletail RLBO Line
U-1 _
on Pans
(1-35) See FH(CSJC)PIP 53 it Rt of Ste 6+75'B'
detail Line
U-1
on Plans
(1-42) na Pothole and allow CSJC to verify ff location of sewer will conflict with as directed
planned retention wall. Pothole location per CSJC staff location.
U-1 4"VCP(CSJC)PIP
(1-12)(1 ria FH(CSJ )RLBO 25 ft Lt of Ste 8+84'H' Construct during Caltrans Stages.
13) Line;29 It Ll of She Caltrans Contractor to provide 4
8+92 weeks notification,1 day to
U-1 Demolish FH and FH valve per derection of CSJC stab. complete 1-12,S 1-13(Group 1
FH)
(1-16) na WV(CSJC)A2G Adjust water valve to grade 438 Lt of Sta 7+50'8" Construct during Caltrans Stages.
U-1 Line;22 it Lt of Sta Caltrans COntractor to provide
6+82"B'Line weeks notificatlpn 1 day to
(1-20) ria WV(CSJC)A2G Adjust water valve l0 gratia complete 1-18,1-20(Group 1 V)
U-1
(1-37) ria Abandon sewer hand hole. Abandon sewer line from Site 7+50 kir Handhole at 27 D Li of Canstrwct during Caltrans Stages.
Ste 8+20 of'B'line Ste 8+20 "B"Line Caltrans Contractor to provide 4
U 1 weeks notification,2 days to
complete 1-37(Group 1 S)
no none WBA, Construct lines WBA,W4,and W1 See CSJC plans. Construct during Caltrans Stages.
W4.8 Caltrans Contractor to provide 4
W1 weeks notification,20(Not 10)
working days to complete for W1,
WBA,W4.
no none W2, 2-12-inch water lines,(Geo Foam Area) See CSJC plans. Construct during Caltrans Stages,
W3A, Caltrans Contractor to provide 4
W4A,8 weeks notification,4 days to
W12A complete W2,'i W4A,8
W12A(Group 2p)
SP-11
TABLE 1
Utility Relocation and Contractor-Arranged Time for the Relocation
0 c s IDncdptim on Work to be Pinioned!by City of San Juan Capishano'a
m m�, CaltraContractorna Plan(For Location Days to Complete Work,
b u c a D Reference) Contractor
c
ne none ria 8-inch Water line. (Geo Foam Area}.To be removed. 80 ft Lt of SM 10+30 10 Consbucl during Caltrans Stages.
ft Lt of Sat 12+52'W Caltrans Contractor to provide 4
Line weeks notification.1 day to
complete removal of 8-inch ACP
line from Geo Foam area(Group
2A)
ria none W38 Construcipipelines W38W12inbridge. See CSJC plans. Construct during Calhans Stages.
W12 Caltrans Contractor to provide 4
weeks no6flca0on,11 days to
complete M 8 W1 2(Group 3)
(2-02) is 8'AC Water m 12" Existing steel pipeline and access structures in bodge to be See CSJC plans. Not Applicable.
U-2 casing.RLBO demolished in the course of the bridge oonstuction.
U-2 (2-03) na MH(CSJC)RLBO
U-2 (2-03A) ria MH(CSJC)RLBO
(2-08) ria Relocate existing FH per plan,sheet9 of 17 66 It Le of Ste 18+45-W Construct during Caltrans Stages.
U-2 Line Calibers Contractor to provide
weeks notification,3 days to
(2-16) ria Relocate FH per plan,sheet 10 of 17. 78 If Rt of Sea 18+73 complet 2-08,8 (Group 4
U-2 "B"Line
FH))
(2-11) ria WM(CSJC)RLBO Existing WM.CSJC#12165]4. Remove water meter box.return 44R Lt of She 17+14-B-Construct during Caltrans Stages.
U-2 water meter to CSJC,abandon line. line Caltrans Contractor to provide
(2-17) ria WM(CSJC)RLBO Eastern water meter 1.5-inch#31678569 Cl#2-18;western water 57 fl Rt of St.18+73, weeks notification 4 days to
U-2 meter 1.5-inch#31820821,Ct#2-1]. Remove meter meter boxes,'B'Line complete 2-11,2-17,2-18,2-20,2
U-2 2-18 ria 5]
demolish water services. RRt of St.18+75 21,2-25(Group 4M)
(2-20) no Existing WM,Ct It 2-20,CSJC#3]5606]5. Former U-76 Station. 45 ft Rt of Sea 19M5
U-2 Return water meter to CSJC,demolish water mater box and service 'B'Line
connection
(2-21) an Existing WM,Ct#2-21,CSJC R 13019061. Abandon existing water 47 It Rt of Ste 20+14
U-2 mater. Construct new 2-inch tap onto new 12-inch PVC line,set 'B'Line
new meter box,reinstall existing meter.
(2-25) no Existing 1-inch WM,CSJC#_ Run hew service tap to 53 It Rt of She 21+13
existing 14-inch line,and set new meter and box to avoid conflict B'Line
U-2 with planned Ct retaining wall. Remove existing abandoned airvac
serving now abandoned 8-inch CIP line.
(2-32) ria MH Sewer(CSJC) Relocate Sewer MH per plan and abandon line between station Manhole W 16 k Rf of Construct during Caltrans Stages,
A2G 18+32 818+61,sheet 11 of 17. 2 days to complete
U 2 (Group 4 S)
(249) ria WV(CSJC)(2 FA) Raise and adjust to grade 2 water valves to grade Ste 18+32'B'Lin. Construct dumng Caltrans
1-1-2 A2G stages. Caltrans Contractor to
Provide 4 weeks notification
(2-10) j ria WV(CSJC)(4 EA) Raise and adjust to grade 4 water valves to grade
U-2 A2G Site 18+61'8'Line
(2-12) 1 no I Existing W V CSJC#xxxx. Remove existing valve can,mark valve 15 ti Lt of St,17+14'
U-2 WV(CSJC)A2G as abandoned. B.Line
(2-19) ria WV(CSJC)(2 EA) Raise and adjust to grade 2 water valves to grade Sts 18+68 to
U-2 A2G
na none W6F, Install new 12-inch PVC water system lines(W6F 8 W6GL per plan Construct during Calhans Stages.
W6G 11 of 1T Callers Contractor to provide 4
weeks notification,4 days to
complete Vv6F 8 MG(Group 4
P)
SP-12
TABLE 1
Utility Relocation and Contractor-Arranged Time for the Relocation
C
c
Dpti
escrion on
L C e S Work N be PeAomed by Cly of San Juan Caplatrano'a
t; an m a�, Coltrane Plan(For Contractor Location Days N CompleteWork.
y
70 c p 0 Reference)
na none W5, Install 12-mch PVC water line WS and WSA per can 12 o(1]8 13 SN 514+16 to SN Construct during Catlrans Stages.
WSA of 17. 520+03-G-Line Caltrans Contractor to provide 4
weeks notification,11 days to
complete W5 8 W5A(Group 5.)
(2-14), na 12-inch ACP waterline among misting fence;to be abandooded per Ste 514+16 to Sta Construct during Catlrans Stages.
(3-02) plan sheet 13011]. 520+03-G'Line Caltrans Contractor to provide 14
U-3 days notification,6 days to
complete 2-14,302,B 2-13
U-2 (2-13) na 14'AC Water Portion along ekising 14-into ACP water line on Rte]d,10 be 38 R Rt of SN i]+OB (Group 6)
(CSJC)RIP abandoned par plan. to 38 ft Rt of St.
18+90
B"Line
9. Utility Pothole Locations
Included in the plans, Drawing G-4, sheet 4 provides the Caltrans and City of San Juan
Capistrano pothole locations that have been performed for this project, It shall be the
Contractors responsibility to evaluate this pothole information and determine what
pothole work still needs to be done for the waterline relocation work for this project.
10. Abandoning Existing Valves In Place
In locations existing valves will be abandoned in place. The existing valve cans shall be
removed and then place below grade a short section of PVC pipe over the operating nut
with a valve cover marked "ABND".
11.Abandonment of Existing Sewer Lines
At the locations shown on the plans new 48" manholes are installed and portions of the
existing sewer are to be abandoned. The existing sewers to be abandoned shall be filled
with sand and then the end of the sewer line shall be plugged. The sewer cleanout that is
abandoned shall be removed to 3-feet below grade and filled with sand.
12. Archeological and Native American Monitoring
The Contractor shall provide Archeological and Native American monitoring during all
trenching activities related to project Segments: WBA, W4, WI, W2 from its point of
connection at Stations 9+51 to 10+30, W6. W6A through W6G, W7, WS and WSA. The
Contractor shall select an Archeologist from the certified list of Archeologists for Orange
County. The Contractor shall provide the name of the archeologist for the City
Engineer's approval. The archeologist shall be responsible for providing the Native
American monitor.
13. Caltrans I-5 Caltrans Ortega Highway Interchange Bid Set of Plans
SP-13
City of San Juan Capistrano
1-5 Ortega Hwy Interchange Pipeline Relocation Project; Construction Management Services
INSERT FIRM NAME
Fee Proposal - Cost Summary
Cost Summary by Element
Group Group Group Group Group Group Group Total
Tasks No. No. No. No. No. No. No. Cost
1 2 3 4 5 6 7
1. General $0 $0 $0 $0 $0 $0 $0 $0
2. Construction Progress Meetings $0 $0 $0 $0 $0 $0 $0 $0
3. Project Control $0 $0 $0 $0 $0 $0 $0 $0
4A. Inspection and Testing $0 $0 $0 $0 $0 $0 $0 $0
4B. Estimated Testing Budget $0 $0 $0 $0 $0 $0 $0 $0
5. RFPs and Change Orders $0 $0 $0 $0 $0 $0 $0 $0
6. Survey Services $o $0 $0 $0 $0 $0 $0 $0
7. MND Compliance Monitoring $0 $0 $0 $0 $0 $0 $0 $0
8. Project Complettion $0 $0 $0 $0 $0 $0 $0 $0
TOTAL $0 $0 $0 $0 I $0 I $0 $0 $0
Group No. 1; Pipeline W4,W8A,&W1.
Group No. 2; Pipeline W2,W3A,MA,W12
Group No.3; Pipline W12,8 W3 in New Bridge
Group No.4; Pipeline W6,W6A-W6E;W7,detail R/1 8.
Group No.5; Pipeline W6F,W6G,W5,W5A
Group No.6; Misc work on Caltrans Utiltiy Relocation Sheets
"%&042
Page tof 1
roup No.1;Pipeline W4,AWA,3 W1.
1. General 0 0 0 0 0 0 0 o $0 $0 $0 $o $o
2. Construction Progress Meetings o 0 0 0 0 0 0 o $0 $0 $0 $0 $o
3. Project Control 0 0 0 0 0 0 0 o so $o $0 $0 $0
4A. Inspection o 0 0 0 0 0 0 o $0 $0 so s0 $o
48. Estimated Testing Budget 0 0 0 0 0 0 0 o s0 $o $o so $o
S. RFI's and Change Orders 0 0 0 0 0 0 0 0 $o $o s0 s0 s0
6. Survey Services o 0 0 0 0 0 0 o $o $0 $o $0 $o
7. MND Compliance Monitoring o 0 0 0 0 0 0 o s0 $o s0 $o $0
B. Project Com lettion 0 0 0 01 0 0 01 o sot s0 s0 s0 $o
Subtotal Element No.1 0 0 0 0 0 0 0 o $o s0 $o so $o
Group No.2;Pipeline W2,W3A,W4A,W12
1. General 0 0 0 0 0 0 0 o s0 $o so $o $o
2. Construction Progress Meetings o 0 0 0 0 0 0 o $o $o $o $o $0
3. Project Control 0 0 0 0 0 0 0 0 s0 $0 s0 $o s0
4A. Inspection 0 0 0 0 0 0 0 0 40 so s0 $o $o
4B. Estimated Testing Budget 01 01 0 0 0 0 0 o $o $o s0 s0 $o
5. RFI's and Change Orders o 0 0 g 0 0 o $ so so $o so
6. Surve Services o 0 0 0 0 0 0 o s0 s0 $o $o $o
7. MND Compliance Monitoringo 0 0 0 0 0 0 o so so s0 so so
8. Project Com lettion o 0 0 0 0 0 0 o $o $o $o so $o
Subtotal Element No.2 0 0 0 0 0 0 0 o $0 $o $o $o $o
Group No.3;Pipllne W12.b W3 in New Bridge
1. General 0 0 0 0 0 0 0 o s0 $o s0 - $o $o
2. Construction Progress Meetings 01 Ol o 0 0 0 0 o $o so s0 $0 $0
3. Project Control 0 0 0 oil 0 0 0 0 $o $o s0 s0 s0
4A. Inspection o 0 0 0 0 0 0 o s0 $o s0 $o s0
4B. Estimated Testing Budget o 0 0 0 0 Ol Ol o $0 $0 s0 $o $o
5. RFI's and Change Orders o 0 0 0 0 0 0 0 s0 so s0 $o s0
6. Survey Services o 0 0 0 0 0 0 o s0 s0 $o s0 so
7. MND Compliance Monitoring o 0 0 0 0 0 0 o s0 s0 s0 $o s0
8. Project Com lettion o 0 0 0 0 0 0 o s0 so so s0 s0
Subtotal Element No.3 0 0 0 0 0 0 0 o $o s0 s0 s0 $o
10/17/2012 Page 1 or 3
Group No. Pipeline
1. General 0 0 0 0 0 0 0 o $0 E0 0
2. Construction Progress Meetings 0 0 0 0 0 o a o $0 $0 $0
3. Project Control 0 0 0 0 0 0 0 0 $0 $0 $0
4A. Inspection o 0 0 0 0 0 0 0 $0 $0 $0
4B. Estimated Testing Budget o 0 0 0 0 0 0 o so $0 $0
5. RFI's and Change Orders o a o 0 0 o a o $0 $0 $o
6. Survey Services a o 0 0 0 0 0 0 $0 $0 $0
7. MND Compliance Monitoring o 0 0 0 0 0 0 0 $0 $0 TO
8. Project Com lettion o 0 0 0 0 0 0 01 Sol I $0 $0
Subtotal Element No.4 0 0 0 0 0 0 0 0 $0 $0 $0 $0 $o
Group No.6;Pipeline W6F,W6G,W6,WSA
1. General 0 0 0 0 0 0 0 0 $0 $0 $0 $0 $o
2. Construction Progress Meetings o a o o a o 0 0 $ $0 Eo so $0
3. Project Control 0 0 0 o a o a o $0 $0 $o TO $0
4A. Inspection o 0 0 0 0 0 0 0 $0 $0 $0 $0 $0
4B. Estimated Testing Budget 01 0 ol 01 0 ol 0 0 $0 $0 $0 $0 $o
5. RFI's and Change Orders o 0 0 01 0 0 0 0 $o $0 $0 $0 $0
6. Survey Services o 0 0 of a o 0 0 $0 Ea E $0 $o
7. MND Compliance Monitoring o 0 0 0 0 0 0 0 $0 $o $0 $0 $o
8. ProectCom lettion o 0 0 0 0 0 0 0 $o $0 $0 $o $o
Subtotal Element No.5 0 0 0 0 0 0 0 0 $o $0 so $o $0
Group No.6;Misc work on Caltrans Utirdy Relocation heete U-
throgh U6.
1. General Ol 0 0 0 0 Ol 0 0 $0 $0 $0 $0 0
2. Construction Progress Meetings 0 0 0 0 0 0 0 0 $0 $0 $0 $0 $o
3. Project Control 0 0 0 01 a o 0 0 $0 $a $0 $0 $0
4A. Inspection o 0 0 01 0 0 0 o $0 $0 $0 $0 $0
4B. Estimated Testing Budget o a o 0 0 0 0 0 $o $0 $0 $0 $0
5. RFI's and Chane Orders o 0 0 0 0 0 0 0 $0 $0 $0 $0 $0
6. Survey services o 0 0 0 0 0 0 0 $a $0 $0 $0 $o
7. MND Compliance Monitoring a o 0 o a o 0 0 $o so $o $0 $0
S. Project Com lettion 0 0 0 o a 0 0 0 $0 $0 $o So $o
Subtotal Element No.6 0 0 0 0 0 0 01 0 $o $0 $0 $0 $0
Miec
1. General a o 0 ol 0 0 0 0 $0 $0 so $0 $0
2. Construction Progress Meetings o 0 0 0 0 0 0 0 $0 $0 $0 $0 $0
3. Project Control 0 0 0 0 0 0 0 0 $0 $0 $0 so $o
4A. Inspection o 0 0 0 0 0 0 0 $0 $0 $0 s0 $o
4B. Estimated TestingBudget o 0 0 0 0 0 0 0 $o $0 so $0 $0
5. RFPs and Chane Orders a o a o a 0 0 0 $0 $0 $o $0 $o
6. SurveyServices 0 0 0 0 0 0 0 o $0 Sol $o *0
so
7. MND Compliance Monitoringo 0 0 0 0 0 0 0 $o $o So S0 $o
10/17/2012 Page 2 of 3
8. Project Com lettion o o 0 o 0 0 0 0 $0 $0 $0 $o $0
Subtotal Element No.7 0 0 0 0 0 0 0 0 so $o $0 $0 $0
TOTAL 0 0 0 0 0 0 0 0 $0 $0 $0 $0 0
10/17/2012 Page 3 W 3
EXHIBIT H
This project is federally funded. The provisions of Title 49, Part 26, Code of Federal
Regulations (49 CFR 26) and the City of San Juan Capistrano's adopted DBE program
require that Underutilized Disadvantaged Business Enterprises (UDBEs) and
Disadvantaged Business Enterprises (DBEs) have the opportunity to participate in
federal-aid capital improvement projects. The City has established an overall goal of
6.00% DBE participation for this consultant contract, with a UDBE participation goal of
1.00%; for a total DBE/UDBE goal of 7.00%. Attachment "H" provides a Notice to
Proposers DBE Information, as well as other required forms that must be completed in
order for a proposer to be considered responsive. The proposer must make good faith
efforts to meet the UDBE/DBE goal established for the contract. If the goal is not met,
the proposer must document adequate good faith efforts. Failure to do so may result in
the rejection of the proposal. The forms for reporting DBE and/or UDBE data and
documenting good faith efforts are included in Attachment "H" and must be returned
with the proposal; with the exception of Exhibit 17-F, the Final Compliance report which
will only be required at the end of the project by the selected Consultant.
• 100: Notice to Proposers: DBE Information (Caltrans LAPM Exhibit 10-1)
• 101: Standard Agreement for Subcontractor/DBE Participation (Caltrans LAPM
Exhibit 10-J)
• 102: Local Agency Proposer UDBE Commitment— Consultant Contracts
(Caltrans LAPM Exhibit 10-01)
103: Local Agency Proposer DBE Commitment— Consultant Contracts (Caltrans
LAPM Exhibit 10-02)
104: UDBE Information — Good Faith Efforts (Caltrans LAPM Exhibit 15-H)
• 105: Final Report— Utilization of Disadvantaged Business Enterprises (DBE) —
First-Tier Sub-contractors (Caltrans LAPM Exhibit 17-F)
106: Non-Lobbying Certification for Federal-Aid Contracts (Caltrans LAPM Exhibit
10-P)
• 107: Disclosure of Lobbying Activities (Caltrans LAPM Exhibit 10-Q)
32499 PA• A9¢ W nE9BERl oFTE Cav CgMClI
(949) Q34171 pI1NO.G92A'16 � gyryyAyTx
t949)49s1151 rwwr uugr.r
(949)49s 1909 Fwx jayynn � H61 1AN11•IOWIER
w .xanluancapBrrano.org 17ri x•n¢
• • iorwunxa
NOTICE TO PROPOSERS
DISADVANTAGED BUSINESS ENTERPRISE
INFORMATION
The City of San Juan has established an Underutilized DBE goal for this Agreement of 1.00%,
and DBE Goal of 6.00°/x, for a combined DBE/UDBE goal of 7.00%
1. TERMS AS USED IN THIS DOCUMENT
• The term "Disadvantaged Business Enterprise" or "DBE" means a for-profit small
business concern owned and controlled by a socially and economically disadvantaged
person(s) as defined in Title 49, Part 26.5, and Code of Federal Regulations (CFR).
• The term "Underutilized Disadvantaged Business Enterprise' or "UDBE." DBE classes
that have been determined in the 2007 Caltrans Disparity Study to have a statistically
significant disparity in their utilization in previously awarded transportation contracts.
UDBEs include: African Americans, Native 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.
2. AUTHORITY AND RESPONSIBILITY
A. DBEs and other small businesses are strongly encouraged to participate in the
performance of Agreements financed in whole or in part with federal funds (See 49 CFR
26, `Participation by Disadvantaged Business Enterprises in Department of
Transportation Financial Assistance Programs"). The Contractor should ensure that
DBEs and other small businesses have the opportunity to participate in the performance
of the work that is the subject of this solicitation and should take all necessary and
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.
3. SUBMISSION OF UDBE AND DBE INFORMATION
If there is a UDBE goal on the contract, a "Local Agency Proposer UDBE Commitment
(Consultant Contract)" (Exhibit 10-01) form shall be included in the Request for Proposal. In
order for a proposer to be considered responsible and responsive, the proposer must make
good faith efforts to meet the goal established for the contract. If the goal is not met, the
Notice to Proposers DBE Information, Exhibit 10-1
Page 1 of 4
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
included with the Request for Proposal. The purpose of the form is to collect data required
under 49 CFR 26. For contracts with UDBE goals, this form collects DBE participation by DBEs
owned by Hispanic American and 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 all DBEs, including UDBEs. Even if no
DBE participation will be reported, the successful proposer must execute and return the form.
4. DBE PARTICIPATION GENERAL INFORMATION
It is the proposer's responsibility to be fully informed regarding the requirements of 49 CFR, Part
26, and the Department's DBE program developed pursuant to the regulations. Particular
attention is directed to the following:
A. A DBE must be a small business firm defined pursuant to 13 CFR 121 and be certified
through the California Unified Certification Program (CUCP).
B. A certified DBE may participate as a prime contractor, subcontractor, joint venture
partner, as a vendor 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 or 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 or 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 defined portions thereof. Responsibility means actually performing, managing,
and supervising the work with its 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 its 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 all 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 toward the DBE participation except that portion of the work to be performed
by non-DBE subcontractors.
Notice to Proposers DBE Information, Exhibit 10-1
Page 2 of 4
5. RESOURCES
A. The CUCP database includes the certified DBEs from 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 Office of Certification toll free number 1-866-810-6346 for
assistance. Proposer may call (916)440-0539 for web or download assistance.
B. Access the CUCP database from the Department of Transportation, Civil Rights,
Business Enterprise Program web site at: hftp://www.dot.ca.gov/hq/bep/.
• Click on the link in the left menu titled Disadvantaged Business Enterprise
• Click on Search for a DBE Firm link
• Click on Access to the DBE Query Form located on the first line in the center of the
page
• Searches can be performed by one or more criteria
• Follow instructions on the screen
C. How to Obtain a List of Certified DBEs without Internet Access
D. DBE Directory: If you do not have Internet access, Caltrans also publishes a
directory of certified DBE firms extracted from the online database. A copy of the
directory of certified DBEs may be ordered at: (916) 263-0822 or by fax at: (916) 263-
0470. (http://caltrans-oi)ac.ca.gov/publicat.htm)
6. 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 DBE manufacturer, count 100 percent of
the cost of the materials or supplies. A DBE manufacturer is a firm that operates or
maintains a factory, or establishment that produces on the premises the materials,
supplies, articles, or 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 percent of
the cost of the 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 general 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
own 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 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 regular dealers' own distribution equipment shall be, by a long-term
lease agreement and not an ad hoc or Agreement-by-Agreement basis. Packagers,
brokers, manufacturers' representatives, or other persons who arrange or expedite
transactions are not UDBE regular dealers within the meaning of this section.
Notice to Proposers DBE Information, Exhibit 10-1
Page 3 of 4
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 for similar
services.
7. FOR DBE TRUCKING COMPANIES: CREDIT FOR DBEs WILL COUNT TOWARDS DBE CREDIT, AND 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 trucking
operation for which it is responsible on a particular Agreement, and there cannot be a
contrived 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 truck used on 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.
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 the 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 who 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 the 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
and control over the truck. This does not preclude the leased truck from working for
others during the term of the lease with the consent of the DBE, as long as the lease
gives the DBE absolute priority for use of the leased truck. Leased trucks must display
the name and identification number of the DBE.
Notice to Proposers DBE Information, Exhibit 10-1
Page 4 of 4
Local Assistance Procedures Manual EXHBIT 10-J
Standard Agreement for Subcontractor/DBE Participation
Exhibit 10-J Standard Agreement for Subcontractor/DBE Participation
1. Subcontractors
A. Nothing contained in this Agreement or otherwise, shall create any contractual relation between the
Agency and any subcontractors,and no subcontract shall relieve the Contractor of his/her responsibilities
and obligations hereunder.The Contractor agrees to be as fully responsible to the Agency for the acts and
omissions of its subcontractors and of persons either directly or indirectly employed by any of them as it
is for the acts and omissions of persons directly employed by the Contractor. The Contractor's obligation
to pay its subcontractors is an independent obligation 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 the
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 to
the Contractor by the Agency.
D. Any substitution of subcontractors must be approved in writing by the Agency's Contract Manager in
advance of assigning work to a substitute subcontractor.
2. Disadvantaged Business Enterprise(DBE)Participation
A. This Agreement is subject to 49 CFR,Part 26 entitled"Participation by Disadvantaged Business
Enterprises in Department of Transportation Financial Assistance Programs."Proposers who obtain DBE
participation on this contract will assist Caltrans in meeting its federally mandated statewide overall DBE
goal.
B. If the contract has an underutilized DBE(UDBE)goal,the Consultant must meet the UDBE goal by
committing UDBE participation or document a good faith effort to meet the goal. If a UDBE
subconsultant is unable to perform,the Consultant must make a good faith effort to replace him/her with
another UDBE subconsultant,if the goal is not otherwise met. 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.
C. DBEs and other small businesses,as defined in 49 CFR,Part 26 are encouraged to participate in the
performance of agreements financed in whole or in part with federal funds.The Consultant,sub-recipient
or subconsultant shall not discriminate on the basis of race, color,national origin,or sex in the
performance of this Agreement. The Consultant shall carry out applicable requirements of 49 CFR,Part
26 in the award and administration of US DOT- assisted agreements. Failure by the Consultant to cavy
out these requirements is a material breach of this Agreement,which may result in the termination of this
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 this
section.
Page 10-53
LPP 09-02 July 31,2009
EXHBIT 10-J Local Assistance Procedures Manual
Standard Agreement for Subcontractor/DBE Participation
3. Performance of DBE Consultant and other DBE Subconsultants/Suppliers
A. A DBE performs a commercially useful function when it is responsible for execution of the work of the
Agreement and is carrying out its responsibilities by actually performing,managing,and supervising the
work involved. To perform a commercially useful function,the DBE must also be responsible with
respect to materials and supplies used on the Agreement,for negotiating price,determining quality and
quantity,ordering the material,and installing(where applicable)and paying for the material itself. To
determine whether a DBE is performing a commercially useful function,evaluate the amount of work
subcontracted, industry practices; whether the amount the firm is to be paid under the Agreement is
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 participant
in a transaction, Agreement,or project through which funds are passed in order to obtain the appearance
of DBE participation. In determining whether a DBE is such an extra participant, examine similar
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 its
Agreement with its own work force,or the DBE subcontracts a greater portion of the work of the
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 Subcontractors
(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. Retainage
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 Section
7108.5 of the California Business and Professions Code. This requirement shall not be construed to limit
or impair any contractual, administrative,or judicial remedies,otherwise available to the prime consultant
or subconsultant in the event of a dispute involving late payment or nonpayment by the prime consultant
or deficient subconsultant performance,or noncompliance by a subconsultant. This provision applies to
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 retainage
held by the prime consultant or subconsultants from progress payments due subconsultants shall be
promptly paid in full to subconsultants within 30 days after the subconsultant's work is satisfactorily
completed. Federal law(49 CFR26.29)requires that any delay or postponement of payment over the 30
days may take place only for good cause and with the Agency's prior written approval. Any violation of
this provision shall subject the violating prime consultant or subconsultant to the penalties,sanctions and
other remedies specified in Section 7108.5 of the Business and Professions Code. These requirements
shall not be construed to limit or impair any contractual,administrative,or judicial remedies, otherwise
available to the prime consultant or subconsultant in the event of a dispute involving late payment or
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 LPP 09-02
Local Assistance Procedures Manual EXBBIT 10-J
Standard Agreement for Subcontractor/DBE Participation
C. The Agency shall hold retainage from the prime consultant and shall make prompt and regular incremental
acceptances of portions,as determined by the Agency,of the contract work,and pay retainage to the
prime contractor based on these acceptances. The prime consultant,or subconsultant,shall return all
monies withheld in retention from a subconsultant within 30 days after receiving payment for work
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 30
days may take place only for good cause and with the agency's prior written approval. Any violation of
this provision shall subject the violating prime consultant or subconsultant to the penalties,sanctions and
other remedies specified in Section 7108.5 of the Business and Professions Code.These requirements
shall not be construed to limit or impair any contractual,administrative,or judicial remedies,otherwise
available to the prime consultant or subconsultant in the event of a dispute involving late payment or
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 this
section.
5. DBE Records
A. The Consultant shall maintain records of materials purchased and/or supplied from all subcontracts
entered into with certified DBEs. The records shall show the name and business address of each DBE or
vendor and the total dollar amount actually paid each DBE or vendor,regardless of tier. The records shall
show the date of payment and the total dollar figure paid to all firms. DBE prime consultants shall also
show the date of work performed by their own forces along with the corresponding dollar value of the
work.
B. Upon completion of the Agreement,a summary of these records shall be prepared and submitted on the
form entitled, "Final Report-Utilization of Disadvantaged Business Enterprise(DBE),First-Tier
Subcontractors,"CEM-2402F(Exhibit 17-F, Chapter 17, of the LAPM), certified correct by the
Consultant or the Consultant's authorized representative and shall be furnished to the Contract Manager
with the final invoice. Failure to provide the summary of DBE payments with the final invoice will result
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 Disadvantaged
Business Enterprises(DBE), First-Tier Subcontractors" is submitted to the Contract Manager.
1) Prior to the fifteenth of each month,the Consultant 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 by
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 DBE
receives as a result of the lease arrangement.
2)The Consultant shall also submit to the Agency's Contract Manager documentation showing the truck
number,name of owner, California Highway Patrol CA number,and if applicable,the DBE
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)form
provided to the Consultant by the Agency's Contract Manager.
Page 10-55
LPP 09-02 July 31,2009
EXHBIT 10-J Local Assistance Procedures Manual
Standard Agreement for Subcontractor/DBE Participation
6. DBE Certification and Decertification Status
If a DBE subconsultant is decertified during the life of the Agreement,the decertified subconsultant shall
notify the Consultant in writing with the date of decertification. If a subconsultant becomes a certified DBE
during the life of the Agreement,the subconsultant shall notify the Consultant in writing with the date of
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 or
supplies will count toward the DBE participation. A DBE manufacturer is a firm that operates or
maintains a factory or establishment that produces on the premises the materials,supplies, articles,or
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 or
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 general
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 regular
dealer,the firm must be an established,regular business that engages,as its principal business and under its
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 regular
dealers' own distribution equipment, shall be by a long-term lease agreement and not an ad hoc or
Agreement-by-Agreement basis. Packagers,brokers, manufacturers' representatives,or other persons
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 for
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 for
which it is responsible.
B. The DBE must itself own and operate at least one fully licensed, insured,and operational truck used on
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 LPP 09-02
Local Assistance Procedures Manual EXHBIT 10-J
Standard Agreement for Subcontractor/DBE Participation
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 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.The DBE who 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. The DBE does not receive credit for the total value of the transportation services provided by
the lessee, since these services are not provided by the DBE.
F. For the purposes of this section, a lease must indicate that the DBE has exclusive use and control over the
truck.This does not preclude the leased truck from working for others during the term of the lease with the
consent of the DBE,as long as the lease gives the DBE absolute priority for use of the leased truck. Leased
trucks must display the name and identification number of the DBE.
Page 10-57
LPP 09-02 July 31,2009
Local Assistance Procedures Manual EXHIBIT 10-01
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 FORM
LOCAL AGENCY: LOCATION:
PROJECT DESCRIPTION:
PROPOSAL DATE:
PROPOSER'S NAME:
CONTRACT UDBE GOAL I%):
WORK DESCRIPTION OR SERVICES TO BE UDBE CERT NO. NAME OF EACH UDBE PERCENT
ITEM NO. S UBCONTRACTED(or contracted if AND EXPIRATION (Must be certified at the time PARTICIPATION
the Proposer is a UDBE) DATE proposals are due-include UDBE OF EACH UDBE
address and Phone number)
For Local Agency to Complete:
Local Agency Proposal Number: Total Claimed UDBE
Federal-Aid Project Number: Commitment %
Federal Share:
Proposal Date:
Signature of Proposer
Local Agency certifies that the UDBE certifications have been verified and all
information is complete and accumre/unless noted otherwise.
Date (Area Code)Tel.No.
Person to Contact (Please Type or Print)
Print Name Signature Date
Local Agene Representative
(Area Code)Telephone Number:
Local Agency Proposer UDBE Commitment(Consultant Contracts)
(Rev 6/77/09)
Distribution: (1)Original-Local agency files
Page10-73
LPP 09-02 July 31,2009
EXHIBIT 10-01 Local Assistance Procedures Manual
Local Agency Proposer UDBE Commitment(Consultant Contracts)
INSTRUCTIONS—LOCAL AGENCY PROPOSER UDBE COMMITMENT
(CONSULTANT CONTRACTS)
ALL PROPOSERS:
PLEASE NOTE: It is the proposer's responsibility to verify that the UDBE(s)falls into one of the
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 your
proposal. Failure to submit the required UDBE commitment will be grounds for finding the proposal
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,Project
Description, Proposal Date, Proposer's Name,and Contract UDBE Goal.
The form has a column for the Work Item Number and Description or Services to be subcontracted to UDBEs(or
performed if the proposer is a UDBE).The UDBE prime contractors shall indicate all work to be performed by
UDBEs including work to be performed by its own forces,if a UDBE. The UDBE shall provide a certification
number to the Consultant and notify the Consultant in writing with the date of decertification if their status should
change during the course of the contract. Enter UDBE prime consultant and subconsultant certification
numbers.The form has a column for the Names of certified UDBEs to perform the work(must be certified on the
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 Participation
percentage of items of work submitted with proposal pursuant to the Special Provisions. (If 100%of item is not to
be performed or furnished by the UDBE, describe exact portion of time to be performed or furnished by the
UDBE.) See"Notice to Proposers Disadvantaged Business Enterprise Information,"(Exhibit 10-1)to determine
how to count the participation of UDBE firms.Note: If the proposer has not met the contract goal,the local
agency must evaluate the proposer's good faith efforts to meet the goal in order to be considered for award of the
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 should complete the Proposal Number,Federal-
aid Project Number, Federal Share, and Proposal Date fields and verify that all information is complete and
accurate before filing.
Page 10-74
July 31,2009 LPP 09-02
Local Assistance Procedures Manual EXHIBIT 10-02
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:
PR03ECT DESCRIPTION:
TOTAL CONTRACT AMOUNT ($E
PROPOSER'S NAME.
WORK DESCRIPTION OR SERVICES TO BE DBE CERT NO. NAME OF EACH DBE DOLLAR AMOUN T OF
ITEM NO. SUBCONTRACTED(or contracted if AND EXPIRATION (Must be certified at the time EACH DBE
the proposer is a DBE) DATE proposals are due-include DRE
address and phone number)
For Local Agency to Complete:
Total Claimed DBE $
Local Agency Contract Number: Participation
Federal-Aid Project Number:
Federal Share:
Conover Award:
Local Agency certifies that the DBE certifications have been verified and all
informations is complete and accurate.
Signature of Proposer
Print Name Signature Date
Local Agency Representative Date (Area Code)Tel.No.
(Area Code)Telephone Number:
For Caltrans Review: Person to Contact (Please Type or Print)
Print Name Signature Date Local Agency Proposer DBE Information(Consultant Contents)
Caltrans District Local Assistance Engineer (Rev 6/27/09)
Distribution: (1)Copy-Fax or scan a copy in the Caltrans District Local Assistance Engineer(DLAE) 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 project.
(2) Original-Local agency files
Page 10-74a
LPP 09-02 July 31,2009
EXHIBIT 10-02 Local Assistance Procedures Manual
Local Agency Proposer DBE Information(Consultant Contracts)
INSTRUCTIONS -LOCAL AGENCY PROPOSER DBE INFORMATION
(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 a certification number to the prime
consultant. Enter DBE prime consultant's and subconsultant's certification number. The form has a column for
the Names of DBE certified contractors to perform the work(must be certified on or before the proposals are due
and include DBE address and phone number).
Enter the Total Claimed DBE Participation dollar amount of items of work in the total DBE Dollar Amount
column. (If 100%of item is not to be performed by the DBE,describe exact portion of time to be performed by
the DBE.) See"Notice to Proposers Disadvantaged Business Enterprise Information,"(Exhibit 10-I)to
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 phone
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, and
Contarct Award fields and verify that all information is complete and accurate before signing and sending a copy
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 the
information has been verified,the District Local Assistance Engineer signs and dates the form.
Page 10-74b
July 31,2000 LPP 09-02
Local Assistance Procedures Manual Exhibit 15-H
UDBE Information-Good Faith Effort
EXHIBIT 15-H UDBE INFORMATION—GOOD FAITH EFFORTS
UDBE INFORMATION - GOOD FAITH EFFORTS
Federal-aid Project No. Bid Opening Date
The (City/County of) established an Underutilized Disadvantaged Business Enterprise
(UDBE) goal of %for this project. The information provided herein shows that a good faith effort was
made.
Lowest,second lowest and third lowest bidders shall submit the following information to document adequate
good faith efforts. Bidders should submit the following information even if the "Local Agency Bidder UDBE
Commitment"form indicates that the bidder has met the UDBE goal. This will protect the bidder's eligibility for
award of the contract if the administering agency determines that the bidder failed to meet the goal for various
reasons, e.g.,a UDBE firm was not certified at bid opening,or the bidder made a mathematical error.
Submittal of only the"Local Agency Bidder UDBE Commitment" form may not provide sufficient
documentation to demonstrate that adequate good faith efforts were made.
The following items are listed in the Section entitled"Submission of UDBE Commitment"of the Special
Provisions:
A. The names and dates of each publication in which a request for UDBE participation for this
project was placed by the bidder(please attach copies of advertisements or proofs of
publication):
Publications Dates of Advertisement
B. The names and dates of written notices sent to certified UDBEs soliciting bids for this project
and the dates and methods used for following up initial solicitations to determine with certainty
whether the UDBEs were interested (please attach copies of solicitations, telephone records, fax
confirmations, etc.):
Names of UDBEs Solicited Date of Initial Follow Up Methods and Dates
Solicitation
Page 15-33
'LPP 09-02 July 31,2009
Exhibit 15-H Local Assistance Procedures Manual
UDBE Information-Good Faith Effort
C. The items of work which the bidder made available to UDBE firms including, where
appropriate, any breaking down of the contract work items (including those items normally
performed by the bidder with its own forces) into economically feasible units to facilitate UDBE
participation. It is the bidder's responsibility to demonstrate that sufficient work to facilitate
UDBE participation was made available to UDBE firms.
Items of Work Bidder Normally Breakdown of Amount Percentage
Performs Item Items M Of
(Y/N) Contract
D. The names, addresses and phone numbers of rejected UDBE frons, the reasons for the bidder's
rejection of the UDBEs, the firms selected for that work(please attach copies of quotes from the
firms involved), and the price difference for each UDBE if the selected firm is not a UDBE:
Names, addresses and phone numbers of rejected UDBEs and the reasons for the bidder's
rejection of the UDBEs:
Names, addresses and phone numbers of firms selected for the work above:
E. Efforts made to assist interested UDBEs in obtaining bonding, lines of credit or insurance, and
any technical assistance or information related to the plans, specifications and requirements for
the work which was provided to UDBEs:
Page 15-34
July 31,2009 LPP 09-02
Local Assistance Procedures Manual Exhibit 15-H
UDBE Information-Good Faith Effort
F. Efforts made to assist interested UDBEs in obtaining necessary equipment, supplies, materials or
related assistance or services, excluding supplies and equipment the UDBE subcontractor
purchases or leases from the prime contractor or its affiliate:
G. The names of agencies, organizations or groups contacted to provide assistance in contacting,
recruiting and using UDBE funis (please attach copies of requests to agencies and any responses
received, i.e., lists, Internet page download, etc.):
Name of Agency/Organization Method/Date of Contact Results
H. Any additional data to support a demonstration of good faith efforts (use additional sheets if
necessary):
NOTE: USE ADDITIONAL SHEETS OF PAPER IF NECESSARY.
Page 15-34a
LPP 09-02 July 31,2009
Local Assistance Procedures Manual EXHIBIT 10-P
Nonlobbying Certification for Federal-aid Contracts
Exhibit 10-P Nonlobbying Certification For Federal-Aid Contracts
The prospective participant certifies by signing and submitting this proposal/bid to the best of his or her
knowledge and belief that:
(1) No federal appropriated funds have been paid or will be paid,by or on behalf of the undersigned, to any
person for influencing or attempting to influence an officer or employee of any federal agency,a Member
of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection
with the awarding of any federal contract,the making of any federal grant,the making of any federal
loan, the entering into of any cooperative agreement, and the extension,continuation,renewal,
amendment,or modification of any federal contract, grant,loan,or cooperative agreement.
(2) If any funds other than federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any federal agency, a Member of
Congress,an officer or employee of Congress,or an employee of a Member of Congress in connection
with this federal contract, grant, loan,or cooperative agreement,the undersigned shall complete and
submit Standard Form-LLL, "Disclosure of Lobbying Activities," in accordance with its instructions.
This certification is a material representation of fact upon which reliance was placed when this transaction was
made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction
imposed by Section 1352,Title 31,U.S. Code. Any person who fails to file the required certification shall be
subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
The prospective participant also agrees by submitting his/her proposal/bid that he/she shall require that the
language of this certification be included in all lower-tier subcontracts which exceed $100,000 and that all such
sub-recipients shall certify and disclose accordingly.
Page 10-75
LPP 09-02 July 31,2009
Local Assistance Procedures Manual X119
Disclosure of Lobbying Activities
Exhibit 10-Q Disclosure of Lobbying Activities
DISCLOSURE OF LOBBYING ACTIVITIES
COMPLETE THIS FORM TO DISCLOSE LOBBYING ACTIVITIES PURSUANT TO 31 U.S.C. 1352
1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type:
❑ a. contract ❑ a. bid/offer/application ❑ a. initial
b. grant b. initial award b. material change
c. cooperative agreement c. post-award
d. loan For Material Change Only:
e. loan guarantee year_ quarter
f loan insurance date of last report
4. Name and Address of Reporting Entity 5. If Reporting Entity in No.4 is Subawardee,
Enter Name and Address of Prime:
Prime ❑ Subawardee
Tier ,if known
Congressional District,if known Congressional District,if known
6. Federal Department/Agency: 7. Federal Program Name/Description:
CFDA Number,if applicable
8. Federal Action Number,if known: 9. Award Amount,if known:
10. a. Name and Address of Lobby Entity b. Individuals Performing Services (including
(If individual,last name,first time,MI) address if different from No. 10a)
(last name,first name,Ml)
(attach Continuation Sheet(s)if necessary)
11. Amount of Payment(check all that apply) 13. Type of Payment(check all that apply)
S ❑ actual ❑planned a. retainer
b. one-time fee
12. Form of Payment(check all that apply): a commission
Ba. cash d. contingent fee
b. in-kind;specify:nature a deferred
Value f. other,specify
14. Brief Description of Services Performed or to be performed and Date(s)of Service,including
officer(s),employee(s),or member(s)contacted,for Payment Indicated in Item 11:
(attach Continuation Sheet(s)if necessary)
15. Condonation Sheets)attached: Yes ❑ No ❑
16. Information requested through this form is authorized by 7 isle
31 U.S.C.Section 1352. This disclosure of lobbying reliance Signature:
was placed by the tier above when his transaction was made or
entered into. This disclosure is required pursuant to 31 U.S.C. Print Name:
1352. This information will be reported to Congress
semiannually and will be available for public inspection. Any
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-LLL
Standard Form LLL Rev.N-28-01
Page 10-77
LPP 06-02 May 1,2006
EXHIBIT 10-Q Local Assistance Procedures Manual
Disclosure of Lobbying Activities
INSTRUCTIONS FOR COMPLETION OF SF-LLL,
DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by the reporting entity,whether subawardee or prime federal recipient at the initiation or receipt of
covered federal action or a material change to previous filing pursuant to title 31 U.S.C.Section 1352. The filing of a form is required for
such payment or agreement to make payment to lobbying entity for influencing or attempting to influence an officer or employee of any
agency,a Member of Congress an officer or employee of Congress or an employee of 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 apply
for both the initial filing and material change report. Refer to the implementing guidance published by the Office of Management and
Budget for additional information.
I. 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 occurred. Enter the date of the last,previously submitted
report by this reporting entity for this covered federal action.
4. Enter the full name,address,city,state and zip code of the reporting entity. Include Congressional District if known. Check the
appropriate classification of the reporting entity that designates if it is or expects 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 to
subcontracts,subgrants and contract awards under grants.
5. If the organization filing the report in Item 4. checks"Subawardee"then enter the full time,address,city,State and zip code of
the prime federal recipient. Include Congressional District,if known.
6. Enter the name of the federal agency making the award or loan commitment. Include at least one organization level below
agency name,if known. For example,Department of Transportation,United States Coast Guard.
7. Enter the federal program time or description for the covered federal action(item I). If known,enter the full Catalog of Federal
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 amount
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 10(a). Enter Last
Name,First Name and Middle Initial(MI).
11. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity(Item 4)to the lobbying entity
(Item 10). Indicate whether the payment has been made(actual)or will be made(planned). Check all boxes that apply. If this is
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 the
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 the
date(s)of any services rendered. Include all preparatory and related activity not just time spent in actual contact with federal
officials. Identify the federal officer(s)or employee(s)contacted or the officer(s)employee(s)or Member(s)of Congress that
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 reviewing
instruction,searching existing data sources,gathering and maintaining the data needed,and completing and reviewing the collection of
information. Send comments regarding the burden estimate or any other aspect of this collection of information,including suggestions for
reducing this burden,to the Office of Management and Budget,Paperwork Reduction Project(0348-0046),Washington,D.C.20503.
SF-1JJA.sbuc1ions Rev.06-04-90,,ENDIFa
Page 10-78
May 1,2006 LPP 06-02
Local Assistance Procedures Manual EXHIBIT 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 ENTERPRISES ADA Notice
(DBE), FIRST-TIER SUBCONTRACTORS
For intlividuals vnN sensory tlisabilities,this document is available in aNemale formats.For
information call(916)65 10 or TDD(916)650.3880 or write Records and Fortes
Management,1120 N Street,MS-89,Sacramento,CA 95814
CEM-2402F REV OV2008
CONTRACT NUMBER COUNTY ROUTE POST MILES FEDERAL AID PROJECT NO. ADMINISTERING AGENCY CONTRACT COMPLETION DATE
PRIME CONTRACTOR BUSINESS ADDRESS ESTIMATED CONTRACT AMOUNT
DESCRIPTION OF CONTRACT PAYMENTS
WORK PERFORMED COMPANY NAME AND DBE DATE WORK DATE OF
INQ NON-DBE DBE BA UDBE APA UDBE NAUDBE WUDBE AND MATERIAL BUSINESS ADDRESS NUMBER COMPLETE FINAL
PROVIDED PAYMENT
$ $ $ $ $ $
$ $ $ $ $ $
ORIGINAL COMMITMENT BA-Black Amencan
$ TOTAL $ $ I $ I $ I $ APA-Asian-Pacfic Islander
UDBE NA-Native American
W-Woman
usta0First-Tim Suhconeactors,Ns Managed Busimss Emerpnses(DBEs)aMun&milizMOBEs(UDBEs)mga Wssofbm,wheawrmmtuefirmswereoriginally NstMfmgoalcredit.
Xactual UDBEutilizaion(mhemofwork)wasdfferemg nthatapproved Mti dawardprovidecmmmemsmbeckollorm.Listatlualanwumpahltoeachentry.
I CERTIFY THAT THE ABOVE INFORMATION IS COMPLETE AND CORRECT
CONTRACTOR REPRESENTATIVE'S SIGNATURE BUSINESS PHONE NUMBER DATE
TO THE BEST OF MY INFORMATION AND BELIEF,THE ABOVE INFORMATION IS COMPLETE AND CORRECT
RESIDENT ENGINEER'S SIGNATURE BUSINESS PHONE NUMBER DATE
Copy Dismbutim-Ca@ans conoacta original-District Construction Copy-Business Enteryrise Program Copy.Connector Copy Resident Engineer
Copy GambunomLocel Agency cremes Original-District Local Assistance Engineer Copy-District Local Assistance Engineer Copy-Local Agency file
(submitted swN the Report of Eyentliturel
Page 17-21
LPP 09-02 July 31,2009
EXHIBIT 17-F Local Assistance Procedures Manual
Final Report-Utilization of Disadvantaged Business Enterprises(DBE),First-Tier Subcontractors
FINAL REPORT-UTILIZATION OF DISADVANTAGED BUSINESS
ENTERPRISES(DBE),FIRST-TIER SUBCONTRACTORS
CEM 2402(F)(Rev.02/2008)
The form requires specific information regarding the construction project: Contract Number, County,Route, Post
Miles,Federal-aid Project No.,the Administering Agency,the Contract Completion Date and the Estimated Contract
Amount. It requires the prime contractor name and business address. The focus of the form is to describe who did what
by contract item number and descriptions,asking for specific dollar values of item work completed broken down by
subcontractors who performed the work both DBE and non-DBE work forces. DBE prime contractors are required to
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 materials
provided,as well as a column for the subcontractor name and business 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 and
notify the contractor in writing with the date of the decertification if their status should change during the course of the
project.
The form has six columns for the dollar value to be entered for the item work performed by the subcontractor.
The Non-DBE column is used to enter the dollar value of work performed for firms who are not certified
DBE.
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 Program
by ethnicity, gender, ownership, and control issues at time of certification. To confirm the certification status
and program status,access the Department of Transportation Civil Rights web site at:
littp://www.dot.ca.eovihg/bep 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 used
If program status shows DBE only with no other programs listed DBE
If program status shows DBE Black American BA UDBE
If program status shows DBE,Asian-Pacific Islander APA UDBE
If program status shows DBE,Native American NA UDBE
If program status shows DBE Woman W UDBE
If a contractor performing work as a DBE on the project becomes decertified and still performs work after their
decertification date,enter the total dollar value performed by this contractor under the appropriate DBE identification
column.
If a contractor performing work as a non-DBE on the project becomes certified as a DBE, enter the dollar value of all
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 Form-CEM 2403(F).
Enter the Date Work Completed as well as the Date of Final Payment(the date when the prime contractor made the
"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 and
correct.
Page 17-22
July 31,2009 LPP 09-02