Document elcerrito_gov_doc_e0aa4d6a0e

CITY OF EL CERRITO CONTRACT DOCUMENTS FOR POTRERO AVENUE BETWEEN 55TH AND 56TH STREETS SAFETY IMPROVEMENTS City Project No. C-3045 Federal Project No. HSIP-5239 (013) PUBLIC WORKS DEPARTMENT 10890 San Pablo Avenue El Cerrito, California 94530 (510) 215-4382 Jerry Bradshaw, P. E. Public Works Director/City Engineer Mandatory Pre-Bid Conference: August 14, 2012, 2:00 PM Bid Opening: August 28, 2012 2:00 PM Contract Performance Time: 80 Working Days Liquidated Damages: $900 Per Calendar Day ---PAGE BREAK--- CITY OF EL CERRITO, PUBLIC WORKS DEPARTMENT TABLE OF CONTENTS FOR Potrero Avenue Intersection Safety Improvements Between 55th and 56th Streets City Project No. C-3045 Federal Project No. HSIP-5239 (013) NOTICE INVITING N-1 INSTRUCTIONS TO C-1 PAYMENT BOND (LABOR AND C-9 PERFORMANCE C-11 MAINTENANCE BOND C-13 CONTRACTOR’S AFFIDAVIT AND FINAL C-15 C-16 PROPOSAL BID SUBCONTRACTORS UDBE/DBE STATEMENT OF TECHNICAL ABILITY AND BIDDER’S STATEMENT OF PAST CONTRACTOR BID BOND NON-COLLUSION GENERAL SPECIFICATIONS SCOPE OF WORK LOCATION OF WORK TIME OF COMPLETION STANDARD SPECIFICATIONS WAGE RATES AND LABOR CODE SUBSTITUTION OF SPECIAL SECTION 1 – STANDARD SPECIFICATIONS SECTION 2 – 2-1.01 General SECTION 3 – AWARD AND EXECUTION OF 3-1.01 General 3-1.02 – Contract 3-1.03 – Submittal of DBE Information SECTION 4 – BEGINNING OF WORK, TIME OF COMPLETION AND LIQUIDATED DAMAGES 4-1.01 – Construction Schedule and Commencement of Work 4-1.02 – Time of Completion 4-1.03 – Liquidated 4-1.04 – Hours of SECTION 5 – ---PAGE BREAK--- 5-1.01 – 5-1.02 – Labor 5-1.03 Arbitration 5-1.04 – Notice of Potential 5-1.05 – Final Payment and 5-1.06 – Removal of Asbestos, Lead Paint and Hazardous Substances 5-1.07 – Lump 5-1.08 5-1.09 5-1.10 – Sound Control 5-1.11 – Contractor’s 5-1.12 – Special Payment SECTION 6 – FEDERAL 6-1 – Disadvantaged Business Enterprise (DBE) Contract 6-1.01 – Under-Utilized Disadvantaged Business Enterprises Goal for This Project 6-1.02 – Submittal of UDBE Compliance Documentation and Criteria for Award 6-1.03 – Participation Criteria and 6-1.04 – DBE Information Submittal 6-1.05 – DBE Certification 6-1.06 – Performance of DBE 6-1.07 – Subcontractor and DBE Records 6-2 –Subcontracting 6-3 –Prompt Progress Payment to 6-4 – Prompt Payment of Funds Withheld to Subcontractors 6-5 – Federal Lobbying 6-6 – Buy America Requirements 6-7 – (Not 6-8 – Federal Requirements and Required Contract Provisions for Federal Aid Construction Projects...........F-9 6-8.01 – Federal On-The-Job Additional Federal TECHNICAL TP-1 ---PAGE BREAK--- NOTICE INVITING BIDS N-1 CITY OF EL CERRITO, PUBLIC WORKS DEPARTMENT NOTICE INVITING BIDS FOR Potrero Avenue Intersection Safety Improvements Between 55th and 56th Streets City Project No. C-3045 Federal Project No. 5239 (013) 1. NOTICE IS HEREBY GIVEN that the City of El Cerrito, Contra Costa County, California, will receive sealed bids before 2:00 p.m., on Tuesday, August 28, 2012 in the Public Works Department: 10890 San Pablo Avenue, El Cerrito, California, 94530, at which time said bids will be publicly opened and read. 2. All of said work is to be performed in accordance with Plans and Specifications entitled Potrero Avenue Between 55th and 56th Streets Safety Improvements, City Project No. C-3045, Federal Project No. HSIP-5239 (013). 3. Paper copies of the Plans and Specifications can be obtained from Reprographics located at 4903 Central Avenue, Richmond, CA 94804 for a non-refundable cost of $50.00 per set. Shipping and handling charges are extra, depending on the delivery method. Electronic copies of the documents are also available for a non-refundable cost of $20.00 per set. Copies of the documents can be viewed and ordered at www.blueprintexpress.com/elcerrito. They can also be ordered by contacting Reprographics by phone at (510) 559-8299 or by email at [EMAIL REDACTED]. For any questions about the ordering or downloading process, please contact It is the responsibility of each prospective bidder to confirm his/her firm is on the planholders list held by to ensure receipt of any subsequent communications, such as Addenda. 4. The work to be done consists of furnishing all materials, equipment, tools, labor, and incidentals as required by the Plans, Specifications, and Contract Documents for the above stated project. The general items of work to be done hereunder consist of: Traffic signal upgrades, signing, striping, minor drainage, roadway paving, curb, gutter, sidewalk and pedestrian ramp construction. 5. The classification of Contractor’s license required in the performance of this Contract is Class A. 6. An Underutilized Disadvantaged Business Enterprise (UDBE) goal of 4% has been determined for this project. Bidder’s attention is directed to the Federal Provisions included in the Contract Documents for details pertaining to compliance with Disadvantaged Business Enterprise (DBE) program requirements for this project. 7. Pursuant to the provisions of Section 1773 of the Labor Code of the State of California, the City has obtained the general prevailing rate of per diem wages and the general prevailing rate for holiday and overtime work in this locality for each craft, classification or type of workman needed to execute the contract from the Director of the Department of Industrial Relations. These rates are available at the following website: http://www.dir.ca.gov/DLSR/PWD/index.htm and included in the Contract Documents. The Federal minimum wage rates for this project as predetermined by the United States Secretary of Labor. These rates are available at the following website: http://www.access.gpo.gov/davisbacon/davbacsearch.html. ---PAGE BREAK--- NOTICE INVITING BIDS N-2 If there is a difference between the minimum wage rates predetermined by the Secretary of Labor and the general prevailing wage rates determined by the Director of the California Department of Industrial Relations for similar classifications of labor, the Contractor and subcontractors shall pay not less than the higher wage rate. The Department will not accept lower State wage rates not specifically included in the Federal minimum wage determinations. This includes "helper" (or other classifications based on hours of experience) or any other classification not appearing in the Federal wage determinations. Where Federal wage determinations do not contain the State wage rate determination otherwise available for use by the Contractor and subcontractors, the Contractor and subcontractors shall pay not less than the Federal minimum wage rate which most closely approximates the duties of the employees in question. 8. The successful bidder shall be required to furnish a labor and materials bond and a faithful performance bond in the amount of one hundred percent (100%) of the amount of the Contract 9. Pursuant to Section 22300 of the Public Contract Code, the Contract will contain provisions permitting the successful bidder to substitute securities for any monies withheld by the City of El Cerrito to ensure performance under the Contract. 10. Each bidder must submit the following documents with its sealed bid: Pages P-1 through P-20. In addition, there are a number of forms/documents that must be submitted along with each bid, including but not limited to, forms/documents pertaining to Disadvantaged Business Enterprise Program requirements. The Bidder’s attention is directed to the Federal Provisions (pages F-1 through F-36) in the Contract Documents. 11. The Engineer’s estimate for construction of the base bid plus all bid additives is $507,000. 12. A Mandatory Pre-Bid Conference will be held at the City Hall, 10890 San Pablo Avenue, El Cerrito, CA 94530, at 2:00 p.m., on Tuesday, August 14, 2012. Bidder’s attendance will be determined by the Bidder’s representative’s signature on the City’s Pre-Bid Conference Sign-In Sheet. ONLY BIDDERS THAT ATTEND A MANDATORY PRE-BID CONFERENCE ARE QUALIFIED TO BID ON THIS PROJECT: DATED: Jerry Bradshaw, Public Works Director / City Engineer ---PAGE BREAK--- INSTRUCTIONS TO BIDDERS I-1 CITY OF EL CERRITO, PUBLIC WORKS DEPARTMENT INSTRUCTIONS TO BIDDERS FOR Potrero Avenue Between 55th and 56th Streets Safety Improvements City Project No. C-3045 Federal Project No. HSIP-5239 (013) 1. SECURING DOCUMENTS Plans, Specifications and Contract Documents will be available for purchase from Reprographics for the non-refundable cost of $50.00 per set. Copies of the documents can be viewed, ordered and downloaded at www.blueprintexpress.com/elcerrito. They can also be ordered by contacting Reprographics (4903 Central Avenue, Richmond, CA 94804) by phone at (510) 559-8299 or by email at [EMAIL REDACTED]. Additional charges will be added for mailing, if required, or express mailing can be provided using recipient’s service and account number. For any questions about downloading or ordering process, please contact It is the responsibility of each prospective bidder to confirm it is on the planholders list held by to ensure bidder receives any subsequent communications such as Addenda. 2. PROPOSAL To receive consideration, bids shall be made in accordance with the following instructions: A. Bids shall be made upon the proposal form contained herein. All items shall be properly filled in; numbers shall be stated both in writing and in figures. The signatures shall be original. Any alterations, interlineations, or erasures must be initialed. B. Bids shall be submitted only upon the items of bid stated in the specifications; bids upon other basis will not be considered. Bids that do not reference all addenda or that are not submitted on the prescribed forms may be rejected. C. The City reserves the right to accept bids on work and alternates listed in the bid form in sum total or individually or in any combination unless the bid form makes specific provision to the contrary. D. Unless called for, alternative bids will not be considered. E. Modification of bids already submitted will be considered only if received at the office designated in the invitation for bids by the time set for opening of bids. F. Pursuant to the provisions of Section 4100 through 4113 of the Public Contracts Code of the State of California, every bidder shall, in his bid, set forth: The Name and Location of the place of business of each subcontractor who will perform work or labor or render service to the bidder in or about the work in an amount in excess of one-half of one percent of the bidder’s total bid. The portion of the work that will be done by each such subcontractor. G. In the event that alternative bids are called for and bidder intends to use different or additional subcontractors on the alternative or alternatives, he shall fill out additional forms of the Subcontractors List and shall indicate on such forms whether they apply to the base or alternative ---PAGE BREAK--- INSTRUCTIONS TO BIDDERS I-2 bids. H. If the bidder fails to specify a subcontractor for any portion of the work to be performed under the Contract in excess of one-half of one percent of the bidder’s total bid or, in the case of bids for the construction of streets and highways, including bridges, in excess of one-half of one percent of the total bid, or $10,000, whichever is greater, he agrees to perform that portion himself. The successful bidder shall not, without the consent of the City, either: Substitute any person, firm, or corporation as subcontractor in place of the subcontractor designated in the original bid, or Permit any subcontract to be assigned or transferred or allow it to be performed by anyone other than the original subcontractor listed in the bid. I. Bids shall be accompanied by a certified or cashier’s check, or an acceptable bidder’s bond for an amount not less than ten percent (10%) of the bid, made payable to the order of the City of El Cerrito, California. Said check or bond shall be given as a guarantee that the bidder will timely enter into a Contract and provide all required insurance and bonds if awarded the work. In the case of refusal or failure to timely provide all required documents and enter into said Contract, the check or bond, as the case may be, shall be forfeited to the City of El Cerrito, California, as provided by law. J. Before submitting a bid, bidders shall carefully examine the Plans, Specifications, and the form of Contract, shall visit the site of work, and shall fully inform themselves as to all existing conditions and limitations, and shall include in the bid a sum to cover the cost of all items included in the Contract. K. Bidders shall give unit prices for each and all of the items set forth. No aggregate bids will be considered. The bidder shall set forth for each item of work, in clearly legible figures, a unit item price and a total for the item in the respective spaces provided for this purpose. The quantities listed in the Bid Sheets are supplied to give an indication of the general scope of work, but the accuracy of figures is not guaranteed and the bidder shall make its own estimates from the Plans and Specifications. In case of a variation between the unit price and the totals shown by the bidder, the unit price will be considered to be the bid price, and the bid total will be conformed accordingly. L. Bids, and modifications thereof, if any, shall be delivered to the office of the City Clerk, City of El Cerrito, County of Contra Costa, California, on or before the day and hour set for the opening of bids in the Notice Inviting Bids, enclosed in a sealed envelope, and bearing the Project No. and Title of the work and the name of the bidder. M. The contract may not be awarded to a Contractor who is ineligible pursuant to Section 1771.1 or 1777.7 of the Labor Code, nor may any subcontract be awarded to a subcontractor that who is ineligible pursuant to Section 1771.1 or 1777.7 of the Labor Code. 3. WITHDRAWAL OF BIDS Bids may be withdrawn by written request received from bidders prior to the time set for opening of bids. 4. INTERPRETATION OF PLANS AND SPECIFICATIONS Should a bidder find discrepancies in, or omissions from the Plans or Specifications, or should it be in doubt as to their meaning, it shall at once notify Yvetteh Ortiz at (510) 215-4382 or [EMAIL REDACTED]. ---PAGE BREAK--- INSTRUCTIONS TO BIDDERS I-3 Should it be found that the point in question is not clearly and fully set forth, a written Addendum will be sent to all persons receiving a set of documents. The City will not be responsible for or bound by any oral instructions or advice. 5. ADDENDA OR BULLETINS Any Addenda or information issued during the time of bidding, or forming a part of the documents loaned to the bidder for the preparation of his bid, shall be noted in the bid in the place provided and shall be made a part of the Contract. 6. OPENING OF BIDS Bids will be publicly opened and read, at the time and date set in the Notice Inviting Bids, in the City Clerk’s Office, City of El Cerrito. 7. AWARD OR REJECTION OF BIDS The City reserves the right to reject the bid of any or all bidders, and to waive any informality in the bids received. 8. CONTRACT BONDS 8.1 General. Before execution of the Contract by the City, the Contractor shall file with the Engineer surety bonds satisfactory to the City in the amounts and for the purposes noted below. The bonds shall be issued on the form provided by the City, copies of which are attached to these instructions. Bonds shall be duly executed by a responsible corporate surety, authorized to issue such bonds in the State of California and secured through an authorized agent with an office in California. The Contractor shall pay all bond premiums, costs, and incidentals. Each bond shall be signed by both the Contractor and surety, and the signature of the authorized agent of the surety shall be notarized. Surety companies shall familiarize themselves with all of the conditions and provisions of the Contract, and shall waive the right of special notification of change or modification of the Contract, or of any other act or acts by the City or its authorized agents under the terms of the Contract. Failure to notify the surety companies of change shall in no way relieve them of their obligations under the Contract. 8.1.2 Payment Bond. The Payment Bond (material and labor) shall be for not less than one hundred percent (100%) of the Contract price. The bond shall be maintained by the Contractor in full force and effect until the completed work is accepted by the City and until all claims for materials and labor are paid. 8.1.3 Faithful Performance Bond. The Faithful Performance Bond shall be for one hundred percent (100%) of the Contract price to guaranty faithful performance of all work, within the time prescribed in a manner satisfactory to the City, and that all materials and workmanship will be free from original or developed defects. 8.1.4 Maintenance Bond. The Maintenance Bond shall be for one hundred percent (100%) of the Contract price to guaranty faithful performance of its warranty, maintenance, repair and replacement obligations following completion of the work and its acceptance by the City. ---PAGE BREAK--- INSTRUCTIONS TO BIDDERS I-4 8.1.5 Bond Renewal and Extension. Should any bond become insufficient, the Contractor immediately shall replace the bond with a substitute upon request from the City, and the effective date of the bond shall be from the commencement of work on the project. Should any surety at any time be unsatisfactory to the City, notice will be given the Contractor to that effect. No further payment shall be deemed due or will be made under the Contract, until a new surety shall qualify and be accepted by the City. Changes in the Work or extensions of time made pursuant to the Contract shall in no way release the Contractor or surety from their obligations. Notice of such changes or extensions shall be waived by the surety. 9. SPECIAL NOTICE Bidders are required to inform themselves fully of the conditions relating to construction and labor under which the work will be performed, and the Contractor must employ, so far as possible, such methods and means in the carrying out of his work as will not cause any interruption or interference with any other Contractor. 10. BIDDERS INTERESTED IN MORE THAN ONE BID No person, firm, or corporation shall be allowed to make or file or be interested in more than one bid, as Prime Contractor for the same work. A person, firm, or corporation who has submitted a sub-proposal to a bidder, or who has quoted prices on materials to a bidder, is not hereby disqualified from submitting a sub- proposal or quoting prices to other bidders. 11. BIDS TO BE LEFT ON DEPOSIT Unless otherwise required by law, no bid, nor any part thereof, may be withdrawn by the bidder for a period of sixty (60) calendar days after the opening of the bids. 12. MANDATORY NON-COLLUSION AFFIDAVIT A. The City will, before any award of the Contract is made, require any bidder to whom it may make an award of the principal Contract, to execute a Non-Collusion Affidavit. B. The City may require that the principal Contractor shall, before awarding any subcontract, secure from the proposed subcontractor a Non-Collusion Affidavit. 13. CONTRACTOR’S LICENSE No bid may be considered from a Contractor who, at the time the contract is awarded, is not licensed to perform the project in accordance with Division 3, Chapter 9, of the Business and Professions Code of the State of California. In the event of a dispute as to the classification of license required, the decision of the Contractor’s State License Board shall prevail. The classification of Contractor’s license required in the performance of this Contract is a Class A. 14. INDEMNIFICATION AND INSURANCE Contractor shall agree to indemnify, hold harmless and defend City, their officials, officers, and employees, and volunteers from any and all liability or financial loss, including legal expenses and costs of expert witnesses and consultants, resulting from any suits, claims, losses or actions brought by any person or persons, by reasons of injury and arising directly or indirectly from the activities and operations of ---PAGE BREAK--- INSTRUCTIONS TO BIDDERS I-5 Contractor, including its officers, agents, employees, subcontractors or any person employed by Contractor, in the performance of this Agreement, by executing City’s standard Indemnification and Hold Harmless Agreement and Waiver of Subrogation and Contribution attached hereto as Exhibit Contractor shall agree that Contractor’s covenant under this section shall survive the termination of this Agreement. Contractor shall procure and maintain for the duration of the Contract insurance against claims for injuries to persons or damages to property that may arise from or in connection with the performance of the Project by the Contractor, his agents, representatives, employees, or subcontractors. The cost of such insurance shall be included in the Contractor’s bid. 15. PERMITS The Owner will obtain and pay for building, plumbing, electrical, encroachment, and other permits necessary for the construction of the work set forth, including, but not limited to Caltrans permits.. The Contractor shall obtain and pay for all licenses required the City including a City business license. There will be no fee for City issued encroachment permits. 16. PREVAILING WAGES The Contractor is hereby notified that this project is subject to Federal and/or State prevailing wage guidelines as referenced in the Wage Guideline sections of the Contract Specifications. Where both Federal and State Guidelines are listed, the greater of the two listed general prevailing wages shall apply. The prime Contractor and all subcontractors are required to pay their laborers and mechanics employed under this Contract, a wage not less than the wage applicable for their work classification, as specified in the wage guidelines contained in the specifications. 17. TIME LIMITS OF WORK The work to be performed shall be completed within 80 working days after execution of contract and Notice to Proceed has been issued. 18. GUARANTY All work shall be guaranteed for a period of one year from the date of acceptance by the City. The Contractor shall make all needed repairs arising out of defective materials, workmanship and equipment. The City is hereby authorized to make such repairs if within (10) days after giving written notice to the Contractor, or his agent, the Contractor should fail to make or undertake with due diligence the aforesaid repairs; provided, however, that in case of an emergency, where, in the opinion of the City, delay would cause serious loss or damage, repairs may be made without notice being sent to the Contractor, and the Contractor shall pay the costs thereof. The Contractor shall, upon completion of the Contract and prior to filing of the Notice of Completion, post a Maintenance Bond in the amount of ten percent (10%) of the Contract value. The Maintenance Bond shall remain in full force and effect through the guaranty period of one year. 19. EXECUTION OF CONTRACT The contract shall be signed by the successful bidder and returned, together with the contract bonds and insurance endorsements, within ten (10) calendar days after the bidder has received the contract documents. ---PAGE BREAK--- INSTRUCTIONS TO BIDDERS I-6 20. ASSIGNMENT The performance of the Contract may not be assigned, except upon the written consent of the City. Consent will not be given to any proposed assignment that would relieve the original Contractor or its surety of their responsibilities under the Contract, nor will the City consent to any assignment of a part of the work under the Contract. 21. CONTRACTORS INDEPENDENT INVESTIGATION No plea of ignorance of conditions that exist or that may hereafter exist or of conditions of difficulties that may be encountered in the execution of work under this Contract, as a result of failure on initial investigations or reports prepared by City for purposes of letting this Contract out to bid will be accepted as an excuse for any failure or omission on the part of the Contractor to fulfill in every detail all requirements of this Contract. Nor will such reasons be accepted as a basis for any claims whatsoever for extra compensation or for an extension of time. 22. SIGNATURE OF CONTRACTOR Corporations: The signature must contain the name of the corporation, must be signed by the President and Secretary or Assistant Secretary, and the corporate seal must be affixed. Other persons may sign for the corporation in lieu of the above if a certified copy of a resolution of the corporate board of directors so authorizing them to do so is on file in the City Clerk’s office. Partnerships: The names of all persons comprising the partnership or co-partnership must be stated. The bid must be signed by all partners comprising the partnership unless proof in the form of a certified copy of a certificate of partnership acknowledging the signer to be a general partner is presented to the City Clerk, in which case the general partner may sign. Joint Ventures: Bids submitted as joint ventures must so state and be signed by each joint venture. Individuals: Bids submitted by individuals must be signed by the bidder, unless an up-to-date power of attorney is on file in the City Clerk’s office, in which case said person may sign for the individual. The above rules also apply in the case of the use of a fictitious firm name. In addition, however, where the fictitious name is used, it must be so indicated in the signature. 23. CONDITIONAL CONTRACT AWARD Notwithstanding any action by the City Council of El Cerrito to award a contract to a bidder, all contract awards are expressly conditioned on the timely provision of all required documents, including the executed Contract, to the City. The provision of all such documents is a condition precedent to the effectiveness of any contract award. Failure to provide any of the required documents may result in forfeiture of the bidders bid security as provided by law. END OF INSTRUCTIONS TO BIDDERS ---PAGE BREAK--- CONTRACT C-1 CITY OF EL CERRITO, PUBLIC WORKS DEPARTMENT CONTRACT FOR Potrero Avenue Between 55th and 56th Streets Safety Improvements City Project No. C-3045 Federal Project No. HSIP-5239 (013) THIS CONTRACT, made and entered into the day of by and between the City of El Cerrito, hereinafter referred to as “CITY”, and hereinafter referred to as “CONTRACTOR”. WITNESSETH: That CITY and CONTRACTOR, for the consideration hereinafter named, mutually agree as follows: 1. CONTRACT DOCUMENTS. The complete Contract includes all of the Contract Documents, to wit: Notice Inviting Bids, Instructions to Bidders, Proposal, Performance Bond, Labor and Materials Bond, Plans and Specifications entitled Potrero Avenue Between 55th and 56th Streets Safety Improvements, City Project No. C-3045, Federal Project No. HSIP-5239 (013), Insurance Forms, this Contract, and all modifications and amendments thereto, and the State Standard Specifications dated 2010, of the California Department of Transportation (“State Standard Specifications”), and the Standard Specifications for Public Works Construction, 2003 edition, including all supplements as written and promulgated by the Joint Cooperative Committee of the Southern California Chapter of the American Public Works Association and the Southern California District of the Associated General Contractors of California (“Standard Specifications”), which collectively constitute the Special Provisions, and Technical Specifications for Potrero Avenue Intersection Safety Improvements Between 55th and 56th Streets, City Project No. C-3045, Federal Project No. 5239 (013). Copies of the State Standard Specifications and Standard Specifications are available from the publisher: Department of Transportation Building News, Incorporated 1900 Royal Oaks Drive 1612 South Clementine St. Sacramento CA 95819 Anaheim, Ca 92802 Telephone (916) 445-3520 Telephone (714) 517-0970 The State Standard Specifications and the Standard Specifications will control the general provisions, construction materials, and construction methods for this Contract except as amended by the Plans and Specifications of this Contract. In case of conflict between the State Standard Specifications, the Standard Specifications for Public Works Construction, and the other Contract Documents, the following order of precedence will be followed: A. Contract Documents B. Plans and Specifications C. State Standard Specifications D. Standard Specifications for Public Works Construction The provisions of Part 1 of the Standard Specifications for Public Works Construction (General Provisions) will not be utilized unless no provision of the Contract Documents or the State Standard Specifications is otherwise applicable. ---PAGE BREAK--- CONTRACT C-2 Where the Plans or Specifications describe portions of the work in general terms, but not in complete detail, it is understood that the item is to be furnished and installed completed and in place and that only the best general practice is to be used. Unless otherwise specified, the CONTRACTOR shall furnish all labor, materials, tools, equipment, and incidentals, and do all the work involved in executing the Contract. The Contract Documents are complementary, and what is called for by anyone shall be as binding as if called for by all. Any conflict between this Contract and any other Contract Document shall be resolved in favor of this Contract. 2. SCOPE OF WORK. CONTRACTOR shall perform everything required to be performed, shall provide and furnish all the labor, materials, necessary tools, expendable equipment, and all utility and transportation services required for the following: Potrero Avenue Between 55th and 56th Streets Safety Improvements City Project No. C-3045 Federal Project No. HSIP-5239 (013) All of said work to be performed and materials to be furnished shall be in strict accordance with the Drawings and Specifications and the provisions of the Contract Documents hereinabove enumerated and adopted by CITY. 3. CITY APPROVAL. All labor, materials, tools, equipment, and services shall be furnished and work performed and completed under the direction and supervision and subject to the approval of CITY or its authorized representatives. 4. CONTRACT AMOUNT AND SCHEDULE. CITY agrees to pay and CONTRACTOR agrees to accept in full payment for the work above-agreed to be done, the sum of: the total amount of the bid. CONTRACTOR agrees to complete the work in a period not to exceed 80 working days per Section 6-7.2 of the Standard Specifications, commencing with delivery of Notice to Proceed by CITY. Construction shall not commence until bonds and insurance are approved by CITY. 5. CHANGE ORDERS. All change orders shall be approved by the City Council, except that the City Manager is hereby authorized by the City Council to make, by written order, changes or additions to the work in a cumulative amount not to exceed $10,000, or ten percent (10%) of the contract award whichever is greater. 6. PAYMENTS. On or about the thirtieth (30th) day of the month next following the commencement of the work, there shall be paid to the CONTRACTOR a sum equal to ninety-five percent (95%) of the value of the work completed since the commencement of the work. Thereafter, on or about the thirtieth (30th) day of each successive month as the work progresses, the CONTRACTOR shall be paid such sum as will bring the payments each month up to ninety-five percent (95%) of the previous payments, provided that the CONTRACTOR submits his request for payment prior to the last day of each preceding month. Subject to Section 7107 of the Public Contracts Code, the final payment, if unencumbered, or any part thereof unencumbered, shall be made sixty (60) days after completion of the work as defined by Section 7107 (c)(1)of the Public Contracts Code, and the CONTRACTOR filing a one-year warranty with the CITY on a warranty form provided by the CITY. Payments shall be made on demands drawn in the manner required by law, accompanied by a certificate signed by the City Manager, stating that the work for which payment is demanded has been performed in accordance with the terms of the Contract, and that the amount stated in the certificate is due under the terms of the Contract. Partial payments on the Contract price shall not be ---PAGE BREAK--- CONTRACT C-3 considered as an acceptance of any part of the work. 7. LIQUIDATED DAMAGES; EXTENSION OF TIME. In accordance with Government Code Section 53069.85, CONTRACTOR agrees to forfeit and pay to CITY the sum of $900 per day for each calendar day completion is delayed beyond the time allowed pursuant to Paragraph 4 of this Contract. Such sum shall be deducted from any payments due to or to become due to CONTRACTOR. Such sum shall be deducted from any payments due to or to become due to CONTRACTOR. CONTRACTOR will be granted an extension of time and will not be assessed liquidated damages for unforeseeable delays beyond the control of and without the fault or negligence of the CONTRACTOR including delays caused by CITY. CONTRACTOR is required to notify CITY of any such delay. 8. WAIVER OF CLAIMS. Unless a shorter time is specified elsewhere in this Contract, on or before making final request for payment under Paragraph 6 above, CONTRACTOR shall submit to CITY, in writing, all claims for compensation under or arising out of this Contract; the acceptance by CONTRACTOR of the final payment shall constitute a waiver of all claims against CITY under or arising out of this Contract except those previously made in writing and request for payment. CONTRACTOR shall be required to execute an affidavit, release and indemnify agreement with each claim for payment. 9. PREVAILING WAGES. This project is subject to Federal and/or State prevailing wage guidelines as referenced in the Special Provisions. Where both Federal and State Guidelines are listed, the greater of the two listed general prevailing wages shall apply. The prime Contractor and all subcontractors are required to pay their laborers and mechanics employed under this Contract, a wage not less than the wage applicable for their work classification, as specified in the wage guidelines contained in the specifications. Pursuant to the provisions of Section 1773 of the Labor Code of the State of California, the City Council has obtained the general prevailing rate of per diem wages and the general rate for holiday and overtime work in this locality for each craft, classification, or type of workman needed to execute this Contract, from the Director of the Department of Industrial Relations. Copies of such prevailing rate of per diem wages can be found at the following website: http://www.dir.ca.gov/DLSR/PWD/index.htm. CONTRACTOR shall post a copy of such wage rates at the job site and shall pay the adopted prevailing wage rates as a minimum. CONTRACTOR shall comply with the provisions of Sections 1773.8, 1775, 1776, 1777.5, 1777.6, and 1813 of the Labor Code. The Contractor certifies that it is aware of and hereby agrees to fully comply with the following provisions of California law: A. Contractor acknowledges that this contract is subject to the provisions of Division 2, Part 7, Chapter 1 (commencing with Section 1720) of the California Labor Code relating to public works and the awarding public agency (“Agency”) and agrees to be bound by all the provisions thereof as though set forth in full herein. B. Contractor agrees to comply with the provisions of California Labor Code Section 1773.8 which requires the payment of travel and subsistence payments to each worker needed to execute the work to the extent required by law. C. Contractor agrees to comply with the provisions of California Labor Code Sections 1774 and 1775 concerning the payment of prevailing rates of wages to workers and the penalties for failure to pay prevailing wages. The Contractor shall, as a penalty to the Agency, forfeit not more than fifty dollars ($50) for each calendar day, or portion thereof, for each worker paid less than the prevailing rates as determined by the Director of Industrial ---PAGE BREAK--- CONTRACT C-4 Relations for the work or craft in which the worker is employed for any public work done under the contract by Contractor or by any subcontractor. D. Contractor agrees to comply with the provisions of California Labor Code Section 1776 which require Contractor and each subcontractor to keep accurate payroll records, certify and make such payroll records available for inspection as provided by Section1776, and inform the Agency of the location of the records. The Contractor is responsible for compliance with Section 1776 by itself and all of its subcontractors. E. Contractor agrees to comply with the provisions of California Labor Code Section 1777.5 concerning the employment of apprentices on public works projects, and further agrees that Contractor is responsible for compliance with Section 1777.5 by itself and all of its subcontractors. F. Contractor agrees to comply with the provisions of California Labor Code Section 1810 which provides that eight hours labor constitutes a legal day’s work. in all cases where the same is performed under the authority of any municipal corporation, or of any officer thereof. G. Contractor agrees to comply with the provisions of California Labor Code Section 1813 concerning penalties for workers who work excess hours. The Contractor shall, as a penalty to the Agency, forfeit twenty-five dollars ($25) for each worker employed in the execution of the contract by the Contractor or by any subcontractor for each calendar day during which such worker is required or permitted to work more than 8 hours in any one calendar day and 40 hours in any one calendar week in violation of the provisions of Division 2, Part 7, Chapter 1, Article 3 of the California Labor Code. 10. WORKERS’ COMPENSATION LIABILITY INSURANCE. California Labor Code Sections 1860 and 3700 provide that every contractor will be required to secure the payment of compensation to its employees. In accordance with the provisions of California Labor Code Section 1861, Contractor hereby certifies as follows: “I am aware of the provisions of Section 3700 of the Labor Code which require every employer to be insured against liability for worker’s compensation or to undertake self- insurance in accordance with the provisions of that code, and I will comply with such provisions before commencing the performance of the work of this contract.” 11. TIME OF THE ESSENCE. Time is of the essence in this Contract. 12. INDEMNIFICATION. Contractor agrees to indemnify, hold harmless and defend City, its officials, officers, and employees, and volunteers from any and all liability or financial loss, including legal expenses and costs of expert witnesses and consultants, resulting from any suits, claims, losses or actions brought by any person or persons, by reasons of injury and arising directly or indirectly from the activities and operations of Contractor, including its officers, agents, employees, subcontractors or any person employed by Contractor, in the performance of this Agreement, by executing City’s standard Indemnification and Hold Harmless Agreement and Waiver of Subrogation and Contribution attached hereto as Exhibit Contractor agrees that Contractor’s covenant under this section shall survive the termination of this Agreement.’ 13. INSURANCE. CONTRACTOR shall procure and maintain for the duration of the Contract, insurance against claims for injuries to persons or damages to property that may arise from or in connection ---PAGE BREAK--- CONTRACT C-5 with the performance of the Project by CONTRACTOR, its agents, representatives, employees, or subcontractors. CONTRACTOR’s insurance shall at all times conform to the following standards: A. CONTRACTOR’s insurance coverage shall be at least as broad as: Insurance Services Office Commercial General Liability coverage (occurrence form CG 0001). Insurance Services Office form number CA 0001 (Ed. 1/87) covering Automobile Liability, code 1 (any auto). Workers' Compensation insurance as required by the State of California and Employer's Liability Insurance. B. CONTRACTOR’s minimum limits of insurance shall be no less than: General Liability: $1,000,000 per occurrence for bodily injury, personal injury, and property damage. If Commercial General Liability Insurance or other form with a general aggregate limit is used, either the general aggregate limit shall apply separately to this project or the general aggregate limit shall be twice the required occurrence limit. Automobile Liability: $1,000,000 per accident for bodily injury and property damage. Employer's Liability: $1,000,000 per accident for bodily injury or disease. C. Deductibles and Self-Insured Retentions: Any deductible or self-insured retention must be declared to and approved by CITY. D. CONTRACTOR’s general liability and automobile liability policies are to contain, or be endorsed to contain, the following provisions: The City of El Cerrito, its elected or appointed officers, officials, employees, and volunteers (including independent contractors who serve CITY as officers, officials, or staff) are covered as additional insureds with respect to liability arising out of automobiles owned, leased, hired, or borrowed by or on behalf of CONTRACTOR; and with respect to liability arising out of work or operations performed by or on behalf of CONTRACTOR. For any claims related to this project, CONTRACTOR's insurance coverage shall be primary insurance as respects CITY, its elected or appointed officers, officials, employees, and volunteers (including independent contractors who serve CITY as officers, officials, or staff). Any insurance or self-insurance maintained by CITY, its elected or appointed officers, officials, employees, and volunteers (including independent contractors who serve CITY as officers, officials, or staff) shall be excess of CONTRACTOR's insurance and shall not contribute to it. The insurance provided by this policy shall not be reduced in coverage or limits, cancelled, or not renewed except after thirty (30) days written notice has been provided to CITY by mail, return receipt requested. CONTRACTOR shall notify CITY thirty (30) days in advance of any anticipated change in the insurance. E. Acceptability of Insurers: Insurance is to be placed with insurers with a current Best's rating of A:VII or better at time the Agreement is executed. F. Verification of Coverage: CONTRACTOR shall furnish CITY with original certificates and ---PAGE BREAK--- CONTRACT C-6 amendatory endorsements effecting coverage required by this clause. The endorsements should be on forms provided by CITY in connection with this Contract. All certificates and endorsements are to be received and approved by CITY before work commences. 14. CONTRACTOR’S INDEPENDENT INVESTIGATION. No plea of ignorance of conditions that exist or that may hereafter exist or of conditions of difficulties that may be encountered in the execution of the work under this Contract, as a result of failure to make the necessary independent examinations and investigations, and no plea of reliance on initial investigations or reports prepared by CITY for purposes of letting this Contract out to bid will be accepted as an excuse for any failure or omission on the part of the CONTRACTOR to fulfill in every detail all requirements of this Contract. Nor will such reasons be accepted as a basis for any claims whatsoever for extra compensation or for an extension of time. 15. GRATUITIES. CONTRACTOR warrants that neither it nor any of its employees, agents, or representatives has offered or given any gratuities or promises to CITY’s employees, agents, or representatives with a view toward securing this Contract or securing favorable treatment with respect thereto. 16. CONFLICT OF INTEREST. CONTRACTOR warrants that he has no blood or marriage relationship, and that he is not in any way associated with any City officer or employee, or any architect, engineer, or other provider of the Drawings and Specifications for this project. CONTRACTOR further warrants that no person in its employ has been employed by the CITY within one year of the date of the Notice Inviting Bids. 17. CONTRACTOR’S AFFIDAVIT. After the completion of the work contemplated by this Contract, CONTRACTOR shall file with the City Manager his affidavit stating that all workmen and persons employed, all firms supplying materials, and all subcontractors upon the Project have been paid in full, and that there are no claims outstanding against the Project for either labor or materials, except certain items, if any, to be set forth in an affidavit covering disputed claims or items in connection with a Stop Notice which has been filed under the provisions of the laws of the State of California. 18. SUBSTITUTED SECURITY. In accordance with Section 22300 of the Public Contracts Code, CONTRACTOR may, at its expense, substitute securities for any monies withheld by the CITY to ensure performance under the Contract.’ The type of securities deposited and the method of release shall be approved by the City Attorney’s office. 19. RESOLUTION OF CLAIMS. Any dispute or claim arising out of this Contract shall be arbitrated pursuant to Section 10240 of the California Public Contracts Code. 20. NOTICE TO CITY OF LABOR DISPUTES. Whenever CONTRACTOR has knowledge that any actual or potential labor dispute is delaying or threatens to delay the timely performance of the Contract, CONTRACTOR shall immediately give notice thereof, including all relevant information with respect thereto, to CITY. 21. BOOKS AND RECORDS. CONTRACTOR’s books, records, and plans or such part thereof as may be engaged in the performance of this Contract, shall at all reasonable times be subject to inspection and audit by any authorized representative of the CITY. 22. UTILITY LOCATION. CITY acknowledges its responsibilities with respect to locating utility facilities pursuant to California Government Code Section 4215. 23. REGIONAL NOTIFICATION CENTERS. CONTRACTOR agrees to contact the appropriate ---PAGE BREAK--- CONTRACT C-7 regional notification center in accordance with Government Code Section 4216.2. 24. TRENCH PROTECTION AND EXCAVATION. CONTRACTOR shall submit its detailed plan for worker protection during the excavation of trenches required by the scope of the work in accordance with Labor Code Section 6705. A. CONTRACTOR shall, without disturbing the condition, notify CITY in writing as soon as CONTRACTOR, or any of CONTRACTOR’s subcontractors, agents, or employees have knowledge and reporting is possible, of the discovery of any of the following conditions: The presence of any material that the CONTRACTOR believes is hazardous waste, as defined in Section 25117 of the Health and Safety Code, that is required to be removed to a Class I, Class II, or Class III disposal site in accordance with provisions of existing law; Subsurface or latent physical conditions at the site differing from those indicated in the specifications; or Unknown physical conditions at the site of any unusual nature, different materially for those ordinarily encountered and generally recognized as inherent in work of the character provided for in this Contract. B. Pending a determination by the CITY of appropriate action to be taken, CONTRACTOR shall provide security measures fences) adequate to prevent the hazardous waste or physical conditions from causing bodily injury to any person. C. CITY shall investigate the reported conditions. If CITY, through, and in the exercise of its sole discretion, determines that the conditions do materially differ, or do involve hazardous waste, and will cause a decrease or increase in the CONTRACTOR’s cost of, or time required for, performance of any part of the work, then CITY shall issue a change order under the procedures described in this Contract. D. In the event of a dispute between CITY and CONTRACTOR as to whether the conditions materially differ, or involve hazardous waste, or cause a decrease or increase in the CONTRACTOR’s cost of, or time required for, performance of any part of the work, CONTRACTOR shall not be excused from any scheduled completion date, and shall proceed with all work to be performed under the contract. CONTRACTOR shall retain any and all rights that pertain to the resolution of disputes and protests between the parties. 25. INSPECTION. The work shall be subject to inspection and testing by CITY and its authorized representatives during manufacture and construction and all other times and places, including without limitation, the plans of CONTRACTOR and any of its suppliers. CONTRACTOR shall provide all reasonable facilities and assistance for the safety and convenience of inspectors. All inspections and tests shall be performed in such manner as to not unduly delay the work. The work shall be subject to final inspection and acceptance notwithstanding any payments or other prior inspections. Such final inspection shall be made within a reasonable time after completion of the work. 26. DISCRIMINATION. CONTRACTOR represents that it has not, and agrees that it will not, discriminate in its employment practices on the basis of race, creed, religion, national origin, color, sex, age, or handicap. 27. GOVERNING LAW. This Contract and any dispute arising hereunder shall be governed by the law of the State of California. ---PAGE BREAK--- CONTRACT C-8 28. WRITTEN NOTICE. Any written notice required to be given in any part of the Contract Documents shall be performed by depositing the same in the U.S. Mail, postage prepaid, directed to the address of the CONTRACTOR as set forth in the Contract Documents, and to the CITY addressed as follows: City Engineer (Contractor’s Info Here) City of El Cerrito 10890 San Pablo Avenue El Cerrito, CA 94530 29. TERMINATION. This Contract is subject to termination as provided in Section 8-1.11 of the State Standard Specifications. IN WITNESS WHEREOF, the parties hereto have caused this Contract to be executed on the date first above written. DATED: CONTRACTOR By: Print or type NAME Print or type TITLE DATED: CITY OF EL CERRITO A Municipal Corporation By: Scott Hanin, City Manager Cheryl Morse, City Clerk ---PAGE BREAK--- BONDS C-9 Bond No. PAYMENT BOND (LABOR AND MATERIALS) KNOW ALL PERSONS BY THESE PRESENTS that: WHEREAS the City of El Cerrito (“El Cerrito”) has awarded to (Name, address, and telephone number of Contractor) (“Principal”), a contract (the “Contract”) for the work described as follows: Potrero Avenue Between 55th and 56th Streets Safety Improvements City Project No. C-3045 Federal Project No. HSIP-5239 (013) WHEREAS, Principal is required under the terms of the Contract and the California Civil Code to secure the payment of claims of laborers, mechanics, materialmen, and other persons as provided by law. NOW, THEREFORE, we, the undersigned Principal, and (Name, address, and telephone number of Surety) (“Surety”) a duly admitted surety insurer under the laws of the State of California, as Surety, are held and firmly bound unto El Cerrito in the penal sum of Dollars this amount being not less than one hundred percent (100%) of the total contract price, in lawful money of the United States of America, for the payment of which sum well and truly to be made, we bind ourselves, our heirs, executors, administrators, successors, and assigns, jointly and severally, firmly by these presents. THE CONDITION OF THIS OBLIGATION IS SUCH THAT, if the hereby bounded Principal, his, her or its heirs, executors, administrators, successors or assigns, or subcontractors shall fail to pay any of the persons named in Section 3181 of the California Civil Code, or any amounts due under the Unemployment Insurance Code with respect to work or labor performed under the Contract, or for any amounts required to be deducted, withheld, and paid over to the Employment Development Department from the wages of employees of the Principal and subcontractors pursuant to Section 13020 of the Unemployment Insurance Code, with respect to work or labor performed under the Contract, the Surety will pay for the same in an amount not exceeding the penal sum specified in this bond; otherwise, this ---PAGE BREAK--- BONDS C-10 obligation shall become null and void. This bond shall inure to the benefit of any of the persons named in Section 3181 of the California Civil Code so as to give a right of action to such persons or their assigns in any suit brought upon the bond. In case suit is brought upon this bond, Surety further agrees to pay all court costs and reasonable attorneys’ fees in an amount fixed by the court. FURTHER, the Surety, for value received, hereby stipulates and agrees that no change, extension of time, alteration, addition or modification to the terms of the Contract, or of the work to be performed thereunder, or the specifications for the same, shall in any way affect its obligations under this bond, and it does hereby waive notice of any such change, extension of time, alteration, addition, or modification to the terms of the Contract or to the work or to the specifications thereunder. Surety hereby waives the provisions of California Civil Code 2845 and 2849. IN WITNESS WHEREOF, two identical counterparts of this instrument, each of which shall for all purposes be deemed an original hereof, have been duly executed by Principal and Surety, on the date set forth below, the name of each corporate party being hereto affixed and these presents duly signed by its undersigned representative(s) pursuant to authority of its governing body. Dated: “Principal” By: Its By: Its (Seal) “Surety” By: Its By: Its (Seal) Note: This bond must be executed in duplicate and dated, the surety’s signature must be notarized, and evidence of the authority of any person signing as attorney-in-fact must be attached. ---PAGE BREAK--- BONDS C-11 Bond No. PERFORMANCE BOND KNOW ALL PERSONS BY THESE PRESENTS that: WHEREAS the City of El Cerrito (“El Cerrito”) has awarded to (Name, address, and telephone number of Contractor) (“Principal”), a contract (the “Contract”) for the work described as follows: Potrero Avenue Between 55th and 56th Streets Safety Improvements City Project No. C-3045 Federal Project No. HSIP-5239 (013) WHEREAS, Principal is required under the terms of the Contract to furnish a bond for the faithful performance of the Contract. NOW, THEREFORE, we, the undersigned Principal, and (Name, address, and telephone number of Surety) (“Surety”) a duly admitted surety insurer under the laws of the State of California, as Surety, are held and firmly bound unto El Cerrito in the penal sum of Dollars this amount being not less than the total contract price, in lawful money of the United States of America, for the payment of which sum well and truly to be made, we bind ourselves, our heirs, executors, administrators, successors, and assigns, jointly and severally, firmly by these presents. THE CONDITION OF THIS OBLIGATION IS SUCH THAT, if the hereby bounded Principal, his, her or its heirs, executors, administrators, successors or assigns, shall in all things stand to and abide by, and well and truly keep and perform all the undertakings, terms, covenants, conditions and agreements in the Contract and any alteration thereof made as therein provided, on the Principal’s part to be kept and performed, all within the time and in the manner therein specified, and in all respects according to their true intent and meaning, and shall indemnify and hold harmless El Cerrito and its officers, agents, and others as therein provided, then this obligation shall become null and void; otherwise, it shall be and remain in full force and effect. ---PAGE BREAK--- BONDS C-12 In case suit is brought upon this bond, Surety further agrees to pay all court costs and reasonable attorneys’ fees in an amount fixed by the court. FURTHER, the Surety, for value received, hereby stipulates and agrees that no change, extension of time, alteration, addition or modification to the terms of the Contract, or of the work to be performed thereunder, or the specifications for the same, shall in any way affect its obligations under this bond, and it does hereby waive notice of any such change, extension of time, alteration, addition, or modification to the terms of the Contract or to the work or to the specifications thereunder. Surety hereby waives the provisions of California Civil Code 2845 and 2849. El Cerrito is the principal beneficiaries of this bond and has all rights of a party thereto. IN WITNESS WHEREOF, two identical counterparts of this instrument, each of which shall for all purposes be deemed an original hereof, have been duly executed by Principal and Surety, on the date set forth below, the name of each corporate party being hereto affixed and these presents duly signed by its undersigned representative(s) pursuant to authority of its governing body. Dated: “Principal” By: Its By: Its (Seal) “Surety” By: Its By: Its (Seal) Note: This bond must be executed in duplicate and dated, the surety’s signature must be notarized, and evidence of the authority of any person signing as attorney-in-fact must be attached. ---PAGE BREAK--- BONDS C-13 Bond No. MAINTENANCE BOND KNOW ALL PERSONS BY THESE PRESENTS that: WHEREAS, the City Council of the City of El Cerrito (“El Cerrito”), and (Name, address, and telephone number of Contractor) (“Principal”) have entered into an agreement whereby Principal agrees to install and complete certain designated public improvements, which agreement, dated and identified as: Potrero Avenue Between 55th and 56th Streets Safety Improvements City Project No. C-3045 Federal Project No. HSIP-5239 (013) is hereby referred to and made a part hereof; and WHEREAS, Principal is required under the terms of the Contract to furnish a bond for the correction of any defects due to defective materials or workmanship in the work performed under the Contract. NOW, THEREFORE, we, the Principal and (Name, address, and telephone number of Surety) (“Surety”) a duly admitted surety insurer under the laws of the State of California, as Surety, are held and firmly bound unto El Cerrito in the penal sum of Dollars this amount being not less than one hundred percent (10%) of the total contract price, in lawful money of the United States of America, for the payment of which sum well and truly to be made, we bind ourselves, our heirs, executors, administrators, successors, and assigns, jointly and severally, firmly by these presents. THE CONDITIONS OF THIS OBLIGATION ARE SUCH that if, during a maintenance period of one year from the date of acceptance by the City of El Cerrito of the contracted work, the PRINCIPAL upon receiving written notice of a need for repairs which are directly attributable to defective materials or workmanship, shall diligently take the necessary steps to correct said defects within seven days from the date of said notice, then this obligation shall be null and void; otherwise it shall remain in full force and effect. ---PAGE BREAK--- BONDS C-14 THE CONDITION OF THIS OBLIGATION IS SUCH THAT if the above bounded Principal, his or its heirs, executors, administrators, successors or assigns, shall in all things stand to and abide by, and well and truly keep and perform the covenants, conditions and provisions in the said agreement and any alteration thereof made as therein provided, on his or their part, to be kept and performed at the time and in the manner therein specified, and in all respects according to their true intent and meaning, and shall indemnify and save harmless El Cerrito, its officers, agents and employees, as therein stipulated, then this obligation shall become null and void; otherwise it shall be and remain in full force and effect. In case suit is brought upon this bond, Surety further agrees to pay all court costs and reasonable attorneys' fees in an amount fixed by the court. FURTHER, the Surety, for value received, hereby stipulates and agrees that no change, extension of time, alteration, addition or modification to the terms of the Contract, or of the work to be performed thereunder, or the specifications for the same, shall in any way affect its obligations under this bond, and it does hereby waive notice of any such change, extension of time, alteration, addition, or modification to the terms of the Contract or to the work or to the specifications thereunder. Surety hereby waives the provisions of California Civil Code 2845 and 2849. El Cerrito is the principal beneficiary of this bond and has all rights of a party hereto. IN WITNESS WHEREOF, this instrument has been duly executed by Principal and Surety on the date set forth below. Dated: “Principal” By: Its By: Its (Seal) “Surety” By: Its By: Its (Seal) Note: This bond must be dated, the surety’s signature must be notarized, and evidence of the authority of any person signing as attorney-in-fact must be attached. ---PAGE BREAK--- RELEASE C-15 CITY OF EL CERRITO, PUBLIC WORKS DEPARTMENT CONTRACTOR’S AFFIDAVIT AND FINAL RELEASE Potrero Avenue Intersection Safety Improvements Between 55th and 56th Streets City Project No. C-3045 Federal Project No. 5239 (013) This is to certify that FILL IN CONTRACTOR’S NAME (hereinafter the “undersigned”) declares to the City of El Cerrito, under oath, that it has paid in full for all materials, supplies, labor, services, tools, equipment, and all other bills contracted for by the undersigned or by any of the undersigned’s agents, employees or subcontractors used or in contribution to the execution of its contract with the City of El Cerrito with regard to the building, erection, construction, or repair of that certain work of improvement known as Potrero Avenue Intersection Safety Improvements Between 55th and 56th Streets, City Project No. C-3045, Federal Project No. 5239 (013), situated in the City of El Cerrito, State of California, more particularly described as follows: Traffic signal upgrades, signing, striping, minor drainage, roadway paving, curb, gutter, sidewalk and pedestrian ramp construction. The undersigned declares that it knows of no unpaid debts or claims arising out of said Contract which would constitute grounds for any third party to claim a stop notice of any unpaid sums owing to the undersigned. Further, for valuable consideration, the receipt of which is hereby acknowledged, the undersigned does hereby fully release and acquit the City of El Cerrito and all agents and employees of the City, and each of them, from any and all claims, debts, demands, or causes of action which exist or might exist in favor of the undersigned by reason of the Contract executed between the undersigned and the City of El Cerrito or which relate in any way to the work performed by the undersigned with regard to the above- referenced construction project. Further, the undersigned expressly acknowledges its awareness of, and waives the benefits of, Section 1542 of the Civil Code of the State of California which provides: “A general release does not extend to claims which the creditor does not know or suspect to exist in his favor at the time of executing the release, which if known by him must have materially effected his settlement with the debtor.” This release is intended to be a full and general release of any and all claims which the undersigned now has or may, in the future, have against the City of El Cerrito and/or its agents and employees with regard to any matter arising from the construction of the above-referenced project or the Contract between the City of El Cerrito and the Contractor with respect thereto, whether such claims are now known or unknown or are suspected or unsuspected. CONTRACTOR By: Dated: Signature Print Name and Title ---PAGE BREAK--- EXHIBIT C-16 EXHIBIT INDEMNIFICATION AND HOLD HARMLESS AGREEMENT AND WAIVER OF SUBROGATION AND CONTRIBUTION Contract/Agreement No. or description: Indemnitor(s) (list all names): To the fullest extent permitted by law, Indemnitor hereby agrees, at its sole cost and expense, to defend, protect, indemnify, and hold harmless City of El Cerrito, its officials, officers, volunteers, agents, and independent contractors who serve as City of El Cerrito officers, officials, or staff, and their successors, and assigns (collectively “Indemnitees”) from and against any and all damages, costs, expenses, liabilities, claims, demands, causes of action, proceedings, expenses, judgments, penalties, liens, and losses of any nature whatsoever, including fees of accountants, attorneys, or other professionals and all costs associated therewith (collectively “Liabilities”), arising or claimed to arise, directly or indirectly, out of, in connection with, resulting from, or related to any act, failure to act, error, or omission of Indemnitor or any of its officers, agents, servants, employees, subcontractors, materialmen, suppliers or their officers, agents, servants or employees, arising or claimed to arise, directly or indirectly, out of, in connection with, resulting from, or related to the above-referenced contract, agreement, license, or permit (the “Agreement”) or the performance or failure to perform any term, provision, covenant, or condition of the Agreement, including this indemnity provision. This indemnity provision is effective regardless of any prior, concurrent, or subsequent active or passive negligence by Indemnitees and shall operate to fully indemnify Indemnitees against any such negligence. This indemnity provision shall survive the termination of the Agreement and is in addition to any other rights or remedies which Indemnitees may have under the law. Payment is not required as a condition precedent to an Indemnitee’s right to recover under this indemnity provision, and an entry of judgment against an Indemnitee shall be conclusive in favor of the Indemnitee’s right to recover under this indemnity provision. Indemnitor shall pay Indemnitees for any attorneys’ fees and costs incurred in enforcing this indemnification provision. Notwithstanding the foregoing, nothing in this instrument shall be construed to encompass Indemnitees’ sole negligence or willful misconduct to the limited extent that the underlying Agreement is subject to Civil Code § 2782(a), or the contracting public agency’s active negligence to the limited extent that the underlying Agreement is subject to Civil Code § 2782(b). This indemnity is effective without reference to the existence or applicability of any insurance coverages which may have been required under the Agreement or any additional insured endorsements which may extend to Indemnitees. Accountants, attorneys, or other professionals employed by Indemnitor to defend Indemnitees shall be selected by Indemnitees. Indemnitor, on behalf of itself and all parties claiming under or through it, hereby waives all rights of subrogation and contribution against the Indemnitees, while acting within the scope of their duties, from all claims, losses and liabilities arising out of or incident to activities or operations performed by or on behalf of the Indemnitor regardless of any prior, concurrent, or subsequent active or passive negligence by the Indemnitees. In the event there is more than one person or entity named in the Agreement as an Indemnitor, then all obligations, liabilities, covenants and conditions under this instrument shall be joint and several. “Indemnitor” Printed Name Signature Title “Indemnitee” City of El Cerrito Printed Name Signature Title ---PAGE BREAK--- PROPOSAL P-1 PROPOSAL BID SHEET FOR Potrero Avenue Between 55th and 56th Streets Safety Improvements City Project No. C-3045 Federal Project No. HSIP-5239 (013) DATE: TO THE CITY CLERK OF EL CERRITO, CALIFORNIA: BIDDER (Firm Name) The undersigned hereby proposes and agrees to furnish any and all materials, labor, and services for the following: Potrero Avenue Intersection Safety Improvements Between 55th and 56th Streets City Project No. C-3045 Federal Project No. 5239 (013) All in accordance with Plans and Specifications on file at the office of the City Clerk, City of El Cerrito. The Contractor shall be responsible for insuring that his bid covers all of the work presented by the Plans and Specifications. Work shall include all men, materials and labor and incidental expenses as required to complete all facility painting in accordance with the plans and specifications, all full the lump sum price as indicated below. BASE BID Item Description Spec. Section Reference Estimated Quantity Unit Unit Price Total Price 1 Mobilization 10-2.01 1 LS 2 Water Pollution Control Plan 10-2.02 1 LS 3 Construction Staking 10-2.03 1 LS 4 Traffic Control System 10-2.04 1 LS 5 Construction Documentation 10-2.05 1 LS 6 Clearing and Grubbing 10-3.01 1 LS 7 Demolition of Existing Curb and/or Curb and Gutter 10-3.01 720 LF ---PAGE BREAK--- PROPOSAL P-2 8 Demolition of Existing Sidewalks and Walkways 10-3.01 1,190 SF 9 Demolition of Existing Brick Median 10-3.01 1 LS 10 Demolition of Existing Asphalt Concrete 10-3.01 4,380 SF 11 Roadway Excavation and Grading 10-3.02 1 LS 12 Full Depth Base Repair 10-3.03 1,440 SF 13 Aggregate Base 10-3.04 37 CY 14 Hot Mix Asphalt Concrete 10-3.05 224 TN 15 Crack Treatment 10-3.06 .33 LM 16 Sidewalks/Walks/Controller Pad 10-3.08 1,120 SF 17 Vertical Curb and Gutter (El Cerrito Type LI-25) 10-3.08 325 LF 18 Vertical Curb and Gutter (CCC Type S1-6M) 10-3.08 45 LF 19 Vertical Curb and Gutter (CCC Type B1-6) 10-3.08 340 LF 20 Curb Ramp Case C 10-3.08 2 EA 21 Curb Ramp Case G Modified 10-3.08 1 EA 22 Curb Ramp Case CM Modified 10-3.08 1 EA 23 Detectable Warning Surface 10-3.08 105 SF 24 Top Soil 10-3.09 90 SF 25 Striping and Pavements Markings 10-3.10 1 LS 26 Traffic Signs 10-3.11 1 LS 27 Traffic Signal Modification 10-4 1 LS ---PAGE BREAK--- PROPOSAL P-3 28 Type G4 Drainage Inlet 10-5.01 2 EA 29 Remove Drainage Inlet and Install Manhole 10-5.02 1 EA 30 15” HDPE Storm Drain Lateral 10-5.03 15 LF 31 4” Irrigation Sleeve 10-5.04 105 LF 32 Relocate Bus Stop 10-6.01 1 LS TOTAL AMOUNT OF BASE BID: (In Words) (In Figures) BID ADDITIVE ALTERNATE ONE – SEAL COAT 33 Seal Coat 10-3.07 3,200 SY TOTAL AMOUNT OF BID ADDITIVE ALTERNATE ONE: (In Words) (In Figures) BIDDERS ARE REQUIRED TO INCLUDE ALL BID ALTERNATES. AWARD OF CONTRACT SHALL BE BASED UPON THE PRICE OF THE BASE BID PLUS ALL ALTERNATES. HOWEVER, THE CITY RESERVES THE RIGHT TO INCLUDE OR EXCLUDE ALTERNATES IN SUM TOTAL OR INDIVIDUALLY OR IN ANY COMBINATION, BASED UPON BUDGET AVAILABLE FOR THE WORK. The undersigned hereby certifies that he has an appropriate license, issued by the State of California to provide this work; that such license will be in full force and effect throughout the duration of construction; and that any and all subcontractors to be employed on this project will be similarly licensed. Dated California Contractor’s License No. CONTRACTOR Signature Print or Type Name and Title The above bid proposal includes Addenda No’s REJECTION OF BIDS: ---PAGE BREAK--- PROPOSAL P-4 The undersigned agrees that the City of El Cerrito reserves the right to reject any or all bids, and reserves the right to waive informalities in a bid or bids not affected by law, if to do so seems to best serve the public interest. TIME The undersigned agrees to furnish, within ten (10) calendar days from the receipt of the Notice of Award of Contract, the items required by Section 3-1.01 of the Special Provisions. The failure to timely provide such items The undersigned agrees to begin work within ten (10) calendar days after the date specified in the Notice to Proceed. If the proposal is accepted, the undersigned agrees to execute the required agreement and furnish the required bonds within ten (10) working days from the date of signing of this Contract. BID DEPOSIT There is enclosed herewith, a certified check or surety bond in the sum of ten percent (10%) of the base bid DOLLARS AND CENTS made payable to the City of El Cerrito and the undersigned agrees that in case of his failure to execute the necessary contract and furnish the required bonds, the certified check or surety bond the money payable thereon, shall be and remain the property of the City of El Cerrito. NOTE: The estimated quantities listed in the Proposal Bid Sheet(s) are supplied to give an indication of the general scope of work, but the accuracy of these figures is not guaranteed and Bidder shall make his own estimates from the drawings. In case of a variation between the unit price and the totals shown by Bidder, the unit price will be considered to be the bid. The unit price or lump sum prices to be paid for the items listed in the Proposal Bid Sheet shall include full compensation for furnishing all labor, materials, tools, and equipment, and doing all work involved in furnishing and installing the materials complete and in place, in accordance with the details as shown on the plans and as specified herein. Any items shown on the plans, but not included in the bid items, shall be considered as appurtenant items. All costs shall be included within the appropriate item of the Contractor’s bid. IMPORTANT NOTICE: On a separate sheet of papers, provide the following information. If bidder is a corporation, state legal name of corporation and names of the president, secretary, treasurer, and manager; if co-partnership, state true name of firm and names of all individual co-partners composing firm; or, if individual, state first and last names in full. Contractor is licensed in accordance with California law, LICENSE NO. Officer’s Signature Title Date Officer’s Signature Title Date Officer’s Signature Title Date Signature and title of the officer(s) set forth above shall be authorized to sign contracts on behalf of the corporation, co-partnership, or individual. If signature is by an agent, other than an officer of the ---PAGE BREAK--- PROPOSAL P-5 corporation or a member of a partnership, a Power of Attorney must be on file with the City prior to or at time of bid opening; otherwise, the bid will be subject to rejection by City Council. ---PAGE BREAK--- PROPOSAL P-6 CITY OF EL CERRITO, PUBLIC WORKS DEPARTMENT SUBCONTRACTORS LIST FOR Potrero Avenue Between 55th and 56th Streets Safety Improvements City Project No. C-3045 Federal Project No. HSIP-5239 (013) The Contractor certifies he/she has used the sub-bids of the following listed Contractors in making up his/her bid and that the sub-contractors listed will be used for the work for which they bid, subject to the approval of the City Engineer, and in accordance with applicable provisions of the specifications and Section 4100 et seq. of the Public Works Code – “Subletting and Subcontracting Fair Practices Act.” No changes may be made in these subcontractors except upon the prior approval of the City Engineer of the City of El Cerrito pursuant to Section 4107 of the Public Contracts Code. The following information is required for each subcontractor. Additional pages can be attached if required. YOU MUST LIST ALL UDBE SUBCONTRACTORS. UDBEs NOT LISTED AT THE TIME OF BID WILL NOT BE CONSIDERED TOWARDS YOUR UDBE PARTICIPATION GOAL. Items of Work Full Company Name Complete Address with Zip Code Phone No. Area Code ---PAGE BREAK--- PROPOSAL P-7 SUBCONTRACTOR’S LIST The bidder is to provide the following information on the sub bids of all the listed subcontractors as part of the sealed bid submission. Additional pages can be attached, if required. YOU MUST LIST ALL UDBE SUBCONTRACTORS. UDBEs NOT LISTED AT THE TIME OF BID WILL NOT BE CONSIDERED TOWARDS YOUR UDBE PARTICIPATION GOAL. Full Company Name Type of State Contracting License & Number El Cerrito Business License Number Amount of Bid or *Licenses are renewable annually. If no valid license, indicate “NONE.” Valid license must be obtained prior to submission of signed contracts. This applies to all subcontractors. NOTE:If alternate bids are called for, and Contractor intends to use different or additional subcontractors on the alternates, he must provide a separate list of subcontractors for each alternate. Signature of Bidder ---PAGE BREAK--- PROPOSAL P-8 UDBE Commitment (Construction Contracts), Exhibit 15-G(1) ---PAGE BREAK--- PROPOSAL P-9 INSTRUCTIONS: UDBE COMMITMENT (CONSTRUCTION CONTRACTS), EXHIBIT 15-G(1) ALL BIDDERS: PLEASE NOTE: It is the bidder’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) Black American; 2) Asian-Pacific American; 3) Native American; 4) Women. This information may be submitted with your bid proposal. If it is not, and you are the apparent low bidder or the second or third low bidder, it must submitted and received as specified in the Special Provisions. Failure to submit the required UDBE commitment will be grounds for finding the proposal nonresponsive. UDBE is a firm meeting the definition of a DBE as specified in 49 CFR and is one of the following groups: 1. Black American 2. Asian-Pacific American 3. Nation American 4. Women The form requires specific information regarding the construction contract: Agency, Location, Project Description, Federal Aid Project Number (assigned by Caltrans-Local Assistance), Total Contract Amount, Bid Date, Bidder’s Name, and Contract Goal. The form has a column for the Contract Item Number (or Item No’s) and Item of Work and Description or Services to be Subcontracted or Materials to be provided by UDBEs. The UDBE should provide a certification number to the Contractor and expiration date. The form has a column for the Names of UDBE contractors to perform the work (who must be certified on the date bids are opened and include the UDBE address and phone number). Enter the UDBE prime’s and subcontractors’ certification numbers. Prime contractors shall indicate all work to be performed by UDBEs including, if the prime is a UDBE, work performed by its own forces. IMPORTANT: Identify all UDBE firms being participating in the project regardless of tier. Names of the First Tier UDBE Subcontractors and their respective item(s) of work listed should be consistent, where applicable, with the names and items of work in the "List of Subcontractors" submitted with your bid. Provide copies of the UDBEs’ quotes, and if applicable, a copy of joint venture agreements pursuant to the Subcontractors Listing Law and the Special Provisions. There is a column for the total UDBE dollar amount. Enter the Total Claimed UDBE Participation dollars and percentage amount of items of work submitted with your bid 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 Section "Disadvantaged Business Enterprise ---PAGE BREAK--- PROPOSAL P-10 (DBE)," of the Special Provisions (construction contracts); to determine how to count the participation of UDBE firms. Exhibit 15-G must be signed and dated by the person bidding. Also list a phone number in the space provided and print the name of the person to contact. Local agencies should complete the Contract Award Date and Federal Share 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 award. Failure to submit a completed and accurate form within the 15-day time period may result in the de-obligation 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 BREAK--- PROPOSAL P-11 DBE INFORMATION (Construction contracts), EXHIBIT 15-G(2) Inclusive of all DBEs including the UDBEs listed at bid proposal ---PAGE BREAK--- PROPOSAL P-12 INSTRUCTIONS: DBE INFORMATION (CONSTRUCTION CONTRACTS), EXHIBIT 15-G(2) SUCCESSFUL BIDDER: The form requires specific information regarding the construction contract: Agency, Location, Project Description, Federal Aid Project Number (assigned by Caltrans-Local Assistance), Total Contract Amount, Bid Date, Bidder’s Name, and Contract Goal. The form has a column for the Contract Item Number (or Item No’s) and Item of Work and Description or Services to be Subcontracted or Materials to be provided by DBEs. The DBE should provide a certification number to the Contractor and expiration date. The DBE contractors should notify the Contractor in writing with the date of the decertification if their status should change during the course of the contract. The form has a column for the Names of DBE certified contractors to perform the work (must be certified on the date bids are opened and include DBE address and phone number). Enter DBE prime and subcontractors certification number. Prime contractors shall indicate all work to be performed by DBEs including work performed by its own forces if a DBE. IMPORTANT: Identify all DBE firms participating in the project--including all UDBEs listed on the UDBE Commitment form (Exhibit 15G(1)), regardless of tier. Names of the First Tier DBE Subcontractors and their respective item(s) of work listed should be consistent, where applicable, with the names and items of work in the "List of Subcontractors" submitted with your bid. There is a column for the total DBE dollar amount. Enter the Total Claimed DBE Participation dollars and percentage amount of items of work submitted with your bid pursuant to the Special Provisions. (If 100% of item is not to be performed or furnished by the DBE, describe exact portion of time to be performed or furnished by the DBE.) See Section "Disadvantaged Business Enterprise (DBE)," of the Special Provisions (construction contracts); to determine how to count the participation of DBE firms. Exhibit 15-G must be signed and dated by the successful bidder. Also list a phone number in the space provided and print the name of the person to contact. Local agencies should complete the Contract Award Date, Federal Share, Contract and Project Number 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 de-obligation 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 BREAK--- PROPOSAL P-13 ---PAGE BREAK--- PROPOSAL P-14 ---PAGE BREAK--- PROPOSAL P-15 ---PAGE BREAK--- PROPOSAL P-16 CITY OF EL CERRITO, PUBLIC WORKS DEPARTMENT STATEMENT OF TECHNICAL ABILITY AND EXPERIENCE FOR Potrero Avenue Between 55th and 56th Streets Safety Improvements City Project No. C-3045 Federal Project No. HSIP-5239 (013) The Bidder is required to state what work of a similar character to that included in the proposed Contract he has successfully performed, especially for public agencies, and give references which will enable the City to judge his responsibility, experience, skill, and business and financial standing. Detail any involvement, past or current, relative to litigation or other disputes, if any, concerning your performance. Signature of Bidder ---PAGE BREAK--- PROPOSAL P-17 CITY OF EL CERRITO, PUBLIC WORKS DEPARTMENT BIDDER’S STATEMENT OF PAST CONTRACT DISQUALIFICATIONS FOR Potrero Avenue Between 55th and 56th Streets Safety Improvements City Project No. C-3045 Federal Project No. HSIP-5239 (013) The Bidder is required to state any and all instances of being disqualified, removed, or otherwise prevented from bidding on or completing any contract for construction. 1. Have you ever been disqualified from any contract? Yes No 2. If yes, explain the circumstances: Signature of Bidder Bond No. ---PAGE BREAK--- PROPOSAL P-18 BID BOND KNOW ALL PERSONS BY THESE PRESENTS that: WHEREAS the City of El Cerrito (“El Cerrito”) has issued an invitation for bids for the work described as follows: Potrero Avenue Between 55th and 56th Streets Safety Improvements City Project No. C-3045 Federal Project No. HSIP-5239 (013) WHEREAS (Name, address, and telephone number of Bidder) (“Principal”), desires to submit a bid to El Cerrito for the work. WHEREAS, bidders are required under the provisions of the California Public Contract Code to furnish a form of bidder’s security with their bid. NOW, THEREFORE, we, the undersigned Principal, and (Name, address, and telephone number of Surety) (“Surety”) a duly admitted surety insurer under the laws of the State of California, as Surety, are held and firmly bound unto El Cerrito in the penal sum of Dollars being not less than ten percent (10%) of the total bid price, in lawful money of the United States of America, for the payment of which sum well and truly to be made, we bind ourselves, our heirs, executors, administrators, successors, and assigns, jointly and severally, firmly by these presents. THE CONDITION OF THIS OBLIGATION IS SUCH THAT, if the hereby bounded Principal is awarded a contract for the work by El Cerrito and, within the time and in the manner required by the bidding specifications, enters into the written form of contract included with bidding specifications, furnishes the required bonds, one to guarantee faithful performance and the other to guarantee payment for labor and materials, and furnishes the required insurance coverages, then this obligation shall become null and void; otherwise, it shall be and remain in full force and effect. In case suit is brought upon this bond, Surety further agrees to pay all court costs incurred by El Cerrito in the suit and reasonable attorneys’ fees in an amount fixed by the court. Surety hereby waives the ---PAGE BREAK--- PROPOSAL P-19 provisions of California Civil Code § 2845. IN WITNESS WHEREOF, this instrument has been duly executed by Principal and Surety, on the date set forth below, the name of each corporate party being hereto affixed and these presents duly signed by its undersigned representative(s) pursuant to authority of its governing body. Dated: “Principal” By: Its By: Its (Seal) “Surety” By: Its By: Its (Seal) Note: This bond must be dated, the surety’s signature must be notarized, and evidence of the authority of any person signing as attorney-in-fact must be attached. ---PAGE BREAK--- PROPOSAL P-20 CITY OF EL CERRITO, PUBLIC WORKS DEPARTMENT NON-COLLUSION AFFIDAVIT TO BE EXECUTED BY BIDDER AND SUBMITTED WITH BID Potrero Avenue Between 55th and 56th Streets Safety Improvements City Project No. C-3045 Federal Project No. HSIP-5239 (013) State of California ) ) ss County of being first duly sworn, deposes and says that he or she is of the party making the foregoing bid; that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the bidder has not directly or indirectly induced or solicited any other bidder to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived, or agreed with any bidder or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the bidder has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone, to fix the bid price of the bidder or any other bidder, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the bidder has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged the information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or any member or agent thereof to effectuate a collusive or sham bid. Subscribed and sworn to before me this day of By: Title Notary Public Date: ---PAGE BREAK--- GENERAL SPECIFICATIONS G-1 CITY OF EL CERRITO, PUBLIC WORKS DEPARTMENT GENERAL SPECIFICATIONS FOR Potrero Avenue Between 55th and 56th Streets Safety Improvements City Project No. C-3045 Federal Project No. HSIP-5239 (013) SCOPE OF WORK The work to be done consists of furnishing all materials, equipment, tools, labor and incidentals as required by the Contract Documents to construct for the above-stated project. The general items of work include: Modifications and improvements to an existing street intersection, including: removing and replacing concrete curb, gutter and sidewalk, removal of a portion of landscaped island and conversion into roadway, installation of pedestrian ramps, traffic signal modifications, restriping and such other items of work as are required to complete the project. LOCATION OF WORK The general locations and limits of the work are as follows: Potrero Avenue between 55th Street and 56th Street. TIME OF COMPLETION The Contractor shall complete all work in every detail within the time limits specified in the Instructions to Bidders, Section 18, herein. STANDARD SPECIFICATIONS The Standard Specifications of the City are contained in the 2003 edition of the Standard Specifications for Public Works Construction, including all supplements as written and promulgated by the Joint Cooperative Committee of the Southern California Chapter of the American Public Works Association and the Southern California District of the Associated General Contractors of California. Copies of those Standard Specifications are available from the publisher: Building News, Incorporated 1612 South Clementine St. Anaheim, Ca 92802 (714) 517-0970 The Standard Specifications set forth above will control the contract portion and general provisions of these specifications for this contract except as amended by the Plans, Special Provisions, or other Contract Documents. References in the Special Provisions to “Caltrans Standard Specifications” or “State Standard Specifications” shall mean the Standard Specifications, dated 2010, of the State of California, Department of Transportation. Copies of these specifications may be obtained from: State of California - Department of Transportation ---PAGE BREAK--- GENERAL SPECIFICATIONS G-2 Central Publication Distribution Unit 6002 Folsom Boulevard Sacramento CA 95819 Where the Plans or Specifications describe portions of the work in general terms, but not in complete detail, it is understood that the item is to be furnished and installed complete and in place and that only the best general practice is to be used. Unless otherwise specified, the Contractor shall furnish all labor, materials, tools, equipment, and incidentals, and do all the work involved in executing the Contract. The section numbers of the following Special Provisions coincide with those of the Standard Specifications, dated 2010 of the State of California, Department of Transportation. Only those sections requiring amendment or elaboration, or specifying options, are called out. In case of conflict between the Standard Specifications and the Special Provisions, the Special Provisions shall take precedence over and be used in lieu of such conflicting portions. ---PAGE BREAK--- GENERAL SPECIFICATIONS G-3 WAGE RATES AND LABOR CODE REQUIREMENTS Wage Rates The Contractor and all Subcontractors shall be required to adhere to the general prevailing rate of per diem wages as determined and published by the State Director of the Department of Industrial Relations, pursuant to Section 1770, 1773, and 1773.2 of the California Labor Code. Copies of these rates and the latest revisions thereto are on file in the Office of the Secretary of the Board of Directors and are available for review upon request. Attention is directed to the provisions of Sections 1774, 1775, 1776, 1777.5, and 1777.6 of the State Labor Code, excerpt copies of which are contained in Appendix II of these Specifications. Sections 1774 and 1775 require the Contractor and all Subcontractors to pay not less than the prevailing wage rates to all workmen employed in the execution of the Contract and specify forfeitures and penalties for failure to do so. The minimum wages to be paid are those determined by the State Director of the Department of Industrial Relations. Section 1776 requires the Contractor and all Subcontractors to keep accurate payroll records, procedures and certain notices required of the Contractor pertaining to their location. Clayton Act and Cartwright Act Section 4551 of the State Government Code specifies that in executing a public works contract with the City to supply goods, services, or materials, the Contractor or Subcontractors offer and agree to assign to the City all rights, title and interest in and to all causes of action it may have under Section 4 of the Clayton Act (15 U.S.C. Sec. 15) or under the Cartwright Act (Chapter 2 commencing with Sec. 16700) of Part 2 of Division 7 of the Business and Professional Code arising from purchase of goods, services, or materials pursuant to the Contract or subcontract. This assignment shall become affective when the City tenders final payment to the Contractor without further acknowledgment by the parties. SUBSTITUTION OF SECURITIES In conformance with the State of California Government Code Chapter 13, Section 4590, the Contractor may substitute securities for any monies withheld by the City to ensure performance under the Contract. At the request and expense of the Contractor, securities equivalent to the amount withheld shall be deposited with the City or with a State or Federally chartered bank as the escrow agent who shall pay such monies to the Contractor upon notification by City of Contractor’s satisfactory completion of the Contract. The type of securities deposited and the method of release shall be approved by the City Attorney’s office. ---PAGE BREAK--- SPECIAL PROVISIONS S-1 CITY OF EL CERRITO, PUBLIC WORKS DEPARTMENT SPECIAL PROVISIONS FOR Potrero Avenue Intersection Safety Improvements Between 55th and 56th Streets City Project No. C-3045 Federal Project No. 5239 (013) SECTION 1 STANDARD SPECIFICATIONS The work described herein shall be done in accordance with the Standard Specifications, dated 2010, of the State of California, Department of Transportation insofar as the same may apply and in accordance with the following special provisions. In case of conflict between the State Standard Specifications and these special provisions, the special provisions shall take precedence over and be used in lieu of such conflicting portions. SECTION 2 BIDDING 2-1.01 GENERAL The bidder’s attention is directed to Section 2, “ Proposal Requirements and Conditions” of the Standard Specifications, Section 6, “Federal Requirements” of these Special Provisions, and elsewhere in these Special Provisions for the requirements and conditions which must be observed in the preparation of the proposal form and the submission of the bid. The bidder's bond shall conform to the bond form in the Bid book for the project and shall be properly filled out and executed. The bidder’s bond form included in that book may be used. In conformance with Public Contract Code Section 7106, a Non-collusion Affidavit is included in the Bid book. Signing the Bid book shall also constitute signature of the Non-collusion Affidavit. The contractor, sub recipient or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of Title 49 CFR (Code of Federal Regulations) part 26 in the award and administration of US DOT assisted contracts. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy, as the recipient deems appropriate. Each subcontract signed by the bidder must include this assurance. Failure of the bidder to fulfill the requirements of the Special Provisions for submittals required to be furnished after bid opening, including but not limited to escrowed bid documents, where applicable, may subject the bidder to a determination of the bidder's responsibility in the event it is the apparent low bidder on a future public works contracts. Attention is directed to Section 6-3, “Federal Lobbying Restrictions” for conditions which must be considered during bidding. Attention is directed to Section 6-1, “Disadvantaged Business Enterprise (DBE) Contract Provisions” for requirements ---PAGE BREAK--- SPECIAL PROVISIONS S-2 SECTION 3 AWARD AND EXECUTION OF CONTRACT 3-1.01 GENERAL The bidder's attention is directed to the provisions in Section 3, "Award and Execution of Contract," of the Standard Specifications and these special provisions for the requirements and conditions concerning award and execution of contract. Bid protests are to be delivered to the following address: City of El Cerrito, Public Works Department, 10890 San Pablo Blvd., El Cerrito, CA. The award of the contract, if it be awarded, will be to the lowest responsible bidder whose bid complies with all the requirements prescribed. Within ten (10) working days after the date of the Notice to Award, the Contractor shall execute and return the following contract documents to the Agency at the address listed above: Contract Agreement Faithful Performance Bond Payment Bond Public Liability and Property Damage Insurance Certificate Worker’s Compensation Insurance Certificate Exhibit Indemnification And Hold Harmless Agreement And Waiver Of Subrogation And Contribution Failure to comply with the above will result in annulment of the award and forfeiture of the Proposal Guarantee. The Contract Agreement shall not be considered binding upon the Agency until executed by the authorized Agency officials. A corporation to which an award is made may be required, before the Contract Agreement is executed by the Agency, to furnish evidence of its corporate existence, of its right-to-enter into contracts in the State of California, and that the officers signing the contract and bonds for the corporation have the authority to do so. 3-1.02 CONTRACT BONDS Before execution of the Contract, the Bidder shall file surety bonds with the Agency to be approved by the Board in the amounts and for the purposes noted below. Bonds issued by a surety who is listed in the latest version of U.S. Department of Treasury Circular 570, who is authorized to issue bonds in California, and whose bonding limitation shown in said circular is sufficient to provide bonds in the amount required by the Contract shall be deemed to be approved unless specifically rejected by the Agency. Bonds from all other sureties shall be accompanied by all of the documents enumerated in Code of Civil Procedure 995-660(a). The Bidder shall pay all bond premiums, costs, and incidentals. Each bond shall incorporate, by reference, the Contract and be signed by both the Bidder and Surety and the signature of the authorized agent of the Surety shall be notarized. Each bond shall name both the City and the Association of Bay Area Governments as beneficiaries. The Bidder shall provide two good and sufficient surety bonds. The “Payment Bond” (Material and Labor Bond) shall be for not less than 100 percent of the Contract Price, to satisfy claims of material suppliers and mechanics and laborers employed by it on the Work. The bond shall be maintained by the Contractor in full force and effect until the work is accepted by Agency and until all claims for materials and labor are paid, and shall otherwise comply with the Civil Code. The “Performance Bond” shall be for 100 percent of the Contract Price to guarantee faithful performance of ---PAGE BREAK--- SPECIAL PROVISIONS S-3 all work, within the time prescribed, in a manner satisfactory to the Agency, and that all materials and workmanship will be free from original or developed defects. Should any bond become insufficient, the Contractor shall renew the bond within ten (10) days after receiving notice from the City. Should any Surety at any time be unsatisfactory to the Board, notice will be given the Contractor to that effect. No further payments shall be deemed due or will be made under the Contract until a new Surety shall qualify and be accepted by the Board. Changes in the Work or extensions of time, made pursuant to the Contract, shall in no way release the Contractor or Surety from its obligation. Notice of such changes or extensions shall be waived by the Surety. Both the Faithful Performance Bond and the Payment Bond shall be for not less than one hundred percent (100%) of the total contract amount. Both the Faithful Performance Bond and the Payment Bond shall remain in force until thirty-five (35) days after the date of recordation of the Notice of Completion. PAYMENT – Full compensation for Bonds shall be considered as included in the price paid for the various bid items and no additional compensation shall be allowed therefore. 3-1.03 SUBMITTAL OF DBE INFORMATION A “Local Agency Bidder DBE Information (Construction Contracts),” Exhibit 15-G2 form is included in the Bid book to be executed by the successful bidder. The purpose of the form is to collect data required under 49 CFR 26. Even if no DBE participation will be reported, the successful bidder must execute and return the form. The successful bidder’s “Local Agency Bidder DBE Information (Construction Contracts),” Exhibit 15-G2 form should include the names, addresses and phone numbers of DBE firms that will participate, with a complete description of work or supplies to be provided by each and the dollar value of each DBE transaction. When 100 percent of a contract item of work is not to be performed or furnished by a DBE, a description of the exact portion of that work to be performed or furnished by that DBE should be included in the DBE information, including the planned location of that work. A successful bidder certified as a DBE should describe the work it has committed to performing with its own forces as well as any other work that it has committed to be performed by DBE subcontractors, suppliers and trucking companies. The successful bidder is encouraged to provide written confirmation from each DBE that the DBE is participating in the contract. A copy of a DBE’s quote will serve as written confirmation that the DBE is participating in the contract. If a DBE is participating as a joint venture partner, the successful bidder is encouraged to submit a copy of the joint venture agreement. The “Local Agency Bidder DBE Information (Construction Contracts),” Exhibit 15-G2 form shall be completed and returned to the Agency by the successful bidder with the executed contract and contract bonds SECTION 4 BEGINNING OF WORK, TIME OF COMPLETION AND LIQUIDATED DAMAGES Attention is directed to the provisions in Sections 8-1.03, “Beginning of Work,” Sections 8-1.06, “Time of Completion,” 8-1.07, “Liquidated Damages,” and 20-4.08, “Plant Establishment Work,” of the Standard Specifications and these special provisions. The Contractor shall begin work within fifteen (15) calendar days after the contract has been approved by the attorney appointed and authorized to represent the City of El Cerrito. 4-1.01 CONSTRUCTION SCHEDULE AND COMMENCEMENT OF WORK The Contractor’s proposed Construction Schedule shall be submitted to the Engineer within ten (10) working days after the date of the Notice of Award of Contract. The schedule shall be supported by written statements from each ---PAGE BREAK--- SPECIAL PROVISIONS S-4 supplier of materials or equipment indicating that all orders have been placed and acknowledged and setting forth the dates that each item will be delivered. Prior to issuing the Notice to Proceed, the Engineer will schedule a preconstruction meeting with the Contractor to review the proposed Construction Schedule and delivery dates, arrange the utility coordination, discuss construction methods, and clarify inspection procedures. The Contractor shall submit periodic Progress Reports to the Engineer by the tenth day of each month. The report shall include an updated Construction Schedule. Any deviations from the original schedule shall be explained. Progress payments will be withheld pending receipt of any outstanding reports. 4-1.02 TIME OF COMPLETION The time for completion shall be as set forth in the Contract. 4-1.03 LIQUIDATED DAMAGES For each consecutive calendar day in excess of the time specified, as adjusted in accordance with Section 8- 1.07, for completion of the work, the Contractor shall pay to the Agency, or have withheld from monies due it, the sum as set forth in the contract agreement, liquidated damages, paragraph 7. 4-1.04 HOURS OF CONSTRUCTION The standard working hours shall be 7:30 a.m. to 4:30 p.m. Due to the traffic congestion in the area, night work will be allowed and encouraged. If the Contractor wishes to work during any other hours besides 7:30 a.m. to 4:30 p.m., Monday through Friday, a written request for that work shall be submitted. Written permission must be received from the City Engineer prior to working. The request must be received at least two working days in advance of any work. No work will be allowed on City holidays except in the case of an emergency. If the Contractor requests overtime work in which the City will incur costs associated with overtime testing, the City will subtract the costs associated with the overtime testing from the Contractor’s payment as a “deduct”. SECTION 5 GENERAL 5-1.01 DEFINITIONS Agency/City - City of El Cerrito Board - City Council Caltrans - California Department of Transportation City - City of El Cerrito County - County of Contra Costa Director - The Director of Public Works / City Engineer, City of El Cerrito, acting either directly or through his properly authorized agents, each agent action only within the scope of authority designated to him. Engineer - The Director of Public Works / City Engineer, City of El Cerrito, acting either directly or through his properly authorized agents, each agent action only within the scope of authority designated to him. Federal - United States of America Final Acceptance - Final Acceptance is defined as that stage of construction which allows the City to accept the project as completed (no punch list items remaining unresolved). When the Contractor believes that the project is ready for final acceptance, ---PAGE BREAK--- SPECIAL PROVISIONS S-5 he shall call for a final acceptance inspection. The Director will inspect the project to verify its completion. Should there be elements that are not completed, the Director will record same (final acceptance punch list) and bring them to the attention of the Contractor. All punch list items must be resolved prior to final acceptance. When, in the Director’s judgment, the work has been completed in accordance with the plans and specifications and is ready for final acceptance, he will so certify to the Board, which may accept the completed work. Upon acceptance of the work by the Board, the City Clerk will file the Notice of Completion with the County Recorder. Caltrans Standard Specifications, State Standard Specifications - Standard Specifications, State of California, Department of Transportation, dated 2010. City Standard Plans - City of El Cerrito Department of Public Works Standard Plans Substantial Completion -Substantial Completion is defined as that stage of construction, which allows the Director to occupy or use the project for its intended purpose. When a project includes a plant establishment period, the date of the start of the plant establishment period may, at the discretion of the Director, be used as the basis for determining the substantial completion date, provided that all elements of the project, other than the landscape, are substantially completed as defined above. The substantial completion date will be determined by the Director in cooperation with the Contractor and establish the termination of the time period for construction, and this date is used as a basis for determining whether liquidated damages are assessable. In no case shall the plant establishment period end prior to the final acceptance of the project. When the Contractor believes that construction of the project is substantially complete, he shall call for an inspection. The Director will inspect the total project to verify its completion by the Contractor. Should there be elements of the project that are not yet completed, the Director will record same (substantial completion punch list) and bring them to the attention of the Contractor. All such items must be completed prior to acceptance of the project substantially complete. In the event re-inspection of any project element results in additional cost to the City for consultant or staff time, the Director retains the right to withhold sufficient funds from payments due the Contractor to cover the cost to the City of such re-inspection. Traveled Way - That portion of the roadway reserved for the movement of vehicles for the general public, exclusive of shoulders and auxiliary lanes. When traffic has been diverted or restricted to certain lanes, with the approval of the Traffic Engineer, these diversions or restricted lanes become the traveled way. 5-1.02 LABOR NONDISCRIMINATION Attention is directed to the following Notice that is required by Chapter 5 of Division 4 of Title 2, California Code of Regulations. ---PAGE BREAK--- SPECIAL PROVISIONS S-6 NOTICE OF REQUIREMENT FOR NONDISCRIMINATION PROGRAM (GOV. CODE, SECTION 12990) Your attention is called to the “Nondiscrimination Clause”, set forth in Section 7-1.01A(4), “Labor Discrimination,” of the State Standard Specifications, which is applicable to all nonexempt state contracts and subcontracts, and to the “Standard California Nondiscrimination Construction Contract Specifications” set forth herein. The State Standard Specifications are applicable to all nonexempt state construction contracts and subcontracts of $5,000 or more. The Contractor shall ensure unlimited access to the job site for all equal employment opportunity compliance officers. 5-1.03 ARBITRATION The last paragraph in Section 9-1.10, “Arbitration,” of the State Standard Specifications is amended to read: Arbitration shall be initiated by a Complaint in Arbitration made in compliance with the requirements of said regulations. A Complaint in Arbitration by the Contractor shall be made not later than 180 days after the date of service in person or by mail on the Contractor of the final written decision by the Department on the claim. 5-1.04 NOTICE OF POTENTIAL CLAIM Section 9-1.04, “Notice of Potential Claim,” of the State Standard Specifications is amended to read: 9-1.04 Notice of Potential Claim The Contractor shall not be entitled to the payment of any additional compensation for any act, or failure to act, by the Engineer, including failure or refusal to issue a change order, or for the happening of any event, thing, occurrence, or other cause, unless he shall have given the Engineer due written notice of potential claim as hereinafter specified. Compliance with this Section 9-1.04 shall not be a prerequisite as to matters within the scope of the protest provisions in Section 4-1.03, “Changes,” or Section 8-1.06, “Time of Completion,” or the notice provisions in Section 5-1.116, “Differing Site Conditions,” or Section 8-1.07, “Liquidated Damages,” or Section 8-1.10, “Utility and Non-Highway Facilities,” nor to any claim which is based on differences in measurements or errors of computation as to contract quantities. The written notice of potential claim shall be submitted to the Engineer prior to the time that the Contractor performs the work giving rise to the potential claim for additional compensation, if based on an act or failure to act by the Engineer, or in all other cases within 15 days after the happening of the event, thing, occurrence, or other cause, giving rise to the potential claim. The written notice of potential claim shall be submitted on Form CEM-6201 furnished by the Department and shall be certified with reference to the California False Claims Act, Government Code Sections 12650 - 12655. The notice shall set forth the reasons for which the Contractor believes additional compensation will or may be due and the nature of the costs involved. Unless the amount of potential claim has been stated in the written notice, the Contractor shall, within 15 days of submitting said notice, furnish an estimate of the cost of the affected work and impacts, if any, on project completion. Said estimate of costs may be changed or updated by the Contractor when conditions have changed. When the affected work is completed, the Contractor shall submit substantiation of his actual costs. Failure to do so shall be sufficient cause for denial of any claim subsequently filed on the basis of said notice of potential claim. It is the intention of this Section 9-1.04 that differences between the parties arising under and by virtue of the contract be brought to the attention of the Engineer at the earliest possible time in order that such matters may be settled, if possible, or other appropriate action taken. The Contractor hereby agrees that he shall have no right to additional compensation for any claim that may be based on any such act, failure to act, event, thing or occurrence for which no written notice of potential claim as herein required was filed. ---PAGE BREAK--- SPECIAL PROVISIONS S-7 Should the Contractor, in connection with or subsequent to the assertion of a potential claim, request inspection and copying of documents or records in the possession of the Department that pertain to the potential claim, Contractor shall make its record of the project, as deemed by the Department to be pertinent to the potential claim, available to the Department for inspection and copying. 5-1.05 FINAL PAYMENT AND CLAIMS Section 9-1.07B, “Final Payment and Claims,” of the State Standard Specifications is amended to read: 9-1.07B Final Payment and Claims After acceptance by the Director, the Engineer will make a proposed final estimate in writing of the total amount payable to the Contractor, including therein an itemization of said amount, segregated as to contract item quantities, extra work and any other basis for payment, and shall also shown therein all deductions made or to be made for prior payments and amounts to be kept or retained under the provisions of the contract. All prior estimates and payments shall be subject to correction in the proposed final estimate. The Contractor shall submit written approval of the proposed final estimate or a written statement of all claims arising under or by virtue of the contract so that the Engineer receives such written approval or statement of claims no later than close of business on the thirtieth day after receiving the proposed final estimate. If the thirtieth day falls on a Saturday, Sunday or legal holiday, then receipt of such written approval or statement of claims by the Engineer shall not be later than close of business of the next business day. No claim will be considered that was not included in the written statement of claims, nor will any claim be allowed as to which a notice or protest is required under the provisions in Sections 4-1.03, “Changes,” 8-1.06, “Time of Completion,” 8-1.07, “Liquidated Damages,” 5-1.116, “Differing Site Conditions,” 8-1.10, “Utility and Non-Highway Facilities,” and 9-1.04, “Notice of Potential Claim,” unless the Contractor has complied with the notice or protest requirements in said sections. On the Contractor’s approval, of if he files no claim within said period of 30 days, the Engineer will issue a final estimate in writing in accordance with the proposed final estimate submitted to the Contractor and within 30 days thereafter the City will pay the entire sum so found to be due. Such final estimate and payment thereon shall be conclusive and binding against both parties to the contract on all questions relating to the amount of work done and the compensation payable therefore, except as otherwise provided in Sections 9-1.03C, “Records,” and 9-1.09, “Clerical Errors.” If the Contractor within said period of 30 days files claims, the Engineer will issue a semifinal estimate in accordance with the proposed final estimate submitted to the Contractor and within 30 days thereafter the City will pay the sum so found to be due. Such semifinal estimate and payment thereon shall be conclusive and binding against both parties to the contract on all questions relating to the amount of work done and the compensation payable therefore, except insofar as affected by the claims filed within the time and in the manner required hereunder and except as otherwise provided in Sections 9-1.03C, “Records,” and 9-1.09, “Clerical Errors.” Claims filed by the Contractor shall be in sufficient detail to enable the Engineer to ascertain the basis and amount of said claims. If additional information or details are required by the Engineer to determine the basis and amount of said claims, the Contractor shall furnish such further information or details are received by the Engineer no later than the fifteenth day after receipt of the written request from the Engineer. If the fifteenth day falls upon a Saturday, Sunday or legal holiday, then receipt of such information or details by the Engineer shall not be later than close of business of the next business day. Failure to submit such information and details to the Engineer within the time specified will be sufficient cause for denying the claim. The Contractor shall keep full and complete records of the costs and additional time incurred for any work for which a claim for additional compensation is made. The Engineer or any designated claim investigator or auditor shall have access to those records and any other records as may be required by the Engineer to ---PAGE BREAK--- SPECIAL PROVISIONS S-8 determine the facts or contentions involved in the claims. Failure to permit access to such records shall be sufficient cause for denying the claims. Claims submitted by the Contractor shall be accompanied by a notarized certificate containing the following language: Under the penalty of law for perjury or falsification and with specific reference to the California False Claims Act, Government Code Section 12650 et. seq., the undersigned, (Name) (Title) (Company) Hereby certifies that the claim for the additional compensation and time, if any, made herein for the work on this contract is a true statement of the actual costs incurred and time sought, and is fully documented and supported under the contract between parties. Subscribed and sworn before me this day of Notary Public My Commission Failure to submit the notarized certificate will be sufficient cause for denying the claim. Any claim for overhead type expenses or costs, in addition to being certified as stated above, shall be supported by an audit report of an independent Certified Public Accountant. Any such overhead claim shall also be subject to audit by the City at its discretion. Any costs or expenses incurred by the City in reviewing or auditing any claims that are not supported by the Contractor’s cost accounting or other records shall be deemed to be damages incurred by the City within the meaning of the California False Claims Act. The Engineer will make the final determination of any claims which remain in dispute after completion of claim review by the Engineer. A board or person designated by said Engineer. The Contractor may meet with the review board or person to make a presentation in support of such claims. Upon final determination of the claims, the Engineer will then make and issue his final estimate in writing and within 30 days thereafter the City will pay the entire sum, if any, found due thereon. Such final estimate shall be conclusive and binding against both parties to the contract on all questions relating to the amount of work done and the compensation payable therefore, except as otherwise provided in Section 9-1.03C, “Records,” and 9-1.09, “Clerical Errors.” 5-1.06 REMOVAL OF ASBESTOS, LEAD PAINT AND HAZARDOUS SUBSTANCES When the presence of asbestos, lead paint or hazardous substances are not shown on the plans or indicated in the ---PAGE BREAK--- SPECIAL PROVISIONS S-9 specifications and the Contractor encounters materials which the Contractor reasonably believes to be asbestos or a hazardous substance as defined in Section 25914.1 of the Health and Safety Code, all such removal of asbestos or hazardous substances including any exploratory work to identify and determine the extent of such substances will be included in the lump sum price for this contract. If delay of work in the area delays the current controlling operation, the delay will be considered a right-of- way delay and the Contractor will be compensated for such delay as provided in Section 8-1.09, “Right of Way Delays,” of the State Standard Specifications. 5-1.07 LUMP SUM – All labor, materials and incidentals shall be provided for the lump sum prices specified in the Bid Schedule. 5-1.08 SUBCONTRACTING All subcontractors, suppliers and vendors shall comply with applicable Agency, City and Federal orders regarding affirmative action to ensure equal employment opportunities and fair employment practices. Fail to file any report due under said orders will result in suspension of periodic progress payments. 5-1.09 PAYMENTS Attention is directed to Section 9-1.06, “Partial Payments,” and 9-1.07, “Payment After Acceptance,” of the State Standard Specifications and these special provisions. In these sections revise “The Department” to “The City of El Cerrito.” For the purpose of making partial payments pursuant to Section 9-1.06, “Partial Payments,” of the Standard Specifications, the amount set forth for the contract items of work hereinafter listed shall be deemed to be the maximum value of said contract item of work which will be recognized for progress payment purposes. After acceptance of the contract pursuant to Section 7-1.17, “Acceptance of Contract,” of the Standard Specifications, the amount, if any, payable for a contract item of work in excess of the maximum value for progress payment purposes herein above listed for said item, will be included for payment in the first estimate made after acceptance of the contract. 5-1.10 SOUND CONTROL REQUIREMENTS Sound control shall conform to the provisions in Section 7-1.011, “Sound Control Requirements,” of the State Standard Specifications, these special provisions and Exhibit A – Mitigation Monitoring & Reporting Program. The noise level from the Contractor’s operations, between the hours of 7:30 p.m. and 7:00 a.m., shall not exceed 86 dbA at a distance of 50 feet. This requirement in no way relieves the Contractor from responsibility for complying with local ordinances regulating noise level. Said noise level requirement shall apply to all equipment on the job or related to the job, including but not limited to trucks, transit mixers or transient equipment that may or may not be owned by the Contractor. The use of loud sound signals shall be avoided in favor of light warnings except those required by safety laws for the protection of personnel. Full compensation for conforming to the requirements of this section shall be considered as included in the prices paid for the various contract items of work involved and no additional compensation will be allowed therefore. 5-1.11 CONTRACTOR’S LIABILITY The City of El Cerrito, the City Council or the Engineer shall not be answerable or accountable in any manner for any loss or damage that may happen to the work or any part thereof; or for any of the materials or other things used or employed in performing the work; or for injury to any person or persons, either workmen or the public; or for damage to any person or persons, either workmen or the public; or for damage to adjoining property from any cause which might have been prevented by the Contractor, or his workmen, or any one employed by him; against all of which injuries or damages to persons ---PAGE BREAK--- SPECIAL PROVISIONS S-10 and property the Contractor, having control over such work, must properly guard. The Contractor shall be responsible for any damage to any person or property resulting from defects or obstructions or any time before its completion and final acceptance. So much of the money due the Contractor under and by virtue of the Contract as shall be considered necessary by the City may be retained by the City until disposition has been made of any suits or claims for damages aforesaid. If, in the opinion of the Engineer, the precautions taken by the Contractor are not safe or adequate at any time during the life of the Contract, the Engineer may order the Contractor to take further precautions, and if the Contractor shall fail to do so, the Engineer may order the work done by others and charge the Contractor for the cost thereof, such cost to be deducted from any monies due or becoming due the Contractor. Failure of the Engineer to order such additional precautions, however, shall not relieve the Contractor from his full responsibility for public safety. 5-1.12 SPECIAL PAYMENT PROVISIONS This contract is further subject to the following provisions of California Government Code Section 20104.50: It is the intent of the Legislature in enacting this section to require all local governments to pay their contractors on time so that these contractors can meet their own obligations. In requiring prompt payment by all local governments, the Legislature hereby finds and declares that the prompt payment of outstanding receipts is not merely a municipal affair, but is, instead, a matter of statewide concern. It is the intent of the Legislature in enacting this article to fully occupy the field of public policy relating to the prompt payment of local governments' outstanding receipts. The Legislature finds and declares that all government officials, including those in local government, must set a standard of prompt payment that any business in the private sector which may contract for services should look towards for guidance. Any local agency which fails to make any progress payment within 30 days after receipt of an undisputed and properly submitted payment request from a contractor on a construction contract shall pay interest to the contractor equivalent to the legal rate set forth in subdivision of Section 685.010 of the Code of Civil Procedure. Upon receipt of a payment request, each local agency shall act in accordance with both of the following: Each payment request shall be reviewed by the local agency as soon as practicable after receipt for the purpose of determining that the payment request is a proper payment request. Any payment request determined not to be a proper payment request suitable for payment shall be returned to the contractor as soon as practicable, but not later than seven days, after receipt. A request returned pursuant to this paragraph shall be accompanied by a document setting forth in writing the reasons why the payment request is not proper. The number of days available to a local agency to make a payment without incurring interest pursuant to this section shall be reduced by the number of days by which a local ---PAGE BREAK--- SPECIAL PROVISIONS S-11 agency exceeds the seven-day return requirement set forth in paragraph of subdivision For purposes of this article: A “local agency” includes, but is not limited to, a city, including a charter city, a county, and a city and county, and is any public entity subject to this part. A “progress payment” includes all payments due contractors, except that portion of the final payment designated by the contract as retention earnings. A payment request shall be considered properly executed if funds are available for payment of the payment request, and payment is not delayed due to an audit inquiry by the financial officer of the local agency. Each local agency shall require that this article, or a summary thereof, be set forth in the terms of any contract subject to this article. ---PAGE BREAK--- 5/22/2000; Rev. 05/09/2011 F-1 Formal/Fed SECTION 6 FEDERAL REQUIREMENTS 6-1 DISADVANTAGED BUSINESS ENTERPRISE (DBE) CONTRACT PROVISIONS This Project is subject to Title 49 Code of Federal Regulations Part 26.13 (49 CFR 26.13) that states: “The contractor, sub recipient or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR part 26 in the award and administration of DOT-assisted contracts. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the recipient deems appropriate.” Disadvantaged business enterprises and other small business, as defined in 49CFR, Part 26, are encouraged to participate in the performance of contracts financed in whole or in part with federal funds. Bidders/Contractors’ attention is directed to the following provisions: 1. Any subcontract entered into as a result of this Project shall contain all of the provisions of this Section. 2. Take necessary and reasonable steps to ensure that DBEs have opportunity to participate in the Contract (49 CFR 26). DBE participation on this Contract will assist City and Caltrans in meeting its federally-mandated statewide overall DBE goal. 3. Make work available to Underutilized Disadvantaged Business Enterprises (UDBE) and select work parts consistent with available UDBE subcontractors and suppliers. 4. Meet the specified UDBE participation goal or demonstrate that adequate good faith efforts were made to meet this goal. 5. Verify that the UDBE firm is certified as DBE. For a list of certified DBEs, follow the link http://www.dot.ca.gov/hq/bep/find certified.htm for access to the California Unified Certification Program (CUCP) database. There is no specific certification for UDBE firms; however the CUCP database breaks down DBE firms by gender and ethnicity to facilitate locating UDBE firms. 6. UDBE is a firm that meets the definition of DBE as defined in 49CFR and is a member of one of the following groups: a. African Americans, b. Native Americans, c. Asian-Pacific Americans, d. Women. 7. References to DBEs include UDBEs, but references to UDBEs do not include all DBEs. 6-1.01 UNDER-UTILIZED DISADVANTAGED BUSINESS ENTERPRISES GOAL FOR THIS PROJECT To ensure that there is equal participation of the UDBE groups specified in 49 CFR 26.5, the City of El Cerrito specifies a contract participation goal for Underutilized Disadvantaged Business Enterprises (UDBEs) as indicated below: An Underutilized Disadvantaged Business Enterprise (UDBE) goal of 4% has been determined for this project. ---PAGE BREAK--- 5/22/2000; Rev. 05/09/2011 F-2 Formal/Fed Only UDBE participation will count towards the UDBE goal. 6-1.02 SUBMITTAL OF UDBE COMPLIANCE DOCUMENTATION AND CRITERIA FOR AWARD Following the Bid opening, the DBE Administrator shall evaluate Bid proposals for DBE compliance. The responsible Bidder with the lowest Bid price who also meets the contract-specified UDBE participation goal or demonstrates that sufficient good faith efforts were made to meet such goal shall be recommended for award. A Bid, which fails to achieve the specified contract-specified UDBE participation goal and fails to demonstrate good faith efforts to meet the contract-specified UDBE participation goal as outlined in “UDBE GOOD FAITH EFFORTS SUBMITTAL” below, will be deemed as non-responsive and, ineligible for award. A. UDBE COMMITMENT SUBMITTAL 1. No later than 5:00 PM on Wednesday of the week following Bid opening, the first three apparent low Bidders must submit completed and signed UDBE COMMITMENT (CONSTRUCTION CONTRACTS), EXHIBIT 15-G(1) and the UDBE INFORMATION - GOOD FAITH EFFORT (EXHIBIT 15-H) as described in “UDBE GOOD FAITH EFFORTS SUBMITTAL” below, to the Project Engineer per the instructions on the forms. Both forms are provided at the bid documents section of these special provisions. ALL UDBEs MUST HAVE BEEN LISTED ON THE SUBCONTRACTOR LIST SUBMITTED AT THE TIME OF BID. UDBEs LISTED ON EXHIBIT 15-G(1) THAT WERE NOT LISTED ON THE SUBCONTRACTOR LIST WILL NOT BE COUNTED TOWARDS MEETING THE UDBE GOAL. Written confirmation from each UDBE stating that it is participating in the Contract shall be included. A copy of a UDBE’s quote will serve as written confirmation that the UDBE is participating in the Contract. Other Bidders do not need to submit form unless requested by the Project Engineer. If requested, the completed form must be submitted within 4 business days of the request. If forms are not submitted within the specified time, Bids will be deemed non- responsive. 2. No later than 5:00 PM on Friday of the week following Bid Opening, the City will inform the three apparent low Bidders, by phone and written letter, as to compliance with the UDBE goal and/or demonstration of good faith efforts. B. UDBE GOOD FAITH EFFORTS SUBMITTAL UDBE INFORMATION - GOOD FAITH EFFORT (EXHIBIT 15-H) is required to be completed and submitted to show that adequate good faith efforts were made to meet the contract-specified UDBE participation goal in the event that the goal cannot be met. Bidders are cautioned that, even though their submitted 15-G(1) form indicates that they will meet the contract-specified goal, they are strongly encouraged to submit the Good Faith Effort to protect their eligibility for award of the Contract in the event that the City determines that the goal has not been met. Only good faith efforts directed towards obtaining participation by UDBEs will be considered. Bidder/Contractor’s documentation of its good faith efforts must include the following information and supporting documents, as necessary: ---PAGE BREAK--- 5/22/2000; Rev. 05/09/2011 F-3 Formal/Fed 1. Items of work made available to UDBE firms. Identify those items of work that Bidder/Contractor might otherwise perform with its own forces and those items that have been broken down into economically feasible units to facilitate UDBE participation. For each item listed, show the dollar value and percentage of the total contract. It is Bidder’s/ Contractor’s responsibility to demonstrate that sufficient work to meet the goal was made available to UDBE firms. 2. Names of certified UDBEs and dates on which they were solicited to bid on the Project. Include the items of work offered. Describe the methods used for following up initial solicitations to determine with certainty if the UDBEs were interested, and the dates of the follow-up. Attach supporting documents such as copies of letters, memos, facsimiles sent, telephone logs, telephone billing statements, and other evidence of solicitation. Bidder/Contractor is reminded to solicit certified UDBEs through all reasonable and available means and provide sufficient time to allow UDBEs to respond. 3. Name of selected firm and its status as a UDBE for each item of work made available. Include name, address, telephone number, and price quote provided by each UDBE. If the firm selected for the item is not a UDBE, provide the reasons for the selection. 4. Name and date of each publication in which Bidder/Contractor requested UDBE participation for the project. Attach copies of the published advertisements. 5. Names of agencies and dates on which they were contacted to provide assistance in contacting, recruiting, and using UDBE firms. If the agencies were contacted in writing, provide copies of supporting documents. 6. List of efforts made to provide interested UDBEs with adequate information about the Plans, Specifications, and requirements of the Contract to assist them in responding to a solicitation. If Bidder/Contractor provided information, identify the name of the UDBE assisted, the nature of the information provided, and date of contact. Provide copies of supporting documents, as appropriate. 7. List of efforts made to assist interested UDBEs in obtaining bonding, lines of credit, insurance, necessary equipment, supplies, and materials, excluding supplies and equipment that the UDBE subcontractor purchases or leases from the prime contractor or its affiliate. If such assistance is provided by Bidder/Contractor, identify the name of the UDBE assisted, nature of the assistance offered, and date. Provide copies of supporting documents, as appropriate. 8. Any additional documentation to support demonstration of good faith efforts. The Agency may consider the UDBE commitments of the 2nd and 3rd bidders when determining whether the low bidder made good faith efforts to meet the UDBE goal. 6-1.03 DBE PARTICIPATION CRITERIA AND REPORTING 1. A DBE performs a commercially useful function when it is responsible for execution of the Work of the Contract 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 responsible with respect to materials and supplies used on the Contract, for negotiating price, determining quality and quantity, ordering 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 ---PAGE BREAK--- 5/22/2000; Rev. 05/09/2011 F-4 Formal/Fed the Contract is commensurate with the work it is actually performing; and other relevant factors. 2. 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 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. 3. If a DBE does not perform or exercise responsibility for at least 30% of the total cost of its Contract with its own forces, or the DBE subcontracts a greater portion of the Work of the Contract 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. 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: 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 Contract and of the general character described by the specifications. 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 Contract, are brought, 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. 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, and manufacturers’ representatives, or other persons who arrange or expedite transactions are not regular dealers within the meaning of this Section. 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. 5. For DBE trucking companies, credit for DBEs will count DBE credit, and if a DBE is also a UDBE, credit will count towards the UDBE goal under the following conditions: The DBE must be responsible for the management and supervision of the entire ---PAGE BREAK--- 5/22/2000; Rev. 05/09/2011 F-5 Formal/Fed trucking operation for which it is responsible. The DBE must itself own and operate at least one fully licensed, insured, and operational truck used on the Contract. The DBE receives credit for the total value of the transportation services it provides on the Contract using trucks it owns, insures, and operates using drivers employed by the DBE. 6-1.04 DBE INFORMATION SUBMITTAL The successful Bidder must execute DBE INFORMATION (CONSTRUCTION CONTRACTS), EXHIBIT 15-G(2) of these Special Provisions even if no DBE participation will be reported. The purpose of the form is to collect data required under 49 CFR 26. Failure to submit this Form will prevent City from issuing the Notice to Proceed. The information provided on the Form should including UDBE firms listed on 15-G(1) also, since these are also DBEs. When 100 percent of a contract item of work is not to be performed or furnished by a DBE, a description of the exact portion of that work to be performed or furnished by that DBE should be included in the DBE information, including the planned location of that work. A successful Bidder certified as a DBE should describe the work it has committed to perform with its own forces as well as any other work that it has committed to be performed by DBE subcontractors, suppliers and trucking companies. The successful Bidder is encouraged to provide written confirmation from each DBE that the DBE is participating in the Contract. A copy of a DBE's quote will serve as written confirmation that the DBE is participating in the contract. If a DBE is participating as a joint venture partner, the successful Bidder is encouraged to submit a copy of the joint venture agreement. 6-1.05 DBE CERTIFICATION STATUS If a DBE subcontractor is decertified during the life of the Project, the decertified subcontractor shall notify the Contractor in writing with the date of decertification. If the subcontractor becomes a certified DBE during the life of the Project, the subcontractor shall notify the Contractor in writing with the date of certification. The Contractor shall furnish the written documentation to the Construction Manager of the Roads & Airports Department within 10 calendar days of receipt of the subcontractor’s DBE certification status change. Contractor’s attention is directed to “SUBCONTRACTOR AND DBE RECORDS” of these Special Provisions for additional information. 6-1.06 PERFORMANCE OF DBE SUBCONTRACTORS The subcontractors listed by the Bidder on LIST OF SUBCONTRACTORS shall perform the Work for which they are listed, unless the Contractor has received prior written authorization by the Project Engineer to perform the Work with other forces. The Contractor shall notify the Project Engineer in writing of any changes to its anticipated DBE participation. This notice must be provided prior to the commencement of that portion of Work. UDBEs must perform work or supply materials as listed in UDBE COMMITMENT (CONSTRUCTION CONTRACTS,) EXHIBIT 15-G(1) form. Contractor shall not terminate a UDBE listed subcontractor for convenience and perform the work with Contractor’s own forces or obtain materials from other sources without prior written authorization from the Project Engineer. The Project Engineer may grant authorization to use other forces or sources of materials for requests that show any of the following justifications: 1. Listed UDBE fails or refuses to execute a written contract based on the Project Plans and ---PAGE BREAK--- 5/22/2000; Rev. 05/09/2011 F-6 Formal/Fed Specifications. 2. Contractor stipulates a bond as a condition of executing the subcontract and the listed UDBE fails to meet Contractor’s bond requirements. 3. Work requires a contractor license and listed UDBE does not have a valid license under Contractors License Law. 4. Listed UDBE fails or refuses to perform the Work or furnish the listed materials. 5. Listed UDBE's work is unsatisfactory and not in compliance with the Contract. 6. Listed UDBE delays or disrupts the progress of the Work. 7. Listed UDBE becomes bankrupt or insolvent. If a listed UDBE subcontractor is terminated, Contractor must make good faith efforts to find another UDBE subcontractor to substitute for the original UDBE. The substitute UDBE must perform at least the same amount of work as the original UDBE under the Contract to the extent needed to meet the UDBE goal. The substitute UDBE must be certified as a DBE at the time of request for substitution. The Contractor shall not be entitled to any payment for such work or material unless it is performed or supplied by the listed UDBE, unless the UDBE is terminated in accordance with this Section. 6-1.07 SUBCONTRACTOR AND DBE RECORDS A. The Contractor must submit the following forms, provided in these Special Provisions, during the performance of the Contract. City may withhold payments to Contractor or take other action for Contractor’s failure to submit these forms per the form instructions. The withheld amount will be returned to Contractor when these forms are submitted and accepted by the Construction Manager. DBE INFORMATION (CONSTRUCTION CONTRACTS), EXHIBIT 15-G(2) Contractor’s attention is directed to Section 6-1.04 “DBE INFORMATION SUBMITTAL” of these Special Provisions. Form available from Engineer. REPORT ON DBE UTILIZATION, FIRST-TIER SUBCONTRACTORS. The information on this Form is required to monitor the progress compliance of DBE requirements during contract performance by Contractor and rectify any deficiency in its compliance in a timely fashion. Form available from Engineer. FINAL REPORT ON DBE UTILIZATION, FIRST-TIER SUBCONTRACTORS. This Form must be completed, certified as correct by the Contractor and furnished to the City within the time specified on the Form. A retention amount of $5,000 is held by the City until the Form is received and accepted by the Project Engineer. Form available from the Engineer. DBE CERTIFICATION STATUS CHANGE. Upon completion of the Work and prior to the Contract acceptance by the City, this Form must be completed, certified as correct by the Contractor or Contractor’s authorized representative and furnished to the City. Form available from Engineer. DBE TRUCKING VERIFICATION. Contractor utilizing DBE trucking services must submit for each month the Contractor paid for DBE trucking services. The information provided must include the truck number, owner’s name, California Highway Patrol CA number. Contractor shall include the following documentation along with the DBE Trucking ---PAGE BREAK--- 5/22/2000; Rev. 05/09/2011 F-7 Formal/Fed Verification Form: a. Amount paid by Contractor to DBE trucking companies, b. Amount paid by DBE trucking firms to all firms, including owner-operators, for the leasing of trucks. If the DBE leases trucks from a non-DBE, the Contractor may only count the fee or commission the DBE receives as a result of the lease agreement. This form is available from the Engineer. B. The Contractor shall maintain records showing the following: 1. Name and business address of every DBE subcontractor, DBE vendor of materials and DBE trucking company, regardless of tier; 2. Date of payment and total dollar figure paid to all of these firms; Date of work performed by its own force along with the corresponding dollar value of the work if the prime contractor is a DBE. 6-2 SUBCONTRACTING No subcontract releases you from the contract or relieves you of your responsibility for a subcontractor's work. If you violate Pub Cont Code § 4100 et seq., the Department may exercise the remedies provided under Pub Cont Code § 4110. The Department may refer the violation to the Contractors State License Board as provided under Pub Cont Code § 4111. Except for a building-construction non-federal-aid contract, perform work equaling at least 30 percent of the value of the original total bid with your employees and with equipment owned or rented by you, with or without operators. Each subcontract must comply with the contract. The Department encourages you to include a dispute resolution process in each subcontract. Each subcontractor must have an active and valid State contractor's license with a classification appropriate for the work to be performed (Bus & Prof Code, § 7000 et seq.). Submit copies of subcontracts upon request. Before subcontracted work starts, submit a Subcontracting Request form. Do not use a debarred contractor; a current list of debarred contractors is available at the Department of Industrial Relations' Web site. Upon request, immediately remove and not again use a subcontractor who fails to prosecute the work satisfactorily. 6-3 PROMPT PROGRESS PAYMENT TO SUBCONTRACTORS A prime contractor or subcontractor shall pay any subcontractor not later than 10 days of receipt of each progress payment in accordance with the provision in Section 7108.5 of the California Business and Professions Code concerning prompt payment to subcontractors. The 10 days is applicable unless a longer period is agreed to in writing. 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 Section 7108.5 shall subject the violating contractor or subcontractor to the penalties, sanctions and other remedies of that section. This requirement shall not be construed to limit or impair any contractual, administrative, or ---PAGE BREAK--- 5/22/2000; Rev. 05/09/2011 F-8 Formal/Fed judicial remedies otherwise available to the contractor or subcontractor in the event of a dispute involving late payment or nonpayment by the prime contractor, deficient subcontract performance, or noncompliance by a subcontractor. 6-4 PROMPT PAYMENT OF FUNDS WITHHELD TO SUBCONTRACTORS The Owner shall hold retainage from the Prime Contractor and shall make prompt and regular incremental acceptances of portions, as determined by the Owner of the Contract Work and pay retainage to the Prime Contractor based on these acceptances. The Prime Contractor or Subcontractor shall return all monies withheld in retention from a Subcontractor within 30 days after receiving payment for Work satisfactorily completed and accepted including incremental acceptances of portions of the Contract Work by the Owner. Federal regulation (49CFR26.29) requires that any delay or postponement of payment over 30 days may take place only for good cause and with the Owner’s prior written approval. Any violation of this provision shall subject the violating Prime Contractor or Subcontractor to the penalties, sanctions, and other remedies specified in Section 7108.5 of the California Business and Professions Code. These requirements shall not be construed to limit or impair any contractual, administrative, or judicial remedies otherwise, available to the Prime Contractor or Subcontractor in the event of a dispute involving late payment, or nonpayment by the Prime Contractor, deficient subcontract performance, or non-compliance by a Subcontractor. Any subcontract entered into as a result of this Contract must contain all of these provisions of this Section. 6-5 FEDERAL LOBBYING RESTRICTIONS 31 U.S.C. 1352 prohibits federal funds from being expended by the recipient or any lower tier sub- recipient of a federally funded contract to pay for any person for influencing or attempting to influence a federal agency or Congress in connection with the awarding of any federally funded contract, the making of any federal grant or loan, or the entering into of any cooperative agreement. A certification for federally funded contracts regarding payment of funds to lobby Congress or a Federal agency is included in the Bid Proposal as Bid Form 14 “Certification Regarding Use of Contract Funds for Lobbying.” If any funds other than federal funds have been paid for the same purposes in connection with this federally funded Contract, the recipient shall submit a completed Standard Form - LLL. "Disclosure of Lobbying Activities" (See Contract Form 7) in accordance with its instructions as part of the Contract Documents. The above referenced certification and disclosure of lobbying activities shall be included in each subcontract and any lower-tier contracts exceeding $100,000. All disclosure forms, but not certifications, shall be forwarded from tier to tier until received by the Project Engineer. The Contractor, Subcontractors and any lower-tier contractors shall file a disclosure form at the end of each calendar quarter in which there occurs any event that requires disclosure or that materially affects the accuracy of the information contained in any disclosure form previously filed by the Contractor, Subcontractors, and any lower-tier contractors. An event that materially affects the accuracy of the information reported includes: 1. A cumulative increase of $25,000 or more in the amount paid or expected to be paid for influencing or attempting to influence a covered federal action; or 2. A change in the person(s) or individual(s) influencing or attempting to influence a covered federal action; or, ---PAGE BREAK--- 5/22/2000; Rev. 05/09/2011 F-9 Formal/Fed 3. A change in the officer(s), employee(s), or member(s) contacted to influence or attempt to influence a covered federal action. 6-6 BUY AMERICA REQUIREMENTS Furnish steel and iron materials to be incorporated into the work that are produced in the United States except: 1. Foreign pig iron and processed, pelletized, and reduced iron ore may be used in the domestic production of the steel and iron materials [60 Fed Reg 15478 (03/24/1995)] 2. If the total combined cost of the materials does not exceed the greater of 0.1 percent of the total bid or $2,500, material produced outside the United States may be used Production includes: 1. Processing steel and iron materials, including smelting or other processes that alter the physical form or shape (such as rolling, extruding, machining, bending, grinding, and drilling) or chemical composition 2. Coating application, including epoxy coating, galvanizing, and painting, that protects or enhances the value of steel and iron materials For steel and iron materials to be incorporated into the work, submit a Certificate of Compliance under Section 6-1.07, "Certificates of Compliance," of the Standard Specifications that certifies all production processes occurred in the United States except for the above exceptions. 6-7 (Not Used) 6-8 FEDERAL REQUIREMENTS AND REQUIRED CONTRACT PROVISIONS FOR FEDERAL AID CONSTRUCTION PROJECTS 6-8.01 FEDERAL ON-THE-JOB TRAINING A Federal Trainee goal is not required. ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment A 5/22/2000; Rev. 05/09/2011 F-10 Formal/Fed SECTION 14. FEDERAL REQUIREMENTS FOR FEDERAL-AID CONSTRUCTION PROJECTS GENERAL.—The work herein proposed will be financed in whole or in part with Federal funds, and therefore all of the statutes, rules and regulations promulgated by the Federal Gov- ernment and applicable to work financed in whole or in part with Federal funds will apply to such work. The "Required Contract Provisions, Federal-Aid Construction Contracts, "Form FHWA 1273, are included in this Section 14. Whenever in said required contract provisions references are made to "SHA contracting officer," "SHA resident engineer," or "authorized representative of the SHA," such references shall be construed to mean "Engineer" as defined in Section 1-1.18 of the Standard Specifications. PERFORMANCE OF PREVIOUS CONTRACT.—In ad- dition to the provisions in Section II, "Nondiscrimination," and Section VII, "Subletting or Assigning the Contract," of the re- quired contract provisions, the Contractor shall comply with the following: The bidder shall execute the CERTIFICATION WITH RE- GARD TO THE PERFORMANCE OF PREVIOUS CON- TRACTS OR SUBCONTRACTS SUBJECT TO THE EQUAL OPPORTUNITY CLAUSE AND THE FILING OF REQUIRED REPORTS located in the proposal. No request for subletting or assigning any portion of the contract in excess of $10,000 will be considered under the provisions of Section VII of the required contract provisions unless such request is accompanied by the CERTIFICATION referred to above, executed by the proposed subcontractor. NON-COLLUSION PROVISION.—The provisions in this section are applicable to all contracts except contracts for Federal Aid Secondary projects. Title 23, United States Code, Section 112, requires as a condi- tion precedent to approval by the Federal Highway Administrator of the contract for this work that each bidder file a sworn statement executed by, or on behalf of, the person, firm, association, or corporation to whom such contract is to be awarded, certifying that such person, firm, association, or corporation has not, either directly or indirectly, entered into any agreement, participated in any collusion, or otherwise taken any action in restraint of free competitive bidding in connection with the submitted bid. A form to make the non-collusion affidavit statement required by Section 112 as a certification under penalty of perjury rather than as a sworn statement as permitted by 28, USC, Sec. 1746, is included in the proposal. PARTICIPATION BY DISADVANTAGED BUSINESS EN- TERPRISES IN SUBCONTRACTING.—Part 26, Title 49, Code of Federal Regulations applies to this Federal-aid project. Pertinent sections of said Code are incorporated in part or in its entirety within other sections of these special provisions. Schedule B—Information for Determining Joint Venture Eli- gibility (This form need not be filled in if all joint venture firms are DBE owned.) 1. Name of joint venture 2. Address of joint venture 3. Phone number of joint venture 4. Identify the firms which comprise the joint venture. (The DBE partner must complete Schedule a. Describe the role of the DBE firm in the joint venture. b. Describe very briefly the experience and business qualifications of each non-DBE joint venturer: 5. Nature of the joint venture’s business 6. Provide a copy of the joint venture agreement. 7. What is the claimed percentage of DBE ownership? 8. Ownership of joint venture: (This need not be filled in if described in the joint venture agreement, provided by question Revised 3-95 08-07-95 FR-1 ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment A 5/22/2000; Rev. 05/09/2011 F-11 Formal/Fed a. Profit and loss sharing. b. Capital contributions, including equipment. c. Other applicable ownership interests. 9. Control of and participation in this contract. Identify by name, race, sex, and "firm" those individuals (and their titles) who are responsible for day-to-day management and policy decision making, including, but not limited to, those with prime responsibility for: a. Financial decisions b. Management decisions, such as: 1. Estimating 2. Marketing and sales 3. Hiring and firing of management personnel 4. Purchasing of major items or supplies c. Supervision of field operations Note.—If, after filing this Schedule B and before the comple- tion of the joint venture’s work on the contract covered by this regulation, there is any significant change in the information submitted, the joint venture must inform the grantee, either di- rectly or through the prime contractor if the joint venture is a subcontractor. Affidavit "The undersigned swear that the foregoing statements are cor- rect and include all material information necessary to identify and explain the terms and operation of our joint venture and the intended participation by each joint venturer in the undertaking. Further, the undersigned covenant and agree to provide to grantee current, complete and accurate information regarding ac- tual joint venture work and the payment therefor and any pro- posed changes in any of the joint venture arrangements and to permit the audit and examination of the books, records and files of the joint venture, or those of each joint venturer relevant to the joint venture, by authorized representatives of the grantee or the Federal funding agency. Any material misrepresentation will be grounds for terminating any contract which may be awarded and for initiating action under Federal or State laws concerning false statements." Name of Firm Name of Firm Signature Signature Name Name Title Title Date Date Date State of County of On this day of 19 before me appeared (Name) to me personally known, who, being duly sworn, did execute the foregoing affi- davit, and did state that he or she was properly authorized by (Name of firm) to execute the affidavit and did so as his or her free act and deed. Notary Public Commission expires [Seal] Date State of County of On this day of 19 before me appeared (Name) to me personally known, who, being duly sworn, did execute the foregoing affidavit, and did state that he or she was properly authorized by (Name of firm) to execute the affidavit and did so as his or her free act and deed. Notary Public Commission expires [Seal] Revised 3-95 08-07-95 FR-2 ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment B F-12 REQUIRED CONTRACT PROVISIONS FEDERAL-AID CONSTRUCTION CONTRACTS (Exclusive of Appalachian Contracts) Page I. General 3 II. Nondiscrimination 3 III. Nonsegregated Facilities 5 IV. Payment of Predetermined Minimum Wage 6 V. Statements and Payrolls 8 VI. Record of Materials, Supplies, and Labor 9 VII. Subletting or Assigning the Contract 9 VIII. Safety: Accident Prevention 10 IX. False Statements Concerning Highway Project 10 X. Implementation of Clean Air Act and Federal Water Pollution Control 10 XI. Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion 11 XII. Certification Regarding Use of Contract Funds for Lobbying 12 ATTACHMENTS A. Employment Preference for Appalachian Contracts (included in Appalachian contracts only) I. GENERAL 1. These contract provisions shall apply to all work performed on the contract by the contractor’s own organization and with the assistance of workers under the contractor’s immediate superintendence and to all work performed on the contract by piecework, station work, or by subcontract. 2. Except as otherwise provided for in each section, the con- tractor shall insert in each subcontract all of the stipulations contained in these Required Contract Provisions, and further re- quire their inclusion in any lower tier subcontract or purchase order that may in turn be made. The Required Contract Provisions shall not be incorporated by reference in any case. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with these Required Contract Provisions. 3. A breach of any of the stipulations contained in these Re- quired Contract Provisions shall be sufficient grounds for termi- nation of the contract. 4. A breach of the following clauses of the Required Contract Provisions may also be grounds for debarment as provided in 29 CFR 5.12: Section I, paragraph 2; Section IV, paragraphs 1, 2, 3, 4, and 7; Section V, paragraphs 1 and 2a through 2g. 5. Disputes arising out of the labor standards provisions of Section IV (except paragraph 5) and Section V of these Required Contract Provisions shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accor- dance with the procedures of the U.S. Department of Labor (DOL) as set forth in 29 CFR 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the contracting agency, the DOL, or the contractor’s employees or their representatives. FR-3 6. Selection of Labor: During the performance of this contract, the contractor shall not: a. discriminate against labor from any other State, possession, or territory of the United States (except for employment preference for Appalachian contracts, when applicable, as specified in Attachment or b. employ convict labor for any purpose within the limits of the project unless it is labor performed by convicts who are on parole, supervised release, or probation. II. NONDISCRIMINATION (Applicable to all Federal-aid construction contracts and to all related subcontracts of $10,000 or more.) 1. Equal Employment Opportunity: Equal employment opportunity (EEO) requirements not to discriminate and to take affirmative action to assure equal opportunity as set forth under laws, executive orders, rules, regulations (28 CFR 35, 29 CFR 1630, and 41 CFR 60) and orders of the Secretary of Labor as modified by the provisions prescribed herein, and im- posed pursuant to 23 U.S.C. 140 shall constitute the EEO and specific affirmative action standards for the contractor’s project activities under this contract. The Equal Opportunity Construction Contract Specifications set forth under 41 CFR 60-4.3 and the provisions of the American Disabilities Act of 1990 (42 U.S.C. 12101 et seq.) set forth under 28 CFR 35 and 29 CFR 1630 are incorporated by reference in this contract. In the execution of this contract, the contractor agrees to comply with the following minimum specific requirement activities of EEO: a. The contractor will work with the State highway agency (SHA) and the Federal Government in carrying out EEO obli- gations and in their review of his/her activities under the con- tract. b. The contractor will accept as his operating policy the following statement: "It is the policy of this Company to assure that applicants are employed, and that employees are treated during employment, without regard to their race, religion, sex, color, national origin, age or disability. Such action shall include: employment, upgrading, demotion, or transfer; recruitment or recruitment ad- vertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprentice- ship, preapprenticeship, and/or on-the-job training." 2. EEO Officer: The contractor will designate and make known to the SHA contracting officers an EEO Officer who will have the responsibility for and must be capable of effectively ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment B 5/22/2000; Rev. 05/09/2011 F-13 Formal/Fed Form 1273 — Revised 3-95 08-07-95 administering and promoting an active contractor program of EEO and who must be assigned adequate authority and responsibility to do so. 3. Dissemination of Policy: All members of the contractor’s staff who are authorized to hire, supervise, promote, and discharge employees, or who recommend such action, or who are substantially involved in such action, will be made fully cognizant of, and will implement, the contractor’s EEO policy and contractual responsibilities to provide EEO in each grade and classification of employment. To ensure that the above agreement will be met, the following actions will be taken as a minimum: a. Periodic meetings of supervisory and personnel office employees will be conducted before the start of work and then not less often than once every six months, at which time the contractor’s EEO policy and its implementation will be re- viewed and explained. The meetings will be conducted by the EEO Officer. b. All new supervisory or personnel office employees will be given a thorough indoctrination by the EEO Officer, covering all major aspects of the contractor’s EEO obligations within thirty days following their reporting for duty with the contractor. c. All personnel who are engaged in direct recruitment for the project will be instructed by the EEO Officer in the contractor’s procedures for locating and hiring minority group employees. d. Notices and posters setting forth the contractor’s EEO policy will be placed in areas readily accessible to employees, applicants for employment and potential employees. e. The contractor’s EEO policy and the procedures to im- plement such policy will be brought to the attention of em- ployees by means of meetings, employee handbooks, or other appropriate means. 4. Recruitment: When advertising for employees, the contractor will include in all advertisements for employees the notation: "An Equal Opportunity Employer." All such adver- tisements will be placed in publications having a large circulation among minority groups in the area from which the project work force would normally be derived. a. The contractor will, unless precluded by a valid bargaining agreement, conduct systematic and direct recruitment through public and private employee referral sources likely to yield qualified minority group applicants. To meet this requirement, the contractor will identify sources of potential minority group employees, and establish with such identified sources procedures whereby minority group applicants may be referred to the contractor for employment consideration. b. In the event the contractor has a valid bargaining agreement providing for exclusive hiring hall referrals, he is expected to observe the provisions of that agreement to the extent that the system permits the contractor’s compliance with EEO contract provisions. (The DOL has held that where implementation of such agreements have the effect of discriminating against minorities or women, or obligates the contractor to do the same, such implementation violates Executive Order 11246, as amended.) c. The contractor will encourage his present employees to refer minority group applicants for employment. Information and procedures with regard to referring minority group applicants will be discussed with employees. 5. Personnel Actions: Wages, working conditions, and employee benefits shall be established and administered, and personnel actions of every type, including hiring, upgrading, promotion, transfer, demotion, layoff, and termination, shall be taken without regard to race, color, religion, sex, national origin, age or disability. The following procedures shall be followed: a. The contractor will conduct periodic inspections of project sites to ensure that working conditions and employee facilities do not indicate discriminatory treatment of project site personnel. b. The contractor will periodically evaluate the spread of wages paid within each classification to determine any evidence of discriminatory wage practices. c. The contractor will periodically review selected personnel actions in depth to determine whether there is evidence of discrimination. Where evidence is found, the contractor will take corrective action. If the review indicates that the discrimination may extend beyond the actions reviewed, such corrective action shall include all affected persons. d. The contractor will investigate all complaints of alleged discrimination made to the contractor in connection with his obligations under this contract, will attempt to resolve such complaints, and will take appropriate corrective action within a reasonable time. If the investigation indicates that the discrimination may affect persons other than the complainant, such corrective action shall include such other persons. Upon completion of each investigation, the contractor will inform every complainant of all of his avenues of appeal. 6. Training and Promotion: a. The contractor will assist in locating, qualifying, and increasing the skills of minority group and women employees, and applicants for employment. b. Consistent with the contractor’s work force requirements and as permissible under Federal and State regulations, the contractor shall make full use of training programs, i.e., apprenticeship, and on-the-job training programs for the ge- ographical area of contract performance. Where feasible, 25 percent of apprentices or trainees in each occupation shall be in their first year of apprenticeship or training. In the event a special provision for training is provided under this contract, this subparagraph will be superseded as indicated in the special provision. c. The contractor will advise employees and applicants for employment of available training programs and entrance re- quirements for each. d. The contractor will periodically review the training and promotion potential of minority group and women employees and will encourage eligible employees to apply for such training and promotion. Form 1273 — Revised 3-95 08-07-95 FR-4 ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment B F-14 7. Unions: If the contractor relies in whole or in part upon unions as a source of employees, the contractor will use his/her best efforts to obtain the cooperation of such unions to increase opportunities for minority groups and women within the unions, and to effect referrals by such unions of minority and female employees. Actions by the contractor either directly or through a contractor’s association acting as agent will include the procedures set forth below: a. The contractor will use best efforts to develop, in coop- eration with the unions, joint training programs aimed toward qualifying more minority group members and women for membership in the unions and increasing the skills of minority group employees and women so that they may qualify for higher paying employment. b. The contractor will use best efforts to incorporate an EEO clause into each union agreement to the end that such union will be contractually bound to refer applicants without regard to their race, color, religion, sex, national origin, age or disability. c. The contractor is to obtain information as to the referral practices and policies of the labor union except that to the extent such information is within the exclusive possession of the labor union and such labor union refuses to furnish such information to the contractor, the contractor shall so certify to the SHA and shall set forth what efforts have been made to obtain such information. d. In the event the union is unable to provide the contractor with a reasonable flow of minority and women referrals within the time limit set forth in the collective bargaining agreement, the contractor will, through independent recruitment efforts, fill the employment vacancies without regard to race, color, religion, sex, national origin, age or disability; making full efforts to obtain qualified and/or qualifiable minority group persons and women. (The DOL has held that it shall be no excuse that the union with which the contractor has a collective bargaining agreement providing for exclusive referral failed to refer minority employees.) In the event the union referral prac- tice prevents the contractor from meeting the obligations pursuant to Executive Order 11246, as amended, and these special provisions, such contractor shall immediately notify the SHA. 8. Selection of Subcontractors, Procurement of Materials and Leasing of Equipment: The contractor shall not discriminate on the grounds of race, color, religion, sex, national origin, age or disability in the selection and retention of subcontractors, including procurement of materials and leases of equipment. a. The contractor shall notify all potential subcontractors and suppliers of his/her EEO obligations under this contract. b. Disadvantaged business enterprises (DBE), as defined in 49 CFR 26, shall have equal opportunity to compete for and perform subcontracts which the contractor enters into pursuant to this contract. The contractor will use his best efforts to solicit bids from and to utilize DBE subcontractors or subcontractors with meaningful minority group and female representation among their employees. Contractors shall obtain lists of DBE construction firms from SHA personnel. c. The contractor will use his best efforts to ensure subcon- tractor compliance with their EEO obligations. 9. Records and Reports: The contractor shall keep such records as necessary to document compliance with the EEO requirements. Such records shall be retained for a period of three years following completion of the contract work and shall be available at reasonable times and places for inspection by au- thorized representatives of the SHA and the FHWA. a. The records kept by the contractor shall document the following: The number of minority and non-minority group members and women employed in each work classification on the project; The progress and efforts being made in cooperation with unions, when applicable, to increase employment op- portunities for minorities and women; The progress and efforts being made in locating, hiring, training, qualifying, and upgrading minority and female employees; and The progress and efforts being made in securing the services of DBE subcontractors or subcontractors with meaningful minority and female representation among their employees. b. The contractors will submit an annual report to the SHA each July for the duration of the project, indicating the number of minority, women, and non-minority group employees currently engaged in each work classification required by the contract work. This information is to be reported on Form FHWA-1391. If on-the-job training is being required by special provision, the contractor will be required to collect and report training data. III NONSEGREGATED FACILITIES (Applicable to all Federal-aid construction contracts and to all related subcontracts of $10,000 or more.) a. By submission of this bid, the execution of this contract or subcontract, or the consummation of this material supply agreement or purchase order, as appropriate, the bidder, Federal- aid construction contractor, subcontractor, material supplier, or vendor, as appropriate, certifies that the firm does not maintain or provide for its employees any segregated facilities at any of its establishments, and that the firm does not permit its employees to perform their services at any location, under its control, where segregated facilities are maintained. The firm agrees that a breach of this certification is a violation of the EEO provisions of this contract. The firm further certifies that no employee will be denied access to adequate facilities on the basis of sex or disability. b. As used in this certification, the term "segregated facilities" means any waiting rooms, work areas, restrooms and washrooms, restaurants and other eating areas, time clocks, locker rooms, and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees which are segregated by explicit directive, or are, in fact, seg- regated on the basis of race, color, religion, national origin, age or disability, because of habit, local custom, or otherwise. The only exception will be for the disabled when the demands for accessibility override (e.g. disabled parking). Form 1273 — Revised 3-95 08-07-95 FR-5 ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment B F-15 c. The contractor agrees that it has obtained or will obtain identical certification from proposed subcontractors or material suppliers prior to award of subcontracts or consummation of material supply agreements of $10,000 or more and that it will retain such certifications in its files. IV. PAYMENT OF PREDETERMINED MINIMUM WAGE (Applicable to all Federal-aid construction contracts exceeding $2,000 and to all related subcontracts, except for projects located on roadways classified as local roads or rural minor collectors, which are exempt.) 1. General: a. All mechanics and laborers employed or working upon the site of the work will be paid unconditionally and not less often than once a week and without subsequent deduction or rebate on any account [except such payroll deductions as are permitted by regulations (29 CFR issued by the Secretary of Labor under the Copeland Act (40 U.S.C. 276c) the full amounts of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment. The payment shall be computed at wage rates not less than those contained in the wage determination of the Secretary of Labor (hereinafter "the wage determination") which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor or its subcontractors and such laborers and mechanics. The wage determination (including any additional classifications and wage rates conformed under paragraph 2 of this Section IV and the DOL poster (WH-1321) or Form FHWA-1495) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. For the purpose of this Section, contributions made or costs reasonably anticipated for bona fide fringe benefits under Section 1(b)(2) of the Davis-Bacon Act (40 U.S.C. 276a) on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of Section IV, paragraph 3b, hereof. Also, for the purpose of this Section, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs, which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage deter- mination for the classification of work actually performed, without regard to skill, except as provided in paragraphs 4 and 5 of this Section IV. b. Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein, provided, that the employer’s payroll records accurately set forth the time spent in each classification in which work is performed. c. All rulings and interpretations of the Davis-Bacon Act and related acts contained in 29 CFR 1, 3, and 5 are herein incorporated by reference in this contract. 2. Classification: a. The SHA contracting officer shall require that any class of laborers or mechanics employed under the contract, which is not listed in the wage determination, shall be classified in conformance with the wage determination. b. The contracting officer shall approve an additional classification, wage rate and fringe benefits only when the following criteria have been met: the work to be performed by the additional classifi- cation requested is not performed by a classification in the wage determination; the additional classification is utilized in the area by the construction industry; the proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination; and with respect to helpers, when such a classification prevails in the area in which the work is performed. c. If the contractor or subcontractors, as appropriate, the laborers and mechanics (if known) to be employed in the addi- tional classification or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the DOL, Administrator of the Wage and Hour Division, Employment Standards Administration, Washington, D.C. 20210. The Wage and Hour Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. d. In the event the contractor or subcontractors, as appro- priate, the laborers or mechanics to be employed in the addi- tional classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Wage and Hour Administrator for determination. Said Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary e. The wage rate (including fringe benefits where appropriate) determined pursuant to paragraph 2c or 2d of this Section IV shall be paid to all workers performing work in the additional classification from the first day on which work is performed in the classification. 3. Payment of Fringe Benefits: a. Whenever the minimum wage rate prescribed in the con- tract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor or subcontractors, as appropriate, shall either pay the benefit Form 1273 — Revised 3-95 08-07-95 FR-6 ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment B F-16 as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly case equivalent thereof. b. If the contractor or subcontractor, as appropriate, does not make payments to a trustee or other third person, he/she may consider as a part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, provided, that the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. 4. Apprentices and Trainees (Programs of the U.S. DOL) and Helpers: a. Apprentices: Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the DOL, Employment and Training Administration, Bureau of Apprenticeship and Training, or with a State apprenticeship agency recognized by the Bureau, or if a person is employed in his/her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Bureau of Apprenticeship and Training or a State apprenticeship agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeyman-level employees on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any employee listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate listed in the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor or subcontractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman-level hourly rate) specified in the contractor’s or subcontractor’s registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice’s level of progress, expressed as a percentage of the journeyman- level hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator for the Wage and Hour Division determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Bureau of Apprenticeship and Training, or a State apprenticeship agency recognized by the Bureau, withdraws approval of an apprenticeship program, the contractor or subcontractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the comparable work performed by regular employees until an acceptable program is approved. b. Trainees: Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the DOL, Employment and Training Administration. The ratio of trainees to journeyman-level employees on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Every trainee must be paid at not less than the rate specified in the approved program for his/her level of progress, expressed as a percentage of the journeyman-level hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman-level wage rate on the wage determination which provides for less than full fringe benefits for apprentices, in which case such trainees shall re- ceive the same fringe benefits as apprentices. In the event the Employment and Training Adminis- tration withdraws approval of a training program, the con- tractor or subcontractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. c. Helpers: Helpers will be permitted to work on a project if the helper classification is specified and defined on the applicable wage determination or is approved pursuant to the conformance procedure set forth in Section IV.2. Any worker listed on a payroll at a helper wage rate, who is not a helper under an approved definition, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. Form 1273 — Revised 3-95 08-07-95 FR-7 ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment B F-17 5. Apprentices and Trainees (Programs of the U.S. DOT): Apprentices and trainees working under apprenticeship and skill training programs which have been certified by the Secretary of Transportation as promoting EEO in connection with Federal-aid highway construction programs are not subject to the requirements of paragraph 4 of this Section IV. The straight time hourly wage rates for apprentices and trainees under such programs will be established by the particular programs. The ratio of apprentices and trainees to journeymen shall not be greater than permitted by the terms of the particular program. 6. Withholding: The SHA shall upon its own action or upon written request of an authorized representative of the DOL withhold, or cause to be withheld, from the contractor or subcontractor under this contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to Davis-Bacon prevailing wage requirements which is held by the same prime contractor, as much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the contractor or any subcontractor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work, all or part of the wages required by the contract, the SHA contracting officer may, after written notice to the contractor, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. 7. Overtime Requirements: No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers, mechanics, watchmen, or guards (including apprentices, trainees, and helpers described in paragraphs 4 and 5 above) shall require or permit any laborer, mechanic, watchman, or guard in any workweek in which he/she is employed on such work, to work in excess of 40 hours in such workweek unless such laborer, mechanic, watchman, or guard receives compensation at a rate not less than one-and-one-half times his/her basic rate of pay for all hours worked in excess of 40 hours in such workweek. 8. Violation: Liability for Unpaid Wages; Liquidated Damages: In the event of any violation of the clause set forth in paragraph 7 above, the contractor and any subcontractor responsible thereof shall be liable to the affected employee for his/her unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory) for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer, mechanic, watchman, or guard employed in violation of the clause set forth in paragraph 7, in the sum of $10 for each calendar day on which such employee was required or permitted to work in excess of the standard work week of 40 hours without payment of the overtime wages required by the clause set forth in paragraph 7. 9. Withholding for Unpaid Wages and Liquidated Damages: The SHA shall upon its own action or upon written request of any authorized representative of the DOL withhold, or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph 8 above. V. STATEMENTS AND PAYROLLS (Applicable to all Federal-aid construction contracts exceeding $2,000 and to all related subcontracts, except for projects located on roadways classified as local roads or rural collectors, which are exempt.) 1. Compliance with Copeland Regulations (29 CFR The contractor shall comply with the Copeland Regulations of the Secretary of Labor which are herein incorporated by reference. 2. Payrolls and Payroll Records: a. Payrolls and basic records relating thereto shall be maintained by the contractor and each subcontractor during the course of the work and preserved for a period of 3 years from the date of completion of the contract for all laborers, mechanics, apprentices, trainees, watchmen, helpers, and guards working at the site of the work. b. The payroll records shall contain the name, social security number, and address of each such employee; his or her correct classification; hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalent thereof the types described in Section 1(b)(2)(B) of the Davis Bacon Act); daily and weekly number of hours worked; deductions made; and actual wages paid. In addition, for Appalachian contracts, the payroll records shall contain a notation indicating whether the employee does, or does not, normally reside in the labor area as defined in Attachment A, paragraph 1. Whenever the Secretary of Labor, pursuant to Sec- tion IV, paragraph 3b, has found that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in Section 1(b)(2)(B) of the Davis Bacon Act, the contractor and each subcontractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, that the plan or program has been communicated in writing to the laborers or mechanics affected, and show the cost anticipated or the actual cost incurred in providing benefits. Contractors or subcontractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprentices and trainees, and ratios and wage rates prescribed in the applicable programs. Form 1273 — Revised 3-95 08-07-95 FR-8 ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment B F-18 c. Each contractor and subcontractor shall furnish, each week in which any contract work is performed, to the SHA resident engineer a payroll of wages paid each of its employees (including apprentices, trainees, and helpers, described in Section IV, paragraphs 4 and 5, and watchmen and guards en- gaged on work during the preceding weekly payroll period). The payroll submitted shall set out accurately and completely all of the information required to be maintained under paragraph 2b of this Section V. This information may be submitted in any form desired. Optional Form WH-347 is available for this purpose and may be purchased from the Superintendent of Documents (Federal stock number [PHONE REDACTED]-1), U.S. Government Printing Office, Washington, D.C. 20402. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. d. Each payroll submitted shall be accompanied by a "Statement of Compliance," signed by the contractor or sub- contractor or his/her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following: that the payroll for the payroll period contains the information required to be maintained under paragraph 2b of this Section V and that such information is correct and complete; that such laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in the Regulations, 29 CFR 3; that each laborer or mechanic has been paid not less that the applicable wage rate and fringe benefits or cash equivalent for the classification of worked performed, as specified in the applicable wage determination incorporated into the contract. e. The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the "Statement of Compliance" required by paragraph 2d of this Section V. f. The falsification of any of the above certifications may subject the contractor to civil or criminal prosecution under 18 U.S.C. 1001 and 31 U.S.C. 231. g. The contractor or subcontractor shall make the records re- quired under paragraph 2b of this Section V available for in- spection, copying, or transcription by authorized representatives of the SHA, the FHWA, or the DOL, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the re- quired records or to make them available, the SHA, the FHWA, the DOL, or all may, after written notice to the contractor, sponsor, applicant, or owner, take such actions as may be nec- essary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12. VI. RECORD OF MATERIALS, SUPPLIES, AND LABOR 1. On all Federal-aid contracts on the National Highway System, except those which provide solely for the installation of protective devices at railroad grade crossings, those which are constructed on a force account or direct labor basis, highway beautification contracts, and contracts for which the total final construction cost for roadway and bridge is less than $1,000,000 (23 CFR 635); the contractor shall: a. Become familiar with the list of specific materials and supplies contained in Form FHWA-47, "Statement of Materials and Labor Used by Contractor of Highway Construction Involving Federal Funds," prior to the commencement of work under this contract. b. Maintain a record of the total cost of all materials and supplies purchased for and incorporated in the work, and also of the quantities of those specific materials and supplies listed on Form FHWA-47, and in the units shown on Form FHWA-47. c. Furnish, upon the completion of the contract, to the SHA resident engineer on Form FHWA-47 together with the data required in paragraph 1b relative to materials and supplies, a final labor summary of all contract work indicating the total hours worked and the total amount earned. 2. At the prime contractor’s option, either a single report covering all contract work or separate reports for the contractor and for each subcontract shall be submitted. VII. SUBLETTING OR ASSIGNING THE CONTRACT 1. The contractor shall perform with its own organization contract work amounting to not less than 30 percent (or a greater percentage if specified elsewhere in the contract) of the total original contract price, excluding any specialty items designated by the State. Specialty items may be performed by subcontract and the amount of any such specialty items performed may be deducted from the total original contract price before computing the amount of work required to be performed by the contractor’s own organization (23 CFR 635). a. "Its own organization" shall be construed to include only workers employed and paid directly by the prime contractor and equipment owned or rented by the prime contractor, with or without operators. Such term does not include employees or equipment of a subcontractor, assignee, or agent of the prime contractor. b. "Specialty Items" shall be construed to be limited to work that requires highly specialized knowledge, abilities, or equipment not ordinarily available in the type of contracting organizations qualified and expected to bid on the contract as a whole and in general are to be limited to minor components of the overall contract. Form 1273 — Revised 3-95 08-07-95 FR-9 ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment B F-19 2. The contract amount upon which the requirements set forth in paragraph 1 of Section VII is computed includes the cost of material and manufactured products which are to be purchased or produced by the contractor under the contract provisions. 3. The contractor shall furnish a competent superintendent or supervisor who is employed by the firm, has full authority to direct performance of the work in accordance with the contract requirements, and is in charge of all construction operations (regardless of who performs the work) and such other of its own organizational resources (supervision, management, and engineering services) as the SHA contracting officer determines is necessary to assure the performance of the contract. 4. No portion of the contract shall be sublet, assigned or otherwise disposed of except with the written consent of the SHA contracting officer, or authorized representative, and such consent when given shall not be construed to relieve the contractor of any responsibility for the fulfillment of the contract. Written consent will be given only after the SHA has assured that each subcontract is evidenced in writing and that it contains all pertinent provisions and requirements of the prime contract. VIII. SAFETY: ACCIDENT PREVENTION 1. In the performance of this contract the contractor shall comply with all applicable Federal, State, and local laws governing safety, health, and sanitation (23 CFR 635). The contractor shall provide all safeguards, safety devices and protective equipment and take any other needed actions as it determines, or as the SHA contracting officer may determine, to be reasonably necessary to protect the life and health of employees on the job and the safety of the public and to protect property in connection with the performance of the work covered by the contract. 2. It is a condition of this contract, and shall be made a con- dition of each subcontract, which the contractor enters into pur- suant to this contract, that the contractor and any subcontractor shall not permit any employee, in performance of the contract, to work in surroundings or under conditions which are unsanitary, hazardous or dangerous to his/her health or safety, as determined under construction safety and health standards (29 CFR 1926) promulgated by the Secretary of Labor, in accordance with Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 333). 3. Pursuant to 29 CFR 1926.3, it is a condition of this contract that the Secretary of Labor or authorized representative thereof, shall have right of entry to any site of contract performance to inspect or investigate the matter of compliance with the construction safety and health standards and to carry out the duties of the Secretary under Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 333). IX. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS In order to assure high quality and durable construction in conformity with approved plans and specifications and a high degree of reliability on statements and representations made by engineers, contractors, suppliers, and workers on Federal-aid highway projects, it is essential that all persons concerned with the project perform their functions as carefully, thoroughly, and honestly as possible. Willful falsification, distortion, or mis- representation with respect to any facts related to the project is a violation of Federal law. To prevent any misunderstanding re garding the seriousness of these and similar acts, the following notice shall be posted on each Federal-aid highway project (23 CFR 635) in one or more places where it is readily available to all persons concerned with the project: NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL-AID HIGHWAY PROJECTS 18 U.S.C. 1020 reads as follows: "Whoever being an officer, agent, or employee of the United States, or any State or Territory, or whoever, whether a person, association, firm, or corporation, knowingly makes any false statement, false representation, or false report as to the character, quality, quantity, or cost of the material used or to be used, or the quantity or quality of the work performed or to be performed, or the cost thereof in connection with the submission of plans, maps, specifications, contracts, or costs of construction on any highway or related project submitted for approval to the Secretary of Transportation; or Whoever knowingly makes any false statement, false repre- sentation, false report or false claim with respect to the character, quality, quantity, or cost of any work performed or to be per- formed, or materials furnished or to be furnished, in connection with the construction of any highway or related project approved by the Secretary of Transportation; or Whoever knowingly makes any false statement or false repre- sentation as to material fact in any statement, certificate, or report submitted pursuant to provisions of the Federal-aid Roads Act approved July 1, 1916, (39 Stat. 355), as amended and sup- plemented; Shall be fined not more that $10,000 or imprisoned not more than 5 years or both." X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT (Applicable to all Federal-aid construction contracts and to all related subcontracts of $100,000 or more.) By submission of this bid or the execution of this contract, or subcontract, as appropriate, the bidder, Federal-aid construction contractor, or subcontractor, as appropriate, will be deemed to have stipulated as follows: 1. That any facility that is or will be utilized in the performance of this contract, unless such contract is exempt under the Clean Air Act, as amended (42 U.S.C. 1857 et seq., as amended by Pub. L. 91-604), and under the Federal Water Pollution Control Act, as amended (33 U.S.C. 1251 et seq., as amended by Pub. L. 92-500), Executive Order 11738, and regulations in implementation thereof (40 CFR 15) is not listed, on the date of contract award, on the U.S. Environmental Protection Agency (EPA) List of Violating Facilities pursuant to 40 CFR 15.20. 2. That the firm agrees to comply and remain in compliance with all the requirements of Section 114 of the Clean Air Act and Section 308 of the Federal Water Pollution Control Act and all regulations and guidelines listed thereunder. 3. That the firm shall notify the SHA of the receipt of any communication from the Director, Office of Federal Activities, EPA, indicating that a facility that is or will be utilized Form 1273 — Revised 3-95 08-07-95 FR-10 ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment B F-20 for the contract is under consideration to be listed on the EPA List of Violating Facilities. 4. That the firm agrees to include or cause to be included the requirements of paragraph 1 through 4 of this Section X in every nonexempt subcontract, and further agrees to take such action as the government may direct as a means of enforcing such re- quirements. XI. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION 1. Instructions for Certification - Primary Covered Transactions: (Applicable to all Federal-aid contracts - 49 CFR 29) a. By signing and submitting this proposal, the prospective primary participant is providing the certification set out below. b. The inability of a person to provide the certification set out below will not necessarily result in denial of participation in this covered transaction. The prospective participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency’s determination whether to enter into this transaction. However, failure of the prospective primary participant to furnish a certification or an explanation shall disqualify such a person from participation in this transaction. c. The certification in this clause is a material representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If it is later determined that the prospective primary participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause of default. d. The prospective primary participant shall provide im- mediate written notice to the department or agency to whom this proposal is submitted if any time the prospective primary participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. e. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant," "person," "primary covered transaction," "principal," "proposal," and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the department or agency to which this proposal is submitted for assistance in obtaining a copy of those regulations. f. The prospective primary participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction. g. The prospective primary participant further agrees by submitting this proposal that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction," provided by the department or agency entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. h. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the el- igibility of its principals. Each participant may, but is not required to, check the nonprocurement portion of the "Lists of Parties Excluded From Federal Procurement or Nonprocurement Programs" (Nonprocurement List) which is compiled by the General Services Administration. i. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. j. Except for transactions authorized under paragraph f of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the de- partment or agency may terminate this transaction for cause or default. * * * * * Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion—Primary Covered Transactions 1. The prospective primary participant certifies to the best of its knowledge and belief, that it and its principals: a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency; b. Have not within a 3-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph 1b of this certification; and Form 1273 — Revised 3-95 08-07-95 FR-11 ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment B F-21 d. Have not within a 3-year period preceding this ap- plication/proposal had one or more public transactions (Federal, State or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. * * * * * 2. Instructions for Certification - Lower Tier Covered Transactions: (Applicable to all subcontracts, purchase orders and other lower tier transactions of $25,000 or more - 49 CFR 29) a. By signing and submitting this proposal, the prospective lower tier is providing the certification set out below. b. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. c. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous by reason of changed circumstances. d. The terms "covered transaction," "debarred," "suspended," "ineligible," "primary covered transaction," "participant," "person," "principal," "proposal," and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. e. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. f. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. g. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the el- igibility of its principals. Each participant may, but is not required to, check the Nonprocurement List. h. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. i. Except for transactions authorized under paragraph e of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the de- partment or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. * * * * * Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transactions 1. The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency. 2. Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. * * * * * XII. CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING (Applicable to all Federal-aid construction contracts and to all related subcontracts which exceed $100,000 - 49 CFR 20) 1. The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: a. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. b. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, Form 1273 — Revised 3-95 08-07-95 FR-12 ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment B F-22 grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. 2. This certification is a material representation of fact upon which reliance was placed when this transaction was made or en- tered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. 1352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. 3. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such recipients shall certify and disclose accordingly. Minority Utilization Goals Economic Area Goal (Percent) 174 Redding CA: Non-SMSA Counties: CA Lassen; CA Modoc; CA Plumas; CA Shasta; CA Siskiyou; CA Tehama 6.8 175 Eureka, CA Non-SMSA Counties: CA Del Norte; CA Humboldt; CA Trinity 6.6 176 San Francisco-Oakland-San Jose, CA: SMSA Counties: 7120 Salinas-Seaside-Monterey, CA CA Monterey 7360 San Francisco-Oakland CA Alameda; CA Contra Costa; CA Marin; CA San Francisco; CA San Mateo 7400 San Jose, CA CA Santa Clara, CA 7485 Santa Cruz, CA CA Santa Cruz 7500 Santa Rosa CA Sonoma 8720 Vallejo-Fairfield-Napa, CA CA Napa; CA Solano Non-SMSA Counties: CA Lake; CA Mendocino; CA San Benito 28.9 25.6 19.6 14.9 9.1 17.1 23.2 177 Sacramento, CA: SMSA Counties: 6920 Sacramento, CA CA Placer; CA Sacramento; CA Yolo Non-SMSA Counties CA Butte; CA Colusa; CA El Dorado; CA Glenn; CA Nevada; CA Sierra; CA Sutter; CA Yuba 16.1 14.3 178 Stockton-Modesto, CA: SMSA Counties: 5170 Modesto, CA CA Stanislaus 8120 Stockton, CA CA San Joaquin Non-SMSA Counties CA Alpine; CA Amador; CA Calaveras; CA Mariposa; CA Merced; CA Toulumne 12.3 24.3 19.8 FR-13 ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment B F-23 179 Fresno-Bakersfield, CA SMSA Counties: 0680 Bakersfield, CA CA Kern 2840 Fresno, CA CA Fresno Non-SMSA Counties: CA Kings; CA Madera; CA Tulare 19.1 26.1 23.6 180 Los Angeles, CA: SMSA Counties: 0360 Anaheim-Santa Ana-Garden Grove, CA CA Orange 4480 Los Angeles-Long Beach, CA CA Los Angeles 6000 Oxnard-Simi Valley-Ventura, CA CA Ventura 6780 Riverside-San Bernardino-Ontario, CA CA Riverside; CA San Bernardino 7480 Santa Barbara-Santa Maria-Lompoc, CA CA Santa Barbara Non-SMSA Counties CA Inyo; CA Mono; CA San Luis Obispo 11.9 28.3 21.5 19.0 19.7 24.6 181 San Diego, CA: SMSA Counties 7320 San Diego, CA CA San Diego Non-SMSA Counties CA Imperial 16.9 18.2 For each July during which work is performed under the contract, you and each non-material-supplier subcontractor with a subcontract of $10,000 or more must complete Form FHWA PR-1391 (Appendix C to 23 CFR 230). Submit the forms by August 15. Training This section applies if a number of trainees or apprentices is specified in the special provisions. As part of your equal opportunity affirmative action program, provide on-the-job training to develop full journeymen in the types of trades or job classifications involved. You have primary responsibility for meeting this training requirement. If you subcontract a contract part, determine how many trainees or apprentices are to be trained by the subcontractor. Include these training requirements in your subcontract. Where feasible, 25 percent of apprentices or trainees in each occupation must be in their 1st year of apprenticeship or training. FR-14 ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment B F-24 Distribute the number of apprentices or trainees among the work classifications on the basis of your needs and the availability of journeymen in the various classifications within a reasonable recruitment area. Before starting work, submit to the City/County of 1. Number of apprentices or trainees to be trained for each classification. 2. Training program to be used. 3. Training starting date for each classification. Obtain the City/County of approval for this submitted information before you start work. The City/County of credits you for each apprentice or trainee you employ on the work who is currently enrolled or becomes enrolled in an approved program. The primary objective of this section is to train and upgrade minorities and women toward journeymen status. Make every effort to enroll minority and women apprentices or trainees, such as conducting systematic and direct recruitment through public and private sources likely to yield minority and women apprentices or trainees, to the extent they are available within a reasonable recruitment area. Show that you have made the efforts. In making these efforts, do not discriminate against any applicant for training. Do not employ as an apprentice or trainee an employee: 1. In any classification in which the employee has successfully completed a training course leading to journeyman status, or in which the employee has been employed as a journeyman. 2. Who is not registered in a program approved by the US Department of Labor, Bureau of Apprenticeship and Training. Ask the employee if the employee has successfully completed a training course leading to journeyman status, or has been employed as a journeyman. Your records must show the employee's answers to the questions. In your training program, establish the minimum length and training type for each classification. The City/County of and FHWA approves a program if one of the following is met: 1. It is calculated to: 1.1. Meet your equal employment opportunity responsibilities. 1.2. Qualify the average apprentice or trainee for journeyman status in the classification involved by the end of the training period. 2. It is registered with the U.S. Department of Labor, Bureau of Apprenticeship and Training and it is administered in a way consistent with the equal employment responsibilities of federal-aid highway construction contracts. Obtain the State's approval for your training program before you start work involving the classification covered by the program. FR-15 ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment B F-25 Provide training in the construction crafts, not in clerk-typist or secretarial-type positions. Training is allowed in lower level management positions such as office engineers, estimators, and timekeepers if the training is oriented toward construction applications. Training is allowed in the laborer classification if significant and meaningful training is provided and approved by the division office. Off-site training is allowed if the training is an integral part of an approved training program and does not make up a significant part of the overall training. The City/County of reimburses you 80 cents per hour of training given an employee on this contract under an approved training program: 1. For on-site training. 2. For off-site training if the apprentice or trainee is currently employed on a federal-aid project and you do at least one of the following: 2.1. Contribute to the cost of the training. 2.2. Provide the instruction to the apprentice or trainee. 2.3. Pay the apprentice's or trainee's wages during the off-site training period. 3. If you comply with this section. Each apprentice or trainee must: 1. Begin training on the project as soon as feasible after the start of work involving the apprentice's or trainee's skill. 2. Remain on the project as long as training opportunities exist in the apprentice's or trainee's work classification, or until the apprentice or trainee has completed the training program. Furnish the apprentice or trainee: 1. Copy of the program you will comply with in providing the training. 2. Certification showing the type and length of training satisfactorily completed. Maintain records and submit reports documenting your performance under this section. FR-16 ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment E F-26 DEBARMENT AND SUSPENSION CERTIFICATION TITLE 49, CODE OF FEDERAL REGULATIONS, PART 29 The bidder, under penalty of perjury, certifies that, except as noted below, he/she or any other person associated therewith in the capacity of owner, partner, director, officer, manager: • is not currently under suspension, debarment, voluntary exclusion, or determination of ineligibility by any Federal agency; • has not been suspended, debarred, voluntarily excluded or determined ineligible by any Federal agency within the past 3 years; • does not have a proposed debarment pending; and • has not been indicted, convicted, or had a civil judgement rendered against it by a court of competent jurisdiction in any matter involving fraud or official misconduct within the past 3 years. If there are any exceptions to this certification, insert the exceptions in the following space. Exceptions will not necessarily result in denial of award, but will be considered in determining bidder responsibility. For any exception noted above, indicate below to whom it applies, initiating agency, and dates of action. Notes: Providing false information may result in criminal prosecution or administrative sanctions. The above certification is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Certification. ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment C F-27 THE BIDDER’S EXECUTION ON THE SIGNATURE PORTION OF THIS PROPOSAL SHALL ALSO CONSTITUTE AN ENDORSEMENT AND EXECUTION OF THOSE CERTIFICATIONS WHICH ARE A PART OF THIS PROPOSAL EQUAL EMPLOYMENT OPPORTUNITY CERTIFICATION The bidder proposed subcontractor hereby certifies that he has has not participated in a previous contract or subcontract subject to the equal opportunity clause, as required by Executive Orders 10925, 11114, or 11246, and that, where required, he has filed with the Joint Reporting Committee, the Director of the Office of Federal Contract Compliance, a Federal Government contracting or administering agency, or the former President’s Committee on Equal Employment Opportunity, all reports due under the applicable filing requirements. NOTE:The above certification is required by the Equal Employment Opportunity Regulations of the Secretary of Labor (41 CFR 60-1.7 must be submitted by bidders and proposed subcontractors only in connection with contracts and subcontracts which are subject to the equal opportunity clause. Contracts and subcontracts which are exempt from the equal opportunity clause are set forth in 41 CFR 60-1.5. (Generally only contracts or subcontracts of $10,000 or under are exempt.) Currently, Standard Form 100 (EEO-1) is the only report required by the Executive Orders or their implementing regulations. Proposed prime contractors and subcontractors who have participated in a previous contract or subcontract subject to the Executive Orders and have not filed the required reports should note that 41 CFR 60-1.7 prevents the award of contracts and subcontracts unless such contractor submits a report covering the delinquent period or such other period specified by the Federal Highway Administration or by the Director, Office of Federal Contract Compliance, U.S. Department of Labor. ---PAGE BREAK--- SECTION 6 F-28 Noncollusion Affidavit (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY of EL CERRTITO In conformance with Title 23 United States Code Section 112 and Public Contract Code 7106 the bidder declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the bidder has not directly or indirectly induced or solicited any other bidder to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived, or agreed with any bidder or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the bidder has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the bidder or any other bidder, or to fix any overhead, profit, or cost element of the bid price, or of that of any other bidder, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the bidder has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Noncollusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Noncollusion Affidavit. Bidders are cautioned that making a false certification may subject the certifier to criminal prosecution. ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment G F-29 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 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 name, MI) address if different from No. 10a) (last name, first name, MI) (attach Continuation Sheet(s) if necessary) 11. Amount of Payment (check all that apply) 13. Type of Payment (check all that apply) actual planned a. retainer b. one-time fee 12. Form of Payment (check all that apply): c. commission a. cash d. contingent fee b. in-kind; specify: nature e 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. Continuation Sheet(s) attached: Yes No 16. Information requested through this form is authorized by Title 31 U.S.C. Section 1352. This disclosure of lobbying reliance was placed by the tier above when his transaction was made or entered into. This disclosure is required pursuant to 31 U.S.C. 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 to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Signature: Print Title: Telephone No.: Authorized for Local Reproduction Federal Use Only: Standard Form - LLL Standard Form LLL Rev. 09-12-97 ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment G F-30 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. 1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence, the outcome of a covered Federal action. 2. Identify the status of the covered Federal action. 3. Identify the appropriate classification of this report. If this is a follow-up report caused by a material change to the information previously reported, enter the year and quarter in which the change 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 name, 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 name or description for the covered Federal action (item 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 1 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. 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. Enter the full names of the individual(s) performing services and include full address if different from 10 Enter Last Name, First Name and Middle Initial (Ml). 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 reponses, 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 fo reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0046), Washington, D.C. 20503. ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions Attachment F F-31 NONLOBBYING CERTIFICATION FOR FEDERAL-AID CONTRACTS The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: 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. 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 conformance 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 or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly. ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 17-O Disadvantaged Business Enterprises (DBE) Certification Status Change F-32 STATE OF CALIFORNIA – DEPARTMENT OF TRANSPORTATION DISADVANTAGED BUSINESS ENTERPRISES (DBE) CERTIFICATION STATUS CHANGE CP-CEM-2403(F) (New. 10/99) CONTACT NUMBER COUNTY ROUTE POST MILES ADMINISTERING AGENCY CONTRACT COMPETION DATE PRIME CONTRACTOR BUSINESS ADDRESS ESTIMATED CONTRACT AMOUNT Prime Contractor: List all DBEs with changes in certification status (certified/decertified) while in your employ, whether or not firms were originally listed for good credit. Attach DBE certification/Decertification letter in accordance with the Special Provisions CONTRACT ITEM NO. SUBCONTRACT NAME AND BUSINESS ADDRESS BUSINESS PHONE CERTIFICATION NUMBER AMOUNT PAID WHILE CERTIFIED CERTIFICATION/ DECERTIFICATION DATE Letter attached $ $ $ $ $ $ $ $ $ Comments: I CERTIFY THAT THE ABOVE INFORMATION IS COMPLETE AND CORRECT CONTRACTOR REPRESENTATIVE SIGNATURE TITLE BUSINESS PHONE NUMBER DATE TO THE BEST OF MY KNOWLEDGE, THE ABOVE INFORMATION IS COMPLETE AND CORRECT RESIDENT ENGINEER BUSINESS PHONE NUMBER DATE Distribution Original copy -DLAE Copy Business Enterprise Program 2) Prime Contactor 3) Local Agency 4) Resident Engineer ---PAGE BREAK--- EXHIBIT 17-O Local Assistance Procedures Manual Disadvantaged Business Enterprises (DBE) Certification Status Change F-33 Form CP-CEM 2403(F) (New 10/99) DISADVANTAGED BUSINESS ENTERPRISES (DBE) CHANGE IN CERTIFICATION STATUS REPORT The top of the form requires specific information regarding the construction project: Contract Number, County, Route, Post Miles, the Administering Agency, the Contract Completion Date, and the Estimated Contract Amount. It requires the Prime Contractor’s name and Business Address. The focus of the form is to substantiate and verify the actual DBE dollar amount paid to contractors on federally funded projects that had a changed in Certification status during the course of the completion of the contract. The two situations that are being addressed by CP-CEM 2403(F) are, if a firm certified as a DBE and doing work on the contract during the course of the project becomes Decertified, and if a non-DBE firm doing work on the contract during the course of the project becomes Certified as a DBE. The form has a column to enter the Contract Item No (or Item Nos.) as well as a column for the Subcontractor’s Name, Business Address, Business Phone, and contractor's Certification Number. The column entitled Amount Paid While Certified will be used to enter the actual dollar value of the work performed by those contractors who meet the conditions as outlined above during the time period they are Certified as a DBE. This column on the CP-CEM-2403(F) should only reflect the dollar value of work performed while the firm was Certified as a DBE. The column called Certification/Decertification Date (Letter attached) will reflect either the date of the Decertification Letter sent out by the Civil Rights Program or the date of the Certification Certificate mailed out by the Civil Rights Program. There is a box to check that support documentation is attached to the CP-CEM-2403 form. There is a Comments section for any additional information that may need to be provided regarding any of the above transactions. The CEM-2403(F) has an area at the bottom where the Contractor and the Resident Engineer sign and date that the information provided is complete and correct. There is a Comments section for any additional information that may need to be provided regarding any of the above transactions. The CEM-2403(F) has an area at the bottom where the Contractor and the Resident Engineer sign and date that the information provided is complete and correct. ---PAGE BREAK--- Local Assistance Procedures Manual EXHIBIT 17-F Final Report-Utilization of Disadvantaged Business Enterprises (DBE), First-Tier Subcontractors F-34 STATE OF CALIFORNIA - DEPARTMENT OF TRANSPORTATION FINAL REPORT-UTILIZATION OF DISADVANTAGED BUSINESS ENTERPRISES ADA Notice (DBE), FIRST-TIER SUBCONTRACTORS For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 654-6410 or TDD (916) 654-3880 or write Records and Forms CEM-2402F (REV 02/2008) Management, 1120 N Street, MS-89, Sacramento, CA 95814 CONTRACT NUMBER COUNTY ROUTE POST MILES FEDERAL AID PROJECT NO. ADMINISTERING AGENCY CONTRACT COMPLETION DATE PRIME CONTRACTOR BUSINESS ADDRESS ESTIMATED CONTRACT AMOUNT $ CONTRACT PAYMENTS ITEM NO. DESCRIPTION OF WORK PERFORMED AND MATERIAL PROVIDED COMPANY NAME AND BUSINESS ADDRESS DBE CERT. NUMBER NON-DBE DBE BA UDBE APA UDBE NA UDBE W UDBE DATE WORK COMPLETE DATE OF FINAL PAYMENT $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ ORIGINAL COMMITMENT BA- Black American TOTAL $ $ $ $ $ APA- Asian-Pacific Islander UDBE NA-Native American W-Woman List all First-Tier Subcontractors, Disadvantaged Business Enterprises (DBEs) and underutilized DBEs (UDBEs) regardless of tier, whether or not the firms were originally listed for goal credit. If actual UDBE utilization (or item of work) was different than that approved at time of award, provide comments on back of form. List actual amount paid to each entity. 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 Distribution-Caltrans contracts: Original - District Construction Copy- Business Enterprise Program Copy- Contractor Copy Resident Engineer Copy Distribution-Local Agency contracts: Original - District Local Assistance Engineer Copy- District Local Assistance Engineer Copy- Local Agency file ---PAGE BREAK--- EXHIBIT 17-F Local Assistance Procedures Manual Final Report-Utilization of Disadvantaged Business Enterprises (DBE), First-Tier Subcontractors F-35 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: http://www.dot.ca.gov/hq/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 BREAK--- SECTION 6 F-36 FEDERAL MINIMUM WAGE RATES Federal minimum wage rates dated 07/13/2012 are available for retrieval at one of the following websites: http://www.dot.ca.gov/hq/esc/oe/federal-wages/ca29.pdf, or http://www.access.gpo.gov/davisbacon/davbacsearch.html (Open the link, then click “Selecting DBA WDs”, then select State of California and County of Contra Costa, and click on the General Decision for the construction category applicable to the Project for the required Federal Wage Rates.) The Federal minimum wage rates referred hereinabove are incorporated in these Special Provisions by reference. Any revision issued by addendum during the advertising period is incorporated into these Special Provisions and becomes part of the Contract Documents at the time of Contract award and execution. A hard copy of the Federal minimum wage rates or the rates amended by addendum will be issued to the Contractor by a Work Order upon award of the Contract. Contractor must include the provision contained in this section and a hard copy of the Federal minimum wage rates in all of its subcontracts. ---PAGE BREAK--- F-37 SECTION 7 BLANK SECTION 8 BLANK SECTION 9 BLANK