HomeMy WebLinkAboutMINUTES - 01082013 - C.02RECOMMENDATION(S):
APPROVE and AUTHORIZE the Public Works Director, or designee, to execute Contract Amendment No. 2 with
Area West Environmental Inc. effective January 8, 2013, to revise sections of the Special Conditions of the contract,
and increase the Payment Limit by $8,608 to a new Payment Limit of $129,760 for additional necessary work
associated with the technical studies for the Camino Tassajara Shoulder Widening, east of Blackhawk Drive to Finley
Road project, Danville area. (District III) Project No. 0662-6R4131
FISCAL IMPACT:
This project is funded 54% Local Traffic Impact Fee Funds and 46% Highway Safety Improvement Program Funds.
BACKGROUND:
Effective September 15, 2011, the Public Works Department (Dept.) entered into a standard contract with Area West
Environmental Inc. and on February 7, 2012, executed Contract Amendment No. 1 to increase the Payment Limit not
to exceed $121,152.00 for environmental professional services for the Camino Tassajara Shoulder Widening,
Blackhawk Drive to Finley Road Project.
The contract needs to be amended due to unforeseen extra work in support of additional agency requirements and
changes to the Special Conditions regarding Payment Provisions.
A. Pursuant to the contract’s Service Plan, Section III-D-Task 9, Contractor will conduct extra work at an additional
cost, as follows:
APPROVE OTHER
RECOMMENDATION OF CNTY ADMINISTRATOR RECOMMENDATION OF BOARD COMMITTEE
Action of Board On: 01/08/2013 APPROVED AS RECOMMENDED OTHER
Clerks Notes:
VOTE OF SUPERVISORS
AYE:John Gioia, District I Supervisor
Candace Andersen, District II Supervisor
Mary N. Piepho, District III Supervisor
Karen Mitchoff, District IV Supervisor
Federal D. Glover, District V Supervisor
Contact: Ave Brown, PWD
Environmental, 925-313-2311
I hereby certify that this is a true and correct copy of an action taken and entered on the minutes
of the Board of Supervisors on the date shown.
ATTESTED: January 8, 2013
David Twa, County Administrator and Clerk of the Board of Supervisors
By: STACEY M. BOYD, Deputy
cc: P. Denison, PWD Finance, L. Chavez, PWD Environmental, A. Brown, PWD Environmental, T. Torres, PWD Environmental
C. 2
To:Board of Supervisors
From:Julia R. Bueren, Public Works
Date:January 8, 2013
Contra
Costa
County
Subject:APPROVE Contract Amendment #2 with Area West Environmental, Camino Tassajara Shoulder Widening, Danville
area. (District III)
1. Additional Burrowing Owl protocol surveys, per California Department of Fish and Game;
2. Changes to the Biological Assessment according to the U.S. Fish and Wildlife Services comments; and,
3. Preparation of a separate stand-alone wetland delineation to expedite U.S. Army Corps of Engineers.
B. Items 30 and 32 of the Special Conditions of the Contract are amended, as follows:
1. Item 30. Payment Method: Allows two methods of payment for contract work, as described in the amendment:
BACKGROUND: (CONT'D)
Actual Cost-Plus-Fixed Fee for Contract Tasks 1 through 6 and 8 through 14-Environmental Assessment / Study
work.
Specific Rate of Compensation for Contract Task 7-Construction Monitoring.
2. Item 32. Payment Retention: Allows the release of withheld funds in installments upon completion of required
Contract task work, as described in the amendment.
All other terms and conditions in the Contract entered into on September 15, 2011, and Amendment No. 1 entered
into on February 7, 2012 between the Dept. and the Contractor shall remain in full force and effect.
CONSEQUENCE OF NEGATIVE ACTION:
Without Board approval, environmental assessments will not be completed in a timely manner, therefore the
necessary environmental clearances will not be obtained; which may delay the construction of the project; and
may jeopardize funding.
CHILDREN'S IMPACT STATEMENT:
Not applicable.
ATTACHMENTS
Amendment 2 pkt
Amendment 1 Pkt
Original Contract
APPENDIX A
PAYMENT PROVISIONS
Professional Services Payment Rates & Personnel
G:\engsvc\ENVIRO\CONTRACTS & SBE\2011\(01) CONTRACTS\Camino Tass Shldr Widening-east of Blackhawk Dr. (WO 4131)-
Tech Studies (AREA WEST)\Appendix A (Rates) Payment Provisions-FINAL.doc
Payment Provisions:
A. County will pay Contractor at the hourly rates and other costs set
forth in Attachment 1 to this Appendix A.
B. Contractor will submit monthly invoices for services provided. All
invoices will reference the project name and number and the time
period of when work was performed (1st day through last day of the
month). Invoices will specify employee classifications, rates, and
hours, task, and description of the work performed.
C. Payment of Fees shall will be listed as a separate line i tem and
expressed as the lump sum agreed upon in Attachment 1 to this
Appendix A.
D. Contractor will submit any sub-contractor’s invoices with Contractor’s
related invoice.
Camino Tassajara
Shoulder Widening, east of Blackhawk Dr.
Attachment 1 to Appendix A
1) Cost Summary Proj. No. 0662-6R4131
Fed. Aid No. HSIPL-5928(105)
PRIME:
Area West Environmental, Inc.
RATES:
Classification Hours Hourly Rate Total
Project Manager 146 $68.87 $10,055.02
Senior Biologist 310 $60.00 $18,600.00
GIS Specialist 56 $56.00 $3,136.00
Botanist 40 $50.00 $2,000.00
Technician 112 $12.00 $1,344.00
$35,135.02
$0.00
$35,135.02
FRINGE BENEFITS Total
$1,756.75
INDIRECT COSTS
Overhead $16,864.81
General and Administrative $4,216.20
$21,081.01
FEE (Profit)$5,797.34
OTHER COSTS (Expenses)Quantity Rate Total
Travel Costs:
mileage (unit: miles)
[Lesser of $0.55/mile and current allowable IRS rate]
* fuel cost NOT reimbursable 3,960 $0.55 $2,178.00
bridge toll (unit: crossing)
* not to exceed current state bridge tolls 18 $5.00 $90.00
Subtotal:$2,268.00
Equipment and Supplies:
GPS / Rangefinder daily rental 5 $75.00 $375.00
Printing (various):
(not to exceed $1,800 total cost)1200 $1.50 $1,800.00
Subtotal:$2,175.00
$4,443.00
SUBCONTRACTOR COSTS
ATC $3,500.00
Far Western $15,680.12
JRP $3,891.59
$23,071.71
SUBTOTAL COSTS:
Total Direct Labor Costs:$35,135.02
Fringe Benefits:$1,756.75
Indirect Costs:$21,081.01
Fee (Profit)$5,797.34
Other Costs (Expenses):$4,443.00
Subconsultants Costs:$23,071.71
$91,284.83
$91,285.00
TOTAL Subconsultant Costs:
Subtotal Direct Labor Costs:
Anticipated Salary Increases:
TOTAL Direct Labor Costs:
TOTAL Other Costs (Expenses):
ROUNDED TOTAL:
TOTAL
Rate
5%
TOTAL Indirect Costs:
48%
12%
Attachment 1 to Appendix A:1) Cost Summary (1 of 4)
Camino Tassajara
Shoulder Widening, east of Blackhawk Dr.
Attachment 1 to Appendix A
1) Cost Summary Proj. No. 0662-6R4131
Fed. Aid No. HSIPL-5928(105)
SUBCONSULTANTS:
1) ATC Associates, Inc.
RATES:
Classification Hours Hourly Rate Total
Project Manager 20 $30.43 $608.60
Staff Scientist 40 $21.05 $842.00
Administrative 10 $17.45 $174.50
$1,625.10
$0.00
$1,625.10
FRINGE BENEFITS Total
$97.51
INDIRECT COSTS Overhead $780.05
General and Administrative $195.01
$975.06
FEE (Profit)$269.77
OTHER COSTS (Expenses)Quantity Rate Total
Travel Costs:$0.55 $60.00
Equipment and Supplies:
GPS usage $10.00
Printing 826 $0.56 $462.56
$532.56
SUBTOTAL COSTS:Total Direct Labor Costs:$1,625.10
Fringe Benefits:$97.51
Indirect Costs:$975.06
Fee (Profit)$269.77
Other Costs (Expenses):$532.56
$3,500.00
Anticipated Salary Increases:
TOTAL Direct Labor Costs:
Rate
6%
ATC ASSOCIATES TOTAL
Rate
Total Other Costs (Expenses):
48%
12%
Total Indirect Costs:
Subtotal Direct Labor Costs:
Attachment 1 to Appendix A:1) Cost Summary (2 of 4)
Camino Tassajara
Shoulder Widening, east of Blackhawk Dr.
Attachment 1 to Appendix A
1) Cost Summary Proj. No. 0662-6R4131
Fed. Aid No. HSIPL-5928(105)
SUBCONSULTANTS:
2) Far Western Anthropological
RATES:
Classification Hours Hourly Rate Total
Management:
PI/Project Director 4 $42.33 $169.32
Field Director/Flora Analysis 2 $30.91 $61.82
Contracts Administrator 4 $26.52 $106.08
Administrative Assistant 1 $19.50 $19.50
Total Management:$356.72
Field Director/Flora Analysis 20 $30.91 $618.20
Senior Geoarchaeologist 1 $40.80 $40.80
Staff Archaeologist 4 $26.52 $106.08
GIS Supervisor 4 $37.00 $148.00
Technician A/GIS/GPS Assist A 12 $20.40 $244.80
Total Pre-Field:$1,157.88
Field Director/Floral Analysis 8 $30.91 $247.28
Field Technician A 10 $17.42 $174.20
Technician A/GIS/GPS Assist A 1 $20.40 $20.40
Research Assistant 1 $19.32 $19.32
Total Field:$461.20
PI/Project Director 4 $42.33 $169.32
Field Director/Floral Analysis 80 $30.91 $2,472.80
Senior Geoarchaeologist 2 $40.80 $81.60
GIS Supervisor 2 $37.00 $74.00
Staff Archaeologist 6 $26.52 $159.12
Technician A/GIS/GPS Assist A 12 $20.40 $244.80
Production Supervisor 4 $33.66 $134.64
Production Assistant 32 $22.00 $704.00
Graphics C 4 $19.32 $77.28
Field Technician A 6 $17.42 $104.52
Total Report Write Up:$4,222.08
$6,197.88
$0.00
$6,197.88
FRINGE BENEFITS Total
$3,098.94
INDIRECT COSTS Overhead $3,594.77
General and Administrative $743.75
$4,338.52
FEE (Profit)$1,363.53
Subtotal Direct Labor Costs:
Anticipated Salary Increases:
Rate
58%
12%
TOTAL Direct Labor Costs:
Rate
50%
Pre-Field: APE Map Records Research; NA Consultation, Buried site assessment
Field: Equipment prep. Two people, one day travel 1.5 hr. one way): record one site; process GPS & photos
Report Write Up: Draft, possible multiple revisions; one final ASR; HPSR (JRP doesn't expect resources)
Total Indirect Costs:
Attachment 1 to Appendix A:1) Cost Summary (3 of 4)
Camino Tassajara
Shoulder Widening, east of Blackhawk Dr.
Attachment 1 to Appendix A
1) Cost Summary Proj. No. 0662-6R4131
Fed. Aid No. HSIPL-5928(105)
SUBCONSULTANTS:
Far Western Anthropological-
(Continued)
OTHER COSTS (Expenses)
Travel Costs:
Mileage 175 $0.55 $96.25
Equipment and Supplies:
Communications $35.00
Reproduction $75.00
Record Search: NWIC (hours)3 $150.00 $450.00
GLO other historic maps
from BLM, Sacramento $25.00
$681.25
SUBTOTAL COSTS:Total Direct Labor Costs:$6,197.88
Fringe Benefits:$3,098.94
Indirect Costs:$4,338.52
Fee (Profit)$1,363.53
Other Costs (Expenses):$681.25
$15,680.12
3) JRP Historical Consulting
RATES:
Classification Hours Hourly Rate Total
Principal/Partner 8 $52.90 $423.20
Architectural Historian / Historian 24 $24.85 $596.40
Research Assistant 16 $18.50 $296.00
Production Technician 2 $19.00 $38.00
Administrative Assistant I 2 $18.60 $37.20
Administrative Assistant II 8 $23.35 $186.80
$1,577.60
$0.00
$1,577.60
COMBINED:
FRINGE BENEFITS and INDIRECT COSTS
(Overhead, General & Administrative)
$1,883.84
$1,883.84
FEE (Profit)$346.15
OTHER COSTS (Expenses)Travel Costs:
Mileage 150 $0.51 $76.50
Equipment and Supplies:
Photo Copies 50 $0.15 $7.50
$84.00
SUBTOTAL COSTS:
Total Direct Labor Costs:$1,577.60
COMBINED COSTS
Fringe Benefits & Indirect Costs $1,883.84
Fee (Profit)$346.15
Other Costs (Expenses):$84.00
$3,891.59
Far Western TOTAL
Subtotal Direct Labor Costs:
Anticipated Salary Increases:
TOTAL Direct Labor Costs:
JRP HISTORICAL TOTAL
Rate
119%
Total COMBINED Costs:
Total Other Costs:
Total Other Costs:
Attachment 1 to Appendix A:1) Cost Summary (4 of 4)
Camino Tassajara
Shoulder Widening
east of Blackhawk Dr.
Attachment 1 to Appendix A
2) Maximum Rates Proj. No. 0662-6R4131
Fed. Aid Proj. No. HSIPL 5928(105)
PRIME:MAXIMUM RATES
Area West
Fringe Benefit %
[A]
Ovehead %
[B]
General Admin %
[C]
Combined %
[D] = [A] + [B] + [C]
Normal 5.00%48.00%12.00%65.00%
Classification Base Rate
[F]
Combined
FB + OH + GA
[G] = [F] * [D]
Subtotal
[H] = [F] + [G]
Project Manager $68.87 $44.77 $113.64
Senior Biologist $60.00 $39.00 $99.00
GIS Specialist $56.00 $36.40 $92.40
Botanist $50.00 $32.50 $82.50
Technician $12.00 $7.80 $19.80
SUBCONSULTANTS:MAXIMUM RATES
1) ATC Associates
Fringe Benefit %
[A]
Ovehead %
[B]
General Admin %
[C]
Combined %
[D] = [A] + [B] + [C]
Normal 6.00%48.00%12.00%66.00%
Classification Base Rate
[F]
Combined
FB + OH + GA
[G] = [F] * [D]
Subtotal
[H] = [F] + [G]
Project Manager $30.43 $14.61 $45.04
Staff Scientist $21.05 $10.10 $31.15
Administrative $17.45 $8.38 $25.83
Attachment 1 to Appendix A:2) Maximum Rates (1 of 3)
Camino Tassajara
Shoulder Widening
east of Blackhawk Dr.
Attachment 1 to Appendix A
2) Maximum Rates Proj. No. 0662-6R4131
Fed. Aid Proj. No. HSIPL 5928(105)
SUBCONSULTANTS:MAXIMUM RATES
2) Far Western
Fringe Benefit %
[A]
Ovehead %
[B]
General Admin %
[C]
Combined %
[D] = [A] + [B] + [C]
Normal 50.00%58.00%12.00%120.00%
Classification Base Rate
[F]
Combined
FB + OH + GA
[G] = [F] * [D]
Subtotal
[H] = [F] + [G]
PI/Project Director $42.33 $50.80 $93.13
Field Director/Flora Analysis $30.91 $37.09 $68.00
GIS Supervisor $37.00 $44.40 $81.40
Senior Geoarchaeologist $40.80 $48.96 $89.76
Staff Archaeologist $26.52 $31.82 $58.34
Technician A/
GIS/GPS/Assistant A $20.40 $24.48 $44.88
Field Technician A $17.42 $20.90 $38.32
Production Supervisor $33.66 $40.39 $74.05
Production Assistant $22.00 $26.40 $48.40
Graphics $19.32 $23.18 $42.50
Research Assistant $19.32 $23.18 $42.50
Contracts Administrator $26.52 $31.82 $58.34
Administrative Assistant $19.50 $23.40 $42.90
Attachment 1 to Appendix A:2) Maximum Rates (2 of 3)
Camino Tassajara
Shoulder Widening
east of Blackhawk Dr.
Attachment 1 to Appendix A
2) Maximum Rates Proj. No. 0662-6R4131
Fed. Aid Proj. No. HSIPL 5928(105)
SUBCONSULTANTS:MAXIMUM RATES
3) JRP Historical
Percentages:
(All Combined)
Fringe Benefit %
[A]
Ovehead %
[B]
General Admin %
[C]
Combined %
[D] = [A] + [B] + [C]
Normal 119.41%
Classification Base Rate
[F]
Combined
FB + OH + GA
[G] = [F] * [D]
Subtotal
[H] = [F] + [G]
Principal/Partner $52.90 $63.17 $116.07
Architectural Historian /
Historian $24.85 $29.67 $54.52
Production Technician $19.00 $22.69 $41.69
Research Assistant $18.50 $22.09 $40.59
Administrative Assistant I $18.60 $22.21 $40.81
Administrative Assistant II $23.35 $27.88 $51.23
Attachment 1 to Appendix A:2) Maximum Rates (3 of 3)
Camino Tassajara
Shoulder Widening,
east of Blackhawk Dr.
Attachment 1 to Appendix A
3) Key Project Personnel
0662-6R4131
Fed. Aid. No. HSIPL 5928 (105)
PRIME:
Name Classification
B.Rozumowicz Project Manager
A.Acala Senior Biologist / Project Coordinator
M.Bailey Botanist
E.Serra GIS Specialist
S.Green Technician
SUBCONSULTANTS:
1)
Name Classification
A.Krompholz Project Manager
N.Valera Staff Scientist
M.McKinnies Administrative
2)
Name Classification
Brian Byrd PI/Project Director
Eric Wohlgemuth Field Director/Flora Analysis
Paul Brandy GIS Supervisor
Jack Meyer Senior Geoarchaeologist
Phil Kaijankoski Staff Archaeologist
Shannon Dearmond Technician A/GIS/GPS/Assistant A
(various)Field Technician A
Heather Baron Production Supervisor
Nicole St. John Birney Production Assistant
Kathleen Montgomery Graphics
Wendy Masaweh Research Assistant
Jennifer Collier Contracts Administrator
Janice Reed Administrative Assistant
Far Western
Anthropological Research
Group, Inc.
ATC Associates, Inc.
Area West
Attachment 1 to Appendix A:3) Key Project Personnel (1 of 2)
Camino Tassajara
Shoulder Widening,
east of Blackhawk Dr.
Attachment 1 to Appendix A
3) Key Project Personnel
0662-6R4131
Fed. Aid. No. HSIPL 5928 (105)
3)
Name Classification
Rand Herbert Principal/Partner
Stephen Wee Principal/Partner
Meta Bunse Partner
Christopher McMorris Partner
Polly Allen Architectural Historian
Cheryl Brookshear Architectural Historian
Toni Webb Architectural Historian
Rita Clark Administrative Assistant I
Rhonda Scott Administrative Assistant II
Rebecca Flores Production Technician
Joseph Freeman Historian
Stephen Melvin Historian
Scott Miltenberger Historian
Heather Norby Historian
Bryan Larson Senior Historian
Chandra Miller Research Assistant
Heather Miller Research Assistant
Garret Root Research Assistant
JRP Historical Consulting
Attachment 1 to Appendix A:3) Key Project Personnel (2 of 2)
Camino Tassajara
Shoulder Widening,
east of Blackhawk Dr.
Attachment 1 of Appendix A
4) Cost Breakdown
and Fee Schedule
0662-6R4131
Fed. Aid. No. HSIPL-5928(105)Rozumowicz Project ManagerAlcala Sr. BiologistSerra GIS SpecialistBailey BotanistGreen TechnicianTOTALRozumowicz Project ManagerAlcala Sr. BiologistSerra GIS SpecialistBailey BotanistGreen TechnicianAWE Labor CostPrintingGPS and Laser Rangefinder RentalMileageFar WesternJRPATC113.64$ 99.00$ 92.40$ 82.50$ 19.80$
NES/BA (Task 1 & Task 2)88 160 52 24 82 406 $10,000.32 $15,840.00 $4,804.80 $1,980.00 $1,623.60 $34,248.72 $1,800.00 $150.00 $252.00 $36,450.72
HPSR/ASR (Task 3 & Task 4)18 18 $2,045.52 $0.00 $0.00 $0.00 $0.00 $2,045.52 $14,305.12 $3,541.59 $19,892.23
Total for Tasks 1, 2, 3, & 4 106 160 52 24 82 424 $12,045.84 $15,840.00 $4,804.80 $1,980.00 $1,623.60 $36,294.24 $1,800.00 $150.00 $252.00 $14,305.12 $3,541.59 $0.00 $56,342.95
*Note: Task 5-Mapping & GIS Support included
with Tasks 1 through 9 costs
Phase I ISA (Task 6-Optional)6 $681.84 $0.00 $0.00 $0.00 $0.00 $681.84 $3,230.23 $3,912.07
Construction Monitoring* (Task 7-Optional) 30 150 30 $3,409.20 $14,850.00 $0.00 $0.00 $594.00 $18,853.20 $75.00 $1,890.00 $20,818.20
Botanical Surveys (Task 8-Optional)4 4 16 $454.56 $0.00 $369.60 $1,320.00 $0.00 $2,144.16 $150.00 $126.00 $2,420.16
Total for Optional Tasks (6, 7, & 8)40 150 4 16 30 0 $4,545.60 $14,850.00 $369.60 $1,320.00 $594.00 $21,679.20 $0.00 $225.00 $2,016.00 $0.00 $0.00 $3,230.23 $27,150.43
Sub Markup (10%)0 $0.00 $0.00 $0.00
*Note: Task 9: Necessary extra work
at additional cost (amendment)
Total Services 146 310 56 40 112 424 $16,591.44 $30,690.00 $5,174.40 $3,300.00 $2,217.60 $57,973.44 $1,800.00 $375.00 $2,268.00 $14,305.12 $3,541.59 $3,230.23 $83,493.38
* This value is a daily rate assuming 15 -10 hour work days.
Task-Consultant
Record Search
and Field Review Draft Final Total Fee
NES/BA (Area West)684.97$ 1,027.46$ 1,712.44$ 3,424.87$
HPSR/ASR (Area West)204.55$ 204.55$
Phase I/Optional (Area West)68.18$ 68.18$
HPSR/ASR (Far Western)275.00$ 412.50$ 687.50$ 1,375.00$
HPSR/ASR (JRP)70.00$ 105.00$ 175.00$ 350.00$
Phase I / Optional (ATC)53.95$ 80.93$ 134.89$ 269.77$
Botanical Survey/Optional (Area West)214.42$
Construction Monitoring / Optional (Area
West)N/A 1,885.32$
Total Fee 7,792.11$
Total Contract 91,285.49$
Rounded Total 91,285.00$
Payment Target
Fee Schedule
Area West Environmental, Inc. - Cost Breakdown Summary
TASK
AWE Hours AWE Labor Cost Reimbursables Subconsultants
TOTALAttachment 1 to Appendix A 4)Cost Breakdown & Fee Schedule (1 of 1)
"Accredited by the American Public Works Association"
255 Glacier Drive Martinez, CA 94553-4825
TEL: (925) 313-2000 FAX: (925) 313-2333
www.cccpublicworks.org
Julia R. Bueren , Director
Deputy Directors
R. Mitch Avalon
Brian M. Balbas
Stephen Kowalewski
Exhibit 10-I Notice to Proposers DBE Information
March 8, 2011
NOTICE TO PROPOSERS
DISADVANTAGED BUSINESS ENTERPRISE
INFORMATION
The Agency has established an Underutilized DBE goal for this Agreement of 6.19% for the following
projects;
1) Camino Tassajara Shoulder Widening Project East of Blackhawk Dr. to Finley Rd.-
Environmental Technical Studies
2) San Pablo Bridge Replacement at Rodeo Creek - Environmental Technical Studies
1. TERMS AS USED IN THIS DOCUMENT
• The term “Disadvantaged Business Enterprise” or “DBE” means a for-profit small business
concern owned and controlled by a socially and economically disadvantaged person(s) as defined
in Title 49, Part 26.5, Code of Federal Regulations (CFR).
• The term “Underutilized Disadvantaged Business Enterprise” or “UDBE.” DBE classes that have
been determined in the 2007 Caltrans Disparity Study to have a statistically significant disparity
in their utilization in previously awarded transportation contracts. UDBEs include: African
Americans, Native Americans, Asian-Pacific Americans, and Women.
• The term “Agreement” also means “Contract.”
• Agency also means the local entity entering into this contract with the Contractor or Consultant.
• The term “Small Business” or “SB” is as defined in 49 CFR 26.65.
2. AUTHORITY AND RESPONSIBILITY
A. DBEs and other small businesses are strongly encouraged to participate in the performance of
Agreements financed in whole or in part with federal funds (See 49 CFR 26, “Participation by
Disadvantaged Business Enterprises in Department of Transportation Financial Assistance
Programs”). The Contractor should ensure that DBEs and other small businesses have the
opportunity to participate in the performance of the work that is the subject of this solicitation and
should take all necessary and reasonable steps for this assurance. The proposer shall not
discriminate on the basis of race, color, national origin, or sex in the award and performance of
subcontracts.
B. Proposers are encouraged to use services offered by financial institutions owned and controlled
by DBEs.
Page 10-49
July 31, 2009 LPP 09-02
EXHIBIT 10-I Local Assistance Procedures Manual
Notice to Proposers DBE Information
_____________________________________________________________________________________________
Page 10-50
July 31, 2009 LPP 09-02
3. SUBMISSION OF UDBE AND DBE INFORMATION
If there is a UDBE goal on the contract, a “Local Agency Proposer UDBE Commitment (Consultant
Contract)” (Exhibit 10-O1) form shall be included in the Request for Proposal. In order for a proposer
to be considered responsible and responsive, the proposer must make good faith efforts to meet the
goal established for the contract. If the goal is not met, the proposer must document a dequate good
faith efforts. Only UDBE participation will be counted towards the contract goal; however, all DBE
participation shall be collected and reported.
A “Local Agency Proposer DBE Information (Consultant Contract)” (Exhibit 10-O2) form shall be
included with the Request for Proposal. The purpose of the form is to collect data required under 49
CFR 26. For contracts with UDBE goals, this form collects DBE participation by DBEs owned by
Hispanic American and Subcontinent Asian Americans males (persons whose origin are from India,
Pakistan, Bangladesh, Bhutan, Maldives Islands, Nepal or Sri Lanka). For contracts with no goals,
this form collects information on all DBEs, including UDBEs. Even if no DBE participation will be
reported, the successful proposer must execute and return the form.
4. DBE PARTICIPATION GENERAL INFORMATION
It is the proposer’s responsibility to be fully informed regarding the requirements of 49 CFR, Part
26, and the Department’s DBE program developed pursuant to the regulations. Particular attention is
directed to the following:
A. A DBE must be a small business firm defined pursuant to 13 CFR 121 and be certified through
the California Unified Certification Program (CUCP).
B. A certified DBE may participate as a prime contractor, subcontractor, joint venture partner, as a
vendor of material or supplies, or as a trucking company.
C. A UDBE proposer not proposing as a joint venture with a non-DBE, will be required to document
one or a combination of the following:
1. The proposer is a UDBE and will meet the goal by performing work with its own forces.
2. The proposer will meet the goal through work performed by UDBE subcontractors, suppliers
or trucking companies.
3. The proposer, prior to proposing, made adequate good faith efforts to meet the goal.
D. A DBE joint venture partner must be responsible for specific contract items of work or clearly
defined portions thereof. Responsibility means actually performing, managing, and supervising
the work with its own forces. The DBE joint venture partner must share in the capital
contribution, control, management, risks and profits of the joint venture commensurate with its
ownership interest.
E. A DBE must perform a commercially useful function pursuant to 49 CFR 26.55, that is, a DB E
firm must be responsible for the execution of a distinct element of the work and must carry out its
responsibility by actually performing, managing and supervising the work.
F. The proposer shall list only one subcontractor for each portion of work as defined in their
proposal and all DBE subcontractors should be listed in the bid/cost proposal list of
subcontractors.
G. A prime contractor who is a certified DBE is eligible to claim all of the work in the Agreement
toward the DBE participation except that portion of the work to be performed by non-DBE
subcontractors.
Local Assistance Procedures Manual EXHIBIT 10-I
Notice to Proposers DBE Information
____________________________________________________________________________________________
Page 10-51
LPP 09-02 July 31, 2009
5. RESOURCES
A. The CUCP database includes the certified DBEs from all certifying agencies participating in the
CUCP. If you believe a firm is certified that cannot be located on the dat abase, please contact the
Caltrans Office of Certification toll free number 1-866-810-6346 for assistance. Proposer may
call (916) 440-0539 for web or download assistance.
B. Access the CUCP database from the Department of Transportation, Civil Rights, Business
Enterprise Program web site at: http://www.dot.ca.gov/hq/bep/.
• Click on the link in the left menu titled Disadvantaged Business Enterprise
• Click on Search for a DBE Firm link
• Click on Access to the DBE Query Form located on the first line in the center of the page
• Searches can be performed by one or more criteria
• Follow instructions on the screen
C. How to Obtain a List of Certified DBEs without Internet Access
D. DBE Directory: If you do not have Internet access, Caltrans also publishes a directory of certified
DBE firms extracted from the online database. A copy of the directory of certified DBEs may be
ordered at: http://caltrans-opac.ca.gov/publicat.htm
6. MATERIALS OR SUPPLIES PURCHASED FROM DBES COUNT TOWARDS DBE
CREDIT, AND IF A DBE IS ALSO A UDBE, PURCHASES WILL COUNT TOWARDS THE
UDBE GOAL UNDER THE FOLLOWING CONDITIONS:
A. If the materials or supplies are obtained from a DBE manufacturer, count 100 percent of the cost
of the materials or supplies. A DBE manufacturer is a firm that operates or maintains a factory, or
establishment that produces on the premises the materials, supplies, articles, or equipment
required under the Agreement and of the general character described by the specifications.
B. If the materials or supplies purchased from a DBE regular dealer, count 60 percent of the cost of
the materials or supplies. A DBE regular dealer is a firm that owns, operates or maintains a store,
warehouse, or other establishment in which the materials, supplies, articles or equipment of the
general character described by the specifications and required under the Agreement are bought,
kept in stock, and regularly sold or leased to the public in the usual course of business. To be a
DBE regular dealer, the firm must be an established, regular business that engages, as its principal
business and under its own name, in the purchase and sale or lease of the products in question. A
person may be a DBE regular dealer in such bulk items as petroleum products, steel, cement,
gravel, stone or asphalt without owning, operating or maintaining a place of business provided in
this section.
C. If the person both owns and operates distribution equipment for the products, any supplementing
of regular dealers’ own distribution equipment shall be, by a long-term lease agreement and not
an ad hoc or Agreement-by-Agreement basis. Packagers, brokers, manufacturers’ representatives,
or other persons who arrange or expedite transactions are not UDBE regular dealers within the
meaning of this section.
D. Materials or supplies purchased from a DBE, which is neither a manufacturer nor a regular dealer,
will be limited to the entire amount of fees or commissions charged for assistance in the
procurement of the materials and supplies, or fees or transportation charges for the delivery of
materials or supplies required on the job site, provided the fees are reasonable and not excessive
as compared with fees charged for similar services.
EXHIBIT 10-I Local Assistance Procedures Manual
Notice to Proposers DBE Information
_____________________________________________________________________________________________
Page 10-52
July 31, 2009 LPP 09-02
7. FOR DBE TRUCKING COMPANIES: CREDIT FOR DBES WILL COUNT TOWARDS DBE CREDIT, AND
IF A DBE IS A UDBE, CREDIT WILL COUNT TOWARDS THE UDBE GOAL UNDER THE FOLLOWING
CONDITIONS:
A. The DBE must be responsible for the management and supervision of the entire trucking
operation for which it is responsible on a particular Agreement, and there cannot be a contrived
arrangement for the purpose of meeting the UDBE goal.
B. The DBE must itself own and operate at least one fully licensed, insured, and operational truck
used on the Agreement.
C. The DBE receives credit for the total value of the transportation services it provides on the
Agreement using trucks it owns, insures, and operates using drivers it employs.
D. The DBE may lease trucks from another DBE firm including an owner-operator who is certified
as a DBE. A DBE who leases trucks from another DBE receives credit for the total value of the
transportation services the lessee DBE provides on the Agreement.
E. The DBE may also lease trucks from a non-DBE firm, including an owner-operator. A DBE who
leases trucks from a non-DBE is entitled to credit only for the fee or commission it receives as a
result of the lease arrangement. A DBE does not receive credit for the total value of the
transportation services provided by the lessee, since these services are not provided by the DBE.
F. For the purposes of this Section D, a lease must indicate that the DBE has exclusive use and control
over the truck. This does not preclude the leased truck from working for others during the term o f
the lease with the consent of the DBE, as long as the lease gives the DBE absolute priority for use
of the leased truck. Leased trucks must display the name and identification number of the DBE.
(DBE), FIRST-TIER SUBCONTRACTORS
Local Assistance Procedures Manual EXHIBIT 17-E
Final Report-Utilization of Disadvantaged Business Enterprises (DBE), First-Tier Subcontractors
STATE OF CALIFORNIA - DEPARTMENT OF TRANSPORTATION
FINAL REPORT-UTILIZATION OF DISADVANTAGED BUSINESS ENTERPRISES ADA Notice
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 Management, 1120 N Street,
MS-89, Sacramento, CA 95814
CEM-2402F (REV 02/2008)
CONTRACT NUMBER COUNTY ROUTE POST MILES FEDERAL AID PROJECT NO. ADMINISTERING AGENCY CONTRACT COMPLETION DATE
PRIME CONTRACTOR
BUSINESS ADDRESS
ESTIMATED CONTRACT AMOUNT
$
ITE
M
NO.
DESCRIPTION OF
W ORK PERFORMED
AND MATERIAL
PROVIDED
COMPANY NAME AND
BUSINESS ADDRESS
DBE CERT.
NUMBER
CONTRACT PAYMENTS
NON-DBE
DBE BA
UDBE
APA
UDBE
NA
UDBE
W
UDBE
DATE WORK
COMPLETE
DATE OF
FINAL
PAYMENT
$ $ $ $ $ $
$ $ $ $ $ $
$ $ $ $ $ $
$ $ $ $ $ $
$ $ $ $ $ $
$ $ $ $ $ $
$ $ $ $ $ $
$ $ $ $ $ $
$ $ $ $ $ $
$ $ $ $ $ $
$ $ $ $ $ $
$ $ $ $ $ $
ORIGINAL COMMITMENT
$
TOTAL
$
$
$
$
$
$
BA--Black American
APA--Asian-Pacific Islander
UDBE
List all First-Tier Subcontractors, Disad
of work) was different than that approve
NA--Native American
W-Woman
vantaged 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
d 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
(submitted with the Report of Expenditure
Copy- District Local Assistance Engineer Copy- Local Agency file
Page 17-21
LPP 09-02 July 31, 2009
EXHIBIT 17-F Local Assistance Procedures Manual
Final Report-Utilization of Disadvantaged Business Enterprises (DBE), First-Tier Subcontractors
FINAL REPORT – UTILIZATION OF DISADVANTAGED BUSINESS
ENTERPRISES (DBE), FIRST-TIER SUBCONTRACTORS
CEM 2402(F) (Rev. 02/2008)
The form requires specific information regarding the construction project: Contract Number, County, Route, Post
Miles, Federal-aid Project No., the Administering Agency, the Contract Completion Date and the Estimated Contract
Amount. It requires the prime contractor name and business address. The focus of the form is to describe who did what
by contract item number and descriptions, asking for specific dollar values of item work completed broken down by
subcontractors who performed the work both DBE and non-DBE work forces. DBE prime contractors are required to
show the date of work performed by their own forces along with the corresponding dollar value of work.
The form has a column to enter the Contract Item No. (or Item No's) and description of work performed or materials
provided, as well as a column for the subcontractor name and business address. For those firms who are DBE, there is a
column to enter their DBE Certification Number. The DBE should provide their certification number to the contractor and
notify the contractor in writing with the date of the decertification if their status should change during the course of the
project.
The form has six columns for the dollar value to be entered for the item work performed by the subcontractor.
The Non-DBE column is used to enter the dollar value of work performed for firms who are not certified
DBE.
The decision of which column to be used for entering the DBE dollar value is based on what program(s)
status the firm is certified. This program status is determined by the California Unified Certification Program
by ethnicity, gender, ownership, and control issues at time of certification. To confirm the certification status
and program status, access the Department of Transportation Civil Rights web site at:
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 17-22
July 31, 2009 LPP 09-02