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Home My WebLink AboutMINUTES - 04232013 - C.01RECOMMENDATION(S): APPROVE and AUTHORIZE the Public Works Director, or designee, to execute a contract with LSA Associates, Inc. (LSA), in an amount not to exceed $186,000 for the period of April 25, 2013 through April 24, 2015, to provide environmental services for the Marsh Creek Road Bridge (Br. No. 28C-0141) Replacement project, Clayton area. (District IV) Project No. 0662-6R4079; Federal Aid Project No. BRLO-5928(107) FISCAL IMPACT: Work performed under this contract is funded by 88.53% Federal Highway Bridge Program funds and 11.47% Local Road funds. BACKGROUND: Contra Costa County (County) Public Works Department (Department) intends to replace the existing Marsh Creek Road Bridge (28C-0141), 2 miles east of Morgan Territory Road, located in the Clayton area. The Marsh Creek Road Bridge Replacement Project (Project) consists of widening and realigning the sections of Marsh Creek Road leading up to the bridge and constructing a new bridge. The Project is federally funded, which requires special environmental analysis, assessments, and technical studies, and APPROVE OTHER RECOMMENDATION OF CNTY ADMINISTRATOR RECOMMENDATION OF BOARD COMMITTEE Action of Board On: 04/23/2013 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: Trina Torres, (925) 313-2176 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: April 23, 2013 David Twa, County Administrator and Clerk of the Board of Supervisors By: Stacey M. Boyd, Deputy cc: Auditor-Controller, Public Works Finance, Public Works Design/Construction-N.Leary, Public Works Enviro., Public Works, Enviro HH C. 1 To:Board of Supervisors From:Julia R. Bueren, Public Works Director/Chief Engineer Date:April 23, 2013 Contra Costa County Subject:Execute a contract with LSA Associates, Inc. (LSA) for Environmental Services for Marsh Creek Rd Bridge Replacement, Clayton area. BACKGROUND: (CONT'D) associated reports to ensure environmental compliance in accordance with the standards and protocols pursuant to the following environmental laws and regulations: Federal Highway Administration (FHWA), California Department of Transportation Local Assistance (Caltrans), United States Army Corps of Engineers, National Environmental Policy Act (NEPA), the California Environmental Quality Act (CEQA), the Clean Water Act, the Porter-Cologne Water Quality Act, and the State and Federal Endangered Species Acts. All studies must meet Caltrans requirements as well as state and federal requirements. The Project is located within the East Contra Costa County Habitat Conservation Plan/Natural Community Conservation Plan (HCP/NCCP) area, which also requires specialized assessments and surveys pursuant to the HCP/NCCP Plan. The Contract is needed to conduct required environmental assessments and studies to assist Public Works Department staff with environmental compliance in support of the Project. After a solicitation process, LSA Associates, Inc. was selected to provide environmental services in support of the Project. The Department has determined that LSA is qualified to conduct required environmental assessments and studies for environmental compliance necessary for the Project. CONSEQUENCE OF NEGATIVE ACTION: If the contract is not approved by the Board of Supervisors, the Project will not obtain necessary environmental clearances, which may jeopardize funding and cause delays with construction of the Project. CHILDREN'S IMPACT STATEMENT: Not applicable. ATTACHMENTS Completed Contract packet Appendix A Payment Provisions Attachment G:\EngSvc\ENVIRO\CONTRACTS & SBE\2012\MARSH CRK. Rd. BRIDGE Replacement (WO#4079)-Tech. Studies\(04) CONTRACT\(01) FORMS\(01) Individual\Appendix A-Payment Provisions Attachment (Final).doc Payment Provisions: A. County will pay Contractor at the hourly rates and for other costs as set forth in Appendices B,C,D,E,F, and G, attached to this Contract. B. Contractor will submit monthly invoices for services provided until County determines that work is complete. 1. Invoices must specify Project name, Project number, and the time period of when services were performed (first day through last day of each month). 2. Invoices will specify employee names, classifications, hours, and rates, (consistent with Appendices B and C), and description of the work performed. Contractor’s fee for each task will be listed as a separate line item consistent with Appendix G (Fee Schedule). 3. Invoices will identify any subcontractor work and attach subcontractor’s invoices with Contractor’s related invoice. 4. Reimbursable Items - Invoices must: a. Include date of invoice, miles & dates traveled, mileage rate, and have copies of receipts for reimbursable items. 1) Fuel usage is part of the mileage rate. Therefore no reimbursement will be paid for purchase of fuel. C. County will pay Contractor’s fee (Profit) in accordance with Appendix G (Fee Schedule), attached hereto. D. County will release retention for the completion of Contract Task work as described in the Special Conditions, Section B.32 Payment Retention of this Contract. Appendix C Maximum Rates PRIME Contractor: LSA Associates, Inc. Base Rate [A] Fringe Benefits [B] General Admin. & Overhead [C] Combined* [D] = A+B+C 95.02%81.09%176.11% Classification:Names: Principal Malcolm Sproul $75.69 $71.92 $61.38 $208.99 Principal Laura Lafler $53.00 $50.36 $42.98 $146.34 Principal George Molnar $51.52 $48.95 $41.78 $142.25 Principal Andrew Pulcheon $39.13 $37.18 $31.73 $108.04 Principal Tim Lacy $44.58 $42.36 $36.15 $123.09 Biologist Todd Catalini $29.37 $27.91 $23.82 $81.09 Biologist Steve Cochrane $23.71 $22.53 $19.23 $65.47 Biologist Jennifer Roth $24.27 $23.06 $19.68 $67.01 Botanist Tim Milliken $27.44 $26.07 $22.25 $75.76 Construction Biologist Gretchen Zantzinger $29.72 $28.24 $24.10 $82.06 Cultural Resources Specialist Michael Hibma $24.27 $23.06 $19.68 $67.01 Cultural Resources Specialist Neal Kaptain $32.69 $31.06 $26.51 $90.26 Cultural Resources Specialist Tim Jones $28.23 $26.82 $22.89 $77.95 Field Botanist Zoya Akulova-Barlow $30.91 $29.37 $25.06 $85.35 Graphics Technician Marie So $31.10 $29.55 $25.22 $85.87 Senior Biologist Daniel Sidle $28.83 $27.39 $23.38 $79.60 Senior Biologist Richard Nichols $47.55 $45.18 $38.56 $131.29 Senior Biologist 1 Eric Lichtwardt $34.42 $32.71 $27.91 $95.04 Senior Biologist 1 Linda Aberbom $38.94 $37.00 $31.58 $107.52 Senior Biologist 1 David Muth $38.64 $36.72 $31.33 $106.69 Senior GPS / GIS Specialist Greg Gallaugher $35.16 $33.41 $28.51 $97.08 Senior GPS / GIS Specialist Pamela Van Der Leeden $29.72 $28.24 $24.10 $82.06 Senior Planner 1 Shanna Guiler $33.43 $31.77 $27.11 $92.30 Senior Planner 1 Kristin Nurmela $31.10 $29.55 $25.22 $85.87 Senior Wetland Delineation Specialist Sean Lohmann $38.69 $36.76 $31.37 $106.83 Wetland Delineation Specialist Chip Bouril $30.59 $29.07 $24.81 $84.46 Clerical Norma Molina $29.72 $28.24 $24.10 $82.06 Administrative Assistant Julie Tran $20.55 $19.53 $16.66 $56.74 Receptionist / Admin Assistant Ameara Martinez $19.81 $18.82 $16.06 $54.70 Subcontractor: Nordav, Inc. d/b/a Baseline Environmental, Inc. Base Rate (A) Fringe Benefits (B) General Admin. & Overhead [C] Combined* [D] = A+B+C 86.24%87.58%173.82% Classification:Names: Principal Bruce Abelli-Amen $57.70 $49.76 $50.53 $157.99 Principal Yane Nordhav $62.00 $53.47 $54.30 $169.77 Env. Associate Todd Taylor $48.42 $41.76 $42.41 $132.59 Env. Associate / Project Engineer Redgy Ramirez $48.42 $41.76 $42.41 $132.59 Env. Scientist Monika Krupka $33.00 $28.46 $28.90 $90.36 Editing Melinda Bury $42.00 $36.22 $36.78 $115.00 Graphics Cindy Chan $38.00 $32.77 $33.28 $104.05 Word Processor Kathy Mertz $37.00 $31.91 $32.40 $101.31 * The Rates above do not reflect profit for this contract. Profit will be presented billed as a separate line item. * The Rates above do not reflect profit for this contract. Profit will be presented billed as a separate line item. Appendix D Personnel G:\EngSvc\ENVIRO\CONTRACTS & SBE\2012\MARSH CRK. Rd. BRIDGE Replacement (WO#4079)-Tech. Studies\(04) CONTRACT\(01) FORMS\(01) Individual\Appendix D-Personnel (Final).doc PRIME Contractor: LSA Associates, Inc. Name Classification Malcolm Sproul PRINCIPAL Laura Lafler PRINCIPAL George Molnar PRINCIPAL Andrew Pulcheon PRINCIPAL Tim Lacy PRINCIPAL Julie Tran ADMINISTRATIVE ASSISTANT Todd Catalini BIOLOGIST 1 Steven Cochrane BIOLOGIST 2 Timothy Milliken BOTANIST Norma Molina CLERICAL Gretchen Zantzinger CONSTRUCTION BIOLOGIST Michael Hibma CULTURAL RESOURCES SPECIALIST 3 Neal Kaptain CULTURAL RESOURCES SPECIALIST 1 Tim Jones CULTURAL RESOURCES SPECIALIST 2 Zoya Akulova-Barlow FIELD BOTANIST Pamela Van Der Leeden GPS/GIS SPECIALIST Marie So GRAPHICS TECHNICIAN Ameara Martinez RECEPTIONIST/ADMIN ASSISTANT Daniel Sidle SENIOR BIOLOGIST Richard Nichols SENIOR BIOLOGIST Linda Aberbom SENIOR BIOLOGIST 1 Eric Lichtwardt SENIOR BIOLOGIST 1 Gregory Gallaugher SENIOR GPS/GIS SPECIALIST Shanna Guiler SENIOR PLANNER Kristin Nurmela SENIOR PLANNER David Muth SENIOR WILDLIFE BIOLOGIST Sean Lohmann SENIOR WETLAND DELINEATION BIOLOGIST Charles Bouril WETLAND DELINEATION BIOLOGIST Jennifer Roth WILDLIFE BIOLOGIST Subcontractor: Nordhav, Inc., d/b/a Baseline Environmental, Inc. Name Classification Bruce Abelli-Amen Principal Yane Nordhav Principal Todd Taylor Env. Associate Redgy Ramirez Env. Associate / Project Engineer Monika Krupka Env. Scientist Melinda Bury Editing Cindy Chan Graphics Kathy Mertz Word Processor Appendix E Mandatory Tasks Task A-1 Task A-2 Task A-3 Task B-1 Task B-2 Task B-3 Task B-4 Task B-5 Task C-1 Task C-2 Task C-3 Task C-4 Task D-1 Task D-2 Task E-1 Task E-2 Task E-3 Task E-4 Task F-1 Task F-2 Task F-3 Grand Total Kick-Off Meeting and Project Start-Up Basemap and APE Map Access Coordination Background Research Wetland Delineation and Habitat Mapping HCP/NCCP Species Specific Planning Surveys Botanical Surveys Water Quality Analysis Records Search and Literature Review Cultural Resources Inventory Review Native American Contacts Field Survey and Site Recording Initial Site Assessment ISA Report Natural Environmental Study (NES) Summary Biological Assessment (SBA) Historic Property Survey Report (HPSR) HCP/NCCP Planning Survey Report (PSR) Communication with County Staff Project Manager Review of Documents Budget and Workload Management Hours Hours Hours Hours Hours Hours Hours Hours Hours Hours Hours Hours Hours Hours Hours Hours Hours Hours Hours Hours Hours Hours Direct Labor Classifications: Principal 75.69$ 0.5 0.5 0.5 0.5 2.0 Principal 53.00$ 24.0 4.0 4.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 2.0 3.0 2.0 2.0 2.0 8.0 32.0 8.0 101.0 Principal 51.52$ 12.0 1.0 1.0 2.0 6.0 4.0 4.0 2.0 18.0 6.0 8.0 2.0 66.0 Principal 39.13$ 2.0 2.0 2.0 3.0 8.0 8.0 2.0 2.0 29.0 Principal 44.58$ 0.0 Administrative Assistant 20.55$ 4.0 6.0 1.0 4.0 15.0 Biologist 29.37$ 64.0 10.0 16.0 8.0 98.0 Biologist 23.71$ 0.0 Biologist 24.27$ 4.0 8.0 2.0 16.0 10.0 104.0 24.0 48.0 216.0 Botanist 27.44$ 10.0 56.0 66.0 Clerical 29.72$ 2.0 4.0 1.0 2.0 9.0 Construction Biologist 29.72$ 0.0 Cultural Resources Specialist 24.27$ 6.0 8.0 4.0 4.0 22.0 Cultural Resources Specialist 32.69$ 10.0 8.0 1.0 4.0 4.0 20.0 4.0 20.0 108.0 179.0 Cultural Resources Specialist 28.23$ 0.0 Field Botanist 30.91$ 16.0 68.0 84.0 Senior GPS/GIS Specialist 29.72$ 8.0 8.0 40.0 58.0 24.0 138.0 Graphics Technician 31.10$ 0.0 Receptionist/Admin Assistant 19.81$ 2.0 2.0 2.0 2.0 8.0 Senior Biologist 28.83$ 0.0 Senior Biologist 47.55$ 8.0 8.0 Senior Biologist 34.42$ 4.0 2.0 6.0 Senior Biologist 38.94$ 48.0 8.0 16.0 72.0 Senior GPS/GIS Specialist 35.16$ 1.0 4.0 2.0 8.0 8.0 23.0 Senior Planner 33.43$ 0.0 Senior Planner 31.10$ 0.0 Sr. Wetland Delineation Specialist 38.69$ 8.0 8.0 Senior Biologist 38.64$ 0.0 Wetland Delineation Specialist 30.59$ 0.0 Subtotal - LSA Hours 59.0 33.0 8.0 33.5 145.5 27.5 83.0 11.0 15.0 27.0 7.0 28.0 1.0 2.0 323.5 42.0 124.0 122.0 10.0 36.0 12.0 1150.0 Subtotal - Direct LSA Labor 2,587.14$ 1,097.60$ 344.75$ 996.27$ 4,524.11$ 902.17$ 2,635.36$ 536.44$ 456.18$ 882.14$ 262.02$ 921.27$ 53.00$ 106.00$ 9,810.81$ 1,359.39$ 4,091.20$ 3,848.72$ 527.04$ 1,813.88$ 541.88$ 38,297.35$ Fringe Benefits 95.02%2,458.30$ 1,042.94$ 327.58$ 946.65$ 4,298.80$ 857.24$ 2,504.12$ 509.73$ 433.46$ 838.21$ 248.97$ 875.39$ 50.36$ 100.72$ 9,322.23$ 1,291.69$ 3,887.46$ 3,657.05$ 500.79$ 1,723.55$ 514.89$ 36,390.14$ INDIRECT COSTS Overhead/General and Administrative 81.08%2,097.65$ 889.93$ 279.52$ 807.77$ 3,668.14$ 731.48$ 2,136.75$ 434.95$ 369.87$ 715.24$ 212.45$ 746.97$ 42.97$ 85.94$ 7,954.60$ 1,102.19$ 3,317.14$ 3,120.54$ 427.32$ 1,470.69$ 439.36$ 31,051.49$ FEE 714.31$ 303.05$ 95.19$ 275.07$ 1,249.11$ 249.09$ 727.62$ 148.11$ 125.95$ 243.56$ 72.34$ 254.36$ 14.63$ 29.27$ 2,708.76$ 375.33$ 1,129.58$ 1,062.63$ 145.52$ 500.81$ 149.61$ 10,573.90$ SUBCONTRACTORS Baseline Consulting Env. Associate 48.42$ 24.0 24.0 24.0 72.0 Project Engineer 48.42$ 8.0 8.0 Principal 57.70$ 0.0 Principal 62.00$ 2.0 4.0 6.0 Graphics 38.00$ 8.0 8.0 Env. Scientist 33.00$ 2.0 1.5 4.0 7.5 Editor 42.00$ 2.0 2.0 Word Processor 37.00$ 4.0 4.0 Subtotal - Subcontractor Hours 4 0 0 1.5 0 0 0 32.0 0 0 0.0 0.0 28.0 42.0 0 0 0 0 0.0 0.0 0 107.5 Subtotal - Direct Subcontractor Labor 190.00$ -$ -$ 49.50$ -$ -$ -$ 1,549.44$ -$ -$ -$ -$ 1,294.08$ 1,946.08$ -$ -$ -$ -$ -$ -$ -$ 5,029.10$ Fringe Benefits 86.24%163.86$ -$ -$ 42.69$ -$ -$ -$ 1,336.24$ -$ -$ -$ -$ 1,116.01$ 1,678.30$ -$ -$ -$ -$ -$ -$ -$ 4,337.10$ INDIRECT COSTS Overhead/G & A 87.58%166.40$ -$ -$ 43.35$ -$ -$ -$ 1,357.00$ -$ -$ -$ -$ 1,133.36$ 1,704.38$ -$ -$ -$ -$ -$ 4,404.49$ FEE 52.03$ -$ -$ 13.55$ -$ -$ -$ 424.27$ -$ -$ -$ -$ 354.34$ 532.88$ -$ -$ -$ -$ -$ 1,377.07$ OTHER DIRECT COSTS (ODCs) Travel 0.56$ 120 120 80 320 40 360 80 160 80 $761.60 Tolls 5.00$ 2 1 1 4 1 3 1 3 2 $90.00 Reproduction (B&W 8.5 x 11)(per pg)0.07$ 720 80 432 1080 72 100 630 24 $219.66 Reproduction (Color 8.5 x 11) (per pg)0.40$ 8 72 18 312 10 180 $240.00 Reproduction (Color 11x17) (per pg)0.75$ 12 18 18 96 10 $115.50 Plotting (per sf)3.75$ 8 $30.00 GPS/Total Station Unit (per day)75.00$ 1 4 3 $600.00 Water Quality Meter (per day)25.00$ $0.00 Other 75.00$ 75.00$ 100.00$ $250.00 Total ODCs 86.20$ 33.20$ -$ 72.20$ 292.50$ -$ 574.20$ 27.40$ 100.00$ -$ -$ 222.20$ 49.80$ 50.94$ 602.00$ 5.04$ 18.50$ 116.10$ 56.48$ -$ -$ 2,306.76$ Totals by Task 8,515.89$ 3,366.72$ 1,047.04$ 3,247.05$ 14,032.66$ 2,739.97$ 8,578.05$ 6,323.57$ 1,485.46$ 2,679.15$ 795.78$ 3,020.19$ 4,108.56$ 6,234.50$ 30,398.40$ 4,133.64$ 12,443.88$ 11,805.05$ 1,657.15$ 5,508.93$ 1,645.74$ 133,767.39$ Cost Categories Average Category Rate Appendix F Optional Tasks Task G-1 Task H-1 Task H-2 Task H-3 Task I Grand Total OPTIONAL - Extended Phase 1 Study - Cultural Resources OPTIONAL - Communications with County Staff OPTIONAL - Project Manager Review OPTIONAL - Budget and Work Load Management OPTIONAL - Caltrans Final Report Hours Hours Amount Hours Direct Labor Classifications: Principal 75.69$ 0.0 Principal 53.00$ 2.0 2.0 2.0 4.00$ 10.0 Principal 51.52$ 4.0 4.0 Principal 39.13$ 20.0 2.0 4.0 1.0 27.0 Principal 44.58$ 0.0 Administrative Assistant 20.55$ 8.0 8.0 Biologist 29.37$ 0.0 Biologist 23.71$ 0.0 Biologist 24.27$ 0.0 Botanist 27.44$ 0.0 Clerical 29.72$ 0.0 Construction Biologist 29.72$ 0.0 Cultural Resources Specialist 24.27$ 80.0 80.0 Cultural Resources Specialist 32.69$ 228.0 2.0 2.0 1.0 233.0 Cultural Resources Specialist 28.23$ 160.0 160.0 Field Botanist 30.91$ 0.0 Senior GPS/GIS Specialist 29.72$ 0.0 Graphics Technician 31.10$ 0.0 Receptionist/Admin Assistant 19.81$ 1.0 1.0 2.0 Senior Biologist 28.83$ 0.0 Senior Biologist 47.55$ 0.0 Senior Biologist 34.42$ 0.0 Senior Biologist 38.94$ 0.0 Senior GPS/GIS Specialist 35.16$ 4.0 4.0 Senior Planner 33.43$ 0.0 Senior Planner 31.10$ 0.0 Sr. Wetland Delineation Specialist 38.69$ 0.0 Senior Biologist 38.64$ 0.0 Wetland Delineation Specialist 30.59$ 0.0 Subtotal - LSA Hours 502.0 6.0 11.0 5.0 4.00$ 528.0 Subtotal - Direct LSA Labor 15,105.36$ 249.64$ 447.79$ 197.63$ 212.00$ $16,212.42 Fringe Benefits 95.02%14,353.11$ 237.21$ 425.49$ 187.79$ 201.44$ $15,405.04 INDIRECT COSTS Overhead/General and Administrative 81.08%12,247.43$ 202.41$ 363.07$ 160.24$ 171.89$ $13,145.03 FEE 4,170.59$ 68.93$ 123.63$ 54.57$ 58.53$ $4,476.25 SUBCONTRACTORS Baseline Consulting Env. Associate 48.42$ Project Engineer 48.42$ Principal 57.70$ Principal 62.00$ Graphics 38.00$ Env. Scientist 33.00$ Editor 42.00$ Word Processor 37.00$ Subtotal - Subcontractor Hours 0 0 0 0 0 0.0 Subtotal - Direct Subcontracto Labor -$ -$ -$ -$ -$ 0.0 Fringe Benefits 86.24%-$ -$ -$ -$ -$ 0.0 INDIRECT COSTS Overhead/General and Administrative 87.58%-$ -$ -$ -$ -$ 0.0 FEE -$ -$ -$ -$ -$ 0.0 OTHER DIRECT COSTS (ODCs) Travel 0.56$ 120 80 112.00$ Tolls 5.00$ -$ Reproduction (B&W 8 1/2 x 11)(per page)0.07$ 100 24 36 11.20$ Reproduction (Color 8 1/2 x 11) (per page)0.40$ 10 4.00$ Reproduction (Color 11x17) (per page)0.75$ 10 7.50$ Plotting (per sf)3.75$ -$ GPS/Total Station Unit (per day)75.00$ 2 150.00$ Water Quality Meter (per day)25.00$ -$ Other 2,700.00$ 2,700.00$ Total ODCs 2,935.70$ 46.48$ -$ -$ 2,984.70$ Totals by Task 48,812.19$ 804.66$ 1,359.98$ 600.22$ 646.39$ 52,223.44$ Cost Categories Average Category Rate Appendix G Fee Schedule Mobilization & Kick Off APE map to Caltrans Signed APE map n/a n/a Total Fee LSA 370.85$ 370.85$ 370.85$ -$ -$ 1,112.54$ Baseline 52.03$ -$ -$ -$ -$ 52.03$ Final Delineation Report and Map sent to Corps n/a n/a n/a n/a Total Fee LSA $ 2,649.00 $ - $ - $ - $ - 2,649.00$ Baseline $ 437.82 $ - $ - $ - $ - 437.82$ Completion of field survey in APE n/a n/a n/a n/a Total Fee LSA C-1, C-2, C-3, C-4 696.22$ $ - $ - $ - $ - 696.22$ Final NES Final SBA Final HPSR/ASR Final PSR n/a Total Fee LSA E-1, E-2, E-3, E-4, F-1, F-2, F-3 2,428.90$ 1,214.45$ 1,214.45$ 1,214.45$ -$ 6,072.24$ Final ISA Report n/a n/a n/a n/a Total Fee LSA 43.90$ -$ -$ -$ -$ 43.90$ Baseline 887.22$ -$ -$ -$ -$ 887.22$ Extended Phase 1 Report of Findings Draft Extended Phase 1 Report of Findings Final Caltrans Final Report n/a n/a Total Fee LSA G-1, H-1, H-2, H-3, and I $ 2,025.64 $ 2,025.64 $ 1,012.82 $ - $ - 5,064.10$ B-1, B-2, B-3, B-4, B-5 D-1, D-2 Contractor Name Tasks Payment Target Contractor Name Tasks -Mandatory Tasks- Contractor Name Tasks Payment Target -Optional Tasks- Payment Target TasksContractor Name A-1, A-2, A-3 Payment Target Contractor Name Tasks Payment Target Contractor Name Tasks Payment Target "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 Stephen Silveira Exhibit 10-I Notice to Proposers DBE Information May 1, 2012 NOTICE TO PROPOSERS DISADVANTAGED BUSINESS ENTERPRISE INFORMATION The Agency has established an Underutilized DBE goal for this Agreement of 6.38%. 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. 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 adequate good faith efforts. Only UDBE participation will be counted towards the contract goal; however, all DBE participation shall be collected and reported. Page 10-49 EXHIBIT 10-I Local Assistance Procedures Manual Notice to Proposers DBE Information _____________________________________________________________________________________________ Page 10-50 July 31, 2009 LPP 09-02 July 31, 2009 LPP 09-02 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 DBE firm must be responsible for the execution of a distinct element of the work and must carry out its responsibility by actually performing, managing and supervising the work. F. The proposer shall list only one subcontractor for each portion of work as defined in their proposal and all DBE subcontractors should be listed in the bid/cost proposal list of subcontractors. G. A prime contractor who is a certified DBE is eligible to claim all of the work in the Agreement toward the DBE participation except that portion of the work to be performed by non-DBE subcontractors. 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 database, please contact the Caltrans Office of Certification toll free number 1-866-810-6346 for assistance. Proposer may call (916) 440-0539 for web or download assistance. B. Access the CUCP database from the Department of Transportation, Civil Rights, Business Enterprise Program web site at: 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 of the lease with the consent of the DBE, as long as the lease gives the DBE absolute priority for use of the leased truck. Leased trucks must display the name and identification number of the DBE. (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 WORK 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