Imperial County Transportation Commission Request for Proposals for Architectural/Engineering Services Calexico Intermodal Transportation Center Federal Aid No. CML-6471 (014) Requested by: Mark Baza, Executive Director Imperial County Transportation Commission 1503 N. Imperial Avenue, Suite 104 El Centro, CA 92243 Phone: (760) 592-4494 March 23, 2018 Prepared by: Virginia Mendoza Senior Transportation Planner Proposals due no later than 4:00 p.m. on April 27, 2018
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Imperial County Transportation Commission
Request for Proposals for Architectural/Engineering Services
Calexico Intermodal Transportation Center
Federal Aid No. CML-6471 (014) Requested by: Mark Baza, Executive Director Imperial County Transportation Commission 1503 N. Imperial Avenue, Suite 104 El Centro, CA 92243 Phone: (760) 592-4494 March 23, 2018 Prepared by: Virginia Mendoza Senior Transportation Planner Proposals due no later than 4:00 p.m. on April 27, 2018
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Table of Contents I. PURPOSE AND BACKGROUND......................................5
II. PROJECT DESCRIPTION ..........................................6 III. SCOPE OF WORK ...............................................8
IV. RESPONSIBILITIES OF THE ICTC ...................................11
V. AUDITS AND INVESTIGATIONS ....................................11 VI. PROPOSAL CONTENT AND INFORMATION ...........................13
General Requirements ..........................................13 Table of Contents .............................................13 Summary of Qualifications and Experience ...........................13 Analysis of Effort/Methodology ....................................14 Cost and Fees ................................................14 Insurance Requirements ........................................15
VII. EVALUATION OF PROPOSALS....................................15
VIII CLOSING ITEMS ...............................................15
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EXHIBITS A – Sample Proposal Evaluation Form
B – Sample Consultant Agreement and Insurance Requirements*
*No changes shall be made to consultant agreement. C – Location Map
For all Federally Funded Projects the following additional items shall also be considered part of the contract:
D – Bidder/Proposer Disadvantaged Business Enterprise (DBE) Program Requirements
• Exhibit 9-B: Local Agency DBE Annual Submittal Form • Exhibit 10-I: Notice to Proposers Disadvantages Business Enterprise Information • Exhibit –J: Standard Agreement for Subcontractor/DBE Participation
E - Required Certification by Consultant with Proposal
• Exhibit 15-H: DBE Information – Good Faith Efforts • Exhibit 10-H: Cost Proposal (submitted in separate sealed envelope) • Exhibit 10-O1: Consultant Proposal DBE Commitment • Exhibit10-Q: Disclosure of Lobbying Activities
F – Required Certification by Consultant and ICTC after Contract Execution
• Exhibit10-F: Certification of Consultant, Commission & Fees • Exhibit 10-O2: Local Agency Proposer DBE Information (Consultant Contract) • Exhibit 17-F: Final Report – Utilization of DBEs • Exhibit 17-O: DBE Certification Status Change
G – Required Certification for Agreements with a Value Greater than $150,000.00 (Before Contract Execution)
• Exhibit10-K: Consultant Certification of Contract Cost and Financial Management System • Exhibit 10-A: A&E Consultant Audit Request Letter and Checklist
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SPECIAL NOTICE ****************************************************************************************************
Notification of Contractor Registration Requirements (where required)
Pursuant to the requirements of California Labor Code section 1771.1, all contractors and subcontractors that wish to engage in public work through a public works contract must be registered with the Department of Industrial Relations (DIR).
Beginning March 1, 2015, no contractor or subcontractor may be listed on a bid proposal for a public works project unless registered with DIR.
Beginning April 1, 2015, no contractor or subcontractor may be awarded a contract for public work on a public works project unless registered with the DIR, pursuant to Labor Code section 1725.5
All contractors, including subcontractors, listed in the proposal must be registered with the DIR at the time proposals are due, and must submit proof of registration with the proposal. Any proposals received listing unregistered contractors and/or subcontractors will be deemed non- responsive.
Application and renewal are completed online with a non-refundable fee of $300. Read the Public Works Reforms (SB 854) Fact Sheet for requirements. Instructions for completing the form and additional information can be found on the DIR website.
This Project is subject to compliance monitoring and enforcement by the Department of Industrial Relations (DIR).
SOURCES OF INFORMATION
INFORMATION WEBSITE
Department of Industrial Relations (Public Works)
http://www.dir.ca.gov/Public- Works/PublicWorks.html
SB 854 Fact Sheet http://www.dir.ca.gov/Public- Works/PublicWorksSB854.html
Senate Bill 854 Compliance http://www.dir.ca.gov/Public-Works/SB854.html Public Works Contractor (PWC)
Registration
https://efiling.dir.ca.gov/PWCR/
Classifications and Minimum Labor Rates
http://www.dir.ca.gov/OPRL/Pwd/
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Imperial County Transportation Commission Architectural/Engineering Services
Calexico Intermodal Transportation Center Federal Aid No. CML-6471(014)
March 23, 2018
I. PURPOSE AND BACKGROUND
The Imperial County Transportation Commission (ICTC) is requesting proposals from qualified engineering professionals to provide architectural/engineering and project management services for Design, Right of Way (RW) support, and Construction Advertisement/Bidding for a regional transfer terminal. The project is federally funded through the Congestion Mitigation and Air Quality (CMAQ) Program, and will consist of Architectural / Engineering services required for design and right-of-way (RW) support for the Calexico Intermodal Transportation Center.
The services are anticipated to be full time for the duration of the work, which will be completed by private contract secured through the public bidding process. One firm will be selected for the completion of this federal project.
The purpose of the Request for Proposals (RFP) is to provide the Imperial County Transportation Commission with the assurance that this Commission administered project is completed in compliance with all local, state, and federal provisions (where applicable) which may be required due to the specific funding requirements are adhered to. An important objective is to maintain a level of high quality Architectural/Engineering Services through appropriate documentation and workflow methodology in the most cost-effective manner possible.
Qualified entities are invited to submit written proposals for project consideration in accordance with this request. These services will be conducted under a contract with the Imperial County Transportation Commission, hereinafter referred to as "ICTC" and the consultant entity, hereinafter referred to as "Consultant". The contracts will be regulated according to the provisions of all federal, state and local laws and ordinances that are applicable. This includes compliance with prevailing wage rates and their payment in accordance with California Labor Code, Section 1775.
Disadvantaged Business Enterprises (DBE), Minority Business Enterprise (MBE), Women Business Enterprise (WBE) and Veteran Owned Businesses (VOB) are encouraged to participate. The DBE goal for this federal project is as follows:
• Intermodal Transportation Center in the City of Calexico - Federal Aid No. CML-6471 (014) - 15 %
Services that are partially funded with Federal funds are subject to Part 26, Title 49, Code of Federal Regulations entitled “Participation by Disadvantaged Business Enterprises (DBE) in the Department of Transportation Financial Assistance program.” Caltrans DBE program information can be found at the following link: http://www.dot.ca.gov/hq/LocalPrograms/DBE_CRLC.html
Proposed Schedule of Events
Issue Request for Proposal March 23, 2018
Pre-bid Meeting April 4, 2018
Proposals due April 27, 2018
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Consultant Selection May 2018 ICTC Awards Contract June 2018
Notice to Proceed July 2018 Right of Way Acquisition August 2018 Project Kick-Off Sept. 2018 Preliminary Engineering Services and Environmental Processes October 2018 Final Design February 2019 Construction Bidding January 2020 Construction of Facility April 2020 Filing of Notice of Completion and Project Closeout April 2021
II. PROJECT DESCRIPTION ICTC in coordination with the City of Calexico, intends to construct an Intermodal Transportation Center in the City of Calexico. The site for the new terminal is in the general area of the southeast corner of the Third Street and Heffernan Avenue intersection (APN 058-484-001, APN 058-484-002, and APN 058-484-003). The project is located in downtown Calexico in the vicinity of the center of the City. The project site is bound on the south by a service alley across which existing businesses exist. The project services include but are not limited to: preliminary RW assessment and access agreements; topographic survey, environmental site assessment (including applicable studies and geotechnical investigation and report); conceptual design; final design; preparation of contract documents and specifications, engineer’s opinion of probable quantity, costs assistance and recommendations with regard to construction advertisement and contract award and construction support services. Approval by ICTC of the contract bid and award of this project is required. The Proposed Project consists of the development of the Calexico Intermodal Transportation Center (a bus transfer terminal) in downtown Calexico at the southeast corner of Third Street and Heffernan Avenue. The project would provide stopping areas for 40-foot and 30-foot buses as well as shuttles/Dial-a-ride buses around the perimeter of a central island and a peninsula. Facilities for arriving and departing passengers would be provided on the island and peninsula and Americans with Disabilities Act (ADA) compliant pedestrian access would be provided to and through the site. The Proposed Project site is comprised of a combination of three parcels located on the south side of Third Street between Heffernan Avenue and Heber Avenue. The Proposed Project site includes a privately-owned parcel (APN 058-484-001) and a City of Calexico owned public parking lot (approximately 61 spaces) APN 058-484-002 and APN 058-484-003. Combined, the three parcels are approximately 47,600 square feet. The Proposed Project includes a combination off-street/on-street bus spaces/stops around a peninsula and an island, located on the south side of Third Street. The peninsula would extend eastwards from Heffernan Avenue and Heber Avenue. The island and peninsula would be separated by a thoroughfare for buses across which a pedestrian crosswalk would be provided to connect the island and peninsula for pedestrian.
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The transit center building would be constructed on the peninsula that would contain ticket machines, restrooms, drinking fountains, vending machines, telephones, and information kiosks. There are shade trees and other landscaping along with benches, bike racks, and trash containers throughout the peninsula and project site. Other topics to consider is the possible construction of a 1,000 square foot building for the use of ICTC transit services. This site would be located on the southeast corner of the project site. The project would not propose use of the service alley. Project site traffic circulation will be designed in accordance with the transit service needs. Transit routes and service hours will be considered to determine ingress and egress of buses, shuttles, and vehicles. In addition to the above stated, the consultant should provide for the following in each of the project areas:
Site • Site preparation, including geotechnical investigation and other engineering services as required. • Installation of wet and dry utilities. • Draining control for entire site. • Study of bus turning movements. • Site landscaping that compliments the surrounding area. Landscaping shall incorporate the use of
automatic sprinklers. • Concrete pavement for bus circulation. • Random Pattern Decorative Paving in Pedestrian areas • Parking spot for one police vehicle • Lawn area with / concrete band for seating • Planting area with concrete band for seating • Lighting • Must accommodate turning movements of 40 and 30 foot buses as well as shuttles, for example:
Imperial Valley Transit (IVT) bus bays – three bays at a minimum Private transit shuttle provider bus area – two dedicated bus bays at a minimum Intercity and tour bus area – one dedicated bay Farm labor pick-up and drop-off – three bays at a minimum to accommodate a 45’ prototypical bus
pulling a 12’ trailer Curbside taxi stand – provide for up to five taxi’s to be queued at the facility at any given time (this
assumes other taxi vehicles are staged off site for access to the facility as space becomes available) Passenger pick-up and drop-off (kiss-and-ride) – provide for at least two private passenger vehicles
to be at the site at any given time Transit Center Building • Match design per City of Calexico’s Design Standards • ADA compliant secured public restrooms for public and transit operation staff • Drinking fountain • Vending machines • Telephone • Information area • Camera security system to include surveillance of Intermodal Facility • Bicycle storage – provide bicycle storage as space allows • Trash receptacles – trash receptacles should be placed at appropriate locations throughout the facility • Fare ticket and pass sales as possible – operational and capital considerations required
Shade areas • Tile roofs
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• Water-misters • Equipped with benches
Off-site Improvements • Off-site improvements for all three sides east, west and north of terminal, including design of concrete
pavement at Third Street, Heffernan Avenue, and Heber Avenue to account for bus circulation loadings. • 4-way stop improvements at the following intersections: Third Street and Heffernan Avenue; Third Street
and Heber Avenue. • Pedestrian ADA sidewalk improvements along Heffernan Avenue from First Street to Third Street.
III. SCOPE OF WORK
The project is federally funded through the Congestion Mitigation and Air Quality (CMAQ) Program, and will consist of Architectural / Engineering services required for design and right-of-way (RW) support for the Calexico Intermodal Transportation Center. The selected firm will provide architectural and project management services that include but are not limited to those listed in this section. All work shall be performed under the direction of a licensed architect or engineer registered with the State of California. No subcontractors shall be utilized without prior authorization by ICTC. Consultant shall provide a dedicated full time person or persons as needed to provide Engineering Services for this specific project which is funded with local and federal funds. The Engineer in charge of the project shall be a California licensed Civil Engineer.
The design professional services will be conducted as follows – Preliminary right of way assessment; environmental site assessment; conceptual design; final design; preparation of contract documents and specifications; preparation of engineer’s opinion of probable quantity and costs, assistance and recommendations with construction advertisement and contract award and construction support services. Approval by ICTC of the contract bid and award of this project is required. These are described as follows: Conceptual design, design, preparation of complete documents of contract, assistance and recommendation in construction advertisement and contract award.
1. Project kick-off meeting. The Consultant will be required to attend a kick-off meeting with ICTC staff and City of Calexico staff. At that meeting the Consultant will be required to provide:
a. A detailed schedule. b. A list of the team members who will be involved in the project along with their phone numbers and
email addresses. c. An organizational chart showing the relationships of all team members; and d. Any submittals contractually required. e. Attend a field review meeting. f. Agenda g. Meeting Minutes
2. Prepare and Assess environmental documents. The Consultant shall prepare necessary
Environmental studies, including but not limited to MND, Traffic Analysis, Noise Study and Air Quality Studies. Maintain a log of mitigation activities as applicable to the contract and submit the log at 60% and 100% project submittals. The log shall identify what mitigation activities have been completed or remain pending. Coordinate with ICTC and the Planning Department at the City of Calexico for additional conditions and/or mitigation measures (i.e. percent landscape required, special requests by adjoining properties) that may or may not be incorporated.
3. RW Support. The Consultant shall provide RW support by assisting ICTC with access agreements of the parcels associated with the project site. The Consultant shall prepare order of magnitude costs associated with RW acquisition and consolidation of parcels (lot merger).
4. Topographic Survey. The Consultant shall prepare topographic field surveys wherein information gathered in the survey will include the location of natural ground features and grade breaks; roadway
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features and striping; existing structures; fences; walls; driveways; control systems; overhead and readily-apparent surface evidence of utilities; storm drain manholes and catch basin pipe sizes and invert elevations; sanitary sewer manhole pipe sizes and invert elevations; water valves, hydrants, meters; signs; poles; streetlights; trees, pathways, painted utility markings, and other pertinent improvements. The survey shall also consider possible underground utilities. The survey and office calculations to verify the horizontal and vertical alignment of existing underground facilities shall be prepared and provided.
5. Geotechnical Report. The Consultant shall complete a geotechnical investigation and provide a
geotechnical report. The report shall recommend structural sections for the facility and any subgrade preparation necessary for the facility improvements as well as provide information for groundwater level.
6. Storm Water Pollution Prevention Plan. The Consultant shall provide a storm water pollution
prevention plan (“SWPPP”) for this project. Should the site not warrant the preparation of a SWPPP, the Consultant shall prepare the project Water Pollution Control Plan (WPCP) and/or Erosion Control Plan.
7. Preparation of conceptual design plans. The Consultant shall prepare and submit a set of conceptual design plans with schematic plans and elevations. This submittal shall consist of a plan view depicting proposed improvements. Preliminary Statement of Probable Construction Costs will be required at the completion of the conceptual design plans. The conceptual plan shall be inspired by the character of the Schematic Design that is presented in Exhibit C. Preliminary review of bus turning movements shall be investigated and verified to be viable for the selected site at this time. Conceptual design will depict any proposed changes in character from the schematic design that may need to occur to permit functionality of the terminal under the constraints of the site. ICTC foresees that passenger drop-off locations may need to be further investigated for quantity and location adequacy. Any deficiencies found, along with rectification proposals shall be presented at this time. The conceptual design shall be reviewed and approved by the ICTC and the City of Calexico.
8. ICTC presentations. The Consultant will be required to prepare concept plan presentation(s) for
approval at ICTC meeting(s). The outcome of commission recommendations, if feasible, shall be incorporated into the plans. Consultant shall be prepared to answer questions and explain the process that led to the proposed conceptual design, if requested.
9. Monthly progress meetings. For the duration of the project, ICTC and Consultant shall meet monthly
to discuss the project status. The consultant shall present a progress report each month to ICTC. Included should be a summary of the work accomplished during the preceding month together with an account of any significant problems encountered, total effort expended by task broken down into staff levels utilized and number of hours spent, and percent of project completion by task. The consultant shall prepare the meeting agendas and minutes of meetings for all the meetings attended and deliver them to ICTC within five (5) working days from the meeting date.
10. Preparation of final design plan. Consultant shall prepare and submit final design plans. Final Design plans shall include the typical improvement plan information such as but not limited to title sheet, vicinity map, general notes, demolition sheets, improvements sheets, utility sheets, details, cross sections, traffic sheets, traffic control, and erosion control sheets. These plans shall incorporate applicable utility plans, and applicable environmental mitigation measures. Final design plans shall indicate and summarize the consultant’s professional opinions/findings relative to the proposed methods and materials, proposed infrastructure elevations as required, to provide the City of Calexico Engineer with a clear understanding of the vertical and horizontal alignment of the proposed facility in relation to the required right of way. Consultant will be required to coor
11. dinate the location of wet and dry utilities with applicable owners; City of Calexico, Imperial Irrigation District, The Gas Company, Spectrum Cable and AT&T.
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• Preparation of 60% plans. The Consultant shall submit a set of preliminary plans at the 60% level of completion. These plans will show, at a minimum, the plan and profile views of all existing features, all new improvements, existing utility locations and existing right-of-ways, drainage controls, including off-site improvements, and implement all mitigation measures.
• Preparation of 90% plans. The Consultant shall incorporate all alternative selections, changes, corrections and/or additions from the 60% plan review. The 90% plans shall be submitted to the ICTC and the City of Calexico for building permit review, final adjustments, and/or corrections.
• Preparation of final (100%) bidding documents. The final plans shall be prepared incorporating all adjustments or corrections made during review of the 90% set. Additionally, the Consultant shall prepare the technical specifications, special provisions, final Consultant’s estimate, and the bidding schedule. A set of final reproducible plans shall be provided.
**The final design plans may require the preparation of a drainage analysis, in addition to a retention basin design. The preparation of the drainage analysis and retention basin is contingent upon the requirements set forth by the City of Calexico. It is requested that the Consultant include as an optional item the cost associated with completion of the previously referenced items.
12. Off-Site Improvements. Consultant shall coordinate probable off-site improvements with ICTC and City of Calexico. It is anticipated that the Consultant shall design pedestrian access improvements surrounding the project area and corresponding intersections located along Third Street between Heffernan Avenue and Heber Avenue. In addition to sidewalk Improvements along Heffernan Avenue between First Street and Third Street.
13. Contract Documents, Specifications and Cost Estimates. Consultant shall prepare the contract documents, specifications and required special provisions applicable to the project, utilizing the American Public Works Association Standard Special Provisions (Green Book) etc. and Caltrans Standard Specifications and Plans and/or American Public Works Association (“APWA”). Consultant shall prepare an engineer’s quantity and cost estimate for the project construction items including costs for mobilization, phasing and staging, permits, inspections, etc. This estimate will be utilized to prepare unit price bid documents. Contract documents should anticipate the use of federal funds and therefore should include all federal requirements and provisions.
14. Assistance during the bidding process and construction support services. The Consultant shall
be required to attend and actively participate in the pre-bid meeting, the pre-construction meeting, and the bid opening. The Consultant will be required to evaluate and respond to any Request for Information (RFI’s) and complete project submittal reviews. The Consultant will be required to prepare As-Built Plans at the conclusion of the project.
Throughout the project, Consultant will maintain orderly project files. Upon project completion, two (2) sets of project notebooks, including all project records, shall be forwarded to ICTC, compiled in a three (3) ring binder, prominently labeled on the face and spine with the title:
Imperial County Transportation Commission
Request for Proposals for Architectural/Engineering Services Calexico Intermodal Transportation Center
Federal Aid No. CML-6471(014) Binder will serve as a record of the project. Additionally, a copy of the record of the project is to be provided in Portable Document Format (PDF) on one (1) USB thumb drive.
Items to be included in the final report are as follows (consultant is responsible for the development of each of these):
• Conceptual Plans • Complete set of construction ready plans, including existing right-of-way (Prescriptive or Deeded) • Complete set of contract documents and specifications
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• Environmental studies and clearance documents • Topographic Survey report and survey calculations • Demolition plan • Traffic control plan • Erosion control plan • Storm water pollution prevention plan or water pollution control plan • RFI responses and approved submittal records • As-Built Plans • Final pdf copy of any and all documents created for this task • Two bound copies of the final report
IV. RESPONSIBILITIES OF ICTC
1. This RFP is being conducted in accordance with the “One Step RFP” as per Chapter 10, “Consultant
Selection”, of the Caltrans Local Assistance Procedures Manual.
2. ICTC will direct the development of the project, provide management oversight, and conduct administrative arrangements only.
3. ICTC will pay an agreed upon amount normally within 30 days after receipt of an invoice. Completion of
project is when a Notice of Completion is recorded by the ICTC Clerk/Recorder for the construction acceptance by ICTC.
4. ICTC will not provide dedicated workspace facilities, but upon request will provide a conference room for
meetings.
5. ICTC reserves the right to perform any portion of the scope of work by ICTC personnel or other consultants should ICTC determine it would be in the best interest of ICTC to do so.
V. AUDITS AND INVESTIGATIONS
All proposed Architectural and Engineering contracts and supporting documents are subject to audit or review by Caltrans, Audits and Investigations (A&I), other state audit organizations, or the federal government. Not all proposed contracts will be audited or reviewed; they will be selected n a risk-based approach. Whether a proposed contract or consultant is selected for audit review through A&I’s risk-based approach is dictated by the dollar thresholds of the proposed contract, and other risk factors.
Dollar thresholds for audits or reviews are stratified as follows:
• Less than $150K – no audit or review is required, but is optional; • Between $150K and $1M; • Between $1M and $3.5M; • $3.5M and above
Summary of Contracts to be Audited
Proposed Contract Amount
Documents Required
Conformance Letter
Required?
Audit/Review Performed?
If Audited or Reviewed will
Cognizant Letter of Approval be
Issued? Small Purchase
Procedure Less than $150K
None No Audit/review optional
N/A
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Case 1. Between $150K
and $1M
Certification by Consultants
(Exhibit 10-K)
No May be selected for Audit or
Review.
If Indirect Cost Rate (ICR)
Audit is performed.
Case 2. Between $1M and $3.5M
Proposed contract,
certifications, Internal Control Questionnaire,
etc. (see Exhibit 10-A.)
Yes May be selected for ICR Audit.
Yes
Case 3. $3.5M or greater
Proposed contract,
certifications, Internal Control Questionnaire,
etc. AND
CPA Audited ICR.
(see Exhibit 10- A.)
Yes May be selected for Review of CPA’s work
papers of audited ICR
Yes
The required documents and certifications listed above must be submitted prior to award of contract and are not required to be submitted with the proposal.
For questions on the auditing process, please refer to Caltrans Local Assistance Procedures Manual – Chapter 10 – section 10.3 A&E Consultant Audit and Review Process.
Risk factors considered include the consultant’s:
• History of satisfactory performance; • Prior FAR compliant history and audit frequency; • Financial stability; • Conformance to terms and conditions of previous contracts; • General responsiveness and responsibility; • The approximate dollar amount of all A&E contracts awarded to the consultant by Caltrans or a local
agency in California within the last three calendar years; • The number of states in which the consultant does business; • The type and complexity of the consultant’s accounting system; • The relevant professional experience of any CPA performing audits of the consultant’s indirect cost rate
(ICR); • Responses to internal control questionnaire (ICQ), see AASHTO Audit Guide, Appendix B; • Changes in the organizational structure.
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VI. PROPOSAL CONTENT AND INFORMATION
The submittals in response to this solicitation shall not exceed 50 total single sided pages in length (this does not include any personnel resumes and required federal forms). Proposals should be typed, organized and concise, yet comprehensive.
General Requirements
1. Provide a cover letter.
2. State the interpretation of the work to be performed. State a positive commitment to perform the
work in the required manner and time frame; include a basic summary; and demonstrate an understanding of the project. Provide a statement that the offer is valid for at least a ninety (90) day period.
3. Provide the name(s) of the primary and/or alternate individuals authorized to respond to this RFP.
Include titles, addresses, e-mail, and phone numbers.
4. The Consultant is representing itself as a qualified professional in Architecture and Civil Engineering Services. Therefore, it is acceptable to submit recommendations and comments for consideration on format, process, schedule, and additional content of projects. ICTC will consider comments and recommendations; however is not required to select any of the recommendations or comments.
5. Expensive bindings, colored displays, promotional materials, etc., are neither necessary nor desired.
Emphasis should be concentrated on conformance to the RFP instructions, responsiveness to the RFP requirements, and on completeness and clarity of content.
6. If any subcontractors are utilized, the lead Consultant must submit a description of the firm, the
portion of work to be done, and cost of each subcontractor. All subcontracts exceeding $25,000 in cost shall contain all required provisions of the prime contract.
7. Provide information about the Consultant’s use of Disadvantaged Business Enterprises (DBEs).
Consultant must give consideration to DBE firms as specified in 23 CFR 177.5(b), 49 CFR Part 26, and in Exhibit 10-1, Notice to Bidders/Proposer Disadvantaged Business Enterprise information, elsewhere in this RFP. The provisions of 49 CFR, Part 26 require that a local agency receiving federal-aid funds comply with the Disadvantaged Business Enterprise (DBE) program, and that DBE firms have the opportunity to participate in the projects (see Chapter 9, “Civil Rights and Disadvantaged Business Enterprises”, of the LAPM including any updates). Such steps include the considering of DBE firms by the proposing consultants. When feasible, organize the project schedule and task requirements to encourage participation in the contract by DBE firms. Local agencies should be fully aware of all of the subcontracting opportunities in their consultant contracts.
The consultant shall ensure that certified DBE firms have the opportunity to participate in the performance of the contract and will be able to demonstrate a good faith effort (good faith effort documentation must be included with proposal).
Table of Contents
Include a table of contents with identification of each section and page number.
Summary of Qualifications and Experience
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1. State whether the firm is local, regional, national or international.
2. Identify the owner(s) of the firm and legal status (sole proprietor, corporation, etc.)
3. Give the location of the office from which work is anticipated to be done and the number of employees of the company.
4. Identify the qualifications and resumes of all individuals who will be associated with this service.
Include professional registrations and affiliations.
5. Summarize specific experiences and qualification for similar and related projects, both federally funded and locally funded. Describe the services previously performed such as studies, reports, etc. List at least three (3) references with telephone numbers and email contact addresses (if available).
Analysis of Effort/Methodology
1. Describe the approach for how the work will be performed. The proposal shall indicate any specific
techniques or methodology to be utilized.
2. The proposal shall include a sample project timeline with specific tasks envisioned for this project, including staffing.
3. Indicate what participation, data and products will be requested from ICTC.
4. Indicate deliverables to be provided and when.
Cost and Fees
One firm will be selected for this project. Cost proposal must be submitted at the time of proposal submittal. The cost proposal and exhibit 10-K for this project must be submitted in a sealed self-addressed stamped envelope. Please note that the selected firm will need to submit invoices that are itemized and broken down by project number. The cost proposal envelop must identify the proposing firm and the project. A separate cost proposal/exhibit 10H Example 1 shall be submitted for federal project (CML-6471(014)). The cost proposals shall take into account the following:
1. Develop costs and fees for the services requested. Submit a not to exceed fee proposal based on
anticipated fully burdened hourly rates. 2. When preparing cost and fees consider the scope of work involving project kick off and review of available
documentation, material submittals, project documentation and prepare a lump sum fixed fee breakdown based on anticipated staff and hours. Costs should be organized for full time hourly rates. Such hourly rates should be fully burdened or loaded, including full compensation for all overhead and profit. Billing rates shall include provision for normal office costs, including but not limited to office rental, utilities, insurance, cell phone or radio, equipment, normal supplies and materials, in-house reproduction services, and local travel costs. As much as possible, a fixed fee lump sum breakdown by phase of the construction based on billable hours is desirable for preconstruction and post construction.
3. Breakdown shall include preconstruction services and construction services (Request for
information/clarification). No subcontractors shall be utilized without prior authorization by the ICTC and modification to submitted DBE subcontractor’s list or goal is discouraged and may lead to project funding issues.
4. Firm may submit their own format of the cost proposal, However, Exhibit 10-H Example 1 LAPM must be
submitted as part of the proposal. Executable copies of Exhibit 10-H Example 1 and all other updated LAPM forms can be found here: http://www.dot.ca.gov/hq/LocalPrograms/lam/forms/lapmforms.htm
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Insurance Requirements
Prior to execution of the agreement with ICTC, the successful firm must provide evidence of insurance coverages as noted in the sample contract and insurance requirements exhibit. The successful firm will be required to maintain the required coverages, at its sole cost and expense, throughout the entire term and any subsequent modification terms of the contract.
Insurance requirements noted in sample contract and insurance exhibit are based on projected ICTC estimates. Insurance requirements may be adjusted once the final cost and fees proposal is reviewed.
VII. EVALUATION OF PROPOSALS
Sample evaluation criteria for proposals are attached for your information as Exhibit A.
ICTC will utilize a one-step selection process. ICTC reserves the right to include an oral interview process component. If an oral interview is considered, selected firms will be notified.
Proposals will be reviewed by an evaluation committee. The evaluation committee’s assessment and recommendations shall be forwarded to the Executive Director for review. The Director shall provide a report of the committee’s evaluation and recommendations, along with his recommendation, for the selection of a firm to the ICTC Board for final review and approval to enter into negotiations for an agreement. All firms submitting a proposal will be notified of final rankings.
Please take note that ICTC reserves the right to select any consultant who is determined qualified and may not correlate to a number 1, number 2 or even number 3 ranked consultant. Additionally, ICTC reserves the right to reject any and all proposals submitted and/or request additional information for clarification.
Consultants are to submit one (1) original, three (3) copies, and one (1) electronic copy in Portable Document Format (PDF) on a USB Thumb Drive of the proposal to the appropriate submission place on the specified date and time. Proposal must be clearly titled:
Imperial County Transportation Commission
Proposals for Architectural/Engineering Services Calexico Intermodal Transportation Center
Federal Aid No. CML-6471(014)
Proposals are to be delivered in a sealed envelope, no later than 4:00 P.M. on April 27, 2018 addressed as follows:
Mark Baza Executive Director Imperial County Transportation Commission Attn: Virginia Mendoza – Senior Transportation Planner 1503 N. Imperial Avenue, Suite 104 El Centro, California 92243
VIII. CLOSING ITEMS
A pre-proposal meeting is scheduled for April 4, 2018 at ICTC offices located at 1503 N. Imperial Avenue, Suite 104, El Centro, California 92243.
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Clarification desired by a respondent relating to definition or interpretation shall be requested in writing with sufficient time to allow for a response and prior to the RFP due date. Oral explanation or instructions shall not be considered binding on behalf of ICTC.
Any modifications to this solicitation will be issued by ICTC as a written addendum.
ICTC will not consider proposals received after the specified date and time. An amendment is considered a new proposal and will not be accepted after the specified date and time. Any contract resulting from this RFP will be financed with funds available to ICTC from local ICTC and/or Federal-Aid or other grant funds.
This RFP does not commit ICTC to award a contract or pay any costs associated with the preparation of a proposal. ICTC reserves the right to cancel, in part or in its entirety, this solicitation should this be in the best interest of ICTC.
Questions concerning this RFP are to be directed to Virg in ia Mendoza, Senior Transportat ion Planner , with the ICTC via electronic mail to [email protected].
Exhibit A – Sample Proposal Evaluation Form
PROPOSAL EVALUATION FORM Recommendation and Architectural/Design Engineering Calexico Intermodal Transportation Center Federal Aid No. CML-6471(014)
DATE: RATING POINTS:
EVALUATOR: 5 = excellent 4 = good
RESPONDENT: 3 = above average 2 = average 1 = below average 0 = unsatisfactory
CRITERIA WEIGHT FACTOR X RATING = WEIGHTED RATING
A. Technical Approach 0.35
• Responsiveness & understanding (0.20)
of work to be done, (i.e. scope of work) • Specific experience with similar (0.15)
design services
B. Project Management 0.30
• Capacity to perform the scope of (0.20) work and the ability to conclude in a timely manner
• Quality of staff based on recent (0.10) experience
C. References (0.05)
D. Familiarity and/or specific experience (0.25)
with local, state and federal project procedures using LAPM for local agency advertised projects.
E. Overall quality of proposal, including (0.05)
qualifications and thoroughness.
F. Previous Experience and Performance working with ICTC
Subtotal Score
(0 to -5) Total Score
Note: Positive previous experience and no previous experience will constitute a score of zero (0). Negative experience points will be deducted from the overall score.
Comments:
Exhibit B – Sample Consultant Agreement and Insurance Requirements
*No changes shall be made to consultant agreement.
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AGREEMENT FOR SERVICES
THIS AGREEMENT FOR SERVICES (“Agreement”), made and entered into this ________ day
of __________________, 2018, is by and between the IMPERIAL COUNTY TRANSPORTATION
COMMISSION (“ICTC”) and [business name] [business type] (“CONSULTANT”) (individually,
“Party;” collectively, “Parties”).
W I T N E S S E T H
WHEREAS, ICTC desires to retain a qualified individual, firm or business entity to provide
professional services for [specify services] (“the Project”); and
WHEREAS, ICTC desires to engage CONSULTANT to provide services by reason of its
qualifications and experience for performing such services, and CONSULTANT has offered to provide the
required services for the Project on the terms and in the manner set forth herein.
NOW, THEREFORE, ICTC and CONSULTANT have and hereby agree to the following:
1. DEFINITIONS.
1.1. “RFP” shall mean ICTC’s request for proposals entitled “Imperial County Transportation
Commission (ICTC) [name of RFP]” dated [date]. The RFP is attached as Exhibit “A” and incorporated
herein by this reference.
1.2. “Proposal” shall mean CONSULTANT’s proposal entitled “Proposal to Provide: [name of
proposal]” dated [date]. The Proposal is attached as Exhibit “B” and incorporated herein by this reference.
2. CONTRACT COORDINATION.
CONSULTANT shall assign a single Contract Manager to have overall responsibility for the
progress and execution of this Agreement. [name of manager] is hereby designated as the Contract
Manager for CONSULTANT. Should circumstances or conditions subsequent to the execution of this
Agreement require a substitute Contract Manager for any reason, the Contract Manager’s designee shall be
subject to the prior written acceptance and approval of ICTC.
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3. DESCRIPTION OF WORK.
3.1. CONSULTANT shall provide all materials and labor to perform this Agreement. In the
event of a conflict among this Agreement, the RFP and the Proposal, the RFP shall take precedence over the
Proposal and this Agreement shall take precedence over both.
3.2. CONSULTANT shall perform additional or extra work if required, utilizing the per hour
rate set forth in Exhibit “B”.
4. WORK TO BE PERFORMED BY CONSULTANT.
4.1. CONSULTANT shall comply with all terms, conditions and requirements of the RFP,
Proposal and this Agreement.
4.2. CONSULTANT shall perform such other tasks as necessary and proper for the full
performance of the obligations assumed by CONSULTANT hereunder.
4.3. CONSULTANT shall:
4.3.1. Procure all permits and licenses, pay all charges and fees, and give all notices that
may be necessary and incidental to the due and lawful prosecution of the services to be performed
by CONSULTANT pursuant to this Agreement;
4.3.2. Use the standard of care usual to CONSULTANT’s profession to keep itself fully
informed of all applicable existing and proposed federal, state and local laws, ordinances,
regulations, orders and decrees which may affect those engaged or employed under this Agreement,
any materials used in CONSULTANT’s performance under this Agreement or the conduct of the
services under this Agreement;
4.3.3. At all times observe and comply with, and cause all of its employees to observe and
comply with all of said laws, ordinances, regulations, orders and decrees mentioned above; and
4.3.4. Immediately report to ICTC in writing any discrepancy or inconsistency it discovers
in said laws, ordinances, regulations, orders and decrees mentioned above in relation to any plans,
drawings, specifications or provisions of this Agreement.
4.4. Any videotape, reports, information, data or other material given to, or prepared or
assembled by, CONSULTANT pursuant to this Agreement shall be the property of ICTC and shall not be
made available to any individual or organization by CONSULTANT without the prior written approval of
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ICTC. The preceding restriction shall not apply to information which is in the public domain, was
previously known to CONSULTANT, was acquired by CONSULTANT from others who have no
confidential relationship to ICTC with respect to same, or which through no fault of CONSULTANT
comes into the public domain. CONSULTANT shall not be restricted from releasing information,
including confidential information, in response to a subpoena, court order, or other legal process.
CONSULTANT shall not be required to resist such subpoena, court order, or legal process, but shall
promptly notify ICTC in writing of the demand for information before responding to such demand.
5. REPRESENTATIONS BY CONSULTANT.
5.1. CONSULTANT understands and agrees that ICTC has limited knowledge in the multiple
areas specified in the Proposal. CONSULTANT has represented itself to have experience in these fields
and understands that ICTC is relying upon such representation.
5.2. Subject to 5.2.1, CONSULTANT represents and warrants that it is a lawful entity
possessing all required licenses and authorities to do business in the State of California and perform all
aspects of this Agreement.
5.2.1. CONSULTANT shall not commence any work pursuant to this Agreement or
provide any other services, or materials, in connection therewith until CONSULTANT has received
written authorization from ICTC to do so.
5.3. CONSULTANT represents and warrants that the people executing this Agreement on behalf
of CONSULTANT have the authority of CONSULTANT to sign this Agreement and bind
CONSULTANT to the performance of all duties and obligations assumed by CONSULTANT herein.
5.4. CONSULTANT represents and warrants that any employee, contractor and/or agent who
will be performing any of the duties and obligations of CONSULTANT herein possess all required licenses
and authorities, as well as the experience and training, to perform such tasks.
5.5. CONSULTANT represents and warrants that the allegations contained in the Proposal are
true and correct.
5.6. CONSULTANT understands that ICTC considers the representations made herein to be
material and would not enter into this Agreement with CONSULTANT if such representations were not
made.
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6. COMPENSATION.
The total compensation payable under this Agreement shall not exceed [ ] dollars ($[ ]) unless
otherwise previously agreed to by ICTC.
7. PAYMENT.
CONSULTANT will bill ICTC on a time and material basis upon completion of the project or as set
forth in the cost schedule attached hereto as Exhibit “C”. ICTC shall pay CONSULTANT for completed
and approved services upon presentation of its itemized billing.
8. METHOD OF PAYMENT.
8.1 CONSULTANT shall at any time prior to the 15th day of any month, submit to ICTC a
written claim for compensation for services performed. The claim shall be in a format approved by ICTC.
CONSULTANT may expect to receive payment within a reasonable time thereafter and in any event in the
normal course of business within thirty (30) days after the claim is submitted.
9. TERM AND TIME FOR COMPLETION OF THE WORK.
9.1. This Agreement shall commence on the date first written above and shall remain in effect
through completion of the Project unless otherwise terminated as provided herein.
9.2. Program scheduling shall be as described in Exhibit "A" unless revisions to Exhibit "A" are
approved by both ICTC and CONSULTANT's Contract Manager. Time extensions may be allowed for
delays caused by ICTC, other governmental agencies, or factors not directly brought about by the
negligence or lack of due care on the part of CONSULTANT.
10. SUSPENSION OF AGREEMENT.
ICTC shall have the authority to suspend this Agreement, wholly or in part, for such period as
deemed necessary due to unfavorable conditions or to the failure on the part of CONSULTANT to perform
any provision of this Agreement. CONSULTANT will be paid the compensation due and payable to the
date of suspension.
11. SUSPENSION AND/OR TERMINATION.
11.1. ICTC retains the right to terminate this Agreement for any reason by notifying
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CONSULTANT in writing seven (7) days prior to termination and by paying the compensation due and
payable to the date of termination; provided, however, if this Agreement is terminated for fault of
CONSULTANT, ICTC shall be obligated to compensate CONSULTANT only for that portion of
CONSULTANT’s services which have been performed in accordance with the terms and conditions of this
Agreement. Said compensation is to be arrived at by mutual agreement between ICTC and
CONSULTANT; should the Parties fail to agree on said compensation, an independent arbitrator shall be
appointed and the decision of the arbitrator shall be binding upon the Parties.
11.2. Upon such termination, CONSULTANT shall immediately turn over to ICTC any and all
copies of videotapes, studies, sketches, drawings, computations and other data, whether or not completed,
prepared by CONSULTANT in connection with this Agreement. Such materials shall become the
permanent property of ICTC.
12. INSPECTION.
CONSULTANT shall furnish ICTC with every reasonable opportunity for ICTC to ascertain that
the services of CONSULTANT are being performed in accordance with the requirements and intentions of
this Agreement. All work done and materials furnished, if any, shall be subject to ICTC’s inspection and
approval. The inspection of such work shall not relieve CONSULTANT of any of its obligations to fulfill
its Agreement as prescribed.
13. OWNERSHIP OF MATERIALS.
All original drawings, videotapes and other materials prepared by or in possession of
CONSULTANT pursuant to this Agreement shall become the permanent property of ICTC and shall be
delivered to ICTC upon demand.
14. INTEREST OF CONSULTANT.
14.1. CONSULTANT covenants that it presently has no interest, and shall not acquire any
interest, direct or indirect, financial or otherwise, which would conflict in any manner or degree with the
performance of the services hereunder.
14.2. CONSULTANT covenants that, in the performance of this Agreement, no sub-contractor or
person having such an interest shall be employed.
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14.3. CONSULTANT certifies that no one who has or will have any financial interest pursuant to
this Agreement is an officer or employee of ICTC.
15. INDEMNIFICATION.
To the furthest extent allowed by law, including California Civil Code section 2782.8,
CONSULTANT shall indemnify, hold harmless and defend ICTC and each of its members, board
members, officers, officials, employees, agents and volunteers from any and all loss, liability, fines,
penalties, forfeitures, costs and damages (whether in contract, tort or strict liability, including but not
limited to personal injury, death at any time and property damage), and from any and all claims,
demands and actions in law or equity (including reasonable attorney’s fees and litigation expenses) to
the extent that any loss, liability, fines, penalties, forfeitures, costs, damages, claims, demands or actions
in law or equity arise out of, pertain to, or relate to the negligence, recklessness or willful misconduct of
CONSULTANT, its principals, officers, employees, agents or volunteers in the performance of this
Agreement. In no event shall the cost to defend charged to the design professional exceed the design
professional’s proportionate percentage of fault. However, notwithstanding the previous sentence, in the
event one or more defendants is unable to pay its share of defense costs due to bankruptcy or dissolution
of the business, the design professional shall meet and confer with other parties regarding unpaid
defense costs.
If CONSULTANT should subcontract all or any portion of the services to be performed under
this Agreement, CONSULTANT shall require each subcontractor to indemnify, hold harmless and
defend ICTC and each of its members, board members, officers, officials, employees, agents and
volunteers in accordance with the terms of the preceding paragraph.
This section shall survive termination or expiration of this Agreement.
16. INDEPENDENT CONTRACTOR.
In all situations and circumstances arising out of the terms and conditions of this Agreement,
CONSULTANT is an independent contractor, and as an independent contractor, the following shall
apply:
16.1. CONSULTANT is not an employee or agent of ICTC and is only responsible for the
requirements and results specified by this Agreement or any other agreement.
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16.2. CONSULTANT shall be responsible to ICTC only for the requirements and results
specified by this Agreement and except as specifically provided in this Agreement, shall not be subject
to ICTC’s control with respect to the physical actions or activities of CONSULTANT in fulfillment of
the requirements of this Agreement.
16.3. CONSULTANT is not, and shall not be, entitled to receive from, or through, ICTC, and
ICTC shall not provide, or be obligated to provide, CONSULTANT with Worker’s Compensation
coverage or any other type of employment or worker insurance or benefit coverage required or provided
by any Federal, State or local law or regulation for, or normally afforded to, an employee of ICTC.
16.4. CONSULTANT shall not be entitled to have ICTC withhold or pay, and ICTC shall not
withhold or pay, on behalf of CONSULTANT, any tax or money relating to the Social Security Old Age
Pension Program, Social Security Disability Program, or any other type of pension, annuity, or disability
program required or provided by any Federal, State or local law or regulation.
16.5. CONSULTANT shall not be entitled to participate in, or receive any benefit from, or
make any claim against any ICTC fringe program, including, but not limited to, ICTC’s pension plan,
medical and health care plan, dental plan, life insurance plan, or any other type of benefit program, plan,
or coverage designated for, provided to, or offered to ICTC’s employee.
16.6. ICTC shall not withhold or pay, on behalf of CONSULTANT, any Federal, State, or local
tax, including, but not limited to, any personal income tax, owed by CONSULTANT.
16.7. CONSULTANT is, and at all times during the term of this Agreement, shall represent
and conduct itself as an independent contractor, not as an employee of ICTC.
16.8. CONSULTANT shall not have the authority, express or implied, to act on behalf of, bind
or obligate ICTC in any way without the written consent of ICTC.
17. INSURANCE.
Throughout the life of this Agreement, CONSULTANT shall pay for and maintain in full force
and effect all policies of insurance required hereunder with an insurance company(ies) either (i)
admitted by the California Insurance Commissioner to do business in the State of California and rated
not less than "A- VII" in Best's Insurance Rating Guide, or (ii) authorized by ICTC’s Executive Director
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or his/her designee at any time and in his/her sole discretion. The following policies of insurance are
required:
(i) COMMERCIAL GENERAL LIABILITY insurance which shall be at least as
broad as the most current version of Insurance Services Office (ISO) Commercial General
Liability Coverage Form CG 00 01 and include insurance for “bodily injury,” “property damage”
and “personal and advertising injury” with coverage for premises and operations (including the
use of owned and non-owned equipment), products and completed operations, and contractual
liability with limits of liability of not less than the following:
$1,000,000 per occurrence for bodily injury and property damage
$1,000,000 per occurrence for personal and advertising injury
$2,000,000 aggregate for products and completed operations
$2,000,000 general aggregate
(ii) COMMERCIAL AUTOMOBILE LIABILITY insurance which shall be at least
as broad as the most current version of Insurance Service Office (ISO) Business Auto Coverage
Form CA 00 01, and include coverage for all owned, hired, and non-owned automobiles or other
licensed vehicles (Code 1 - Any Auto) with limits of liability of not less than $1,000,000 per
accident for bodily injury and property damage.
(iii) WORKERS' COMPENSATION insurance as required under the California Labor
Code.
(iv) EMPLOYERS’ LIABILITY insurance with limits of liability of not less than
$1,000,000 each accident, $1,000,000 disease policy limit and $1,000,000 disease each
employee.
(v) PROFESSIONAL LIABILITY (ERRORS AND OMISSIONS) insurance appropriate
to CONSULTANT'S profession, with limits of liability of not less than $1,000,000 per
claim/occurrence and $2,000,000 policy aggregate.
In the event CONSULTANT maintains insurance or self-insurance with broader coverage and/or
limits of liability greater than those shown above, ICTC requires and shall be entitled to the broader
coverage and/or the higher limits of liability maintained by CONSULTANT. Any available insurance
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proceeds in excess of the specified minimum limits of insurance and coverage shall be available to
ICTC.
CONSULTANT shall be responsible for payment of any deductibles contained in any insurance
policies required hereunder and CONSULTANT shall also be responsible for payment of any self-
insured retentions. Any deductibles or self-insured retentions must be declared to, and approved by, the
ICTC’s Executive Director or his/her designee. At the option of the ICTC’s Executive Director or
his/her designee, either: (i) the insurer shall reduce or eliminate such deductibles or self-insured
retentions as respects to ICTC, its board members, officers, employees, agents and volunteers: or (ii)
CONSULTANT shall provide a financial guarantee, satisfactory to ICTC’s Executive Director or his/her
designee, guaranteeing payment of losses and related investigations, claim administration and defense
expenses. At no time shall ICTC be responsible for the payment of any deductibles or self-insured
retentions.
All policies of insurance required hereunder shall be endorsed to provide that the coverage shall
not be cancelled, non-renewed, reduced in coverage or in limits except after 30 calendar day written
notice has been given to ICTC. Upon issuance by the insurer, broker, or agent of a notice of
cancellation, nonrenewal, or reduction in coverage or in limits, CONSULTANT shall furnish ICTC with
a new certificate and applicable endorsements for such policy(ies). In the event any policy is due to
expire during the work to be performed for ICTC, CONSULTANT shall provide a new certificate, and
applicable endorsements, evidencing renewal of such policy not less than 15 calendar days prior to the
expiration date of the expiring policy.
The General Liability and Automobile Liability insurance policies shall be written on an
occurrence form and shall name ICTC, its members, board members, officers, employees, agents and
volunteers as an additional insured. Such policy(ies) of insurance shall be endorsed so
CONSULTANT’S insurance shall be primary and no contribution shall be required of ICTC. The
coverage shall contain no special limitations on the scope of protection afforded to ICTC, its members,
board members, officers, employees, agents and volunteers. The Workers’ Compensation insurance
policy shall contain a waiver of subrogation as to ICTC, its members, board members, officers,
employees, agents and volunteers.
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If the Professional Liability (Errors and Omissions) insurance policy is written on a claims-made
form:
1. The retroactive date must be shown, and must be before the effective date of the Agreement or the commencement of work by CONSULTANT.
2. Insurance must be maintained and evidence of insurance must be provided for at least 3 years after any expiration or termination of the Agreement or, in the alternative, the policy shall be endorsed to provide not less than a 3-year discovery period.
3. If coverage is canceled or non-renewed, and not replaced with another claims-made policy form with a retroactive date prior to the effective date of the Agreement or the commencement of work by CONSULTANT, CONSULTANT must purchase extended reporting coverage for a minimum of 3 years following the expiration or termination of the Agreement.
4. A copy of the claims reporting requirements must be submitted to ICTC for review. 5. These requirements shall survive expiration or termination of the Agreement.
CONSULTANT shall furnish ICTC with all certificate(s) and applicable endorsements effecting
coverage required hereunder. All certificates and applicable endorsements are to be received by ICTC
and approved by ICTC’s Executive Director or his/her designee prior to ICTC’s execution of the
Agreement and before work commences. Upon request of ICTC, CONSULTANT shall immediately
furnish ICTC with a complete copy of any insurance policy required under this Agreement, including all
endorsements, with said copy certified by the underwriter to be a true and correct copy of the original
policy. This requirement shall survive expiration or termination of this Agreement.
If at any time during the life of this Agreement or any extension, CONSULTANT or any of its
subcontractors fail to maintain any required insurance in full force and effect, all work under this
Agreement shall be discontinued immediately, and all payments due or that become due to
CONSULTANT shall be withheld until notice is received by ICTC that the required insurance has been
restored to full force and effect and that the premiums therefore have been paid for a period satisfactory
to ICTC. Any failure to maintain the required insurance shall be sufficient cause for ICTC to terminate
this Agreement. No action taken by ICTC hereunder shall in any way relieve CONSULTANT of its
responsibilities under this Agreement.
The fact that insurance is obtained by CONSULTANT shall not be deemed to release or
diminish the liability of CONSULTANT, including, without limitation, liability under the indemnity
provisions of this Agreement. The duty to indemnify ICTC shall apply to all claims and liability
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regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation
upon the amount of indemnification to be provided by CONSULTANT. Approval or purchase of any
insurance contracts or policies shall in no way relieve from liability nor limit the liability of
CONSULTANT, its principals, officers, employees, agents, persons under the supervision of
CONSULTANT, vendors, suppliers, invitees, consultants, sub-consultants, subcontractors, or anyone
employed directly or indirectly by any of them.
If CONSULTANT should subcontract all or any portion of the services to be performed under
this Agreement, CONSULTANT shall require each subcontractor to provide insurance protection in
favor of ICTC, its board members, officers, employees, agents and volunteers in accordance with the
terms of each of the preceding paragraphs, except that the subcontractors' certificates and endorsements
shall be on file with CONSULTANT and ICTC prior to the commencement of any work by the
subcontractor.
18. ASSIGNMENT.
Neither this Agreement nor any duties or obligations hereunder shall be assignable by
CONSULTANT without the prior written consent of ICTC. CONSULTANT may employ other
specialists to perform services as required with prior approval by ICTC.
19. NON-DISCRIMINATION.
During the performance of this Agreement, CONSULTANT shall not unlawfully discriminate
against any employee or applicant for employment or employee of ICTC or member of the public
because of race, religion, color, national status, age, or sex. CONSULTANT shall ensure that the
evaluation and treatment of its employees and applicants for employment and employees and members
of the public are free of such discrimination. CONSULTANT shall comply with all provisions of the
Fair Employment and Housing Act (Government Code §12900, et seq.). The applicable regulations of
the Fair Employment Housing Commission implementing Government Code §12900 set forth in
Chapter 5 of Division 4 of Title 2 of the California Administrative Code are incorporated into this
Agreement by reference and made a part hereof as if set forth in full. CONSULTANT shall abide by the
Federal Civil Rights Act of 1964 and all amendments thereto, and all administrative rules and
regulations issued pursuant to said Act. CONSULTANT shall also abide by the American Disabilities
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Act and all amendments thereto, and all administrative rules and regulations issued pursuant to said Act.
CONSULTANT shall give written notice of its obligations under this clause to labor organizations with
which it has a collective bargain or other agreement. CONSULTANT shall include the non-
discrimination and compliance provision of this paragraph in all subcontracts to perform work pursuant
to this Agreement.
20. NOTICES AND REPORTS.
20.1. All notices and reports pursuant to this Agreement shall be in writing and may be given
by personal delivery or by mailing by certified mail, addressed as follows:
ICTC CONSULTANT
Attn: Executive Director Attn: Project Manager Imperial County Transportation Commission 1503 N. Imperial Ave., Ste 104 El Centro, CA 92243
20.2. All notices and reports pursuant to this Agreement may be given by personal delivery or
by mailing by certified mail at such other address as either Party may designate in a notice to the other
Party given in such manner.
20.3. Any notice given by mail shall be considered given when deposited in the United States
Mail, postage prepaid, addressed as provided herein.
21. ENTIRE AGREEMENT.
This Agreement contains the entire agreement between ICTC and CONSULTANT relating to the
transactions contemplated hereby and supersedes all prior or contemporaneous agreements,
understandings, provisions, negotiations, representations, or statements, either written or oral.
22. MODIFICATION.
No modification, waiver, amendment, discharge, or change of this Agreement shall be valid
unless the same is in writing and signed by both parties.
23. PARTIAL INVALIDITY.
If any provision in this Agreement is held by a court of competent jurisdiction to be invalid,
void, or unenforceable, the remaining provisions will nevertheless continue in full force without being
impaired or invalidated in any way.
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24. GENDER AND INTERPRETATION OF TERMS AND PROVISIONS.
As used in this Agreement and whenever required by the context thereof, each number, both
singular and plural, shall include all numbers, and each gender shall include a gender. CONSULTANT
as used in this Agreement or in any other document referred to in or made a part of this Agreement shall
likewise include both singular and the plural, a corporation, a partnership, individual, firm or person
acting in any fiduciary capacity as executor, administrator, trustee or in any other representative capacity
or any other entity. All covenants herein contained on the part of CONSULTANT shall be joint and
several if more than one person, firm or entity executes the Agreement.
25. WAIVER.
No waiver of any breach or of any of the covenants or conditions of this Agreement shall be
construed to be a waiver of any other breach or to be a consent to any further or succeeding breach of
the same or any other covenant or condition.
26. CHOICE OF LAW.
This Agreement shall be governed by the laws of the State of California. This Agreement is
made and entered into in Imperial County, California. Any action brought by either Party with respect
to this Agreement shall be brought in a court of competent jurisdiction within said County.
27. ATTORNEY’S FEES.
If either Party herein brings an action to enforce the terms thereof or declare rights hereunder,
each Party in any such action, on trial or appeal, shall bear its own attorney’s fees and costs.
28. AUTHORITY.
Each individual executing this Agreement on behalf of CONSULTANT represents and warrants
that:
28.1. He/She is duly authorized to execute and deliver this Agreement on behalf of
CONSULTANT;
28.2. Such execution and delivery is in accordance with the terms of the Articles of
Incorporation or Partnership, any by-laws or Resolutions of CONSULTANT and;
28.3. This Agreement is binding upon CONSULTANT accordance with its terms.
SAMPLE
14
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29. COUNTERPARTS.
This Agreement may be executed in counterparts.
30. REVIEW OF AGREEMENT TERMS.
This Agreement has been reviewed and revised by legal counsel for both ICTC and
CONSULTANT, and no presumption or rule that ambiguities shall be construed against the drafting
Party shall apply to the interpretation or enforcement of the same or any subsequent amendments
thereto.
IN WITNESS WHEREOF, the Parties have executed this Agreement on the day and year first
above written.
IMPERIAL COUNTY TRANSPORTATION COMMISSION:
_________________________________________ Chair ATTEST: _________________________________________ Secretary to the Commission CONSULTANT: By: APPROVED AS TO FORM: COUNTY COUNSEL By: Deputy County Counsel
SAMPLE
INSURANCE REQUIREMENTS
Insurance Requirements are set forth by ICTC. Minimum requirements may vary per project and are subject to additional review after Consultant is selected. The insurance requirements for this project are as follows:
MINIMUM INSURANCE AMOUNTS
Consultant Contract (Agreement for Services) form and content is included.
Insurance Minimum Limit *
Errors & Omissions/ Professional Liability $2 million per occurrence
Workers Compensation, Coverage A Statutory
Employers Liability, Coverage B $1 million
Comprehensive General Liability
(Including Contractual Liability):
Bodily Injury $1 million per occurrence $2 million aggregate
Property Damage $1 million per occurrence $2 million aggregate
Comprehensive Automobile Liability
(Owned, hired & non-owned vehicles)
Bodily Injury $1 million per occurrence
Property Damage $1 million per occurrence
An endorsement covering any explosion, collapse and underground exposures, “XCU”, in the Commercial General Liability policy is also required.
Insurance Certificates should name:
-Imperial County Transportation Commission
*Minimums subject to additional review after bid open.
Exhibit C – Location Map
Project location is along the Southside of 3rd Street between Heffernan Avenue and Heber Avenue. In addition, the project will include ADA pedestrian improvements at adjacent sidewalk intersections and along Heffernan Avenue between 1st Street to 3rd Street.
NORTH
PROJECT CONCEPT
NORTH
HE
FFE
RN
AN
AV
E.
HE
BE
R A
VE
.
Exhibit D – Bidder/Proposer Disadvantaged Business Enterprise (DBE) Program Requirements
• Exhibit 9-B: Local Agency DBE Annual Submittal Form
• Exhibit 10-I: Notice to Proposers Disadvantages Business Enterprise Information
• Exhibit –J: Standard Agreement for Subcontractor/DBE Participation
Page 1 of 3 May 8, 2013 LPP 13-01
Local Assistance Procedures Manual EXHBIT 10-I Notice to Proposers DBE Information
EXHIBIT 10-I NOTICE TO PROPOSERS DBE INFORMATION
The Agency has established a DBE goal for this Contract of 15%
OR
The Agency has not established a goal for this Contract. However, proposers are encouraged to obtain DBE participation for this contract.
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, Code of Federal Regulations (CFR), Part 26.5.
• 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 Contracts 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 Consultant must 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 must 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 DBE INFORMATION
If there is a DBE goal on the contract, Exhibit 10-O1 Consultant Proposal DBE Commitment must 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. All DBE participation will be counted towards the contract goal; therefore, all DBE participation shall be collected and reported.
Exhibit 10-O2 Consultant Contract DBE Information must be included with the Request for Proposal. 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).
Page 2 of 3 May 8, 2013 LPP 13-01
Local Assistance Procedures Manual EXHBIT 10-I Notice to Proposers DBE Information
B. A certified DBE may participate as a prime consultant, subconsultant, joint venture partner, as a vendor
of material or supplies, or as a trucking company.
C. A DBE 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 DBE and will meet the goal by performing work with its own forces.
2. The proposer will meet the goal through work performed by DBE subconsultants, 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 subconsultant for each portion of work as defined in their proposal and all DBE subconsultants should be listed in the bid/cost proposal list of subconsultants.
G. A prime consultant who is a certified DBE is eligible to claim all of the work in the Contract toward the DBE participation except that portion of the work to be performed by non-DBE subconsultants.
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.
B. Access the CUCP database from the Department of Transportation, Office of Business and Economic Opportunity Web site at: http://www.dot.ca.gov/hq/bep/.
1. Click on the link in the left menu titled Disadvantaged Business Enterprise;
2. Click on Search for a DBE Firm link;
3. 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.
6. MATERIALS OR SUPPLIES PURCHASED FROM DBES COUNT TOWARDS THE DBE 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 Contract 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 Contract 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
Page 3 of 3 May 8, 2013 LPP 13-01
Local Assistance Procedures Manual EXHBIT 10-I Notice to Proposers DBE Information
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 DBE 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.
Page 2 of 3 May 8, 2013 LPP 13-01
Local Assistance Procedures Manual EXHBIT 10-J Standard Contract Provisions for Subconsultant/DBE Participation
3. Performance of DBE Consultant and other DBE Subconsultants/Suppliers
A. A DBE performs a commercially useful function when it is responsible for execution of the work of the 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 be responsible with respect to materials and supplies used on the Contract, for negotiating price, determining quality and quantity, ordering the material, and installing (where applicable) and paying for the material itself. To determine whether a DBE is performing a commercially useful function, evaluate the amount of work subcontracted, industry practices; whether the amount the firm is to be paid under the Contract is commensurate with the work it is actually performing; and other relevant factors.
B. A DBE does not perform a commercially useful function if its role is limited to that of an extra participant in a transaction, Contract, or project through which funds are passed in order to obtain the appearance of DBE participation. In determining whether a DBE is such an extra participant, examine similar transactions, particularly those in which DBEs do not participate.
C. If a DBE does not perform or exercise responsibility for at least 30 percent of the total cost of its Contract with its own work force, 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. Prompt Payment of Funds Withheld to Subconsultants
A. Any subcontract entered into as a result of this Contract shall contain all of the provisions of this section.
(Local agency to include either B, C, or D below; delete the other two.)
B. No retainage will be withheld by the Agency from progress payments due the prime Consultant. Retainage by the prime Consultant or subconsultants is prohibited, and no retainage will be held by the prime Consultant from progress due subconsultants. Any violation of this provision shall subject the violating prime Consultant or subconsultants to the penalties, sanctions, and other remedies specified in Section 7108.5 of the California Business and Professions Code. This requirement shall not be construed to limit or impair any contractual, administrative, or judicial remedies, otherwise available to the prime Consultant or subconsultant in the event of a dispute involving late payment or nonpayment by the prime Consultant or deficient subconsultant performance, or noncompliance by a subconsultant. This provision applies to both DBE and non-DBE prime Consultants and subconsultants.
C. No retainage will be held by the Agency from progress payments due the prime Consultant. Any retainage held by the prime Consultant or subconsultants from progress payments due subconsultants shall be promptly paid in full to subconsultants within 30 days after the subconsultant’s work is satisfactorily completed. Federal law (49 CFR26.29) requires that any delay or postponement of payment over the 30 days may take place only for good cause and with the Agency’s prior written approval. Any violation of this provision shall subject the violating prime Consultant or subconsultant to the penalties, sanctions and other remedies specified in Section 7108.5 of the Business and Professions Code. These requirements shall not be construed to limit or impair any contractual, administrative, or judicial remedies, otherwise available to the prime Consultant or subconsultant in the event of a dispute involving late payment or nonpayment by the prime consultant, deficient subconsultant performance, or noncompliance by a subconsultant. This provision applies to both DBE and non-DBE prime consultant and subconsultants.
Page 3 of 3 May 8, 2013 LPP 13-01
Local Assistance Procedures Manual EXHBIT 10-J Standard Contract Provisions for Subconsultant/DBE Participation
D. The Agency shall hold retainage from the prime consultant and shall make prompt and regular
incremental acceptances of portions, as determined by the Agency, of the contract work, and pay retainage to the prime consultant based on these acceptances. The prime consultant, or subconsultant, shall return all monies withheld in retention from a subconsultant within 30 days after receiving payment for work satisfactorily completed and accepted including incremental acceptances of portions of the contract work by the agency. Federal law (49 CFR26.29) requires that any delay or postponement of payment over 30 days may take place only for good cause and with the agency’s prior written approval. Any violation of this provision shall subject the violating prime consultant or subconsultant to the penalties, sanctions and other remedies specified in Section 7108.5 of the Business and Professions Code. These requirements shall not be construed to limit or impair any contractual, administrative, or judicial remedies, otherwise available to the prime consultant or subconsultant in the event of a dispute involving late payment or nonpayment by the prime Consultant, deficient subconsultant performance, or noncompliance by a subconsultant. This provision applies to both DBE and non-DBE prime consultant and subconsultants.
5. DBE Records
A. The Consultant shall maintain records of materials purchased or supplied from all subcontracts entered into with certified DBEs. The records shall show the name and business address of each DBE or vendor and the total dollar amount actually paid each DBE or vendor, regardless of tier. The records shall show the date of payment and the total dollar figure paid to all firms. DBE prime consultants shall also show the date of work performed by their own forces along with the corresponding dollar value of the work.
B. Upon completion of the Contract, a summary of these records shall be prepared and submitted on the form entitled, “Final Report-Utilization of Disadvantaged Business Enterprise (DBE), First-Tier Subconsultants,” CEM-2402F (Exhibit 17-F, Chapter 17, of the LAPM), certified correct by the Consultant or the Consultant’s authorized representative and shall be furnished to the Contract Administrator with the final invoice. Failure to provide the summary of DBE payments with the final invoice will result in 25 percent of the dollar value of the invoice being withheld from payment until the form is submitted. The amount will be returned to the Consultant when a satisfactory “Final Report- Utilization of Disadvantaged Business Enterprises (DBE), First-Tier Subconsultants” is submitted to the Contract Administrator.
6. DBE Certification and Decertification Status
If a DBE subconsultant is decertified during the life of the Contract, the decertified subconsultant shall notify the Consultant in writing with the date of decertification. If a subconsultant becomes a certified DBE during the life of the Contract, the subconsultant shall notify the Consultant in writing with the date of certification. Any changes should be reported to the Agency’s Contract Administrator within 30 days.
Exhibit E - Required Certification by Consultant with Proposal
• Exhibit 15-H: DBE Information – Good Faith Efforts
• Exhibit 10-H: Cost Proposal (submitted in separate sealed envelope)
• Exhibit 10-O1: Consultant Proposal DBE Commitment
• Exhibit10-Q: Disclosure of Lobbying Activities
Local Assistance Procedures Manual Exhibit 15-H DBE Information - Good Faith Effort
EXHIBIT 15-H DBE INFORMATION —GOOD FAITH EFFORTS
DBE INFORMATION - GOOD FAITH EFFORTS
Federal-aid Project No. Bid Opening Date
The Imperial County Transportation Commission established a Disadvantaged Business Enterprise (DBE) goal of 15 for this project. The information provided herein shows that a good faith effort was made.
Lowest, second lowest and third lowest bidders shall submit the following information to document adequate good faith efforts. Bidders should submit the following information even if the “Local Agency Bidder DBE Commitment” form indicates that the bidder has met the DBE goal. This will protect the bidder’s eligibility for award of the contract if the administering agency determines that the bidder failed to meet the goal for various reasons, e.g., a DBE firm was not certified at bid opening, or the bidder made a mathematical error.
Submittal of only the “Local Agency Bidder DBE Commitment” form may not provide sufficient documentation to demonstrate that adequate good faith efforts were made.
The following items are listed in the Section entitled “Submission of DBE Commitment” of the Special Provisions:
A. The names and dates of each publication in which a request for DBE participation for this project
was placed by the bidder (please attach copies of advertisements or proofs of publication):
Publications Dates of Advertisement
B. The names and dates of written notices sent to certified DBEs soliciting bids for this project and the dates and methods used for following up initial solicitations to determine with certainty whether the DBEs were interested (please attach copies of solicitations, telephone records, fax confirmations, etc.):
Names of DBEs Solicited Date of Initial Follow Up Methods and Dates
Solicitation
Page 15-1 OB 12-04 June 29, 2012
Exhibit 15-H Local Assistance Procedures Manual DBE Information -Good Faith Effort
C. The items of work which the bidder made available to DBE firms including, where appropriate, any breaking down of the contract work items (including those items normally performed by the bidder with its own forces) into economically feasible units to facilitate DBE participation. It is the bidder's responsibility to demonstrate that sufficient work to facilitate DBE participation was made available to DBE firms.
Items of Work Bidder Normally
Performs Item Breakdown of
Items Amount
($) Percentage
Of (Y/N) Contract
D. The names, addresses and phone numbers of rejected DBE firms, the reasons for the bidder's rejection of the DBEs, the firms selected for that work (please attach copies of quotes from the firms involved), and the price difference for each DBE if the selected firm is not a DBE:
Names, addresses and phone numbers of rejected DBEs and the reasons for the bidder's rejection of the DBEs:
Names, addresses and phone numbers of firms selected for the work above:
E. Efforts made to assist interested DBEs in obtaining bonding, lines of credit or insurance, and any technical assistance or information related to the plans, specifications and requirements for the work which was provided to DBEs:
Page 15-2 June 29, 2012 OB 12-04
Local Assistance Procedures Manual Exhibit 15-H DBE Information - Good Faith Effort
F. Efforts made to assist interested DBEs in obtaining necessary equipment, supplies, materials or related assistance or services, excluding supplies and equipment the DBE subcontractor purchases or leases from the prime contractor or its affiliate:
G. The names of agencies, organizations or groups contacted to provide assistance in contacting, recruiting and using DBE firms (please attach copies of requests to agencies and any responses received, i.e., lists, Internet page download, etc.):
Name of Agency/Organization Method/Date of Contact Results
H. Any additional data to support a demonstration of good faith efforts (use additional sheets if necessary):
NOTE: USE ADDITIONAL SHEETS OF PAPER IF NECESSARY.
Page 15-3 OB 12-04 June 29, 2012
Page 2 of 2 May 8, 2013 LPP 13-01
Local Assistance Procedures Manual EXHIBIT 10-O1 Consultant Proposal DBE Commitment
INSTRUCTIONS - CONSULTANT PROPOSAL DBE COMMITMENT
Consultant Section
The Consultant shall: 1. Local Agency Name – Enter the name of the local or regional agency that is funding the contract. 2. Project Location - Enter the project location as it appears on the project advertisement. 3. Project Description - Enter the project description as it appears on the project advertisement (Bridge Rehab, Seismic Rehab,
Overlay, Widening, etc.). 4. Consultant Name - Enter the consultant’s firm name. 5. Contract DBE Goal % - Enter the contract DBE goal percentage, as it was reported on the Exhibit 10-I Notice to Proposers
DBE Information form. See LAPM Chapter 10. 6. Description of Services to be Provided - Enter item of work description of services to be provided. Indicate all work to be
performed by DBEs including work performed by the prime consultant’s own forces, if the prime is a DBE. If 100% of the item is not to be performed or furnished by the DBE, describe the exact portion to be performed or furnished by the DBE. See LAPM Chapter 9 to determine how to count the participation of DBE firms.
7. DBE Firm Contact Information - Enter the name and telephone number of all DBE subcontracted consultants. Also, enter the prime consultant’s name and telephone number, if the prime is a DBE.
8. DBE Cert. Number - Enter the DBEs Certification Identification Number. All DBEs must be certified on the date bids are opened. (DBE subcontracted consultants should notify the prime consultant in writing with the date of the decertification if their status should change during the course of the contract.)
9. DBE % - Percent participation of work to be performed or service provided by a DBE. Include the prime consultant if the prime is a DBE. See LAPM Chapter 9 for how to count full/partial participation.
10. Total % Claimed – Enter the total DBE participation claimed. If the Total % Claimed is less than item “6. Contract DBE Goal”, an adequately documented Good Faith Effort (GFE) is required (see Exhibit 15-H DBE Information - Good Faith Efforts of the LAPM).
11. Preparer’s Signature – The person completing this section of the form for the consultant’s firm must sign their name. 12. Preparer’s Name (Print) – Clearly enter the name of the person signing this section of the form for the consultant. 13. Preparer’s Title - Enter the position/title of the person signing this section of the form for the consultant. 14. Date - Enter the date this section of the form is signed by the preparer. 15. (Area Code) Tel. No. - Enter the area code and telephone number of the person signing this section of the form for the
consultant.
Local Agency Section:
The Local Agency representative shall: 16. Local Agency Contract Number - Enter the Local Agency Contract Number. 17. Federal-Aid Project Number - Enter the Federal-Aid Project Number. 18. Contract Execution Date - Enter date the contract was executed and Notice to Proceed issued. See LAPM Chapter 10, page 23. 19. Local Agency Representative Name (Print) - Clearly enter the name of the person completing this section. 20. Local Agency Representative Signature - The person completing this section of the form for the Local Agency must sign their
name to certify that the information in this and the Consultant Section of this form is complete and accurate. 21. Date - Enter the date the Local Agency Representative signs the form. 22. Local Agency Representative Title - Enter the position/title of the person signing this section of the form. 23. (Area Code) Tel. No. - Enter the area code and telephone number of the Local Agency representative signing this section of the
form.
Page 1 of 5 January 14, 2015 LPP 15-01
f) Overhead (Rate: 0.00% _) g) Overhead [(c) x (f)] $ 0.00 h) General and Administrative (Rate: 0 .00% ) i) Gen & Admin [(c) x (h)] $ 0.00
Local Assistance Procedures Manual EXHIBIT 10-H Sample Cost Proposal
EXHIBIT 10-H SAMPLE COST PROPOSAL (EXAMPLE #1) Page 1 of 2
ACTUAL COST-PLUS-FIXED FEE OR LUMP SUM (FIRM FIXED PRICE) CONTRACTS
(DESIGN, ENGINEERING AND ENVIRONMENTAL STUDIES) Note: Mark-ups are Not Allowed
Consultant
DIRECT LABOR
Contract No.
Date
Classification/Title Name Hours Actual Hourly Rate Total
$
$
$
$ $
$ 0.00
$ 0.00
$ 0.00
$ 0.00
$ 0.00
LABOR COSTS a) Subtotal Direct Labor Costs $ 0.00 b) Anticipated Salary Increases (see page 2 for sample) $ 0.00
c) TOTAL DIRECT LABOR COSTS [(a) + (b)] $ 0.00 FRINGE BENEFITS d) Fringe Benefits (Rate: 0 .00%
INDIRECT COSTS
) e) TOTAL FRINGE BENEFITS
[(c) x (d)] $ 0.00
FEE (Profit)
j) TOTAL INDIRECT COSTS [(e) + (g) + (i)] $ 0.00
q) (Rate: 0.00% ) k) TOTAL FIXED PROFIT [(c) + (j)] x (q)]$ 0.00
OTHER DIRECT COSTS (ODC) Description Unit(s) Unit Cost Total
l) Travel/Mileage Costs (supported by consultant actual costs) $ $ 0.00
m) Equipment Rental and Supplies (itemize) n) Permit Fees (itemize), Plan sheets (each), Test
Holes (each), etc. o) Subconsultant Costs (attach detailed cost proposal
in same format as prime consultant estimate for each subconsultant)
$ $ 0.00 $ $ 0.00 $ $ 0.00
p) TOTAL OTHER DIRECT COSTS [(l) + (m) + (n) + (o)] $ 0.00
TOTAL COST [(c) + (j) + (k) + (p)] $ 0.00
NOTES: • Employees subject to prevailing wage requirements to be marked with an *. • ODC items should be based on actual costs and supported by historical data and other documentation. • ODC items that would be considered “tools of the trade” are not reimbursable. • ODC items should be consistently billed directly to all clients, not just when client will pay for them as a direct cost. • ODC items when incurred for the same purpose, in like circumstances, should not be included in any indirect cost pool or in
overhead rate.
Page 2 of 5 January 14, 2015 LPP 15-01
Local Assistance Procedures Manual EXHIBIT 10-H Sample Cost Proposal
EXHIBIT 10-H SAMPLE COST PROPOSAL (EXAMPLE #1) Page 2 of 2
ACTUAL COST-PLUS-FIXED FEE OR LUMP SUM (FIRM FIXED PRICE) CONTRACTS
(SAMPLE CALCULATIONS FOR ANTICIPATED SALARY INCREASES)
Consultant Contract No. Date
1. Calculate Average Hourly Rate for 1st year of the contract (Direct Labor Subtotal divided by total hours)
Direct Labor Subtotal per Cost
Proposal
Total Hours per Cost Proposal
Avg Hourly Rate
5 Year Contract Duration
= Year 1 Avg Hourly Rate
2. Calculate hourly rate for all years (Increase the Average Hourly Rate for a year by proposed escalation %)
Avg Hourly Rate Proposed Escalation Year 1 + 0.00% = Year 2 + 0.00% = Year 3 + 0.00% = Year 4 + 0.00% =
3. Calculate estimated hours per year (Multiply estimate % each year by total hours)
Year 1 Year 2 Year 3 Year 4 Year 5
Estimated % Completed Each Year
0.0% 0.0% 0.0% 0.0% 0.0%
Total Hours per Cost Proposal
* = * = * = * = * =
Total Hours per Year
0 0 0 0 0
Total 0% =
4. Calculate Total Costs including Escalation (Multiply Average Hourly Rate by the number of hours)
Avg Hourly Rate (calculated above)
Estimated hours (calculated above)
Cost per Year
Year 1 * 0 = $ 0.00 Year 2 * 0 = $ 0.00 Year 3 * 0 = $ 0.00 Year 4 * 0 = $ 0.00 Year 5 * 0 = $ 0.00
Total Direct Labor Cost with Escalation = Direct Labor Subtotal before Escalation =
$ 0.00
Estimated total of Direct Labor Salary Increase
= Transfer to Page 1 0.00
NOTES:
• This is not the only way to estimate salary increases. Other methods will be accepted if they clearly indicate the % increase, the # of years of the contract, and a breakdown of the labor to be performed each year.
• An estimation that is based on direct labor multiplied by salary increase % multiplied by the # of years is not acceptable. (i.e. $250,000 x 2% x 5 yrs = $25,000 is not an acceptable methodology)
• This assumes that one year will be worked at the rate on the cost proposal before salary increases are granted.
Page 3 of 5 January 14, 2015 LPP 15-01
Local Assistance Procedures Manual EXHIBIT 10-H Sample Cost Proposal
Note: Mark-ups are Not Allowed
EXHIBIT 10-H SAMPLE COST PROPOSAL (EXAMPLE #2) Page 1 of 2
SPECIFIC RATE OF COMPENSATION (USE FOR ON-CALL OR AS-NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS)
Consultant or Subconsultant Contract No. Date
Fringe Benefit 0.00% + Overhead 0.00% + General Administration 0.00% = 0.00% Combined Indirect Cost Rate (ICR) (= 0% if Included in OH) (= 0% if Included in OH)
FEE = 0.00%
BILLING INFORMATION CALCULATION INFORMATION
Name/Job Title/Classification1
Hourly Billing Rates2
Straight OT(1.5x) OT(2x)
Effective date of hourly rate
From To
Actual or Avg. hourly rate3
% or $ increase
Hourly range - for classifications only
0.00% 0.00% 0.00%
0.00% 0.00% 0.00%
0.00% 0.00% 0.00%
0.00% 0.00% 0.00%
0.00% 0.00% 0.00%
0.00% 0.00%
1. Names and classifications of consultant (key staff) team members must be listed. Provide separate sheets for prime and all subconsultant firms. 2. Billing rate = actual hourly rate * (1+ ICR) * (1+ Fee). Agreed upon billing rates are not adjustable for the term of contract. 3. For named employees enter the actual hourly rate. For classifications only, enter the Average Hourly Rate for that classification.
NOTES:
• Denote all employees subject to prevailing wage with an asterisks (*) • For “Other Direct Cost” listing, see page 2 of this Exhibit
Page 4 of 5 January 14, 2015 LPP 15-01
Local Assistance Procedures Manual EXHIBIT 10-H Sample Cost Proposal
EXHIBIT 10-H SAMPLE COST PROPOSAL (EXAMPLE #2) Page 2 of 2
SPECIFIC RATE OF COMPENSATION (USE FOR ON-CALL OR AS-NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS)
Consultant or Subconsultant Contract No. Date
SCHEDULE OF OTHER DIRECT COST ITEMS
PRIME CONSULTANT DESCRIPTION OF UNIT UNIT TOTAL
ITEMS COST
$ 0.00 $ 0.00 $ 0.00 $ 0.00 $ 0.00 $ 0.00 $ 0.00 $ 0.00 $ 0.00 $ 0.00
PRIME TOTAL ODCs = $ 0.00
SUBCONSULTANT #1 DESCRIPTION OF UNIT UNIT TOTAL
ITEMS COST
$ 0.00 $ 0.00 $ 0.00 $ 0.00 $ 0.00 $ 0.00 $ 0.00 $ 0.00 $ 0.00 $ 0.00
SUBCONSULTANT #1 ODCs = $ 0.00
SUBCONSULTANT #2 DESCRIPTION OF
ITEMS UNIT UNIT
COST TOTAL
$ 0.00 $ 0.00 $ 0.00 $ 0.00 $ 0.00 $ 0.00 $ 0.00 $ 0.00 $ 0.00 $ 0.00
SUBCONSULTANT #2 ODCs = $ 0.00
IMPORTANT NOTES:
1. List direct cost items with estimated costs. These costs should be competitive in their respective industries and supported with appropriate documentations. 2. Proposed items should be consistently billed directly to all clients (Commercial entities, Federal Govt., State Govt., and Local Govt. Agency), and not just when the client will pay
for them as a direct cost. 3. Items when incurred for the same purpose, in like circumstance, should not be included in any indirect cost pool or in the overhead rate. 4. Items such as special tooling, will be reimbursed at actual cost with supporting documentation (invoice). 5. Items listed above that would be considered "tools of the trade" are not reimbursable as other direct cost. 6. Travel related costs should be pre-approved by the contracting agency. 7. If mileage is claimed, the rate should be properly supported by the consultant's calculation of their actual costs for company vehicles. In addition, the miles claimed should be
supported by mileage logs. 8. If a consultant proposes rental costs for a vehicle, the company must demonstrate that this is their standard procedure for all of their contracts and that they do not own any vehicles
that could be used for the same purpose.
Page 5 of 5 January 14, 2015 LPP 15-01
Local Assistance Procedures Manual EXHIBIT 10-H Sample Cost Proposal
EXHIBIT 10-H SAMPLE COST PROPOSAL (EXAMPLE #3)
COST PER UNIT OF WORK CONTRACTS
(GEOTECHNICAL AND MATERIAL TESTING) Note: Mark-ups are Not Allowed
Consultant Contract No. Date
Page of
Unit/Item of Work: (Example: Log of Test Boring for Soils Report, or ADL Testing for Hazardous Waste Material Study) Include as many Items as necessary.
DIRECT LABOR Hours Hourly Total ($)
Billing Rate ($)
Professional (Classification)
Sub-professional/Technical*
EQUIPMENT (with Operator)
$ 0.00 $ 0.00 $ 0.00
OTHER DIRECT COST
Description Unit(s) Unit Cost
Mobilization/De-mobilization $
Supplies/Consumables (Itemize) $
Travel/Mileage $
Report (if applicable) $
TOTAL COST PER UNIT OF WORK
$ 0.00 $ 0.00 $ 0.00 $ 0.00 $ 0.00
NOTES: • Denote labor subject to prevailing wage with asterisk (*). • Hourly billing rates should include prevailing wage rates and be consistent with publicly advertised rates charged to all clients
(Commercial, Private or Public). • Hourly billing rates include hourly wage rate, net fee/profit, indirect cost rate, and actual direct equipment rate. • Mobilization/De-mobilization is based on site location and number and frequency of tests/items. • ODC items should be based on actual costs and supported by historical data and other documentation. • ODC items that would be considered “tools of the trade” are not reimbursable.
Page 1 May 8, 2013 LPP 13-01
Local Assistance Procedures Manual EXHBIT 10-Q Disclosure of Lobbying Activities
EXHIBIT 10-Q 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 c. cooperative agreement
b. initial award c. post-award
b. material change
d. loan For Material Change Only: e. loan guarantee year quarter f. loan insurance date of last report
4. Name and Address of Reporting Entity 5. If Reporting Entity in No. 4 is Subawardee, Enter Name and Address of Prime:
Prime Subawardee Tier , if known
Congressional District, if known Congressional District, if known
6. Federal Department/Agency: 7. Federal Program Name/Description:
CFDA Number, if applicable
8. Federal Action Number, if known: 9. Award Amount, if known:
10. Name and Address of Lobby Entity 11. 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)
12. Amount of Payment (check all that apply) 14. Type of Payment (check all that apply)
$ actual planned a. retainer b. one-time fee
13. Form of Payment (check all that apply): c. commission a. cash d. contingent fee b. in-kind; specify: nature
Value e deferred f. other, specify
15. 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)
16. Continuation Sheet(s) attached: Yes No
17. 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 Name:
Title:
Telephone No.: Date:
Authorized for Local Reproduction
Federal Use Only: Standard Form - LLL
Standard Form LLL Rev. 04-28-06
Distribution: Orig- Local Agency Project Files
Page 2 May 8, 2013 LPP 13-01
Local Assistance Procedures Manual EXHBIT 10-Q Disclosure of Lobbying Activities
INSTRUCTIONS FOR COMPLETING EXHIBIT 10-Q 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 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 1). 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 (e.g., Request for Proposal (RFP) number, Invitation for Bid (IFB) number, grant announcement number, the contract grant. or loan award number, the application/proposal control number assigned by the federal agency). Include prefixes, e.g., "RFP-DE-90-001."
9. For a covered federal action where there has been an award or loan commitment by the Federal agency, enter the federal amount of the award/loan commitments for the prime entity identified in item 4 or 5.
10. Enter the full name, address, city, state, and zip code of the lobbying entity engaged by the reporting entity identified in Item 4 to
influence the covered federal action.
11. Enter the full names of the individual(s) performing services and include full address if different from 10 (a). Enter Last Name, First Name and Middle Initial (Ml).
12. 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.
13. Check all boxes that apply. If payment is made through an in-kind contribution, specify the nature and value of the in-kind payment.
14. Check all boxes that apply. If other, specify nature.
15. 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.
16. Check whether or not a continuation sheet(s) is attached.
17. The certifying official shall sign and date the form, and print his/her name title and telephone number.
Public reporting burden for this collection of information is estimated to average 30-minutes per response, including time for reviewing instruction, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0046), Washington, D.C. 20503. SF- LLL-Instructions Rev. 06-04
LPP 13-01 May 8, 2013
Local Assistance Procedures Manual EXHIBIT 10-V Non-Discrimination Clause
EXHIBIT 10-V NON-DISCRIMINATION CLAUSE
(To be included in Consultant Contract)
NON-DISCRIMINATION CLAUSE
During the performance of this Contract, Consultant and its subconsultant shall not unlawfully discriminate, harass, or allow harassment against any employee or applicant for employment because of sex, race, color, ancestry, religious creed, national origin, physical disability (including HIV and AIDS), mental disability, medical condition (e.g., cancer), age (over 40), marital status, and denial of family care leave. Consultant and subconsultants shall insure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment. Consultant and subconsultants shall comply with the provisions of the Fair Employment and Housing Act (Gov. Code §12990 (a-f) et seq.) and the applicable regulations promulgated thereunder (California Code of Regulations, Title 2, Section 7285 et seq.). The applicable regulations of the Fair Employment and Housing Commission implementing Government Code Section 12990 (a-f), set forth in Chapter 5 of Division 4 of Title 2 of the California Code of Regulations, are incorporated into this Contract by reference and made a part hereof as if set forth in full. Consultant and its subconsultants shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other Agreement.
Consultant shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under the Contract.
Page 1 of 1
Page 1 of 5 August 12, 2013 OB 13-06
Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions
EXHIBIT 12-E PS&E CHECKLIST INSTRUCTIONS
The PS&E Checklist is to be completed by the local agency in accordance with the following instructions and attached to the PS&E Certification.
I. HIGHWAY SYSTEM AND FUNCTIONAL CLASSIFICATION
A. National Highway System
Some PS&E requirements depend on the whether the project is on or off the National Highway System (NHS). For FHWA approved NHS maps, see http://www.fhwa.dot.gov/planning/national_highway_system/nhs_maps/
B. Functional Classification
Federal-aid eligibility, design standards as well as some PS&E requirements depend on the functional classification of the route the project is on. For more guidance see FHWA’s Guidance for the Functional Classification of Highways Website at: http://www.fhwa.dot.gov/policy/ohpi/hpms/fchguidance.cfm.
II. PROJECT SCOPE OF WORK
Scope of work in the PS&E must be consistent with that identified in the original scoping document or application. Otherwise, appropriate approvals must have been obtained.
III. TYPE OF CONSTRUCTION
Design standards as well as some oversight responsibilities depend on the type of construction. See Section 11.1 of the LAPM for definitions.
IV. METHOD OF CONSTRUCTION
A. Contracting Method
Unless justified by a Public Interest Finding (Exhibit 12-F Request for Approval of Cost- Effectiveness/Public Interest Finding), all Federal-aid construction contracts must be awarded to the lowest responsible bidder of a competitive bid process. See Section 12.4 Method of Construction of the LAPM for additional information.
B. Force Account (Day Labor)
A PIF (See Section 12.4 Method of Construction in the LAPM and Exhibit 12-F Request for Approval of Cost-Effectiveness/Public Interest Finding) must justify any force account construction work performed by the local agency. Check the appropriate boxes and process the PIF as required.
V. ENVIRONMENTAL ANALYSIS
The preparation of PS&E must reflect findings of the environmental analysis performed for the project. By checking the box, the agency certifies that the necessary actions called for by the environmental documents have been responded to in the PS&E. Failure to check the box will result in denial of the Request for Authorization. (See Section 12.3 Environmental Procedures of the LAPM for additional guidance).
VI. VALUE ENGINEERING ANALYSIS (VA)
A value engineering analysis is required for: (1) all Federal-aid highway projects on the NHS with a total estimated project cost of $50 million or more, and (2) all bridge projects on the NHS with a total estimated project cost of $40 million or more. (See Section 12.5 Value Engineering Analysis of the LAPM for additional guidance).
Page 2 of 5 August 12, 2013 OB 13-06
Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions
VII. GEOMETRIC DESIGN STANDARDS
If the project does not change existing geometrics, Section A and B do not apply and the local agency is not required to check any boxes in these sections. See Chapter 11 of the LAPM for additional guidance on geometric design standards.
A. Geometric Design Standards Used
New and reconstruction projects on the NHS shall be designed in accordance with Standards as defined in the current edition of A Policy on Geometric Design of Highways and Streets, published by the American Association of State Highway and Transportation Officials (AASHTO). The minimum standards for geometric design of local Federal-aid resurfacing, restoration and rehabilitation (3R) projects on the NHS are shown in Exhibit 11-A. Local geometric design standards that have been developed for use on locally funded new and reconstruction, or 3R projects off the NHS, may be used subject to the conditions listed in Chapter 11, “Design Standards.” Check appropriate box only if this section applies.
B. Deviations from Controlling Criteria
The controlling criteria listed are considered to be of primary importance for highway safety, and deviations require design exception approval procedures as described in Chapter 11, “Design Standards,” and Section 12.7 “Plans” of the LAPM. Check whether the criteria have been met on this project. If a design exception has been approved, indicate the approval date. Documentation shall be retained in the project files.
VIII. BRIDGE DESIGN PROCEDURES
All bridges shall be designed in accordance with the current edition of the Caltrans Bridge Design Specifications Manual and the latest California Amendments to the AASHTO LRFD Bridge Design Specifications. Check if requirement met, or if the project does not include any bridge construction indicate requirement does not apply.
IX. STANDARD PLANS
For projects off the State Highway System, the local agency may use Caltrans Standard Plans, Standard Plans for Public Works Construction, or subject to the conditions described in Section 11.3 Locally Developed Design Standards and Section 12.7 Plans of the LAPM.
X. PROJECT PLANS AND SPECIFICATIONS
Project plans and specifications shall be signed and stamped on behalf of the local agency by the person in responsible charge and who is a registered professional engineer licensed to practice in the State of California. (See Section 12.7 Plans of the LAPM).
A traffic control plan shall be included in the PS&E for all Federal-aid highway construction projects. Check boxes to indicate requirements are met. Failure to check both boxes will result in denial of the Request for Authorization.
Erosion control plans may be required, see Section 12.7 Plans, in the LAPM. If required, check box.
Whenever applicable, project plans and specifications will need to comply with the federal Americans with Disabilities Act (ADA) requirements 28 CFR, Part 35 or Part 36, and the California and Local Building Codes within the project limits. In accordance with 28 CFR Sec. 35.151, curbs ramps must meet current ADA standards if the project includes streets that are to be newly constructed or altered (includes repaving). For ADA requirements, see Chapter 11 “Design Standards,” and Section 12.7 of this chapter. If ADA requirements apply and will be complied with, check box.
Page 3 of 5 August 12, 2013 OB 13-06
Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions
XI. STANDARD SPECIFICATIONS
For projects off the State Highway System, the local agency may use Caltrans Standard Specifications, the Standard Specifications for Public Works Construction, or subject to the conditions described in Section 11.3 Locally Developed Design Standards of the LAPM.
XII. FEDERAL REQUIREMENTS
A. Required Federal Contract Provisions - Ensure Exhibit 12-G Required Federal-aid Contract Language or equivalent provisions are in the contract. Provide page numbers if not using Caltrans 2010 Standard Specifications and Revised Standard Specifications (RSS). RSS must be included in your contract special provisions.
Provisions for liquidated damages shall be included in all Federal-aid contracts on the NHS (see Chapter 12 Plans, Specifications & Estimate of the LAPM for requirements.
Current Buy America regulations are discussed in Section 12.8 Federal Contract Requirements of the LAPM. Buy America requirements do not apply to minimal use of the material such that the cost, delivered to the project site, is less than $2,500 or one-tenth-of-one-percent of the contract amount, whichever is greater. Buy America applies if federal dollars are used on any phase of the project.
Chapter 12 Plans, Specifications & Estimate of the LAPM includes information for On-the-Job Training.
B. DBE Goal
Individual DBE contract goals will be established. Complete evaluation documentation is required and shall be retained for each contract (see DBE references in the LAPM).
In some cases, the contract DBE goal may be zero due to the extremely limited subcontracting opportunities for DBEs, the lack of certified DBEs willing to work in the geographic area in which work is to be performed, or other reasons. Documentation is required verifying that the local agency has determined that a zero percent DBE goal is appropriate. Documentation must be based on the DBE contract goal methodology with the specific project-related work codes and DBEs highlighted. In some cases there may be no contract goal (which is different than zero percent goal) if, for example, the contract is sole-source or non-profit.
C. Certification/Disclosures
The certification and disclosure forms listed in Exhibit H Sample Bid shall be included in all Federal-aid projects. Except for the Disclosure of Lobbying form and instructions, equivalent provisions may be used. See Section 12.8 Federal Contract Requirements of the LAPM for more information.
D. Other Required Forms
Two forms, or their equivalents, relating to subcontractors must be included as part of the bid package. - Exhibits 15-G Local Agency Bidder DBE Commitment (Construction Contracts, and 12-B Bidder’s List of Subcontractors (DBE and Non-DBE). Exhibit 15-H DBE Information - Good Faith Efforts must also be part of the bid package if the DBE goal was not met.
E. Federal Wage Rates
If payment of federal predetermined wages are required per instructions in Subparagraph B.2.a “Section IV. Payment of Predetermined Wages,” they shall be physically incorporated into the final contract documents and in all related subcontracts signed by the local agency and the contractor.
Check appropriate box (i.e., Federal Wage Rates are included in the contract advertising package, referenced by the Internet Web site address, or not required) and indicate page number if applicable.
It must be emphasized that if the Internet Web site address is used in the advertising package, the final contract package upon signed by the local agency and the contractor, must physically contain the Federal Wage Rates or the Federal Wage rates as revised by addendums, if any addendums were issued.
Page 5 of 5 August 12, 2013 OB 13-06
Local Assistance Procedures Manual EXHIBIT 12-E PS&E Checklist Instructions
B. Equipment Purchases for Local Ownership
The cost of equipment purchased by the local agency or by the contractor with ownership transferred to the local agency for construction engineering is limited. Check the appropriate box.
C. Convict Produced Materials
Materials produced by convict labor may be used on any Federal-aid project if they meet certain conditions.
Check appropriate box.
D. Local Agency Furnished Materials
The use of local agency furnished materials not acquired on the basis of competitive bidding must be supported by a Public Interest Finding justifying the use (see Section 12.13 of Chapter 12). The justification must be approved by the local agency and documented in the project files. If these materials are included, check the appropriate box indicating the method of acquisition.
XV. PRELIMINARY ESTIMATE
An estimate of the contract items of work must be prepared in a format which describes the items of work, unit amount, quantity, unit price, amount, a subtotal, contingencies and a total (Exhibit 12-A Preliminary Estimate of Cost or equivalent). The estimate must be broken down into items sufficient in detail to meet the stated requirements. Check boxes if these requirements are met.
If the project is funded with more than one type of Federal-aid it must be segregated by fund types (see Chapter 3, “Project Authorization,” of the LAPM). Check box if this requirement is met.
XVI. MAJOR PROJECTS WITH TOTAL COSTS EXPECTED TO EXCEED $100 MILLION OR $500 MILLION
The federal SAFETEA-LU requires that a local agency receiving an amount of federal financial assistance for “major” projects with an estimated total cost exceeding $100 million must have a financial plan and projects exceeding $500 million must also have a project management plan. For details of the required submittal and approval of these two plans, which are required for all “major” projects exceeding the two estimated total costs, refer to Chapter 2 “Roles and Responsibilities” of the LAPM .
XVII. LOCAL AGENCY SIGNATURE
The Federal Contract Provisions Checklist shall be signed by the person preparing the contract specifications. The checklist shall be signed even if prepared by the same person who will sign the PS&E Certification.
XVIII. CALTRANS ACCEPTANCE
Caltrans will indicate the appropriate acceptance statement based on the type of review, as described in Chapter 12, “Plans, Specifications & Estimate,” of the LAPM and sign the bottom o
Exhibit F – Required Certification by Consultant and ICTC after Contract Execution
• Exhibit10-F: Certification of Consultant, Commission & Fees
• Exhibit 10-O2: Local Agency Proposer DBE Information (Consultant Contract)
• Exhibit 17-F: Final Report – Utilization of DBEs
• Exhibit 17-O: DBE Certification Status Change
Page 1 of 1 May 8, 2013 LPP 13-01
Local Assistance Procedures Manual EXHBIT 10-F Certification of Consultant, Commissions & Fees
EXHIBIT 10-F CERTIFICATION OF CONSULTANT, COMMISSIONS & FEES
I HEREBY CERTIFY that I am the , and duly authorized representative of the firm of , whose address is , and that, except as hereby expressly stated, neither I nor the above firm that I represent have:
(a) employed or retained for a commission, percentage, brokerage, contingent fee, or other consideration, any firm or person (other than a bona fide employee working solely for me or the above consultant) to solicit or secure this contract; nor
(b) agreed, as an express or implied condition for obtaining this contract, to employ or retain the services of any firm or person in connection with carrying out the contract; nor
(c) paid, or agreed to pay, to any firm, organization or person (other than a bona fide employee working solely for me or the above consultant) any fee, contribution, donation, or consideration of any kind, for or in connection with, procuring or carrying out this contract.
I acknowledge that this Certificate is to be made available to the California Department of Transportation (Caltrans) in connection with this contract involving participation of federal-aid highway funds, and is subject to applicable state and federal laws, both criminal and civil.
(Date) (Signature)
Distribution: 1) Local Agency Project File (Original & Contract) 2) DLAE (with contract copy)
Page 1 of 2 May 8, 2013 LPP 13-01
Local Assistance Procedures Manual EXHIBIT 10-O2 Consultant Contract DBE Information
EXHIBIT 10-O2 CONSULTANT CONTRACT DBE INFORMATION
(Inclusive of all DBEs listed at contract award. Refer to instructions on the reverse side of this form)
Consultant to Complete this Section
1. Local Agency Name:
2. Project Location:
3. Project Description:
4. Total Contract Award Amount: $
5. Consultant Name:
6. Contract DBE Goal %:
7. Total Dollar Amount for all Subconsultants: $
8. Total Number of all Subconsultants:
Award DBE/DBE Information 9. Description of Services to be Provided 10. DBE/DBE Firm
Contact Information
11. DBE Cert.
Number
12. DBE Dollar Amount
Local Agency to Complete this Section
20. Local Agency Contract Number:
21. Federal-aid Project Number:
22. Contract Execution Date:
13. Total Dollars Claimed
$ 14. Total % Claimed
%
Local Agency certifies that all DBE certifications are valid and the information on this form is complete and accurate:
23. Local Agency Representative Name (Print)
24. Local Agency Representative Signature 25. Date
26. Local Agency Representative Title 27. (Area Code) Tel. No.
15. Preparer’s Signature
Caltrans to Complete this Section
Caltrans District Local Assistance Engineer (DLAE) certifies that this form has been reviewed for completeness:
16. Preparer’s Name (Print) 17. Preparer’s Title 18. Date 19. (Area Code) Tel. No.
28. DLAE Name (Print) 29. DLAE Signature 30. Date
Distribution: (1) Copy – Email a copy to the Caltrans District Local Assistance Engineer (DLAE) within 30 days of contract award. Failure to send a copy to the DLAE within 30 days of contract award may result in delay of payment.
(2) Copy – Include in award package sent to Caltrans DLAE (3) Original – Local agency files
Page 2 of 2 May 8, 2013 LPP 13-01
Local Assistance Procedures Manual EXHIBIT 10-O2 Consultant Contract DBE Information
INSTRUCTIONS - CONSULTANT CONTRACT AWARD DBE INFORMATION
Consultant Section
The Consultant shall: 1. Local Agency Name – Enter the name of the local or regional agency that is funding the contract. 2. Project Location - Enter the project location as it appears on the project advertisement. 3. Project Description - Enter the project description as it appears on the project advertisement (Bridge Rehab, Seismic Rehab,
Overlay, Widening, etc). 4. Total Contract Award Amount - Enter the total contract award dollar amount for the prime consultant. 5. Consultant Name - Enter the consultant’s firm name. 6. Contract DBE Goal % - Enter the contract DBE goal percentage, as it was reported on the Exhibit 10-I Notice to Proposers
DBE Information form. See LAPM Chapter 10. 7. Total Dollar Amount for all Subconsultants – Enter the total dollar amount for all subcontracted consultants. SUM = (DBE’s +
all Non-DBE’s). Do not include the prime consultant information in this count. 8. Total number of all subconsultants – Enter the total number of all subcontracted consultants. SUM = (DBE’s + all Non-
DBE’s). Do not include the prime consultant information in this count. 9. Description of Services to be Provided - Enter item of work description of services to be provided. Indicate all work to be
performed by DBEs including work performed by the prime consultant’s own forces, if the prime is a DBE. If 100% of the item is not to be performed or furnished by the DBE, describe the exact portion to be performed or furnished by the DBE. See LAPM Chapter 9 to determine how to count the participation of DBE firms.
10. DBE Firm Contact Information - Enter the name and telephone number of all DBE subcontracted consultants. Also, enter the prime consultant’s name and telephone number, if the prime is a DBE.
11. DBE Cert. Number - Enter the DBE’s Certification Identification Number. All DBEs must be certified on the date bids are opened. (DBE subcontracted consultants should notify the prime consultant in writing with the date of the decertification if their status should change during the course of the contract.)
12. DBE Dollar Amount - Enter the subcontracted dollar amount of the work to be performed or service to be provided. Include the prime consultant if the prime is a DBE, and include DBEs that are not identified as subconsultants on the Exhibit 10-O1 Consultant Proposal DBE Commitment form. See LAPM Chapter 9 for how to count full/partial participation.
13. Total Dollars Claimed – Enter the total dollar amounts for column 13. 14. Total % Claimed – Enter the total DBE participation claimed for column 13. SUM = (item “14. Total Participation Dollars
Claimed” divided by item “4. Total Contract Award Amount”). If the Total % Claimed is less than item “6. Contract DBE Goal”, an adequately documented Good Faith Effort (GFE) is required (see Exhibit 15-H DBE Information - Good Faith Efforts of the LAPM).
15. Preparer’s Signature – The person completing this section of the form for the consultant’s firm must sign their name. 16. Preparer’s Name (Print) – Clearly enter the name of the person signing this section of the form for the consultant. 17. Preparer’s Title - Enter the position/title of the person signing this section of the form for the consultant. 18. Date - Enter the date this section of the form is signed by the preparer. 19. (Area Code) Tel. No. - Enter the area code and telephone number of the person signing this section of the form for the
consultant.
Local Agency Section:
The Local Agency representative shall: 20. Local Agency Contract Number - Enter the Local Agency Contract Number. 21. Federal-Aid Project Number - Enter the Federal-Aid Project Number. 22. Contract Execution Date - Enter the date the contract was executed and Notice to Proceed issued. See LAPM Chapter 10, page
23. 23. Local Agency Representative Name (Print) - Clearly enter the name of the person completing this section. 24. Local Agency Representative Signature - The person completing this section of the form for the Local Agency must sign their
name to certify that the information in this and the Consultant Section of this form is complete and accurate. 25. Date - Enter the date the Local Agency Representative signs the form. 26. Local Agency Representative Title - Enter the position/title of the person signing this section of the form. 27. (Area Code) Tel. No. - Enter the area code and telephone number of the Local Agency representative signing this section of the
form.
Caltrans Section:
Caltrans District Local Assistance Engineer (DLAE) shall: 28. DLAE Name (Print) – Clearly enter the name of the DLAE. 29. DLAE Signature – DLAE must sign this section of the form to certify that it has been reviewed for completeness. 30. Date - Enter the date that the DLAE signs this section the form.
Page 17-21 July 1, 2012 LPP 09-02
Local Assistance Procedures Manual EXHIBIT 17-F Final Report-Utilization of Disadvantaged Business Enterprises (DBE), First-Tier Subcontractors
STATE OF CALIFORNIA - DEPARTMENT OF TRANSPORTATION FINAL REPORT-UTILIZATION OF DISADVANTAGED BUSINESS ENTERPRISES ADA Notice
(DBE), FIRST-TIER SUBCONTRACTORS
CEM-2402F (REV 02/2008)
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
CONTRACT NUMBER ICTC 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 DATE WORK COMPLETE
DATE OF FINAL PAYMENT
$ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $
ORIGINAL COMMITMENT
$
TOTAL
$
$
DBE
List all First-Tier Subcontractors, Disadvantaged Business Enterprises (DBEs) regardless of tier, whether or not the firms were originally listed for goal credit. If actual DBE utilization (or item
of work) was different than that approve 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 17-43 December 12, 2011 LPP 11-05
Local Assistance Procedures Manual EXHIBIT 17-O Disadvantaged Business Enterprises (DBE) Certification Status Change
EXHIBIT 17-O DISADVANTAGED BUSINESS ENTERPRISES (DBE) CERTIFICATION STATUS CHANGE STATE OF CALIFORNIA – DEPARTMENT OF TRANSPORTATION CP-CEM-2403(F) (New. 10/99)
CONTRACT NUMBER ICTC ROUTE POST MILES ADMINISTERING AGENCY CONTRACT COMPLETION 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 -1) Business Enterprise Program 2) Prime Contactor 3) Local Agency 4) Resident Engineer
EXHIBIT 17-O Local Assistance Procedures Manual Disadvantaged Business Enterprises (DBE) Certification Status Change
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, ICTC, 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 (F) 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 17-44 July 21, 2006 LPP 06-03
Exhibit G – Required Certification for Agreements with a Value Greater than $150,000.00 (Before Contract Execution)
• Exhibit10-K: Consultant Certification of Contract Cost and Financial Management System
• Exhibit 10-A: A&E Consultant Audit Request Letter and Checklist
Page 1 of 2 September 16, 2013 LPP 13-01 (Technical Change)
Local Assistance Procedures Manual EXHIBIT 10-A A&E Consultant Audit Request Letter and Checklist
EXHIBIT 10-A A&E CONSULTANT AUDIT REQUEST LETTER AND CHECKLIST
(For Proposed A&E Consultant Contracts of $1 Million or More)
[Attach this form to local agency cover letter for transmittal]
Department of Transportation Date: Audits and Investigations, MS 2 Federal Project Number: Attention: External Audit Manager Project Description: P.O. Box 942874 Sacramento, CA 94274-0001
Dear External Audit Manager:
The following information is attached for proposed A&E consultant contract number at a proposed cost of $ with [Consultant’s Name, Address, Contact Name, Phone Number] :
1. F Proposed contract between the local agency and the consultant.
2.
F
Cost proposal(s) for prime consultant and all subconsultant contracts of $150,000 or more.
3.
F
Names, mailing addresses, phone numbers, and email addresses for all subconsultants.
4.
F
Name of local agency contact person, phone number, and e-mail address.
5.
F
All that apply: Consultant generated Indirect Cost Rate(s) schedule prepared in accordance with applicable Code of Federal Regulations (CFRs) and/or Safe Harbor Indirect Cost Rate certification and supplemental questionnaire, see: DLA-OB 13-07 - Safe Harbor Indirect Cost Rate for Consultant Contracts.
6.
F
A completed Internal Control Questionnaire (AASHTO Uniform Audit and Accounting Guide, Appendix B).
7. F Exhibit 10-K Consultant Certification of Contract Costs and Financial Management System completed for the prime and all subconsultants when total contract is $150,000 or more. If
requesting to use the Safe Harbor Indirect Cost Rate see: DLA-OB 13-07 - Safe Harbor Indirect Cost Rate for Consultant Contracts.
8. Include one of the following; if applicable:
a. F A copy of the prior fiscal year and most recently completed fiscal year Cognizant approved indirect cost rate(s) and approved State Department of Transportation letters for the consultant, (must be provided if issued);
b. F A copy of the prior fiscal year and most recently completed fiscal year Indirect Cost Rate(s)
Schedule and audited report by an independent Certified Public Accountant (CPA). If a CPA- audited indirect cost rate is available for the appropriate fiscal year (applicable one-year accounting period), then the consultant must use the indirect cost rate(s), or lower (see 23 CFR 172.7(b) for guidelines), in the cost proposal.
Page 2 of 2 September 16, 2013 LPP 13-01 (Technical Change)
Local Assistance Procedures Manual EXHIBIT 10-A A&E Consultant Audit Request Letter and Checklist
c. F A copy of the prior and most recently completed fiscal year Indirect Cost Rate(s) Evaluation
or audit report on a prior Caltrans or local agency contract; and any other governmental agency report, review or attestation.
9. F Check this box if the proposed cost (including amendments) is $3.5M or more, in which case
the indirect cost rate provided by the prime consultant has been audited by a CPA. Forward the following documents to Caltrans Audits & Investigations:
a. F A copy of the consultant’s approved State DOT Cognizant Indirect Cost Rate(s) Schedule
and Report (must be provided if issued), and the Cognizant Approved State DOT Cognizant Concurrent Letter (if issued); OR
b. F A CPA Audited Indirect Cost Rate Audit Report (if there is not an approved State DOT
Cognizant Indirect Cost Rate); AND
c. F A copy of the CPA audited financial statements, if any.
[Local Agency Name] understands that any work with costs incurred prior to the approval of the “Authorization to Proceed (E-76)” is not eligible for federal fund reimbursement. [Local Agency Name] further understands that a Conformance Letter will be issued to us within 30 business days of your receipt of complete documentation.
If you need further information, please contact [Local Agency Contact Name] at email address] .
Sincerely,
Signed
_[Phone # and
Title
Agency
Attachments: Proposed Contract, Cost Proposal(s), Certifications, Indirect Cost Rate Schedules and Reports and other supporting documentation
cc: Caltrans District Local Assistance Engineer
Distribution: 1) Original – Caltrans Audits & Investigations 2) Copy – DLAE 3) Local Agency Project files
Page 1 of 2 September 16, 2013 LPP 13-01 (Technical Change)
Local Assistance Procedures Manual EXHBIT 10-K Consultant Certification of Costs and Financial Management System
EXHIBIT 10-K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL
MANAGEMENT SYSTEM
(Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment 1 of DLA-OB 13-07 - Safe Harbor Indirect Cost Rate for Consultant Contracts found at
http://www.dot.ca.gov/hq/LocalPrograms/DLA_OB/DLA_OB.htm in lieu of this form.)
Certification of Final Indirect Costs:
Consultant Firm Name:
Indirect Cost Rate:
Fiscal Period Covered for Indirect Cost Rate Developed (mm/dd/yyyy to mm/dd/yyyy):
Date of Proposal Preparation (mm/dd/yyyy):
I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief:
1. All costs included in this proposal to establish final indirect cost rates are allowable in
accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31.
2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31.
All known material transactions or events that have occurred affecting the firm’s ownership, organization, and indirect cost rates have been disclosed as of the date of proposal preparation noted above.
Certification of Financial Management System:
I, the undersigned, certify to the best of my knowledge and belief that our financial management system meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant.
Certification of Dollar Amount for all A&E contracts:
I, the undersigned, certify that the approximate dollar amount of all A&E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ and the number of States in which the firm does business is .
Certification of Direct Costs:
I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be:
1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated
by the Cost Accounting Standards Board (when applicable).
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