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Agenda Report - June 3, 2015 C-09AGENDA ITEM o' CITY OF LODI COUNCIL COMMUNICATION TM AGENDA TITLE: Adopt Resolution Authorizing City Manager to Execute Amendment No. 1 to Professional Services Agreement with Mark Thomas & Company, Inc., of Sacramento for the Harney Lane Grade Separation Project and Appropriating Funds ($45,000) MEETING DATE: June 3, 2015 PREPARED BY: Public Works Director RECOMMENDED ACTION: Adopt resolution authorizing City Manager to execute Amendment No. 1 to Professional Services Agreement with Mark Thomas & Company, Inc., of Sacramento for the Harney Lane Grade Separation Project and appropriating funds in the amount of $45,000. BACKGROUND INFORMATION: On October 5, 2011 City Council approved the professional services agreement with Mark'Thomas & Company, Inc. (Il for the design of the Harney Lane Grade Separation Project. The design work has been completed and the project is now moving to the next phases of work preliminary to awarding the construction contract. The requested amendment to the professional services agreement will add services to the contract as described below. Funding Assistance. MTCo will develop and process the funding documentation for the project including the California Public Utility Commission Section 190 application, STIP amendment application, right of way certification, finance letter, FTIP amendment, and request for construction authorization. MTCo will take the lead role in processing these various documents to approval by the various involved agencies. 2. Utility Coordination. MTCo will coordinate the utility relocation with Pacific Gas and Electric, ATT, Comcast, and City of Lodi Electric Utility. Appropriate documentation will be prepared following Caltrans guidelines including the preparation of record of investigation, claim letters, utility agreements, notifications to owners, and the final utility certification. The not to exceed fee for these services is $45,000. Staff recommends adoption of the resolution approving Amendment No. 1 to the professional services agreement with MTCo for the Harney Lane Grade Separation Project and appropriating funds in the amount of $45,000. FISCAL IMPACT: Not applicable. FUNDING AVAILABLE: Regional State Transportation Program (307) r--� a- Lo, -"=�4�L an Ayers Deputy City Manage Intern ervices Director al NAC'9 F. Wally andelin Public Works Director Prepared by F Wally Sandelin, Public Works Director FWS/eb Attachments %1CVCFILV021PubWks$1WMPROJECTSISTREETS1HarnayGrade5eparalicniCCMarkThomosAmendmentNo t.doc 5/18/2015 AMENDMENT NO. 1 MARK THOMAS & COMPANY, INC. FEDERALLY -FUNDED CONTRACTS HARNEY LANE GRADE SEPARATION PROJECT - DESIGN THIS AMENDMENT NO. 1 TO CONTRACT EXTENSION AGREEMENT, made and entered this day of June, 2015, by and between the CITY OF LODI, a municipal corporation (hereinafter "CITY"), and MARK THOMAS & COMPANY, INC. (hereinafter "CONTRACTOR"). WITNESSETH: 1. WHEREAS, CONTRACTOR and CITY entered into a Contract Agreement on February 12, 2013 and Contract Extension Agreement on December 17, 2013, as set forth in Exhibit 1 of Attachment A and 2. WHEREAS, CITY requested to amend said Agreement as set forth in Attachment A; and 3. WHEREAS, CONTRACTOR agrees to said amendment; NOW, THEREFORE, the parties agree to amend the Scope of Services and fees as set forth in the Amendment No. 1 per Attachment A. IN WITNESS WHEREOF, CITY and CONTRACTOR have executed this Amendment No. 1 on , 2015. CITY OF LODI, a municipal corporation Hereinabove called "CITY' STEPHEN SCHWABAUER City Manager Attest: JENNIFER M. FERRAIOLO, City Clerk Approved as to Form: JANICE D. MAGDICH , City Attorney MARK THOMAS & COMPANY, INC. Hereinabove called "CONTRACTOR" MICHAEL J. LOHMAN President OFFICES Cupertino Fresno Pleasanton Sacramento Saknos San Jose Son Mateo County Walnut Creek MARK THOMAS & COMPANY, INC. Providing bigineenng, Surveying and &nniq Servires April 24, 2015 Mr. Wally Sandelin City of Lodi - Public Works Department 221 West Pine Street Lodi, CA 95241 File # SA -13103 (B) [PS&E] RE: HARNEY LANE GRADE SEPARATION PROJECT AMENDMENT FOR ADDITIONAL WORK ON PS&E CONTRACT Dear Mr. Sandelin, As we have discussed, MTCo has prepared the attached contract amendment for additional contract services that are beyond the approved scope of work for the Harney Lane Grade Separation Project. These items are described, in detail, in the enclosed attachments. Amendment For Additional Work Below is a description of the additional services that will be provided by MTCo: Funding Assistance: MTCo will work with the City to develop funding documentation for the Harney Lane Project. MTCo will prepare the CPUC Section 190 Funding Application, STIP amendment justification, and work with SJCOG on the other funding amendments necessary for RSTP and Measure K funds. In addition, MTCo will prepare the necessary Requests for Authorization (RFA) documents for the construction authorization, which includes right of way certification, utility relocations, and will work directly with Caltrans Local Assistance on the funding allocation documentation needed for the CTC agenda. Utility Coordination: MTCo will provide utility coordination for the proposed project. MTCo will follow the Caltrans process for utility relocations which includes: Record of Investigation (ROI), Claim Letters, Utility Agreements, and Notice to Owners, prior to completing the Utility Certification. The total cost above for MTCo is $45,000. Thank you, please feel free to call if there are any questions on the attached scope of work. Best Regards, MARK THOMAS & COMPANY, INC. Zach Siviglia, P.E. Project Manager 7300 Folsom Blvd., Suite 203 Sacramento, CA 95826 www.markthomas.com Tel: 19161381-9100 Fax: 191 61 381-9180 Harney Lane Grade Separation — CCO #2 Scope of Work Introduction and Background The current design contract between Mark Thomas & Company (MTCo) and the City of Lodi for work on the Harney Lane Grade Separation project is moving towards the Final PS&E Submittal. In order to advance the project funding, MTCo has been asked to assist in the preparation of funding requests for various sources including STIP, RSTP, CPUC Section 190, along with the preparation of the authorization requests and coordination with Caltrans and the CTC, as well as finalizing the utility coordination process for any relocations needed for the project. Scope of Work The MTCo Team will provide professional services for funding assistance with funds administered through Caltrans Local Assistance, SJCOG, California Transportation Commission, and the California Public Utilities Commission. In addition, MTCo will provide utility coordination for the proposed project. FUNDING ASSISTANCE Task 1 Funding Assistance MTCo will work with the City to develop funding documentation for the Harney Lane Project. MTCo will prepare the CPUC Section 190 Funding Application, STIP amendment justification, and work with SJCOG on the other funding amendments necessary for RSTP and Measure K funds. In addition, MTCo will prepare the necessary Requests for Authorization (RFA) documents for the construction authorization, which includes right of way certification, utility relocations, and will work directly with Caltrans Local Assistance on the funding allocation documentation needed for the CTC agenda. Task 2 Utility Coordination MTCo will follow the Caltrans process for utility relocations which includes: Record of Investigation (ROI), Claim Letters, Utility Agreements, and Notice to Owners, prior to completing the Utility Certification. MTCo will work with the City to finalize all utility agreements and certifications to satisfy City requirements. This task includes reviewing relocation agreements for proper charges and fees and negotiating as necessary to ensure correct advances, refunds and reimbursements. Final utility agreements will be included in the Right of Way Certification package. When the relocation plans are received, MTCo will check relocation design against the latest project plans for conflicts. MTCo will then send a copy of the Final Plans ("C" Plans) along with a Notice to Owner (Caltrans Exhibit 14-d in the Local Assistance Procedures Manual) directing the utility companies to initiate relocation construction. Page 1 of 1 Form 10H CONSULTANT COST PROPOSAL COST PROPOSAL CONTRACT No, Hart fly Left : Grade S90railion Date 24-ARr-15 CONSULTANT Bark Ti as.&Cort)parry. DIRECT LABOR Initial Hourly Classification Range Hours Rate Total Engineering Manager III 78.00-89.99 0.0 @ $ 78.00 $ - Structural Manager 89.00-100.99 0.0 Cd $ 89.00 $ - Engineer XI 59.00-62.99 120.0 (d $ 62.00 $ 7,440.00 Engineer VIII 55.03-57.22 0.0 @ $ 55.00 $ - Engineer VI 46.00-52.49 0.0 C $ 46.50 $ - Engineer V 42.00-45.99 0.0 @ $ 42.50 $ - Engineer IV 38.50-41.99 160.0 @ $ 40.50 $ 6,480.00 Engineer III 35.00-38.40 0.0 (d $ 35.50 $ Engineer II 31.50-34.49 80.0 @ $ 31.75 $ 2,540.00 Engineer Technician 26.00-32.49 0.0 Ca $ 26.00 $ - Land Surveyor 50.00-57.00 0.0 C $ 51.00 $. - Project Surveyor 3100-41.99 0.0 Cd $ 35.00 $ - Admin 18.00-29.00 0.0 C $ 19.00 - Subtotal Direct Labor Costs $ 16,460.00 Anticipated Salary Increases (0% for one year) $ Total Direct Labor Costs $ 16,460.00 FRINGE BENEFITS Rate Total Fringe Benefits 38.90% $ 6,402.94 INDIRECT COSTS Overhead/General and Administrative 146.46% $ 24,107.32 Total Indirect Costs 0.00 $ 24,107.32 FEE @ 10% $ 4,056.73 OTHER COSTS Mileage $ - Reports $ . Reproductions Costs (out of office blue lines, xerox, binding) $ 375.95 Overnight Mail/Mail $ - Total Other Costs $ 375.95 MTCo TOTAL COSTS $ 45,000.00 SUBCONSULTANT 10-H TOTAL COSTS Subconsultants Total Costs $ - $ 45,000.00 TOTAL COSTS CONTRACT EXTENSION AGREEMENT MARK THOMAS & COMPANY, INC. FEDERALLY -FUNDED CONTRACTS HARNEY LANE GRADE SEPARATION PROJECT— DESIGN THIS CONTRACT EXTENSION AGREEMENT, made and effective this 1-7 day of December, 2013, by and between the CITY OF LODI, a municipal corporation, hereinafter called "City", and MARK THOMAS & COMPANY, INC., hereinafter called "Contractor." WITNESSETH: 1. CONTRACT: Contractor and City, entered into a contract for Harney Lane Grade Separation Project — Design (Federally -Funded Contracts) on February 12, 2013. 2. TERM AND TERMS: The term of this Contract Extension Agreement shall be for a period of 2 (two) years, commencing immediately and terminating December 31, 2015. All other terms and conditions will'remain as set forth in the Contract for Harney Lane Grade Separation Project — Design (Federally -Funded Contracts) attached hereto as Exhibit 1 and made a part hereof as though fully set forth herein. IN WITNESS WHEREOF, City and Contractor have executed this Contract Extension Agreement on the date and year first above written. CITY OF LODI, a municipal corporation hereinabove called "City" KONRADT BARTLAM, City Manager Atter RANDI JOHL-OLSON, City Clerk Approved as to Form: CHr= EPSCWABAUER, City Attorney MARK THOMAS & COMPANY, INC. hereinabove called "Contractor" M � 1.4E �L Wt 6NxAC\ 3. Loin -%_. Tt v,_e y cl ev�'t 6qExhibit1 AGREEMENT FOR PROFESSIONAL SERVICES Federally Funded Contracts Cost Plus Fixed Fee Option ARTICLE 1 PARTIES AND PURPOSE Section 1.1 Parties iit THIS AGREEMENT is entered into on and between the CITY OF LODI, a municipal corporation (hereinafter "CITY'), and MARK THOMAS & COMPANY, iNC_ (hereinafter "CONTRACTOR"). Section 1.2 Contract Documents The complete Contract consists of the following documents which are incorporated herein by this reference, to -wit:. Agreement for Professional Services Scope of Services attached as Exhibit A City's Request for Proposals Contractor's Proposal The City's Request for Proposal and the Contractor's Proposal are on file in the Public Works Department. All of the above documents, sometimes hereinafter referred to as the "Contract Documents," are intended to cooperate so that any work called -for in one and not mentioned in the other is to be executed the same as N mentioned in all said documents. However, in the event of a conflict between this Agreement and the Scope of Services, City's Request for Proposal or Contractor's Proposal, this Agreement shall control. ARTICLE 2 SCOPE OF SERVICES Section 2.1 Scope of Services CONTRACTOR, for the benefit and at the direction of CITY, shall perform the Scope of Services as set forth in the Contract Documents. Section 2.2 Time For Coii»mencement and Comuietian of Aork CONTRACTOR shall commence work pursuant to this Agreement, upon receipt of a written notice to proceed from CITY or on the date set forth in Section 2.6, whichever occurs first, and shall perform all services diligently and complete work under this Agreement based on a mutually agreed upon timeline or as otherwise designated in the Scope of Services. U CONTRACTOR shall submit to CITY such reports, diagrams, drawings and other work products as may be designated in the Scope of Services. CONTRACTOR shall not be responsible for delays caused by the failure of CITY staff to provide required data or review documents within the appropriate time frames. The review time by CITY and any other agencies involved in the project shall not be counted against CONTRACTOR's contract performance period. Also, any delays due to weather, vandalism, acts of God, etc., shall not be counted. CONTRACTOR shall remain in contact with reviewing agencies and make all efforts to review and return all comments. Section 2.3 Meetings :.._ CONTRACTOR shall attend meetings as may be set forth in the Scope of Services. Section 2.4 Staffing CONTRACTOR acknowledges that CITY has relied on CONTRACTOR's capabilities and on the qualifications of CONTRACTOR's principals and staff as identified in the Contract Documents. The Scope of Services set out in the Contract Documents shall be performed by CONTRACTOR and may not be assigned to a subcontractor, unless agreed to otherwise by CITY in writing. CITY shall be notified by CONTRACTOR of any change of Project Manager and CITY is granted the right of approval of all original, additional and replacement personnel at CITY's sole discretion and shall be noted by CONTRACTOR of any changes of CONTRACTOR's project staff prior to any change. CONTRACTOR represents it is prepared to and can perform all services within the Contract Documents and is prepared to and can perform all services specified therein. CONTRACTOR represents that it has, or will have at the time this Agreement is executed, all licenses, permits, qualifications, insurance and approvals of whatsoever nature are legally required for CONTRRACTOR to practice its profession, and that CONTRACTOR shall, at its own cost and expense, keep in effect during the life of this Agreement all such licenses, permits, qualifications, insurance and approvals, and shall indemnify, defend and hold harmless CITY against any costs associated with such licenses, permits, qualifications, insurance and approvals which may be imposed against CITY under this Agreement. CITY's CONTRACT ADMINISTRATOR shall be Public Works Director Wally Sandelin. CONTRACTOR'S PROJECT MANAGER shall be Robert A. Himes. Section 2.5 . Sub_cont,racts Unless prior written approval of CITY is obtained, CONTRACTOR shall not enter into any subcontract with any other party for purposes of providing any work or services covered by this Agreement. Any subcontract shall contain all of the provision's required by this Agreement. Z Section 2.6 Term The term of this Agreement commences on 412, 2013 and terminates upon the completion of the services required by the Contract Documents. However, Contractor shall complete the required services by{ -2151, 2013, unless otherwise excused as provided in this Agreement. ARTICLE 3 COMPENSATION Section 3.1 Compensation A. The method of payment for this contract will be based on actual cost -plus -a -foxed fee as set forth in the attached COST PROPOSAL attached hereto as Exhibit 10(h) and incorporated herein by reference.' The LOCAL AGENCY will reimburse the CONTRACTOR for actual costs (including labor costs, employee benefits, travel, equipment rental costs, overhead and other direct costs) incurred by the CONTRACTOR in performance of the work. The CONTRACTOR will not be reimbursed for actual costs that exceed the estimated wage rates, employee benefits, travel, equipment rental, overhead, and other estimated costs set forth in the approved CONTRACTOR'S Cost Proposal, unless additional reimbursement is provided for by contract amendment. In no event, will the CONTRACTOR be reimbursed for overhead costs at a rate that exceeds the LOCAL AGENCY's approved overhead rate set forth in the Cost Proposal. In the event, that the LOCAL AGENCY determines that a change to the work from that specified in the Cost Proposal and contract is required, the contract time and/or actual costs reimbursable by the LOCAL AGENCY shall be adjusted by contract amendment to accommodate the changed work. The maximum total cost as specified in Paragraph W shall not be exceeded, unless authorized by contract amendment. B. in addition to the allowable incurred costs, the LOCAL AGENCY will pay the CONTRACTOR a fixed fee in the amount set forth in Exhibit 10(h). The fixed fee is nonadjustable for the term of the contract, except in the event of a significant change in the scope of work and such adjustment is made by contract amendment. C. Reimbursement for transportation and subsistence costs shall not exceed the rates specified in the'approved Cost Proposal. 1 Exhibit references in this Agreement are not sequential, to match required federal exhibit reference names. J D. When milestone cost estimates are included in the approved Cost Proposal, the CONTRACTOR shall obtain prior written approval for a revised milestone cost estimate from the Contract Manager before exceeding such cost estimate. E. Progress payments will be made monthly in arrears based on services provided and allowable incurred costs. A pro rata portion of the CONTRACTOR's fixed fee will be included in the monthly progress payments. if CONTRACTOR fails to submit the required deliverable items according to the schedule set forth in the Statement of Work, the LOCAL AGENCY shall have the right to delay payment and/or terminate this Agreement in accordance with the provisions of this Agreement. F. No payment will be made prior to approval of any work, nor for any work performed prior to approval of this contract by the Lodi City Council. G. The CONTRACTOR will be reimbursed, as promptly as fiscal procedures will permit upon receipt by the LOCAL AGENCY's Contract Manager of itemized invoices in triplicate. Invoices shall be submitted no later than 45 -calendar days after the performance of work for which the CONTRACTOR is billing. Invoices shall detail the work performed on each milestone and each project as applicable. Invoices shall follow the format stipulated for the approved Cost Proposal and shall reference this contract number and project title. Final invoice must. contain the final cost and all credits due the LOCAL AGENCY including any equipment purchased under the provisions of Section 4.21(0) Equipment Purchase of this contract. The final invoice should be submitted within 60 -calendar days after completion of the CONTRACTOR's work. Invoices shall be mailed to the LOCAL AGENCY's Contract Manager at the following address: City of Lodi 221 West Pine Street P.O. 'Box 3006 Lodi, CA 952414910 Attn: Wally Sandelin, Public Works Director/ Contract Manager H. The total amount payable by the LOCAL AGENCY including the fixed fee shall not exceed $947,147. I. Salary increases will be reimbursable if the new salary is within the salary range identified in the approved Cost Proposal and is approved by the LOCAL AGENCY's Contract Manager. 4 For personnel subject to prevailing wage rates as described in the California Labor Code, all 'salary increases, which are the direct result of changes in the prevailing wage rates are reimbursable. Section 3.2 Method of Payment Payment shall be as provided in Section 3.1 of this Agreement. Section 3.3 Costs Costs shall be as provided in Section 3.1 of this Agreement. Section 3.4 Auditina CITY reserves the right to periodically audit all charges made by CONTRACTOR to CITY for services under this Agreement. Upon request, CONTRACTOR agrees to furnish CITY, or a designated representative, with necessary information and assistance needed to conduct such an audit. CONTRACTOR agrees that CITY or its delegate will have the right to review, obtain and copy all records pertaining to performance of this Agreement. CONTRACTOR agrees to provide CITY or its delegate with any relevant information requested and shall permit CITY or its delegate access to its premises, upon reasonable notice, during normal business hours for the purpose of interviewing employees and inspecting and copying such books, records, accounts, and other material that may be. relevant to a matter under investigation for the purpose of determining compliance with this requirement. CONTRACTOR further agrees to maintain such records for a period of three (3) years after final payment under this Agreement. ARTICLE 4 MISCELLANEOUS PROVISIONS Section 4.1 Nondiscrimination In performing services under this Agreement, CONTRACTOR shall not discriminate in the employment of its employees or in the engagement of any sub CONTRACTOR on the basis of race, color, religion, sex, sexual orientation, marital status, national origin, ancestry, age, or any other criteria prohibited by law. Section 4.2 ADA Compliance In performing services under this Agreement, CONTRACTOR shall comply with the Americans with Disabilities Act (ADA) of 1990, and all amendments thereto, as well as all applicable regulations and guidelines issued pursuant to the ADA. 5 Section 4.3 Indemnification and Responsibility for Damage CONTRACTOR to the fullest extent permitted by law, shall indemnify and hold harmless CITY, its elected and appointed officials, directors, officers, employees and volunteers from and against any claims, damages, losses, and expenses (including reasonable attorney's fees), arising out of performance of the services to be performed under this Agreement, provided that any such claim, damage, loss, or expense is caused by the negligent acts, errors or omissions of CONTRACTOR, any subcontractor employed directly by CONTRACTOR, anyone directly or indirectly employed by any of them, or anyone for whose acts they may be liable, except those injuries or damages arising out of the active negligence of the City of Lodi or its officers or agents. Section 4.4 No Personal Liability Neither the City Council, nor any other officer or authorized assistant or agent or City employee shall be personally responsible for any liability arising under this Agreement. Section 4.5 Responsibility of CITY CITY shall not be held responsible for the care or protection of any material or parts of the work described in the Scope of Services prior to final acceptance by CITY, except as expressly provided herein. Section 4.6 insurance Requirements for CONTRACTOR CONTRACTOR shall take out and maintain during the rife of this Agreement, insurance coverage as set forth in Exhibit C attached hereto and incorporated by this reference. Section 4.7 Successors and Assigns CITY and CONTRACTOR each bind themselves, their partners, successors, assigns, and legal representatives to this Agreement without the written consent of the others. CONTRACTOR shall not assign or transfer any interest in this Agreement without the prior written consent of CITY. Consent to any such transfer shall be at the sole discretion of CITY. Section 4.8 Notices Any notice required to be given by the terns of this Agreement shall be in writing signed by an authorized representative of the sender and shall be deemed to have been given when . the same is personally served or upon receipt by express or overnight delivery, postage prepaid, or three (3) days from the time of mailing if sent by first class or certified mail, postage prepaid, addressed to the respective parties as follows: 6 To CITY. City of Lodi 221 West Pine Street P.O. Box 3006 Lodi, CA 95241-1910 Attn: F. Wally Sandelin, Public Works Director To CONTRACTOR: Mark Thomas & Company, Inc. Robert Himes, Principal/Vice President 7300 Folsom Blvd., Ste. 203 Sacramento, CA 95826 Section 4.9 Cooperation of CITY CITY shall cooperate fully and in a timely manner in providing relevant information it has at its disposal relevant to the Scope of Services. Section 4.10 CONTRACTOR is Not an Employee of CITY CONTRACTOR agrees that in undertaking the duties to be performed under this Agreement, it shall act as an independent contractor for and on behalf of CITY and not an employee of CITY. CITY shalt not direct the work and means for accomplishment of the services and work to be performed hereunder. CITY, however, retains the right to require that work performed by CONTRACTOR meet specific standards without regard to the manner and means of accomplishment thereof. Section 4.11 Termination CITY may terminate this Agreement, with or without cause, by giving CONTRACTOR at least ten (10) days written notice. Where phases are anticipated within the Scope of Services, at which an intermediate decision is required concerning whether to proceed further, CITY may terminate at the conclusion of any such phase. Upon termination, CONTRACTOR shall be entitled to payment as set forth in the attached Cost Proposal (Exhibit 10h) to the extent that the work has been performed. Upon termination, CONTRACTOR shall immediately suspend all work on the Project and deliver any documents or work in progress to CITY. However, CITY shall assume no liability for costs, expenses or lost profits resulting from services not completed or for contracts entered into by CONTRACTOR with third parties in reliance upon this Agreement. Section 4.12 Confidentiality CONTRACTOR agrees to maintain confidentiality of all work and work products produced under this Agreement, except to the extent otherwise required by law or permitted in writing by CITY. CITY agrees to maintain confidentiality of any documents owned by CONTRACTOR and clearly marked by CONTRACTOR as °Confidentiar or"Proprietary", except 7 to the extent otherwise required by law or permitted in writing by CONTRACTOR. CONTRACTOR acknowledges that CITY is subject to the California Public Records Act. Section 4.13 Remedies, Applicable Law Jurisdiction, Severabllity. and Attorney's Fees City shall be entitled to any remedies available under California law for breach of this Agreement. This Agreement shall be governed by the laws of the State of California. Jurisdiction of litigation arising from this Agreement shall be venued with the San Joaquin County Superior Court. If any part of this Agreement is found to conflict with applicable laws, such part shall be inoperative, null, and void insofar as it is in conflict with said laws, but the . remainder of this Agreement shall be in force and effect. In the event any dispute between the parties arises under or regarding this Agreement, the prevailing party in any litigation of the dispute shall be entitled to reasonable attorney's fees from the party who does not prevail as determined by the San Joaquin County Superior Court. Section 4.14 City Business License Reauirement CONTRACTOR acknowledges that Lodi Municipal Code Section 3.01.020 requires CONTRACTOR to have a city business license and CONTRACTOR agrees to secure such license and pay the appropriate fees prior to performing any work hereunder. Section 4.15 Captions The captions of the sections and subsections of this Agreement are for convenience only and shall not be deemed to be relevant in resolving any question or interpretation or intent hereunder. Section 4.16 Intearation and Modification This Agreement represents the entire understanding of CITY and CONTRACTOR as to those matters contained herein. No prior oral or written understanding shall be of any force or effect with respect to those matters covered hereunder. This Agreement may not be modified or altered except.in writing, signed by both parties. Section 4.17 Contract Terms Prevail All of the Contract Documents are intended to be construed as a single document. Should any inconsistency occur between the specific terms of this Agreement and the other Contract Documents, the terms of this Agreement shall prevail. 8 Section 4.18 Severabilitv The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. Section 4.15 Ownership of Documents All documents, photographs, reports, analyses, audits, computer media, or other material documents or data, and working papers, whether or not in final form, which have been obtained or prepared under this Agreement, shall be deemed the property of CITY. Upon Cl1 Y's request, CONTRACTOR shall allow CITY to inspect all such documents during CONTRACTOR's regular business hours. Upon termination or completion of services under this Agreement, all information collected, work product and documents shalt be delivered by CONTRACTOR to CITY within ten (10) calendar days. CITY agrees to indemnify, defend and hold CONTRACTOR harmless from any liability resulting from CITY's use of such documents for any purpose other than the purpose for which they were intended. Section 4.20 Authori , The undersigned hereby represent and warrant that they are authorized by the parties to execute this Agreement. Section 4.21 Federal Transit Fundina Conditions. The Federal Transit Funding conditions below apply to this contract. In the event of a conflict between the terms of this contract or any of the other Contract Documents, and the Federal Transit Funding Conditions, the Federal Transit Funding Condiions will control. a) Covenant Against Contingent Fees The Contractor warrants that he/she has not employed or retained any company or person, other than a bona fide employee working for the Contractor, to solicit or secure this agreement; and that he/she has not paid or agreed to pay any company or person other than a bona fide employee, any fee, commission, percentage, brokerage fee, gift, or any other consideration, contingent upon or resulting from the award, or formation of this agreement. For breach or violation of this warranty, the local agency shall have the right to annul this agreement without liability, or at its discretion; to deduct from the agreement price or consideration, or otherwise recover the full amount of such fee, commission, percentage, brokerage fee, gift, -or contingent fee. 9 i b) Documentation. CONTRACTOR shall document the results of the work to the .satisfaction of the local agency, and if applicable, the State of California and FHWA. This may include preparation of progress and final reports, plans, specifications and estimates, or similar evidence of attainment of the agreement objectives. c) Ownership of Documents i Tracings, plans, specifications, and maps prepared, or obtained under the terms of the agreement shall become the property of the local agency. Basic survey notes and sketches, charts, computations, and other data prepared or obtained under such agreement shall be made available upon request to the local agency without restriction or limitation on their use. If this agreement is for preliminary plans only, local agency shall have full rights to the. subsequent use of the plans, or ideas incorporated therein for preparation of construction plans: d) Patent Rights Patent rights shalt be as provided in 41 CFR 1-9.1, as applicable. e) Copyrights If CONTRACTOR requests and is permitted by Local Agency to copyright reports or other agreement products, CITY, the FHWA and the State of California shall have the royalty -free nonexclusive and irrevocable right to reproduce, publish, or otherwise use; and to authorize others to use the work for government purposes. f) Changes in Work I. This contract may be amended . or modified only by mutual written agreement of the parties. 11. The CONTRACTOR shall only commence work covered by an amendment after the amendment is executed and notification to proceed has been provided by the LOCAL AGENCY's Contract Manager. III. There shall be no change in the CONTRACTOR's Project Manager or members of the project team, as listed in this Agreement without prior written approval by the LOCAL AGENCY's Contract Manager. g) Disputes I. Any dispute; other than audit, concerning a question of fact arising under this contract that is not disposed of by agreement shall be decided by a committee consisting of the LOCAL AGENCY's Contract Manager and 10 City Manager, who may consider written or verbal information submitted by the CONTRACTOR It. For Contracts without PS&E submittals, Not later than 30 days after completion of all work under the contract, the CONTRACTOR may request review by the LOCAL AGENCY GOVERNING BOARD of unresolved claims or disputes, other than audit. The request for review will be submitted in writing. For Contracts with PS&E submittals, Not later than 30 days after - completion of all deliverables necessary to complete the plans, specifications and estimate, the CONTRACTOR may request review by the LOCAL AGENCY GOVERNING BOARD of unresolved claims or disputes, other than audit. The request for review will be submitted in writing Ill. Neither the pendency of a dispute, nor its consideration by the committee will excuse the CONTRACTOR from full and timely performance in accordance with the terms of this contract. h) General Compliance with Laws and Wage Rates The Contractor shall comply with all federal, state and local laws and ordinances applicable to the work. This includes compliance with California prevailing wage rates, certified payrolls, and payment in accordance with California Labor Code, Section 9775. i) Subcontracting, Assignment and Transfer If CITY approves a subcontract pursuant to Section 2.4 of this Agreement, all subcontracts shalt provide that subcontracts exceeding $25,000 in cost shall contain all required provisions of the prime contract. j) Contractor's Endorsement on PS&ElOther Data The responsible Contractor/engineer shall sign all plans, specifications, estimates (PS&E) and engineering data furnished by him/her, and where appropriate, indicate his/her California registration number. k) Disadvantaged Business Enterprise Considerations Contractors must give consideration to DBE firms as specked in 23 CFR §172.5(b), 49 CFR, Part 26, and in Exhibit 904 'Notice to Proposers Disadvantaged Business Enterprise Information." If the contract has a DBE goal, the Contractor must meet the DBE goal by using DBEs as subcontractors or 11 document a good faith effort to have met the goal. If a DBE subcontractor is unable to perform, the Contractor must make a good faith effort to replace him/her with another DBE subcontractor if the goal is not otherwise met. LAPM Exhibits 10-I, 10-J, 10-01, 10-02, 15-H and 17-F are included in this Contract as though fully set forth herein. Non -lobbying Certification (Exhibit 10-P) is included in this contract as though fully set forth herein. Debarment and Suspension Certification (Exhibit 12-E, Attachment E) is included in this contract as though fully set forth herein. Non -Discrimination Clause (Exhibit 104) is included in this contract as though fully set forth herein. EQUIPMENT PURCHASE A. Prior authorization in writing, by the LOCAL AGENCY's Contract Manager shall be required before the CONTRACTOR enters into any unbudgeted purchase order, or subcontract exceeding $5,000 for supplies, equipment, or CONTRACTOR services. The CONTRACTOR shall provide an evaluation of the necessity or desirability of incurring such costs. B. For purchase of any item, service or consulting work not covered in the CONTRACTOR's Cost Proposal and exceeding $5,000 prior authorization by the LOCAL AGENC Cs Contract Manager, three competitive quotations must be submitted with the request, or the absence of bidding must be adequately justified. C. Any equipment purchased as a result of this contract is subject to the following: "The CONTRACTOR shall maintain an inventory of all nonexpendable property. Nonexpendable property is defined as having a useful life of at least,two years and an acquisition cost of $5,000 or more. If the purchased equipment needs replacement and is sold or traded in, the LOCAL AGENCY shall receive a proper refund or credit at the conclusion of the contract, or if the contract is terminated, the CONTRACTOR may either keep the equipment and credit the LOCAL AGENCY in an amount equal to its fair market value, or sell such equipment at the best price obtainable at a public or private sale, in accordance with established LOCAL AGENCY procedures; and credit the LOCAL AGENCY in an amount equal to the sales price. If the 12 CONTRACTOR elects to keep the equipment, fair market value shall be determined at the CONTRACTOR's expense, on the basis of a competent independent appraisal of such equipment. Appraisals shall be obtained from an appraiser mutually agreeable to by the LOCAL AGENCY and the CONTRACTOR, if it is determined to sell the equipment, the terms and conditions of such sale must be approved in advance by the LOCAL AGENCY.' 49 CFR, Part 18 requires a credit to Federal funds when participating equipment with a fair market value greater than $5000.00 is credited to the project. p) OWNERSHIP OF DATA A. Upon completion of all work under this contract, ownership and title to all reports, documents, plans, specifications, and estimates produce as part of this contract will automatically be vested in the LOCAL AGENCY; and no further agreement will be necessary to transfer ownership to the LOCAL AGENCY. The CONTRACTOR shall famish the LOCAL AGENCY all necessary copies of data needed to complete the review and approval process. B. It is understood and agreed that all calculations, drawings and specifications, whether in hard copy or machine-readable form, are intended for one-time use in the construction of the project for which this contract has been entered into. C. The CONTRACTOR is not liable for claims, liabilities, or losses arising out of, or connected with the modification, or misuse by the LOCAL AGENCY of the machine-readable information and data provided by the CONTRACTOR under this agreement; further, the CONTRACTOR is not liable for claims, liabilities, or losses arising out of, or connected with any use by the LOCAL AGENCY of the project documentation on other projects for additions to this project, or for the completion of this project by others, except only such use as many be authorized in writing by the CONTRACTOR. D. Applicable patent rights provisions described in 41 CFR 1-91, regarding rights to inventions are included in this Agreement as appropriate. E. Any subcontract in excess of $25,000 entered into as a result of this contract, shall contain all of the provisions of this Article. 13 f q) CONFIDENTIALITY OF DATA A. : All financial, statistical, personal, technical, or other data and information relative to the LOCAL AGENCY's operations, which are designated confidential by the LOCAL AGENCY and made available to the CONTRACTOR in order to carry out this contract, shall be protected by the CONTRACTOR from unauthorized use and disclosure. B. Permission to disclose information on one occasion, or public hearing held by the LOCAL AGENCY relating to the contract, shall not authorize the CONTRACTOR to further disclose such information, or disseminate the same on any other occasion. C. The CONTRACTOR shalt not comment publicly to the press or any other media regarding the contract or the LOCAL AGENCY's actions on the same, except to the LOCAL AGENCY's staff, CONTRACTOR's own personnel involved in the performance of this contract, at public hearings or in response to questions from a Legislative committee. D. The CONTRACTOR shall not issue any news release or public relations item of any nature, whatsoever, regarding work performed or to be performed under this contract without prior review of the contents thereof by the LOCAL AGENCY, and receipt of the LOCAL AGENCY'S written permission. E. Any subcontract entered into as a result of this contract shall contain all of the provisions of this Article. F. If this is a PS&E contract, all information related to the construction estimate is confidential, and shall not be disclosed by the CONTRACTOR to any entity other than the LOCAL AGENCY. r) CONFLICT OF INTEREST. Sub -Paragraphs A through D shall apply to PS&E contracts. Subparagraphs A,B, E, F and G shall apply to Construction Contract Administration Contracts. A. The CONTRACTOR shall disclose any financial, business, or other relationship with LOCAL AGENCY that may have an impact upon the outcome of this contract, or any ensuing LOCAL AGENCY construction project. The CONTRACTOR shall also list current clients who may have a financial interest in the outcome of this contract, or any ensuing LOCAL AGENCY construction project, which will follow. 14 B. - The CONTRACTOR hereby certifies that it does not now have, nor shall it acquire any financial or business interest that would conflict with the performance of services under this agreement. C. The CONTRACTOR hereby certifies that neither CONTRACTOR, nor any firm affiliated with the CONTRACTOR will bid on any construction contract, or on any contract to provide construction inspection for any . construction project resulting from this contract. An affiliated firm is one, which is subject to the control of the same persons through joint - ownership, or otherwise. D. Except for subcontractors whose services are limited to providing surveying or materials testing information, no subcontractor who has provided design services in connection with this contract shall be eligible to bid on any construction contract, or on any contract to provide construction inspection for any construction project resulting from this contract. E. The CONTRACTOR hereby certifies that neither the CONTRACTOR, its employees, nor any firm affiliated with the CONTRACTOR providing services on this project prepared the Pians, Specifications, and Estimates for any construction project included within this contract, An affiliated firm is one, which is subject to the control of the same persons through joint- ownership, ointownership, or otherwise. F. The CONTRACTOR further certifies that neither CONTRACTOR, nor any firm affiliated with the CONTRACTOR, will bid on any construction subcontracts included within the construction contract. Additionally, CONTRACTOR certifies that no person working. under this contract is also employed by the construction contractor for any project included within this contract. G. Except for subcontractors whose services are limited to materials testing, no subcontractor who is providing service on this contract shall have provided services on the design of any project included within this contract. S) REBATES, KICKBACKS OR OTHER UNLAWFUL CONSIDERATION The CONTRACTOR warrants that this contract was not obtained or secured through rebates kickbacks or other unlawful consideration, either promised or is paid. to any LOCAL AGENCY employee. For breach or violation of this warranty, LOCAL AGENCY shall have the right in its discretion; to terminate the contract without liability; to pay only for the value of the work actually performed; or to deduct from the contract price; or otherwise recover the full amount of such rebate, kickback or other unlawful consideration Q PROHIBITION OF 'EXPENDING LOCAL AGENCY STATE OR FEDERAL FUNDS FOR LOBBYING A. The CONTRACTOR certifies to the best of his or her knowledge and belief that: I. No state, federal or local agency appropriated funds have been paid, or will be paid by -or -on behalf of the CONTRACTOR to any person for influencing or attempting to influence an officer or employee of any state or federal agency; a Member of the State Legislature or United States Congress; an officer or employee of the Legislature or Congress; or any employee of a Member of the Legislature or Congress, in connection with the awarding of any state or federal contract; the making of any state or federal grant; the making of any state or federal loan; the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any state or federal contract, grant, loan, or cooperative agreement. 2. If any funds other than federal appropriated funds have been paid, or will be paid to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress; an officer or employee of Congress, or an employee of a Member of Congress; in connection with this federal contract, grant, loan, or cooperative agreement; the CONTRACTOR shall complete and submit Standard Form -LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. 8. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission . of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, US. Code. Any person who fails to file the required certification shall be subject to a civil penalty 16 of not less than $10,000 and not more than $100,000 for each such failure. C. The CONTRACTOR also agrees by signing this document that he or she shall require that the language of this certification be included in all lower - tier subcontracts, which exceed $100,000, and that all such sub recipients shall certify and disclose accordingly. u) COST PRINCIPLES A. The CONTRACTOR agrees that the Contract Cost Principles and Procedures, 48 CFR, Federal Acquisition Regulations System, Chapter 1, Part 31.000 et seq., shalt be used to determine the allowability of cost individual items. B. The CONSUTLANT also agrees to comply with federal procedures in accordance with 49 CFR, Part 18, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments. C. Any costs for which payment has been made to CONSULTANT that are determined by subsequent audit to be unallowable under 48 CFR, Federal Acquisition Regulations System, Chapter 1, Part 81.000 et seq., are subject to repayment by CONSULTANT to the LOCAL AGENCY. IN WITNESS WHEREOF, CITY and CONTRACTOR have executed this Agreement as of the date first above written, 17 CITY OF LODI, a municipal corporation ATTEST: RAND! JOHL KO D BAR `- -_ - - - _._... . City Clerk City Manager APPROVED AS TO FORM: COMPANY, INC. D. STEPHEN SCHWABAUER, City Attorney JANICE D. MAGDICH, Deputy City Attorney By Attachments: Exhibit A - Scope of Services Exhibit 10(h) - Fee Proposal Exhibit C - Insurance Requirements Exhibit D - City's Request for Proposals Exhibit E - Contractor's Proposal CONTRACTOR:MARK THOMAS & B'VV\1 _ utl-� Name: ' I *e'Vto e1 -a. Lokw�a� Title: I20aclpa0Ae&Pres1d6nt Exhibit 104 Notice to Proposers DBE Information Exhibit 10-J Standard Agreement for Subcontractor/DBE Participation Exhibit 10-01 Local Agency Consultant DBE Commitment Exhibit 1Q-02 Local Agency Consultant DBE Information Exhibit 15-H DBE Information -Good Faith Efforts Exhibit 17-F Final Report - Utilization of DBE's Exhibit 10-13 Nonlobbying Certification for Federal Aid Contracts Exhibit 12-E, Attachment E - Debarrment and Suspension Certification Exhibit 10-V - Non -Discrimination Clause Exhibit 10-F - Certification of Consultant Commission and Fees Exhibit 10-G - Certification of Local Agency Funding Source:3 2 �j�D22.7'J23 Hess Unit & Account Na} Doc ID: CA:rev.01.2012 18 WORK PERFORMED UNDER CURRENT PA -ED CONTRACT Several of the tasks that are included in MTCo's current PA -ED contract will continue through completion of the PS&E contract, as detailed in our approved contract with the City. As such, these tasks are not included in the following scope of work. These items generally include: - DESCRIPTION Pun din Su 9 _Pport.(Secfion 19d Aufhonzahonj.__ PERFORMED BY _ - Right of Way Plats and Description Boumbach & Piazza (B&P) , t'otl 0 Su1,v9s "Show Me Stakes" for Proposed Right of Way B&P Hydrology and'Drginege Design B&P_ Preparation/Distribution of Newsletters JBC Desigh Rgfinemerjtand Geometric.Approval_Drayyings_....:: �. __.H :: �j�? _ In addition, there are several PS&E level tasks that have already been completed; therefore, they are not included in the scope below. These items include: WORK PROPOSED FOR THE PS&E CONTRACT TASK 1 . PROJECT MANAGEMENT 1.1 PROJECT DEVELOPMENT TEAM [PDT) MEETINGS MTCo will continue to coordinate with the PDT on this project. Once PS&E design commences, meetings will be held on a monthly basis or as needed to correspond with deliverables and decision deadlines. The PDT meetings will include the City, MTCo and our subconsultants, Caltrans, SJCOG, and other agency representatives as appropriate. MTCo will continue to take the lead in facilitating the meetings, preparing and distributing meeting agendas, inviting meeting participants, and preparing/distributing meeting minutes. Meeting minutes will include a list of materials distributed/discussed at the meeting, and a summary of action items to be addressed prior to the next meeting. This proposal assumes there will be 10 PDT meetings. 1.2 CLIENT/SUBCONSULTANT PROJECT MANAGEMENT MTCo will continue to perform ongoing general project coordination with the City.and our subconsultants. This will include maintaining project files; holding focused design coordination meetings; and preparing correspondence, e-mail, and phone calls necessary to manage the project, maintain project budget, and achieve on -schedule submission of project deliverables. 1.3 AGENCY COORDINATION MTCo will continue to perform ongoing general project coordination with the City, Caltrans (for right of way certification and funding authorizations), Union Pacific Railroad (UPRR), and the California Public Utilities Commission (CPUC). This will include holding design review meetings and CPUC field review meetings; and preparing checklists, applications, and submittals consistent with Caltrans, CPUC, and UPRR guidelines. 1.4 FUNDING SUPPORT In addition to coordinating with CPUC and CTC to acquire Section 190 funds, as defined in our PA -ED Contract,. MTCo will assist the City to prepare the E-76 authorization request for federal funding reimbursements. 1.5 PREPARE/UPDATE PROJEcr SCHEDULES MTCo will continue to update the project schedule for review at the PDT meetings. 1.6 MONTHLY PROGRESS REPORTS MTCo will prepare a monthly status spreadsheet with each of the invoices submitted for payment. The spreadsheet will show the original budget, reallocated budget, amount spent to date, amount spent this period, and percentage spent to date for each task. I 1.7 QUALITY ASSURANCE/QUALITY CONTROL MTCo will employ our comprehensive QC/QA checklists and perform an independent review of each submittal in parallel with agency reviews. We have assigned Matt Brogan (MTCo) to serve as Quality Control Manager for this project. He will be responsible for internal and external quality control measures (e.g., verifying sound design practices intemally, and verifying that our subconsultanis are using most recent information). 1.8 UPRR/CPUC AND UnUTY COORDHWION MTCo will continue to coordinate with UPRR, CPUC, and the City to facilitate approval of the following: ■ Cost Sharing Agreement ■ Construction & Maintenance Agreement for the ■ Right of way and aerial easements for construction new grade separation ■ GO -88B grade separation crossing application 1.9 CALTRANS COORDINATION MTCo will continue to coordinate with Caltrans and the City to facilitate the approval of the following (these items are now required with federal funding): ■ Record of Investigation ! tnvironmentai Lertitication ■ Utility Agreements ■ Right of Way Certification ■ Certification of Sufficiency 1.10 PUBLIC OUTREACH Judith Buethe Communications (JBC) will continue to provide public outreach for this project. JBC is already scoped to provide several update newsletters throughout the project within the PA -ED contract. For the PS&E scope, JBC will coordinate two (2) public meetings. It is anticipated that these meetings will be held following the 65% design submittal and after the project has been awarded. This will provide a check-in with the public and property owners during design and just prior to construction. MTCo will continue to provide support at the Shirtsleeve and Council meetings as needed. ..a x..w . 14 �..' 'i ..� :.� .�F4. L .S (-��i .sc5-�i+J ..v Y r . 21 si awcru s: 6J* MTCo will prepare structure plans based upon the approved General Plan. The structure will be designed using Load and Resistance Factor Design following AASHTO LRFD Bridge Design Specifications. Other references that MTCo will follow are Caltrans Division of Structures Bridge Memo to Designers, Bridge Design Aids, Bridge Design. Details, and BNSF-UPRR Guidelines for Railroad Grade Separation Projects. 2.2 STRUCTURE INDEPENDENT CHECK Upon completion of the 65% Structures Submittal, APEX will commence the structures independent check. All discrepancies between the designer and independent checker will be resolved prior to the 95% Submittal. 2.3 LANDSCAPE DESIGN Pennin0 Design Group (PDG) will develop up to two concepts for hardscape and landscaping the median and the outside embankments for the overhead crossing from Hutchins to Stockton. This scope includes preliminary design of oil four quadrants of the grade separation. The scope and fee can be adjusted if the City decides to landscape the northwest quadrant only. 2.4 LmLi ry cooRwNAT1oN MTCo will coordinate with utility companies to relocate their facilities to accommodate construction. This includes: ■ Sending Utility 19 Letters (Already sent in PA-ED ■ City and Utility Companies will Approve contract) Agreements ■ Sending Preliminary Conflict Mapping (Already sent ■ Preparing Certification of Sufficiency (MTCo and in PA-ED contract) Neil O. Anderson) ■ Attending Field Meeting with Utility Companies ■ Caltrans will Issue an Environmental Certification ■ Utility Company will Prepare Their Relocation 0 Caltrans will Issue an Right of Way Certification Design ■ Utility Companies will Send Their Claim Letters Submitted to the City 'TASK 3: RtGHT OF WAY SERVICES -` It is assumed there will be seven (7) acquisitions, and temporary access will be allowed with Rights of Entry. With federal funding, Caltrans will be involved in every step of the right of way acquisition process. They will review the plats, descriptions, appraisals, and offers, -and will ultimately issue a right of way Certification. 3.1 APPRAISAL SERVICES interwest will subcontract with Sierra West Valuation to perform appraisal services as described below. The reports will be prepared in conformance with and subject to the requirements of the Uniform Standards of Professional Appraisal Practice (USPAP). 3.2 APPRAISAL REVIEW interwest will subcontract with Henry Spoto to perform the appraisal review services described below. The reports will be reviewed in conformance with and subject to the requirements of the USPAP. 3.3 ACQUISITION/NEGOTIATION PROCESS Interwest's licensed agents will negotiate to acquire interests that are identified and required for the project. Interests to be acquired or cleared include, but may not be limited to: fee andpermanent and temporary construction easement. MTCo will be heavily involved with the acquisition and appraisals, providing exhibits and attending field meetings with the appraiser and property owners as needed. TASK 4: PROJECT PLANS SP€CIEtCAtIONS & ES -(MATES (PS&E) MTCo and our subconsultants will prepare the Plans, Specifications, and Estimates (PS&E) based on designs performed in Task 2 of this scope of work. The plans will be prepared in AutoCAD, in a version compatible with the City's software requirements. Specifications will be prepared in MS Word and will be based on the City and Caltrans specifications. The Estimates will be prepared in MS Excel and will include quantities and current construction pricing. The Plans and Estimates (P&E) will be provided of 65% submittal and the PS&E will be provided at the 95%, 100% and Bid Package stages. It is anticipated the plan package will include the following plan sheets: TltSk� -s y f r.4iT� OEM i_ General NotesMAW 1 Project-Svrvey Contra(_ ' '�U 77 Typical Sedion(s) NIA legis - a :Profiles - -_ - — - _ -Varies -` t5y- -- �i�Tmss' si3 7' Water Pollution Control Plans finch =:2 feel' 7 Y Ya e.1790 ProfilesR E7exail's:_ ,:.: _ ., • yS y % 'h '•moi Stage Construdion/fraffic Control Varies 1 !.Jt�:(iTCi;!�'�f�'��19�==-s`t��• - �� =5' :: e' �z�s�::ss_... Traffic Signal & Lighting *•-`N,=="-C� a,?•'-lY%7.abF::+;.,�_.^F-c+a�''M1 TOTAL 94 4.1 PROJECT PLANS MTCo and our subconsultants will prepare the following Plan Submittals: 4.1.1 65% PLAN SUMMI The 65% plan submittal will include the sheets specified above and will specify critical details needing approval. The intent of this submittal is to gain buy -off on plan layout and standards used, and confirm property and utility impacts. 4.1.2 95% PLAN SUBMITTAL The 95% plan submittal will include the plan sheets specified above and details. The 95% plan submittal is considered to be 100% and will be used to perform a thorough internal review for constructability and bidabilRy. 4.1.3 100% PLAN suamiTTAL The 100% plan submittal will include the plan sheets specified above and details, and will include final comments received by the City and MTCo's internal reviewers. 4.1.4 Bio SET suamiTTAL The Bid Set submittal will be printed on mylar or vellum (whichever the City prefers), and will be signed and ready for the City to advertise. 4.2 sPEciAL PRovisioNs MTCo will prepare Special Provisions for the project. The specials provisions will combine of Caltrans general provisions and the City's technical provisions. The special provisions will be submitted at the 951/6 and 100% plan reviews and Bid Set. 4.3 EsTIMATEs MTCo will prepare preliminary construction cost estimates and submit them with each plan submittal. MTCo will also prepare preliminary costs for design options, as needed, for the City to make decisions. 4.4 GENERAL CRoss-SECTIONS MTCo will use Autodesk Civil 3D to create general cross-sections at 50 -foot intervals. The general cross- sections will include the pavement sections, curbs, gutters, sidewalks, ditches, soundwalls, and critical offsets and elevations. These cross-sections will be used for estimating excavation and embankment quantities, and will be available to the contractor during bidding. 4.5 sLoPE STAKE No, MTCo will export information from the general crass -sections produced in Task 4.5 into an Excel spreadsheet. This information can be used by the surveyors providing construction staking for the project. 4.6 RESIDENT ENGINEER FILE MTCo will provide a Resident Engineer (RE) File to the City prior to construction. The RE File will provide useful information to the construction inspector, and will generally include quantity calculations, critical information the inspector should know, etc. 4.7 PREPARE PRELIMINARY SWPPP MTCo has several certified QSPs and QSDs on staff. It is now required that preliminary SWPPPs be prepared and uploaded to the State's website in order to receive a WDID number (as required by Caltrans). MTCo will prepare the preliminary SWPPP for upload. TASK -5: BIDDING ASSISTANCE AND CONSTRUCTION SUPPORT 5.1 BIDDING ASSISTANCE MTCo and our subconsultants will provide assistance, as required, to the City during bidding of the project. An allowance has been provided for bidding assistance in our fee, and this work will be charged on a time and materials basis. 5.2 CONSTRucTioN SUPPORT MTCo and our subconsultants will provide assistance, as required, to the City during construction of the project. An allowance has been provided for construction support in our fee, and this work will be charged on a time and materials basis. 5.3 RECORD DRAWINGS MTCo and our subconsultants will provide Record Drawings to the City after construction is complete: Foran 10H CONSULTANT COST PROPOSAL Subtotal Direct Labor Costs $ 241,070.00 Anticipated Salary Increases (0% for one year) $'- 4 Total Direct Labor Costs $- ..._24100.00.. FRINGE BENEFITS Rate Total Fringe Benefits 43.92% $ 105,877.94 Total Fringe Benefits $... _.. lott3T1.94 INDIRECT COSTS COSTPROPOSAL CONTRACT No. Harney Lane GradeS. tio2 303,699.99 irate 8-0042 CONSULTANT A"*,Thotnas & Gomes FEE Q 10%65,064-79 DIRECT LABOR _ l OTHER COSTS Initial Mileage $ Hourly Classification Name Range Hours Raba Total Engineering Manager III 78.0089.99 700.0 C S 78.00 S... 54,600.00. Structural Manager 89 -DO 1.99 48.0 r $ 89.00 $ _ 4.4242k- 44 272kfl0 Engineer VI Engineer 46.0052.49. 240.0 d $ 46.50 $ 11,160.00 Engineer V i 42.00-45.99 1236.0 Cc $ 42.50 $ 52,530.00. Engineer IV _ 36.5041.99 1824.0 Cd $ 38.50 $ZGr24:00. Judith Buethe Communications Engineer It 31.5034.49 632.0 $. 31.75 $, 2_ 0�. EngineerTechnicfal 26.00-32.49 936.0 6 $ 26:00 $ 24,336_0D • Land Surveyor 50.0057.00 16.0 41 $ 51.00 $ 816.00 i Project Surveyor . _ 33.00.41.99 80.0 cR $ 35.00 $ . 2,800.00 Admin 18.00-29.00 14.0 $ 19.00 S.... 26t t10 0.0. Ca $ -0-O, , Subtotal Direct Labor Costs $ 241,070.00 Anticipated Salary Increases (0% for one year) $'- 4 Total Direct Labor Costs $- ..._24100.00.. FRINGE BENEFITS Rate Total Fringe Benefits 43.92% $ 105,877.94 Total Fringe Benefits $... _.. lott3T1.94 INDIRECT COSTS Overhead/General and Administrative 125.98% $ 303,699.99 Total Indirect Costs 0:00' FEE Q 10%65,064-79 _ l OTHER COSTS Mileage $ Reproductions Costs (out of office blue tines, xemx, binding) S Utility Potholing Mail & Oeitvery Services (Cafifomia Overnight and Postage) Total Other Costs MTCo TOTAL COSTS $ 735,712.72 SUBCONSULTANT 10-H TOTAL COSTS APEX Civil Engineering $ 55.486.67 Judith Buethe Communications $... 28_044.26 Fehr & Peers $ 1026:00 Irrterwest Consulting Group - Real Estate Consultants $ 82,641.95 Pennino Resign Group Subconsuftants Total Costs $ 213,434.95 TOTAL COSTS $ 949,147.67 Fan 10H COWAXTANT COST PROPOSAL CONTRACT No. HanW Lane (bade Sep@m" Date 10!08/12 . CONSULTANT APEX CivN Enptneent DIRECTLABOR If" Hourfy Gtasafiication Naffs Range Hours Rafie Total Prk1ap81 Patricia Preston 88-129 80.0 4$ 72.12 $ 5.7W.W SenluEnginew Joe°.t3riwm 5088 18.5.0 as 5288 i 8.78280 CADDTechniaan RWwdUhlmmn 32.38 80.0 of 38.08 S, 2.88480 0.0 es 0.00 i 0.0 Q i 0.00 $ 0.0 4$ 0.00 $ - 0.0 as a.W 0.0. as o00 s _ 0.0 s 0.W s. 0.o as aoD s . 0.0 L s 0.00 • SrrbtafalDireetLaOorCosts S 18.437.20 Total Direct Labor Costs; 1^, 8�� FRAM gig Rafe Tom Fringe 9eneft MullipNer 15868% i 2.925888 (Payroll taxes, berm, team 4 bonuses, com0 n v) TOW !=tinge and Lsbor S _ .. 47.604.09 . INDIRECTCOSTS dverM"13merai and Adm6fiehallm . Total Nrdirrtet Com FEE 4110% c .owner Faes Modelft - MWoftcians Costs (wkoFot M bine roes. MM Wnft) PhotogrspMa FNm & Rooming Md A Delivery Setvlcee (GeNonta OvwWd and Postage) Told Otter Code i - i - s � S — 400.00 s Form 10H CONSULTANT COST PROPOSAL COST PROPOSAL CONTRACT No. ."H Date 10108112 CONSULTANT DIRECT LABOR Initial Hourly Classification Name Range Hours Rate Total Principal/Proj. Mgr. lauethe- 55.00 93.0 Ca $ . .55.0Q, Sr.Assodate/Creative Dir.. M. Williams 30.00, 29.0 Ca $ 30.00 5 870.00 Admin. Asst L. Huey. 1.0.37 28.0 Ca: $ 19.37 542-36 Associate 26.99 3.0 Q $ 26-99 $ 80.97 Clerical K. Williams 1326 ..30.0. Ca $ 13.26 $ 397.80 "o-0, 4 $ 0.00 $ 0.00 $ 0.0 Ca $ 0.00 $ ao 4 $ 0.00$ 'Ac. a .00 $ 0 0-0,9 $ 0.00 Subtotal! Direct Labor Costs $ 7,006.13 Total Direct Labor Costs $ 7,006.13 FRINGE BENEFITS Rate Total Fringe Benefits Multiplier 20-00 (Payroll taxes, benefits, retirement, bonuses. occupancy) Total Fringe and Labor INDIRECT COSTS Overhead(General and Administrative 96.00% $ Total Indirect Costs FEE Q 10% $... I `O'� OTHER COSTS Mileage $ 100-00 Direct mail (3 invitations and 3 newsletters) Advertising In Lodi News -Sentinel $ 13=5 Public meeting printing, supplies (assumes mtgs will be held in Council Chambers) Public Steno & Court Reporter 700.00 Total Other Cost$ 9is.18.00 TOTAL COSTS $ 29,544.26 Forth 10H CONSULTANT COST PROPOSAL COSTPROPOSAL CONTRACT No. Hertralt Lane Grade SeWaffOn PS&E w d..CondhlWott.Su000it Date ..008= CONSULTANT 'Fehr&•Pam DIRECT LABOR 0.0.6 s Inftl 0.0 i o.00 0.0 as 0.00 s Hourly 0.00 Cfassmeation Name Range Howe Rate Total Sr. Assodaie It m6un Calfa 48.0 9$ 57.4 $ 2.M.12. Sr. Technlcfan IV mika jobnatow 136.a a S 42.31 3— 6 Sr. Technfeian fl Beveg LVINett 6D.0 6 $ 3125 $1.1575.00 Adrninfat(aMm AWL IVtfrl INY Some 8.0 a S 33.17 s 285.36 Admfr Mmffn AasL H %footle Rasa.. t£0_ a s 19.95 $_ 119.70 0.0 0.0.6 s a.00 s 0.0 i o.00 0.0 as 0.00 s 0.0 4$ 0.00 0.0 as 0:00 $,, .0.0. 6 s a.00 ._ subtotid tHreat Low Coats $ 10,783.34__ Anodpated Salary bwrsases (6% for one year) $ -WO-17 Tort Dlfea Ldwr C=t9 $ 7_)32251 FRINGE BENEFITS Rate Total Fringe Berre6ts $4.93% $ 6,219.45. Told Frfirge BerrMbaX1845 .. WRIliECT COSTS OuedmdlGenandarrdAdmfnktralEre 126.54% $ 44X4.26 TOM tirdkeCtCas6a s i4,214.2t3 . FEE 4D 10% S 3,175.62 OTHER COSTS Mbege7AQ.OD. Reproductions Coate (out of office Mie fines, xwK bfadirrg) Photographic Film & Pmces ft Mal & Ddvery Servroes (Csi wit Ouemight and Postage)S 94.14 TaNal Otturr Costs — s. 204.14 TOTAL COSTS :'� Form 10H CONSULTANT COST PROPOSAL COSTPROPOSAL CONTRACT No. t2m— ane Grade Separation. _._ .. Date. 10/08/12 CONSULTANT IntenWest ConsuidngCzroup- Real Esta%_Consuitarrt DIRECT LA13OR initial Hourly Classification Name. Range Hours Rate Total Project Manager Julle_CIIne . 55-60 65.0 id $ 59.52 $'.. 3,875.30 Senior Agent John Aimazan 50-55. . _ 240:0 C $ 54.00 $. 12,960.00 Admin Staff Gina Wang . 25-30 60.0 Ca, $ 28.25 $ 1.695.00 C$ S. - _ $ Subtotal Direct labor Casts $ 18,530.30 Total Direct Labor Costs $. �_ $•5" FRINGE BENEFITS Rate Total Fringe Benefits Multiplier T 47.,f1M .. $_ 8,,709.24 (Payroll taxes, benefits, retirement, bonuses, occupancy) Total Fringe and Labor $ INDIRECT COSTS Overhead/General and Administrative FEE @ 10% OTHER COSTS Sierra West Valuation - Appraisal Services Henry Spoto- Appraisal Review Services Fidelity National Title Co. - PTRfor UPRR Property 59.00,%% . $- 18,071.33_ Total Indirect Costs . 1.6.07143 Total Other Costs $ $ :$5010.00. TOTAL COSTS $ 82,641.96 Form 10H CONSULTANT COST PROPOSAL COST PROPOSAL CONTRACT No. Hamer Lane Grade'SeFeYation Date 10/08/ 12 ._ CONSULTANT Pennino Design Group DIRECT LABOR Initial Hourly Classification Name Range Hours Rate Total Landscape Archited Valerie Pennino 75-100 75.0 @ $ 80.00 $. 6,000.00 Administration Rom Pennino 22-30 5.0 Ca $ 20.00 $ 100.00 Subtotal Direct Labor Costs $ 5,100.00 Total Direct Labor Costs $ 6.1.00.00 - FRINGE BENEFITS Rate Total Fringe Benefits Multiplier 7520%6 $--.is . 7500 _ (Payroll taxes, benefits, retirement, bonuses, oocupanq) Total Fringe and Labor $ 1, 0 6_ 75,00 INDIRECT COSTS 2.x50% $ 266.88 . Overfiead/General and Administrative Total $ 266.88 Total indirect Casts -.------ FEE @110% OTHER COSTS Mileage Computer Fees - Modeling Reproductions Casts (out of office blue lines, xerox, binding) Photographic Film & Processing Mail & Delivery Services (Calgomia Overnight and Postage) Total Other Costs $ 1.084.19 TOTAL COSTS $ 12,036.06 EXHIBIT C Insurance Requirements for Contractor The Contractor shall takeout and maintain during the life of this contract, - _. insurance ao,tpeage as listed befrnrv, These. lt►aufaace p.00 M, skta�:':protect the eritrador any subcontractor pgrfottn%ng wo,.rfic.rreretf by this contcad from claims foe tlarnages fslc person&i kijur)r, instudjr;accidentai death, as contract, whether Weil as from cla►ins foe RFedY damages,hicfl.amyl antes tram t�.otrtctor'&opus undue iris such ojiFatlons'be byAnt!tor or by e>ty subainiradar or Iny arlyFane direstl)r'or'indirectiK:erilplcyed by either of Them, and the amauntAf sttchlnsurancre sfralt be a$ foitiKAts: 1. COMPREHENSIVE GENERAL LIABILITY 2. COMPREHENSIVE AUTOMOBILE LIABILITY $1,000,000 Ea_ Occurrence $1,000,000 Bodily Injury - Ea. Person $1,000,000 Bodily Injury - Ea. Occurrence $1,000,000 Aggregate $1,000,000 Property Damage - Ea. Occurrence 3- PROFESSIONAL LIABILITY $1,000,000 Ea. Occurrence NOTE: Contractor agrees and stipulates that any insurance coverage provided to the City of Lodi shall provide for a claims period following termination of coverage which is at least consistent with the claims period or statutes of limitations found in the California Tort Claims Act (California Government Code Section 810 et seq.). NOTE: (1) The street address of the CITY OF LODI must be shown along with (a) and (b) above: 221 West Pine Street, Lodi, Califomia, 95241-1910; (2) The insurance certificate must state, on its face or as an endorsement, a description of the pMLe_ct that ft is insuring. A copy of the certificate of insurance with the following endorsements shall be furnished to the City: (a) AdAop Kjanned`In,§ur En erKerfi Such iaserafice.as affords { ..I $- elicy shall also apply to the City of Lodi, its elected and appointed Boards, Commissions, Officers, Agents, Employees, and Volunteers as additional named insureds. (This endorsement shall be on a form furnished to the City and shall be included with Contractor's policies.) (b) Primary insurance Endorsement Such insurance as is, afforded by the endorsement for the Additional Insureds shall apply as primary insurance. Any other insurance maintained by the City of Lodi or its officers and employees shall be excess only and not contributing with the insurance afforded by this endorsement. (c) Severability of interest Clause The term "insured" is used severally and not collectively, but the inclusion herein of more than one insured shall not operate to increase the limit of the company's liability. (d) Notice of Cancellation or Change in Coverage Endorsement This policy may not be canceled nor the coverage reduced by the company without 30 days' prior written notice of such cancellation or reduction in coverage to the Risk Manager, City of Lodi, 221 W. Pine St., Lodi, CA 95240. Comaensation .Insurance The Conitastoe shall. Enka ba and rnaintafn .dur%g tib: fife of this contracti, Worker's Qvenpansatron II?aueenc i foe all of Contra - a -a emp 99000 erpA a) tFte etre #0 pfojecl and, if any work is sublet,. GontrJaw shalt.re'gitire the subeo�tractoF srfrfitatlj! to provide JNLcflc�r's Eomp�rtsation Insurance for all of the lattees employees unless such employees are covered by dir pratedicri ailiOrd y^tt►e Contractor. In case any class of employees engaged in hazardous work under this ooti.is not protected under the Worker's Compensation Statute, the Contractor shall provide and shall cause each subcontractor to provide insurance for the protection of said employees. This policy may not be canceled nor the coverage reduced by the company without 30 days' prior written notice of such cancellation or reduction in coverage to the Risk Manager, City of Lodi, 221 W. Pine St., Lodi, CA 95240. A Waiver of Subrogation against the City of Lodi is required. NOTE: No contract agreement will be signed nor will a -„a work begin on a project until the proper insurance certificate is received by the City, CITY OF LODI DEPARTMENT OF PUBLIC WORKS REQUEST FOR PROPOSALS for PROJECT MANAGEMENT, DESIGN AND ENGINEERING for the EARNEY LANE / UNION PACIFIC RAILROAD GRADE SEPARATION PROJECT Please Submit Proposals to: City of Lodi Public Works Department P.O. Box 3006 (221 West Pine Street) Lodi, CA 95241 (95240) Attn: Wally Sandelin, Public Works Director Solicitation: Proposal for Professional Engineering and Environmental Services for the Harney Lane/UPRR Grade Separation Project Deadline for Submittal of Proposals ' No later than 11:00 a.m. on Monday. October 8, 2012 TABLE OF CONTENTS Section Paae Introduction _ _ _,.i.N..Y.iy..t.iti:tt:.:iYiuft:tiii ii:':i::t:e•::�.: ,;' Figure I - Vicinity Map ... ...,.........;;,s: ;::»:.K:r:::::;.��:.;:;: ;:,:::.:.:�i3 Schedule ...................... 4;;:::.,.; .::.:1....x,,:,,•...»,.:...,!,,,.4!,4,....,.,....4 Prevailing Wage Requirements .......::es.:.:.,:..:!,:r. , .........„.......:...:::4 Scope of Wark..::::.;.:..;:.:....::.<..............,.,...:...,...},..t..:..........,,.,. 4...4..,.,, ,,......;4 Proposal Format ....:............................:::x::;4.....44.4.::9 Proposal Submittal Instructions - ....,.4,4..............,.,.,.,.44...».......,..:.;,..:..,:4:;:.:.12 Evaluation Criteria ...........:»..... - 13 Selection Procedure General Terms and Conditions...........::+::K.::,:.::,.:.:::<..:.......;:.,;......................13 Inquiries....................................................................................................14 Attachments............000..uu.i;:':::x.:ii,::. i.;.::. 1;.;:..!.;,;.;.iq,.,lHtix4r., .ar:..yc!'.,.14 1. Sample Contract with Indemnification and Insurance Requirements 2. Required Federal Form Submittals 3. Forms Required upon Execution of Agreement 4. Overall Project Cost Estimate 1 K:tWPIPROJGCrS%STRE TSUfatMOmdeSenareticmW?1Hamey RFP•Revised 9.6-12.dae INTRODUCTION Hamey Lane is a two-lane east -west urban collector near the City of Lodi's southern city limit. It intersects the Union Pacific Railroad approximately t Miles -:west of State Route 99: T,tt QJIi , of Lodi recently adopted a Specific Plan for Harney lane yQiicl� > edlassied.it`as a%ur Ia>ae divided expressway. The City of Lodi is also planningse�!eral improvement projects along:the Harney Lane corridor between Lower Sacramento Rdk& to the w t.at d �i tate Router* to .&ee east. This combined with the improvements to Harney Lane at State Route 99 that were recently constructed will increase the usage of Hamey Lane. Keeping the existing at -grade railroad crossing along Hamey Lane would cause significant traffic congestion, with a compound effect on surrounding intersections and the State Route 99/ Harney Lane interchange. The construction of a railroad grade separation at this location will be an integral piece of the planned improvements to Harney Lane, The City of Lodi ("City"} is soiicitingsealed.pi-posats from Civil Engineering frons (California Registered Civil Engineer required} to prat ideptti&sdoral engineering services for the Harney Lane/Union Pacific Railroad Grade Sgp_Mtion Project. The Scope:a ; :OM es;s a t include; but is not limited to _. � pm` 4 -um al right of way engineering, anti f at destg of the proposed ge separation. woxic will include all coordination vvith.the.0 ariva.Public Utilities Comoi (FU, lite ibir Pacific Railroad (UPRR) and all other necessary agenciefi, zdetttrgabag regt>latorysl and preparing a complete set of glans, .pM Eatioiis, attd amengirieer's � � proposed improvements. The purpose ofis'procyent is.ta select the mv:gtiislifie3 enter into a contract with the City to rnavide: nrofessi: ptlsmeer seees: ifit preparation of PS&E for construction of the The City is seeking Wrltars vh s.#rnanget pyvtl enguieering: euo su:u�„ .,. depth of resources, attcl Sed sifilvrty fo :the-Pima40 MO tsaues.,trcns.slzcnitdiiave knowledge of the C3iyxs Staadard 04-1pe49.6 Standards, as well as tc owt of the BNSF/UPRR Guidelines for Railroad Grade gep ii* sts, A M Il�gn Widdin Caltrans Highway Design Manual, Caltrans Bridge=:1?e;5 grt ells joalis'44n%,. and Caltrans Standard Specifications. The Project Location is identified in the project location map included herein as Figure 1. X,%WPTR01ECTSiS' M.BTMamcyOmdeSepemtion%FMarney M-Reuised 9-6-12,doo Figure 1 Vicinity Map Grade Separation: Harney Lane at Union Pacific Railroad K IWPtPROJEGTSWREETS%HameyGradeSeparationlRREUney RFP -Revised 9-6-12.doc WORK COMPLETED BY OTHERS The City contracted with Mark Thomas & Company to perform preliminary engineering, base mapping, geotechnical investigations and environmental review. Mark Thomas & Company is scheduled to complete these tasks on or before February 13, 2013, Any Consultant awarded the contract shall incorporate the appropriate preliminary engineering, base mapping, geotechnical and environmental information into the design documents. Because the Hamey Lane Grade Separation Project will be Federally funded, any Consultant awarded the contract must work with the City to be sure all work is cohesive with the timing as set forth in the Federal funding guidelines. SCHEDULE The City has established the following dates for this RFP: .RFP released September 10, 2012 Proposals due October 8, 2012 Proposals evaluated by review team October 9 -17, 2012 Interviews of short-listed firms Cif necessary) October 17, 2012 Award recommendation to City Council . November 7, 2012 Contract ExecutiontW'ork Commences November 12,2012..-., This schedule is subject to change and can be affected by various intervening events. PREVAILING WAGE REQUIREMENTS The services described herein are considered "public works' as defined. by California Labor Code Section 1720 et seq. Any Consultant awarded a contract as the result of this RFP shall be responsible for compliance with all applicable prevailing wage laws, as well as any and all applicable state or federal wage laws, for services under the Consultant's contract. SCOPE OF WORK The Consultant shall have the ability to deliver a wide range of services including, but not limited to: bridge engineering, civil engineering, project management, development of PS&E, permitting, and construction support. The Consultant will serve as the central coordinator for all activities between the consulting team, City Staff, the CPUC, the i3PR.R, and regulatory agencies. A sample contract is provided as Attachment L Listed below are tasks the consultant is expected to incorporate in the proposed scope of services. It is not intended that the tasks included below comprise a comprehensive list or are the only tasks required for this project. Each consultant firm should, based on its expertise, develop a comprehensive and detailed scope of services necessary to complete the deliverables listed in this section of the RFP. K:iWp1PROJEC nTREETS\HarneyCmdeSeparadonlRWHameyRFP-Reviser{9-&II(loo Phase I — Project Management, Final Design and Preparation of Plans, Speeifieations and Estimate Project Management The Consultant shall provide professional and technical services during the scope of work. The following are some of the Consultant's tasks for this project: 1. Develop a project team and prepare the project scope of work, activities, schedule, and work plan.. Define key issues and goals and coordinate responsibilities of project team members. 2. Hold regular project team coordination and status meetings, and prepare agenda, meeting minutes and action items. Meetings should be held a minimum of once a month. 3. Prepare monthly progress reports addressing progress of work, project schedule; information/decisions required to maintain the project schedule and complete deliverables; problems encountered that may affect the schedule, budgets, and anticipated work items; and discuss recommendations to address issues. 4. Provide and maintain a Critical Path Method (CPM) schedule. The schedule shall list all tasks of all parties involved in the project with estimated start and completion dates. Updates should be provided to the City on a monthly basis and should include planned and actual dates. 5. Comply with all requirements of the UPRR and the CPUC for the design and construction of grade separated intersections. Deliverables: One copy ofthe project CPM Gantt Chart schedule • One copy of monthly progress reports and schedules • Copies of meeting notes prepared by Consultant and distribution to all attendees teiiarati©n of kotiietr�e A�roi�al tlraw�igs fCrAD) 6�°ib 3S°fe 1 f1�'s draft and Proal Ptas�s::. Specifications. Estimates, and Related Documents The Consultant shall be responsible for providing plans, specifications, estimates, and related documents in accordance with the requirements described below. The final plans, specifications, and estimates shall include all details necessary so the City can immediately proceed with advertisement of bids, award, and construction of the project. The final documents shall include all on-site environmental mitigation measures and shall clearly indicate project phasing, if required, and coordination necessary to allow construction to proceed in an orderly and safe manner. Design plans shall be prepared in AutoCAD and include the Digital Terrain Model (DTM) used to create project contours. The design shall be in accordance with the requirements of the most current Burlington Northern Santa Fe Railway - Union Pacific Railroad Guidelines for Railroad Grade Separation Projects, AASHTO Highway Design Guidelines, and the Caltrans Highway Design Manual, Caltrans Bridge Design Manual, San Joaquin County Storm Management Manual, and the City of Lodi Design Standards. The Consultant shall identify all pertinent utilities within the project areas. Consultant shall perform "potholing" of utilities that may be in conflict with the proposed project improvements. Consultant shall coordinate all utility "potholing" work with the utility in question and contact USA prior to any excavation work. Consultant shall coordinate any utility relocation work with K.%WKPR0lECTS4STREEfS\HameyGmdeSepamfioaUWMamey RPP Revised 4.6-12.doc the affected utility while keeping City informed of all such activities. If Consultant is unable to obtain assistance from any utility in relocating work, they shall notify the City who will assist with resolving any relocation issues. Copies of all written correspondences and related materials shall be submitted to the City for their records, as the work progresses. The Consultant shall be responsible for identifying documents requiring review by other agencies, coordinating review and addressing comments. Geometric Approval Drawings (GAD) shall be submitted for approval prior to performing the 65% PS&E. All right-of-way, permitting, and environmental impacts shall be included in the GAD submittal for approval. The 65% PS&E shall be sufficiently developed so that an independent bridge design check can be completed. The Consultant shall have the 651% PS&E checked independently by an experienced civil or structural engineer registered in California and not involved with the original design. The independent checker will re -analyze the bridge, verify member capacities, review the special provisions, and prepare independent quantity calculations for the bridge. Issues raised by the checker will be discussed with and resolved by the Consultant. The final design will reflect agreement among the Consultant and the independent checker. Deliverables for each submittal: • Three sets of 24" x 34" Geometric Approval Drawings (GAD) for City review and comments • Three sets of 24" x 34" plans, including cross sections for City review and comments • Ten sets of 11 "x I T' plans, including cross sections, for City review and comments Electronic AutoCAD format of the plans for City review and comments • Three sets of 8.5" x l I" Special Provisions, including electronic copy in Microsoft Word format, for City review and comments (65% & 95% submittals only) • Two copies of the engineer's estimate for construction • Two copies Design notes and calculations • Two sets of Independent Design Check Calculations (only with 95% submittal) • One set of review comments made by the independent checker and response to these comments made by the Consultant (only with 95% submittal) • Copies of Utility Letter "A" and responses from the utility agencies • Utility Letter "B" and response from utilities (only with 65% submittal) • UtiIity Letter "C" and response from utilities (only with 95% submittal) • Map indicating pothole locations verifying locations and elevations of existing utility facilities that may have been or are. in conflict with proposed road and bridge improvements (only with 65% submittal) • Two copies of draft permit applications for City review and comment (only with 95% submittal) Deliverables for Final Plans, Specifications, & Estimate: • One set of 24" x 34" wet -signed and stamped final plans on mylar, including all necessary details and cross sections K:\WPXPROJECTS{STREF-TSIRarneyGradeSeparationlRMHamey RFP -Revised 9.6.12.doc • One set of 11"x17" final plans on mylar, including all necessary details and cross sections • Electronic AutoCAD format of the final plans for City records • One set of wet signed and stamped Special Provisions, including electronic copy in Microsoft Word format • One copy of wet -signed and stamped Engineer's Estimate, including electronic copy in Microsoft Excel format • Two wet -signed and stamped Structure Design Calculations for City records • Two sets of quantity calculations • One set of construction staking notes and data • Copies of pertinent agency approvals and permits Completion Time The Consultant shall complete all items in Phase I by December 1, 2013, unless otherwise modified by specific contract documents. 7 K;IWPIPROJECTSISTREETSViameyOmdeSepazationUZFPIHamey RR -Revised 9-&12doe Phase II — Bidding Assistance and Construction Support Bid Assistance and Construction Support Consultant shall provide clarification and information about the PS&E package during the advertising and construction process. The Consultant shall assist the City in the preparation of any addenda to the PS&E during the advertisement period. Consultant shall review the contractor's shop drawings and any other submittals required. Additionally, Consultant shall be responsible for resolving any errors in the design, which are identified during construction in a timely manner to ensure construction delays are avoided or minimized. The Consultant shall review and comment on contract change orders. The Consultant shall prepare plan revisions as necessitated by contract change orders. Deliverables: • Clarification of documents during advertising and construction, including preparation of any addenda • Provide review comments and acceptance letters/memos for each of the contractor's shop drawings and any other submittals required Attend pre -construction meeting Prepare plan revisions as required Construction Staking Notes and Record Drawing Preparation Consultant shall provide construction staking and notes for the proposed project. The Consultant shall also be responsible for the preparation of the Record Drawings from documents provided by the construction contractor and the City. Deliverables: Provide construction staking and notes in a format approved by the City • Provide Record Drawings on mylar K.NWPROJECTSMREEPS1HamcyGradeSepmwjonW,FPWome-y RFP -Revised 9.6.12.doe PROPOSAL FORMAT Each response to this RFP shall include the information described in this section. Provide the information in the order specified and use tabs to identify the different sections of your proposal. Failure to include all of the elements specified may be cause for rejection. Additional information may be provided but should be succinct and relevant to the goals of this RFP. Excessive information will not be considered favorably. Document pages shall be 8-ll2 inches by 11 inches in size or folded to such a size. Proposals shall have a maximum of 30 pages, not including the cover letter, index and resumes, and shall contain the following elements, in the order given: Cover Letter with the following information: I . Title of this Request for Proposal 2. Name and mailing address of firm (include physical location if mailing address is a P.O. Box) 3. Contact person, telephone number, fax number and a -mail address 4. A statement that the submitting firm will perform the services as described in the Scope of Work. 5. Acknowledgement that all proposals may be considered public information. Subsequent to award of this RFP, all or part of any submittal may be released to any person or firm who may request it. Therefore, proposers shall specify in their Cover Letter if any portion of their submittal should be treated as proprietary and not releasable as public information. Proposers should be aware that all such requests may be subject to legal review and challenge. Note: Cost proposals shall be treated as proprietary and shall not be released as public information. Signatory Requirements - The Cover Letter must be signed by an officer empowered by the proposing firm to sign such material and thereby commit the proposing firm to the obligations contained in the RFP response. Further, the signing and submission of a response shall indicate the intention of the proposer to adhere to the provisions described in this RFP and a commitment to enter into a binding contract. • Proposals which are submitted on behalf of a Corporation shall have the correct corporate name thereon and the actual signature of the authorized officer of the corporation written (not typed) below the corporate name. The title of the office held by the person signing for the corporation shall appear below the signature of the officer. • Proposals which are submitted by an individual doing busitiess under a firm name ("dba") shall be signed in the name of the individual doing business under the proper firm name and style. Table of Contents of material included in the proposal - This index must include a clear definition of the material and be identified by sequential page numbers. K:\WPU'ROJECTMTREBTSUiameyGmdc*ai2donUiPPUiumey RFP -Revised 9.6-12.doe A signed copy of official addenda to the RFP, if any, as published by the City and distributed via the City's website. WARNING: It is the proposer's responsibility to monitor the City's website for possible addenda to this RFP to inform him/herself of the most current specifications, terms, and conditions, and to submit his/her proposal in accordance with the original RFP requirements and all addenda- Failure ddenda Failure to obtain -this information shall not relieve you of the requirements contained therein. Additionally, failure to return a signed addendum, when required, may be cause for rejection of your proposal. Organization Chart - Provide your firm's organization chart designating specific staff members to be assigned to this contract. Include the firm's organizational structure and size variation of employees in the past five years. Also provide a project -specific organizational chart identifying services which would be completed by your firm`s staff and those provided by subconsultants. Experience of Firm and References - Provide a summary of the firm's experience with similar projects, including the date and a brief description of the project. The description is to include, at a minimum, an outline of the complexities of the project, the firm's approach to the project. Related experience to high-profile, fast-track, public -sensitive, local agency projects of similar size and magnitude should be included in this summary. Provide no more than three project references for related projects, including date of project, consultant staff that worked on the project, contact person and phone number. Preference is given to project references that have directly worked with proposed staff. Proposed Staff - Provide a brief summary of the qualificationdexperience of each team member and how the experience applies to this project, preferably not more than one page per team member, to include length of service with the firm and resume. Qualification/Experience of the subconsultant(s) is also to be included in addition to proposed staff. Describe current and anticipated workload of each team member who will be assigned to this project. Include a discussion of project commitments made to other agencies and a table showing the percentage of time key staff members are available during the course of this project. Include a statement assuring the availability of the proposed staff and the other project commitments noted in this section. Provide names of project manager and individuals authorized to negotiate contract on behalf of consulting firm. Project Understanding - Clearly describe your firm's understanding of the nature of work, including key project issues, engineering constraints, milestones, and required approvals relating to the project. Proposed Scope of Work - Describe the proposed scope of work and your firm's approach to completing the work. 10 K.lWKPR.oJECTSISTRBETSKiarneyGradeSeparadonNPX-?Warney RFP -Revised 9-&12.doc Proposed Project Schedule - Provide a proposed schedule for completion of the project, including major contract milestones. Additionally, the project schedule should include review periods for the City, UPRR, the CPUC and other agency review of the respective submittals. Preference will be given to firms that can demonstrate the knowledge, resources, and ability to expedite the schedule. Required Statements - include statements of assurance for the following requirements: • Non -substitution for the designated members of the proposed staff members and subconsultauts (if any) without prior approval by the City • Conflict of Interest Ability to fulfill the indemnification and insurance requirements contained in the sample contract (Attachment 1). PIease note that actual Certificates of Insurance are not required as part of your submittal. A contract goal of 8,79% has been determined for this project. The required Federal forms are listed below. These forms shall be filled out and submitted with the proposal. Copies and instructions are provided in Attachment 2. o Exhibit 10-F Certification of Consultant, Commissions & Fees o Exhibit 10-H Sample Cost Proposal o Exhibit 104 Notice to Proposers DBE Information o Exhibit 10-1 Standard Agreement for Subcontractor/DBE participation. o Exhibit 10-K Certification of Financial Management System and Contract Costs o Exhibit 10-L Consultant Certificationof Final Indirect Costs o Exhibit 10-01 Local Agency Consultant DBE Commitment (Consultant Contracts) o Exhibit 10-02 Local Agency Consultant DBE Information o Exhibit I O -P Nonlobbying Certification for Federal -Aid Contracts o Exhibit 10-Q Disclosure of Lobbying Activities o Exhibit 12-E Attachment E Debarment and Suspension Certification o Exhibit 12-G Bidder's List of Subcontractors (DBE and Non -DBE) - Part I and Part H o Exhibit 15-H UDBE Information - Good Faith Efforts The following Federal forms are required upon execution of agreement with Consultant. Copies and instructions are provided in Attachment 3. o Exhibit 10-E Sample Payment Clauses o Exhibit 10-V Non -Discrimination Clause o Exhibit 17-F Final Report - Utilization of DBEs o Exhibit 17-0 DBE Certification Status Change Cost Proposal- Submit one (1) copy of proposed hourly rate(s), with not -to -exceed totals for each of the tasks identified in the Scope of Work. The Cost Proposal shall be submitted in a separate sealed envelope, clearly marked with the name of your firm, the name of the project, and identified as "Cost Proposal". The Cost Proposal does not apply to the page count. Cost proposals shall be treated as proprietary and shall not be released as public information. Cost proposals of those firms not awarded the RFP shall be destroyed. 11 K 1WKPRQJEC MTREMMi m OtadcSepamOonUIMHarney RFP -Revised 9.6.12.doc PROPOSAL SUBMITTAL INSTRUCTIONS One (1) original and three (3) copies of your Proposal and one (1) copy of your Cost Proposal in a separate sealed envelope, shall be received by the City of Lodi Public Works Department not later than the date and time indicated on the cover page of this RFP. Faxed and/or emailed proposals shall not be accepted. All proposals shall be submitted in a sealed envelope or container, and clearly marked with the RFP title. Proposals must be submitted ONLY to: City of Lodi Public Works Department Attn: Wally Sandelin, Public Works Director P.O. Box 3006 (221 West Pine Street) Lodi, CA 95241-1910 (95240) Late proposals will not be accepted or considered. The City of Lodi shall not be responsible for proposals delivered to a person or location other than that specified in this RFP. All proposals, whether selected or rejected, shall become the property of the City of Lodi and will not be returned. All costs associated with proposal preparation shall be borne by the proposer. All proposals shall remain firm for one hundred eighty (180) days following the closing date for the receipt of proposals. 12 K.kW"ROJEM%STREETMemeyGWeSeparationXRFMamey RFP -Revised 9.642400 EVALUATION CRITERIA The following evaluation criteria and rating schedule will be used to determine the most highly qualified firm for this project: Maximum. Points U1lderst id'i :ofthe.w6rkto be done E riemcewith similar kinds of work.. _.._ ._ _ 20 ualit;.. ofstaff06ikto be done 15 Ca of deveT t ,.innovative or advanced i6ih i .ues .. Famil .-.:': ' with state and federal rocedures. - .. _...:..._-..- -.: _ _ 10 Financial es�`sdSi.. " 10 ..Demonstrated Technical Ability Total_Possible Poirtis,, .::.._._. .__ 104 ....._. __-- SELECTION PROCEDURE Proposals will be reviewed for responsiveness, and responsive proposals will be screened by a selection committee in accordance with the above criteria. The top two firm(s) submitting the highest rated proposal(s) may be invited for interviews. The proposed project manager and project engineer shall represent the firm at the interview. The City reserves the right to make an award without further discussion of the submittal with the offeror. Therefore, the proposal should be submitted initially on the most favorable terms that the firm or individual might propose. The City reserves the right to award a contract to the firm that presents the best qualifications and whose proposal best accomplishes the desired results. The City reserves the right to reject any or all proposals, or to waive minor defects and/or irregularities in said proposals, or to negotiate minor deviations with the successful firm(s). The City shall be the sole judge of the materiality of any such defect or irregularity. GENERAL TERMS AND CONDITIONS Exceptions: If the Proposer takes exceptions to the specifications, terms and conditions of this RFP or the Draft Contract, or as amended by any addenda subsequently issued, they must do so in writing. Said exceptions must be submitted with the Proposer's response to this RFP. Failure to do so shall signify acceptance of all specifications, terms and conditions and General Provisions of this RFP and the resulting contract. Standard Contract: Upon completion of the evaluation and recommendation for award, the selected firm will be required to execute a consultant services agreement, a sample of which is included as Attachment 1. Proposers are advised to carefully review the attached contract. Any proposed exceptions, alterations, or amendments shall be clearly specified in a separate letter in your submittal, the nature of which may affect the evaluation of your submittal and the perceived ability to successfully award a contract to your fcrmlindividual. 13 K:\WPIPROJEC MTREFT31HameyGredeSeparation\RFPUiamey RFP -Revised 9-6-12.doe Independent Contractor: At all times the Consultant shall represent himself/herself to be an independent contractor offering such services to the general public and shall not represent himseLf/herself, or his/her employees, to be an employee of the City of Lodi. Ownership of Information; All reports, documentation, and material developed or acquired by the Consultant as a direct requirement specified herein shall become the property of the City of Lodi. The Consultant agrees and understands that all discussions with the Consultant and all information gained by the Consultant as a result of the Consultant`s performance under the contract, shall be confidential and that no reports, documentation, or material prepared as required by the contract shall be released to the public without the prior written consent of the City. Non -Appropriation: The City may terminate any resulting contract at the end of any fiscal year, June 30th, without further liability other than payment of debt incurred during such fiscal year, should funds not be appropriated by its governing body to continue services for which the contract was intended. Conflict of Interest: The Consultant shall warrant that no official or employee of the City has an interest, has been employed or retained to solicit or aid in the procuring of the resulting contract, nor that any such person will be employed in the performance of such contract without immediate divulgence of such fact to the City. Non -Collusion: Firms submitting proposals shall warrant that their offer is made without any previous understanding, agreement or connection with any person, firm or corporation submitting a separate proposal for the same project and is in all respects fair, without outside control, collusion, fraud or otherwise illegal action. This condition shall not apply to proposals which are submitted by firms who have partnered with others to submit a cooperative proposal that clearly identifies a primary consultant and the associated subconsultants. Indemnification and Insurance Requirements: The indemnification and insurance requirements are provided in Attachment 1. INQUIRIES All general inquiries regarding the RFP process or proposal submission must be directed to: Wally Sandelin, Public Works Director City of Lodi Public Works Department F.O. Box 3006 (221 West Pine Street) Lodi, CA 95241-1910 (95240) Email: wsandelin@lodi.gov / Phone: 209-333-6709 Email is the preferred method of receiving inquiries. ATTACHMENTS 1. Sample Contract with Indemnification and Insurance Requirements 2. Required Federal Form Submittals 3. Federal Fdrms Required upon Execution of Agreements 4. Overall Project Cost Estimate 14 K-.xwWROJECMTUETSiHamey4radeSgaraOonUtFKHamey RFP Rwised 9.6.12.doo Attachment 1 Sample Contract with Indemnif cation and Insurance Requirements 15 r-�W OJF.CrOTREMWiamoyGmdaepuxton%RFPiHumxM-R*Wwd9-&1 Idw AGREEMENT FOR PROFESSIONAL SERVICES ARTICLE 1 PARTIES AND PURPOSE Section 1.1 Parties THIS AGREEMENT is entered into on , 2012, by and between the CITY OF LODI, a municipal corporation (hereinafter "CITY"), and (hereinafter "CONTRACTOR"). Section 1.2 Purpose CITY selected the CONTRACTOR to provide. the services required in accordance with attached Scope of Services, Exhibit A, attached and incorporated by this reference. CITY wishes to enter into an agreement with CONTRACTOR for PROJECT MANAGEMENT, DESIGN AND ENGINEERING FOR HARNEY LANEIUNION PACIFIC RAILROAD GRADE SEPARATION PROJECT (hereinafter "Project") as set forth in the Scope of Services attached here as Exhibit A. CONTRACTOR acknowledges that it is qualified to provide such services to CITY. ARTICLE 2 SCOPE OF SERVICES Section 2.1 Scope of Services CONTRACTOR, for the benefit and at the direction of CITY, shall perform 'the Scope of Services as set forth in Exhibit A. Section 2.2 Time For Commencement and Completion of Work CONTRACTOR shalt commence work pursuant to this Agreement; upon receipt of a written notice to proceed from CITY or on the date set forth in Section 2.6, whichever occurs first, and shall perform all services diligently and complete work under this Agreement based on a mutually agreed upon timeline or as otherwise designated in the Scope of Services. CONTRACTOR shall submit to CITY such reports; diagrams, drawings and other work products as may be designated in the Scope of Services. CONTRACTOR shall not be responsible for delays caused by the failure of CITY staff to provide required data or review documents within the appropriate time frames. The review time by CITY and any other agencies involved in the project shall not be 2 counted against CONTRACTOR's contract performance period. Also, any delays due to weather, vandalism, acts of God, etc., shall not be counted. CONTRACTOR shall remain in contact with reviewing agencies and make all efforts to review and return all comments. Section 2.3 Meetin s CONTRACTOR shall attend meetings as may be set forth in the Scope of Services. Section 2.4 Staffing CONTRACTOR acknowledges that CITY has relied on CONTRACTOR's capabilities and on the qualifications of CONTRACTOR's principals and staff as identified in its proposal to CITY. The Scope of Services shall be performed by CONTRACTOR, unless agreed to otherwise by CITY in writing. CITY shall be notified by CONTRACTOR of any change of Project Manager and CITY is granted the right of approval of all original, additional and replacement personnel at CITY's sole discretion and shall be notified by CONTRACTOR of any changes of CONTRACTOR's project staff prior to any change. CONTRACTOR represents it is prepared to and can perform all services within the Scope of Services (Exhibit A) and is prepared to and can perform all services specified therein. CONTRACTOR represents that it has, or will have at the time this Agreement is executed, all licenses, permits, qualifications, insurance and approvals of whatsoever nature are legally required for CONTRACTOR to practice its profession, and that CONTRACTOR shall, at its own cost and expense, keep in effect during the life of this Agreement all such licenses, permits, qualifications, insurance and approvals, and shall indemnify, defend and hold harmless. CITY against any costs associated with such licenses, permits, qualifications, insurance and approvals which may be imposed against CITY under this Agreement. Section 2.5 Subcontracts Unless prior written approval of CITY is obtained, CONTRACTOR shall not enter Into any subcontract with any other party for purposes of providing any work or services covered by this Agreement. Section 2.6 Term The term of this Agreement commences on _ 2012 and terminates upon the completion of the Scope of Services or on.. _ .. 2013, whichever occurs first. P ARTICLE 3 COMPENSATION Section 3.1 Compensation CONTRACTOR's compensation for all work under this Agreement shall conform to the provisions of the Fee Proposal, attached hereto as Exhibit B and incorporated by this reference. CONTRACTOR shall not undertake any work beyond the scope of this Agreement unless such additional work is approved in advance and in writing by CITY. Section 3.2 Method of Payment CONTRACTOR shall submit invoices for completed work on a monthly basis, or as otherwise agreed, providing, without limitation, details as to amount of hours, Individual performing said work, hourly rate, and indicating to what aspect of the Scope of Services said work is attributable. CONTRACTOWs compensation for all work under this Agreement shall not exceed the amount of the Fee Proposal. Section 3.3 Costs The Fee Proposal shall include all reimbursable costs required for the performance of the Scope of Services. Payment of additional reimbursable costs considered to be over and above those inherent in the original Scope of Services shall be approved in advanced and in writing, by CITY. Section 3.4 Auditin CITY reserves the right to periodically audit all charges made by CONTRACTOR to CITY for services under this Agreement. Upon request, CONTRACTOR agrees to furnish CiTY, or a designated representative, with necessary information and assistance needed to conduct such an audit. CONTRACTOR agrees that CITY or its delegate will have the right to review, obtain and copy all records pertaining to performance of this Agreement. CONTRACTOR agrees to provide CITY or its delegate with any relevant information requested and shall permit CITY or its delegate access to its premises, upon reasonable notice, during normal business hours for the purpose of interviewing employees and inspecting and copying such books, records, accounts, and other material that may be relevant to a matter under investigation for the purpose of determining compliance with this requirement. CONTRACTOR further agrees to maintain such records for a period of three (3) years after final payment under this Agreement. 3 ARTICLE 4 MISCELLANEOUS PROVISIONS Section 4.1 Nondiscrimiriait ri In performing services under this Agreement, CONTRACTOR shall not discriminate in the employment of its employees or in the engagement of any sub CONTRACTOR on the basis of race, color, religion, sex, sexual orientation, marital status, national origin, ancestry, age, or any other criteria prohibited by law. Section 4.2 ADA Compliance In performing services under this Agreement, CONTRACTOR shall comply with the Americans with Disabilities Act (ADA) of 1990, and all amendments thereto, as well as all applicable regulations and guidelines issued pursuant to the ADA. Section 4.3 Indemnification anct Responsibility or Dama . CONTRACTOR to the fullest extent permitted by law, shall indemnify and hold harmless CITY, its elected and appointed officials, directors, officers, employees and volunteers from and against any claims, damages, losses, and expenses (including reasonable attorney's fees), arising out of performance of the services to be performed under this Agreement, provided that any such claim, damage, loss, or expense is . caused by the negligent acts, errors or omissions of CONTRACTOR, any subcontractor employed directly by CONTRACTOR, anyone directly or indirectly employed by any of them, .or anyone for whose acts they may be liable, except those injuries. or damages arising out of the active negligence of the City of Lodi or its officers or agents. Section 4:4 No Personal Liability . Neither the City Council, nor any other officer or authorized assistant or agent or City employee shall be personally responsible for any liability arising under this Agreement. Section 4:6 Resoonsibilfiy of CITY CITY shall not be held responsible for the care or protection of any material or parts of the work described in the Scope of Services prior to final acceptance by CITY, except as expressly provided herein. Section 4.6 Insurance Reguirements for CONTRACTOR CONTRACTOR shall take out and maintain during the life of this Agreement, insurance coverage as set forth.in Exhibit C attached hereto and incorporated by this reference. 4 Section 4.7_ Successors and Assigns CITY and CONTRACTOR each bind themselves, their partners, successors, assigns, and legal representatives to this Agreement without the written consent of the others. CONTRACTOR shall not assign or transfer any interest in this Agreement without the prior written consent of CITY. Consent to any such transfer shall be at the sole discretion of CITY. Section 4.8 Notices Any notice required to be given by the terms of this Agreement shall be in writing signed by an authorised representative of the sender and shall be deemed to have been given when the same is personally served or upon receipt by express or overnight delivery, postage prepaid, or three (3) days from the time of mailing if sent by first class or certified mail, postage prepaid, addressed to the respective parties as follows: To CITY: City of Lodi 221 West Pine Street P.O. Box 3006 Lodi, CA 95241-1910 Attn: Wally Sandelin, Public Works Director To CONTRACTOR: Section 4.9 Cooperation of CITY CITY shall cooperate fully and in a timely manner in providing relevant information it has at its disposal relevant to the Scope of Services. Section 4.10 CONTRACTOR is Not an Employee of CITY CONTRACTOR agrees that in undertaking the duties to be performed under this Agreement, it shall act as an independent contractor for and on behalf of CITY and not an employee of CITY. CITY shall not direct the work and means for accomplishment of the services and work to be performed hereunder. CIN, however, retains the right to require that work performed by CONTRACTOR meet specific standards without regard to the manner and means of accomplishment thereof. Section 4.11 Termination CITY may terminate this Agreement, with or without cause, by giving CONTRACTOR at least ten (10) days written notice. Where phases are anticipated within the Scope of Services, at which an intermediate decision is required concerning whether to proceed further, CITY may terminate at the conclusion of any such phase. 5 Upon termination, CONTRACTOR shall be entitled to payment as set forth in the attached Exhibit B to the extent that the work has been performed. Upon termination, CONTRACTOR shall immediately suspend all work on the Project and deliver any documents or work in progress to CITY. However, CITY shall assume no liability for costs, expenses or lost profits resulting from services not completed or for contracts entered into by CONTRACTOR with third parties in reliance upon this Agreement. Section 4.12 Confidentiality. CONTRACTOR agrees to maintain confidentiality of all work and work products produced under this Agreement, except to the extent otherwise required by law or permitted in writing by CITY. CITY agrees to maintain confidentiality of any documents owned by CONTRACTOR and clearly marked by CONTRACTOR as "Confidential" or "Proprietary", except to the extent otherwise required by law or permitted in writing by CONTRACTOR. CONTRACTOR acknowledges that CITY is subject to the California Public Records Act. Section 4.13 Applicable Law Jurisdiction Severabillity, and Attorrie s Fees This Agreement shall be governed by the laws of the State of California. i Jurisdiction of litigation arising from this Agreement shall be venued with the San Joaquin County Superior Court. If any part of tnis Agreement is ioum Lu runt applicable laws, such part shall be Inoperative, null, and void insofar as it is in conflict with said laws, but the remainder of this Agreement shall be in force and effect In the event any dispute between the parties arises under or regarding this Agreement, the prevailing party in any litigation of the dispute shall be entitled to reasonable attorney's fees from the party who does not prevail as determined by the San Joaquin County Superior Court. Section 4.14 City Business License Requirement CONTRACTOR acknowledges that Lodi Municipal Code Section 3.01,020 requires CONTRACTOR to have a city business license and CONTRACTOR agrees to secure such license .and pay the appropriate fees prior to performing any work hereunder. Section 4.15 Captions The captions of the sections and subsections of this Agreement are for convenience only and shalt not be deemed to be relevant in resolving any question or interpretation or intent hereunder. 6 Section 4.16 infearation and Modification This Agreement represents the entire understanding of CITY and CONTRACTOR as to those matters. contained herein. No prior oral or written understanding shall be of any force .or effect with respect to those matters covered hereunder. This Agreement may not be modified or altered except in writing, signed by both parties. Section 4.17 Contract Terms Prevall Ali exhibits and this Agreement are intended to be construed as a single document. Should any inconsistency occur between the specific terms of this Agreement and the attached exhibits, the terms of this Agreement shall prevail. Section 4.18 Severability The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. Section 4.19 Ownership of Documents All documents, photographs, reports, analyses, audits, computer media, or other material documents or data, and working papers, whether or not in final form, which have been obtained or prepared under this Agreement, shall be deemed the property of CITY. Upon CITY's request, CONTRACTOR shall allow CITY to inspect all such documents during CONTRACTOR's regular business hours. Upon termination or completion of services under this Agreement, all information collected, work product and documents shalt be delivered by CONTRACTOR to CITY within ten (10) calendar days. CiTY agrees to indemnify, defend and hold CONTRACTOR harmless from any liability resulting from CITY's use of such documents for any purpose other than the purpose for which they were intended. Section 4.20 Authority. The undersigned hereby represent and warrant that they are authorized by the parties to execute this Agreement. Section 4.21 Federal Transit Funding Conditions ❑ if the box at left is checked, the Federal Transit Funding conditions attached as Exhibit apply to this contract. In the event of a conflict between the terms of this contract or any of its other exhibits, and the Federal Transit Funding Conditions, the Federal Transit Funding Conditions will control. 7 IN WITNESS WHEREOF, CITY and CONTRACTOR have executed this Agreement as of the date first above written. CITY OF LODI, a municipal corporation ATTEST RA1VD4 JOHL KONRADT BARTIAM, City Manage City Clerk APPROVED AS TO FORM: CONTRACTOR: D. STEPHEN SCHWABALIER, City Attomey JANICE D. MAGDiCH,. Deputy City Attomey Name: Title: Attachments: Exhibit A - Scope of Services Exhibit B - Fee Proposal Exhibit C - insurance Requirements Funding Source.• (Business Unit & Account No.) Doc ID: Mxev.01.2012 8 EXHIBIT A L,Fa`S EXHIBIT C COMPREHENSIVE GENERAL LIABILITY $1,000,000 Ea. Occurrence $1,000,000 Aggregate 3. PROFESSIONAL LIABILITY a contract, contractor death, as t, whether V either of COMPREHENSIVE AUTOMOBILE LIABILITY $1,000,000 Bodily Injury - Ea. Person $1,000,000 Bodily injury -Ea. Occurrence $1,000,000 Property Damage - Ea. Occurrence $1,000,000 Ea. Occurrence NOTE: Contractor agrees and stipulates that any Insurance coverage provided to the City of Lod shall provide for a claims period following termination of coverage which is at least consistent with the claims period or statutes of limitations found In the California Tort Claims Act (CalWorda Government Code Section 810 at seq.). NOTE: (1) The street address of the CITY OF LOO[ must be shown along with (a) and (b) above: 221 West Pine Street, Lodi, California, 95241-1910; (2) The Insurance cetiflcate must state, an its face or as an endorsement, a description of the RMIacthat it is insuring. A copy of the certificate of insurance with the following endorsements shall be fumished to the City. (a} :�r3iUona(�tarired tRisi. `�iit�seirieiit> :Suri;fit)s4ieas,:is;affored:by.tftts.ltolicy shall also apply to the City of Lodi, its elected and appointed Boards, Commissions, Offf rs. Agents, Employees, and Volunteers as additional named insureds. (This endorsement shall be on a form fumished to the City and shall be included with Contractors polides.) (b) Primary insurance Endorsement Such insurance as Is afforded by the endorsement for the Additional Insureds shall apply as primary insurance. Any other insurance maintained by the City of Lodi or its officers and employees shall be excess only and not contributing with the insurance afforded by this endorsement. (c} Severability of intgrest Clause The term "insured" is used severally and not collectively, but the Incluslon herein of more than one insured shall not operate to increase the limit of the company's liability. it s: policy*-#* not be canceled nor the t Wia ade Yedu by the company without 30 days` prior written notice. of such cancellation or reduction in coverage to the Risk Manager, City of Lodi, 221 W. Pine St., Lodi, CA 9524a NOTE: No contract agreement will be signed nor will any work begin on a project until the proper insurance certificate is received by the City. Attachment 2 Required Federal Forms Submittals 16 K;IF pTEt0lEMWTREMHR=yarade wpacarm%RFFOamy UP -Revised 4.6.12.dw Local Assistance Procedures Manual EXHIBIT 10-F Certifcaiion of Consultant, Commissions & Fees EXF1Isrr 10-F CERTIFICATION OF CONSIILTANT, COMMISSIONS & FEES F 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 r 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 agreement; 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 agreement; 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 agreement. I acknowledge that this Certificate is to be made available to the California Department of Transportation (Caltrans) in connection with this agreement involving participation of Federal -aid Highway funds, and is subject to applicable state and federal laws, both criminal and civil. (Date) - (Signature) Distributloa: 1) Local Agency Project File ( Original & Contract) 2) DLAE (with contract copy) _... >__..._ . Page I 01312-03 June 20, 2012 Local Assistance Procedures Manual FlaRBIT 10-H Sample Cost Proposal EI Mff 10-H SAMPLE COST PROPOSAL (EXAMPLE #1) Contract No. Consultant DIRECT LABOR Classification Name Project Manager _ Highway Engineer _ Bridge Engineer _.. _ _.... Technician - .Project Manager. Fringe Benefits Indirect Costs Overhead General and Administrative FEE (Profit) OTHER COSTS Travel Costs Equipment and Supplies (Itemize) Other Direct Costs (Itemize) Date Initial Hourly Range Hours Rate Total Subtotal Direct Labor Costs Anticipated Salary Increases $ ..:......: Total Direct Labor Costs $ Rate Total $ _% Total Fringe Benefits Total Indirect Costs $ Total Other Costs Subcontractor Costs (attach detailed cost estimate for each subcontractor) TOTAL COST __.. .. .. . Page 1 OB 12-03 June 20, 2012 it 4 y G� as - Q O z Q � 10 N , M k r O N Q e O . 083 G � O O f 4 tQ RS � a N EKHBIT 10-1 Local Assistance Procedures Manual Notice to Proposers DBE Information EXHIBIT 10-I NOTICE To PRoPosERS DBE INFORMATION 0 The Agency has established a DBE goal for this Agreement of 1. TERMS AS USED IN THIS DOCUMENT • The term "Disadvantaged Business Enterprise" or "DBE" means a for-profit small business concern owned and controlled by a socially and economically disadvantaged person(s) as defined in Title 49, Part 26.5, Code of Federal Regulations (CFR). • The term "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 DBEs and other small businesses are strongly encouraged to participate in the performance of AgreementS financed in whole or in part with federal fiords (See 49 CFR 2f 6T..a gatign,`by Disadvantaged Business Enterprises in Department of Transportation Financial:iR-wA" oo, The Contractor should ensure that DBEs and other small businesses have d wAPP0 ttWW1 to°Fart clow in the performance of the work that is the subject of this solicitation and should take all necessary and reasonable steps for this assurance. The proposer shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of subcontracts. ed b fin ial institutions owned and controlled by DBEs. A. B. Proposers are encouraged to use services offer y arc Page f June 29, 2012 OB 12-04 EXHBIT 10-I Local Assistance Procedures Manual Notice to Proposers DBE. Wormatiou - 3. SUBMISSION OF DBE INFORMATION If there is a (Exhibit 10 contract. "If _the: EXHBIT 10-I Local Assistance Procedures Manual Notice to Proposers DBE Information 5. RESOURCES A. The CUCP database' includes ttib certified DBEs from all certifying agencies participating in the CUCP. if you believe a fir�z is,certfied`i6ai cstntot be located on the database, please contact the Caltrans Office of Certification toll fFee-aumber t=866-820-6346 for assistance. B. Access the CUCP database from the Department of Transportation, Civil Rights, Business Enterprise Program web site at: http:/Iwww.dot.ca.gov/hq/bep/• • Click on the link in the left menu titled Disadycrntar�ed Business Ertternrise • Click on Search for a DBE Finn link pForm located on the first line in the center of the page • Click on Access to the DBE u= • Searches can be performed by one or more criteria • Follow instructions on the screen C. How to Obtain a List of Certified DBEs without Internet Access: DBE Directory - if you do not have Internet access, Caitcatis:a1.90' . bl s ies a tl c c oiy=Qfceifi ed D$R fwms extracted from the online database. A copy of the:diftctory of c�rt�itesl DB)rs.u3ay ordered fiofri the Caltrans Publications unit at (9 16) 263-0822, 1900 Real:Malls:Drtft1' Aerdtneilto�: 6. MATERIALS OR SUPPLIES PURCHASED FROM DBEs COUNT TOWARDS THE DBE GOAL UDDER THE FOLLOWING CONDITIONS: A I€ the m$erials or supjslies ora olstalrie a:><7B,MaitttfettaeiuAt'110 percent of the cost of the ,.... mater(a1g supplies..t� DS]S tti�taanufactui+0r iarur that.alaet or lriat>3tains a dory, or est�6l`rshment that prQitucbs`on:�the.nises the�>�� suppl�e�, arl�.cl�•, °r equipment required under the.Anent and oft�e:�e+ne�al�:eitaracte�d�tlbed-by�esspedificattoi fromaUlar deo% eotutt4 pet. tithe costal the. B� "t}e inaterialorystcl?pkos purchased BE re• h�,�,• . Qates or r+rcitatns a shore,_ the i�lsh�?.ceg�tlacliisiness at engages, as t_:_' :....-.:.._. name, in the purchase and sale or lease of the products in questrgn- A.'"' , b dealer in such bulk items as petroleum products, steel, cement -MMM. -stone of operating or maintaining a place of business provided in this section. Page 3 June 29, 2012 OB 12-04 EXHBIT 10-1 Local Assistance Procedures Manual Notice.to. Proposers DBE information - C. If the person b.0`tfi`� fi.4Ad-..o ..w r bution equipment for the products, any supplementing of regular dealers'.`owirtlisfrlG t oiT :et;l i}arJtent shalt be, 6y a longterm lease agreement and not an ad hoc ar<dhgte3tenk:5y:14geepriibits• 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 xcessiveas compared with fees charged for similar services. 7. FOR DBE TRUCKING COIVIPAmEs: CREDIT FOR DBES WILL COUNT TOWARDS THE DBE GOAL UNDER THE FOLLOWING CONDITIONS: A. The DBE must be responsible for the management and supervision of the entire trucking operation for which it is responsible on a particular Agreement, and there cannot be a contrived arrangement for the purpose of meeting the DBE goal. B. The DBE must itself own and operate at least one fully licensed, insured, and operational truck used on the Agreement. C. The DBE receives credit for the total value of the transportation services it provides on the Agreement using trucks it owns, insures, and operates using drivers it employs. D. The DBE may lease trucks from another DBE firm including an owner -operator who is certified as a DBE. A DBE who leases trucks from another DBE receives credit for the total value of the transportation services the lessee DBE provides on the Agreement. E. The DBE may also lease trucks from a non -DBE firm, including an owner -operator. A DBE who leases trucks from a non -DBE is entitled to credit only for the fee or commission it receives as a result of the lease arrangement. A DBE does not receive credit for the total value ofthe transportation services provided.by the lessee, since these services are not provided by the DBE. F. For the purposes of this Section D, a lease must indicate that the DBE has exclusive use and control over the truck. This does not preclude the leased truck from working for others during the term of the lease with the consent of the DBE, as long as the lease gives the DBE absolute priority for use of the leased truck. Leased trucks must display the name and identification number of the DBE. Page 4 June 29, 2012 OB 12-04 EXHIBIT 10-C Local Assistance Procedures anus Certification of.Local Agency EXHIBIT 10-G CERTIFICATION OF LOCAL AGENCY I HEREBY CERTIFY that I am thePublic Works Di±re� _ of the City of Lodi , and that the consulting firm of Mark Thomas & Company Inc. ,or its representative has not been required (except as herein expressly stated), directly or indirectly, as an express or implied condition in connection with obtaining or carrying out this Agreement to: (a) employ, retain, agree to employ or retain, any firm or person, or (b) pay or agree to pay, to any firm, person or organization, any fee, contribution, donation, or consideration of any kind. I acknowledge that this Certificate is to be made available to the California Department of Transportation (Caltrans) in connection with this Agreement involving participation of federal -aid highway funds, and is subject to applicable state and federal laws, both criminal and civil. Mme) - (Signature) Distribution: 1) Locat Agency Project File ( original & Contract) 2) DLAE (with contact copy) - Page 1 June 20, 2012 OB 12-03 Loeal Assistance Procedures Manual EXHIBIT 10-F _. CertHIaitisa sf Copsultant, Commissions & Fees EXHIBIT 10-F CERTIFICATION OF CONSULTANT, COMMISSIONS & F>Js ,HEREBY CERTIFTY that I am the .-iice Pr-esid.,ent/Principal and d�Yauthorized} p� Mark Thomas & Company, Inc. _whose address is _... = retative the o - _. _ _ .. _ ... - - ----.- _.- 7300 Folsom Bovievardr_5vite 203., -5_.acramento, CA 9.5826 , 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 agreement; 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 agreement; nor (c) paid, or agreed to pay, to any firm, organization or pian (other than a bona fide employee working solely for me or the above consultant) any fee, cbntnbutioa, donation, or consideration of any kind, for or in connection wish, procuring or carrying out this agreement. I acknowledge that this Certificate is to be made available to the Caftmia Deparhaent of Transportation (Caltrans) in connection with this agreemalt involving participation ofFedemsl aid Higbway funds, and is subject to applicable state and federal laws, both criminal and civil... •f 1 irate) .. ...... _ (Sip) Distributton: 1) Load Ascm Project File (Original & cm*-* Z) DLAE (witham I copy) _ Page I OB t243 Jane 30,3912 Local Assistance Procedures Manual EXHIRFT 10-V Non -Discrimination Clause EXHIBIT 10-V NON-DISCRIMINATION CLAUSE (To be included in Consultant Agreement/Contract) NON-Di8trR1i1i1t1TAT10N&A" During the performance of this Agreement, Contractor and its subcontractors 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. Contractor and subcontractors shall insure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment. Contractor and subcontractors 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 Agreement by reference and made a part hereof as if set forth in full. Contractor and its subcontractors shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other Agreement. Contractor shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under the Agreement. - Page 1 OB 12-03 June 20, 2012 Local Assistance Procedures Manual EXIIIBIT 12-E PS&E Checklist Instructions Attachment E ATTACHMENT E DEBARMENT AND SUSPENSION CERTIFICATION TITLE 49, CODE OF FEDERAL REGULATIONS, PART 29 The bidder, under penalty of perjury, certifies that, except as noted below, he/she or any other person associated therewith in the capacity of owner, partner, director, officer, and manager: • Is not currently under suspension, debarment, voluntary exclusion, or determination of ineligibility by any federal agency; • Has not been suspended, debarred, voluntarily excluded or determined ineligible by any federal agency within the past 3 years; it Does not have a proposed debarment pending; and • Has not been indicted, convicted, or had a civil judgment rendered against it by a court of competent jurisdiction in any matter involving fraud or official misconduct within the past 3 years. If there are any exceptions to this certification, insert the exceptions in the following space. Exceptions will not necessarily result in denial of award, but will be considered in determining bidder responsibility. For any exception noted above, indicate below to whom it applies, initiating agency, and dates of action. Notes: Providing false information may result in criminal prosecution or administrative sanctions. The above certification is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Certification. Page 12-29 OB 12-04 June 29, 2012 Non-tom Certiration Form 10-P qty of lads - - Projecf .Qesd. 'Professional B40neeringServices prop) Date: September 28, 2012 _!!posers Name: APIX Civa Engineering - - The: prospective participant certifies by signing and submitting this proposal/bid to the best of his or her knowledge and belief that: 0) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering Into of any cooperative agreement, and the extension, cor &uation, renewal, amendment; or modification of any federal contract, gram loan, or cooperative agreement. (2) If any funds other than federal appropriated funds have been paid or will be paid to any person for Influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress,.an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard- Farm - LLL, "Disclosure of Lobbying Activities," In accordance with its kwuctions• This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, 'fine 31. U.S. Code. Any person who falls to file the required certification shall be .subject to a civil penalty of not less than $10 oW and not more than $100,000 for each such failure. As the prospective participant we also agree by submitting this that we shall require that the language of this certification be included in all lower -tier subcontracts which exceed $100,000 and that all such sub -recipients shall certify and disclose accordingly. Patricia Preston, Principal Engineer Narne, Title Signaibre, PUBLIC WORKS ♦ COMMERCIAL ♦ FORENSICS f TRANSPORTATION PO BOX 1196, ORANGEVALE, CA 96662, &MAnt: PA'i R10APA6=@APEXdV LWM .T:916 717.2812, F 916.988.6770 Local Assistance Procedures Manual EXHIBIT 10-P Nonlobbyu+g:Gexttfreation for Federal-sid Contracts EXHIBIT 10-P NONGOBBYING CERTIFICATION FOR FFDERAI AW CONTRACTS . ' The prospective participant certifies by signing and submitting this proposal/bid to the best of his or her knowledge and befiefthat: : }`.: ft& h '�iai eas'<0d tk"wili be paid, by or on behalf of the undersigned, to any i�e�edrslapproprited`_ petsnOriiusceei�tgor stbetaittg.to u�flueiice an officer or employee of any federal agency, a Member ofaggs;.sut �fft orepa�i413tee cfiCapgrsss, or an employee ofMetnber of Congermfs coBne+xion 'Wi tliea�vardit of atkyalede cont acct; tie making of any federal gnat; the maTadg f st► £l+kteral loIM , the entering into of am cooperateve agreement, and the extensi:ontmuatica; ritraf amendment, or modification of any federal contract, grant; loan, or cooperative agreement. (2) If any funds other than federal appropii`,afed iifda 61ivc be ::pa v l b ,pa d-f�a,lmy influencing or attempting to infEuence�ali ztilicor or empteyee tilrij%:tetteaf age3!,ember o Congress, an officer or employee of Congress, id` au a pla ee:of a Haub of"C.0 . I iA co cln with this federal contract, gram; loan, or coo peratkve`ag 0ttle i ; tJie tin e : ied:st i 1. inPIefta submit Standard Form: -LLL, "Disclosure of Loit?yrislg Aaiaiities" ite aecDEdahica,'idiioi:. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not lessthan $10,000 and not more. than $100,000 for each such failure. The eco !e 0"*"-"'* _ ` _.:'.'t:i ; : " :b submitting his/her o osallbid that heJshe shall require- that the PSP _ ..,, _. •. y PrP 1 lauguage of t im 01� iotclr a ie etude d in all lower -tier subcontracts which exceed $100,000 and that aft such sub-recipie.s sgd�_sGaccordingty. _ Page 1 OB 12-03 June 20, 2012 EXHIBIT 17-F Local Assistance Procedures Manual Fina( Report -Utilization of Disadvantaged Business Enterprises (DBE), First -Tier Subcontractors FINAL REPORT—UTILIZATION OF DISADVANTAGED BUSINESS ENTERPRISES (DBE), FIRST-TIER SUBCONTRACTORS CEM 2402(F) (Rev. 02/2008) The form requires specific information regarding the construction project: Contract Number, County, Route, Post Miles, Federal -aid Project No., the Administering Agency, the Contract Completion Date and the Estimated Contract Amount. It requires the prime contractor name and business address. The focus of the form is to describe who did what by contract item number and descriptions, asking for specific dollar values of item work completed broken down by subcontractors who performed the work both DBE and non -DBE work forces. DBE prime contractors are required to show the date of work performed by their own forces along with the corresponding dollar value of work. The form has a column to enter the Contract Item No. (or Item No's) and description of work performed or materials provided, as well as a column for the subcontractor name and business address. For those firms who are DBE, there is a column to enter their DBE Certification Number. The DBE should provide their certification number to the contractor and notify the contractor in writing with the date of the decertification if their status should change during the course of the project. The form has six columns for the dollar value to be entered for the item work performed by the subcontractor. The Non -DBE column is used to enter the dollar value of work performed for firms who are not certified DBE. The decision of which column to be used for entering the DBE dollar value is based on what program(s) status the firm is certified. This program status is determined by the California Unified Certification Program by ethnicity, gender, ownership, and control issues at time of certification. To confirm the certification status and program status, access the Department of Transportation Civil Rights web site at: ho://www.dot.ca.&ov/hq/be,o or by calling (916) 324-1700 or the toll free number at (888) 810-6346. Based on this DBE Program status, the following table depicts which column to be used: DBE P` teat Status _ CQlumu to be need ]_Ifo'xo "-" tutus shows DBE Qiiil'': with no other ro " listed DBE If a contractor performing work as a DBE on the project becomes decertified and still performs work after their decertification date, enter the total dollar value performed by this contractor under the appropriate DBE identification column. If a contractor performing work as a non -DBE on the project becomes certified as a DBE, enter the dollar value of all work performed after certification as a DBE under the appropriate identification column. Enter the total of each of the six columns in Form MA -2402(F). Any changes to DBE certification must also be submitted on Form -CEM 2403(F). Enter the Date Work Completed as well as the Date of Final Payment (the date when the prime contractor made the "final payment" to the subcontractor for the portion of work listed as being completed). The contractor and the resident engineer sign and date the form indicating that the information provided is complete and correct. Page 17-22 -. _.._. —...._ July 1, 2012 LPP 09-42 5 m a u c� my FF N r 0 " C a me O z lu� Z U ' O LL LL F Vy. d am a 2 LU Sam U Z . � � E �K tfw- S i N Z W Q 16. � F a$ Z a Y L c c o Z o m i LLI j 6-1 UW Q: H:g ~ Ll i O a -m to a "_ C nz� N g tLj a > � y 2 8 .6 O U i as 0 LL Wui a !" Q' SF.LLUlU W ]LOU T WII U jof I . ' m i S2 a v U a ~gz O t9 u 5 m a u Local Assistance Procedures Manual Exhibit iSH DBE Int'oma6w - Good FaM Mrt NOT APPLICABLE - MTCo has met contract OBE goal requirements F. Efforts made to assist interested DBEs in obtaining necessary equ>poaeut, 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 concocting, recruiting and using DBE firms (please attach copies of requests to agencies and any responses received, i.e., lists, Internet page download, etc): Mame of Agcncylhaeiibipc 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. Psga 1$-3 OR 12.04 Jane 29, TA12 Exhibit 15 -it Local AssistanceProcedvm Manual +. DBS Information -Good Faith Effort _. NOT APPLICABLE - MTCo has met contract DBE goal requirements i C. The items of work which the bidder made available to DBE firms including, where appropriate, any breaking down of the comract work items (including those items nor-ma12y 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 Wdi.tate DBE patimpahon was E made available to DBE firers. r Items of Work Bidder Nonnauy Breakdown of Amount Percentage Perf mus Item Items (} Of f Contract _ D. Tk.ttante a�andr`pltoat~ numbets ofrejected DBE firms, the runs for the bidder's is rejedzon ofthe DBEs, fns for that work.(please attach copies o£gaoies from the ft ms.QI a for each, DBE if the selected firm is not a DBE: i 3 Names, addresses and phone numbers of rejected DBEs and the reasons for the bicidec*s rejection of the DBEs: + + Names, addresses and phone numbers of fimrs selected for the work above: _....., I i i r E. Efforts made to assist interested DBEs in obtaining bonding, lines of =dit or hmame, and any technical assistance or information related to the plans, specifications and requwrem acs for the work which was provided to DBEs: ,. i, QB 12-H 14=29,2012 Local Assistance Procedures Maaaal Eihibit 15�H DBE Iaformatioe - Good Fa#b Effort EIimBIT 15-H DBE RWORMATIONI --GOOD FAVIREFFORTS DBE INFORMATION - GOOD FAITH EFFORTS NOT ARUCABtE - MTCo has met contract DBE goal requirements Federal -aid Project No.. Bid Opening Date The/Coait b e�blit : a Disadvantaged Business Enteaprise (DBE) 8081 of -_-�—� % _.. for this project The information provided herein shows that a good faith el'foit was made. rt�;rdlovireatlidders shall.submit the.fAltoW09-iu aware eJ-WGauaaoa.:U ruc awuwwwz'"'b;• + ,:. ;�: -- reasou:s;: eg:, a DBE firm was.n e3 atbicl'ape+ning, or the bidder made a mathematical emor. Submittal of only the "Coca! Agency Bidder DBE Commitment" form may not prouatde sufficient documentation to demonstrate that adequate good faith efforts were made. The following items are listed in the Section entitled "Submission of DBE Commitatme of the Special Provisions: A. The names and dates of each publication in which a request for DBE participadion for this project was.placed by the bidder (please attach copies of advertisements or proofs of publication): Publications Dates. . . B. The names and dates of written notices sent to certified DBEs soliciting bids for this Project ate the data and methods used for following up initial solicitations to determine with certaW whether the DBEs were interested (please attach copies of solicitations, telephone records, fax confirmations, etc•): Names of DBEs Solicited Date of Initial Follow Ug Methods and Dates Solicitation Page L .1 J=829,2012 Oil 1204 Local Assistance Procedures Manual SIT 10-02 Local A;"cy Consultant DBE Information, EXEnRIT 10-02: LOCAL AGENCY CONSULTANT DBE INFORMATION (Inclusive of all DBEs listed at bid proposal) >\lni - Alema refer to instructions on the reverse side ofthis form.. ti'a_ ''•1 \ " �G�� 3:�a ns,,:•C._ '^'3: �:-»• � %zy; ple�e� 'l c'4oa 4::_ 1. Local Agency Name:. City of Lodi Devadm—e6t of Public--, Works -- - Lodi, California - - 2.ProjedLocation: . - _.... ,.. 3. Project Description E'rnieCt'iul`ariatlemerhf Desinn (34EVY&-rieeiing fartke: ibree ::l nn •:iP�2R fi' :, a:�- ��.;+;::» Pry; a t 4. Total Contract Award Amount: S N/A S. ConsultantName:.Mork Thomas &.Compam+ Jnr. t� o l0 6. Contract DBE Goal %. 7. Total Dollar Amount fora! subcontractors: $ 195,309 S. Total Number of ail Subcontractors 5 Award DBE Informskdon.. , „ 1 Description of services to be Provided i0 Dl3E Firi»11. Sod sm DBE Cert ..:DHS Dollar I(dlSfic:C)utreach Jddi .: e'Corsiiitinicntions 37196 Streictures ln'&khendeiit Gfieck: Criil Ell �iseerirr38747$55 487" 37 8 .$12103.67. =a AJ iocat to � s Sectio;i <i3: 20. Local Agency Contract Number -.'S './,. '•�r�r:,'.• ... ..-. _. ._ iii. i M. Federal -aid Project Number: rK -22. Can a lixeeatton Data: i Local Ageney certifies that all DBE cati ications ate valid and the - information an this fot'tn is complete and accurate: ' 23. local -Agency Rpreseata0ve Name {Pr[at} ' ;. •. - .�._,�;. 24_ t.ocal Agnhcy ltgmnentative 5igmtotG 25: Date"-- 26. Load Agency lite 27. (Arm G-OWTe1:_Nn: Robert A. Himes . � 16.Preparer'sNena: _ 126.DLA5N*=(Pnnt)- 17. @Fepeia's'Titie i 0/08/201 2 f916)381-9100 Caltrans District Local Assistance Engineer (DLAE) Certifies that this fottn ; j8, Date 19: (Ara Cade) Tel:TTo. has been reviewed for completeness: 23' DL:AE Siridbre- 30. Date Distribution: (1) Copy- Email a Dopy to the Caltrans Dlatrtd Local Assinance Engineer (DLAE) within 30 days of eenaact award. Folure to sail a copy to the DLAE within 30 days of eonum award may result in delsyofpsymeot. (2) Copy- Include in award packep sent to Caltrans DLAE (3) Original -Local agency files Page 1 OB 12-04 June 29, 2412 Local Assistance Procedures Manual E)aUBrr 10-01 Local Agency Consultant DBE Commitment ExeiBrr 10-01: LOCAL AGExcy Colt wLTANT DBE COMMITMENT (inclusive of all DBEs at time of Proposal) TT...... �,.i' �a :....�......ti....e .... H.o ,M NMa aide nfthic.fnrm s� :.5—. 1•'`. �1R$;'n `. __ .F- "• �. ty .':y . 1. Laval AgeneyName: City of Lodi Department of Public Works 2. Projectiocadon: Lodi, Colifornio ...... 3. Project Description::00i f 1U bIV- gelmerif; esi€tn aad Enaitteeriii4 farifie3 ElQitiev LcrieIUPRR' acle Se p ct 4. ConsultantName•. Mark Thomas & Corriooft Inc. S..Contract DBE Goal%.* ....... .. . DBE Commitment Lrfor�naiion .. ti. Description of Serdtces to baProvided - �: DBE --' - - L DBEfiCatt. 9. DBE SG 37196 Public Outreach' .... Iu_ ith .. ue... it_-ornmunication. s • fractures ri epen cot . . e. .... l" liteeritt :_ _..... _ 38747 5.4 --6 =717-2 12 . . " -an scope Desi n._ ` Pe ffho.Desi n -Group 37638 1.224 2a .: 21=42 1 q. �to <tItis a. .:.;� :.r_'. /,�� • ` `, t ':1ttx¢tal .., '°`-::;;•,�>u •.�••: � .Kv "."'" L'..5:.4 � tet. J5• t.': ��' j� .. _ .. .: - __ _ M. Local AgencyConuaetNumber:: 17.Federalsid ProjoctNumber 'f. �:l:t,�•1a.5,"v z�ii'7.�-1Y.i .. 'J'%` � �•'J�v: 1g. Propasod C6ftMt Brterauion Date: _ Local Agency c ortifies that all DBE certification are valid and the information on this form is complete and accurate: Robert. A. Himes IZ. Prtpanx'aNatne{Frint) 14. Locet Agency RepraentativeName (Pring Vice President/Principal 13.Prepater'sidle 20. L«xt Agency Representative Signature 21. Date 10/08/2012 (916) 381-9100 1d. Data _1S. (Areittbde) Tel. No: - 22: Loeel Agency Representative Ilea 23. {Area Code) Tel. No. Distribution: (1) Original -Submit with Award Packw (2) Copy —Local Agertcy files _.... _ - .. Page I OB 12.-04 dune 29, 2012 Local Assistance Procedures Manual EXHMIT 104 Standard Agreement For SubcontractorV4E Participation C. The Agency shall hold retainage from the prime consultant and shall make prompt and regular incremental acceptances-of portions, as determined by the Agency, of the contract work, and pay retainage to the prime contractor based on these acceptances. The prime consultant, or subconsultant, shall return all monies withheld in retention from a subconsultant within 30 days after receiving payment for work satisfactorily completed and accepted including incremental acceptances of portions of the contract work by the agency. Federal law (49 CFR2629) requires that any delay or postponement of payment over 30 days may take place only for good cause and with the agency's prior written approval. Any violation of this provision shall subject the violating prime consultant or subconsultant to the penalties, sanctions and other remedies specified in Section 7108.5 of the Business and Professions Code. These requirements shall not be construed to limit or impair any contractual, administrative, or judicial remedies, otherwise available to the prime consultant or subconsultant in the event of a dispute involving late payment or nonpayment by the prime contractor, deficient subconsultant performance, or noncompliance by a subcontractor. This provision applies to both DBE and non-DBE prime consultant and subconsultants. D. Any subcontract entered into as a result of this Agreement shall contain all of the provisions of this section. 5. DBE Records A. The Consultant shalt maintain records of materials purchased and/or supplied from all subcontracts entered into with certified DBEs. The records shall show the name and business address of each DBE or vendor and the total dollar amount actually paid each DBE or vendor, regardless of tier. The records shall show the date of payment and the total .dollar figure paid to all firms. DBE prime consultants shall also show the date of work performed by their own forces along with the corresponding dollar value of the work. B. Upon completion of the Agreement, a summary of these records shall be prepared and submitted on the form entitled, "Final Report -Utilization of Disadvantaged Business Enterprise (DBE), First -Tier Subcontractors," CEM 2402E (Exhibit 17-F, Chapter 17, of the LAPM), certified correct by the Consultant or the Consultant's authorized representative and shall be furnished to the Contract Manager with the final invoice. Failure to provide the summary of DBE payments with the final invoice will result in 25% of the dollar value -of the invoice being withheld from payment until the form is submitted. The amount will be returned to the Consultant when a satisfactory "Final Report -Utilization of Disadvantaged Business Enterprises (DBE), First -Tier Subcontractors" is submitted to the Contract Manager. 6. DBE Certification and Decertification Status If a DBE subconsultant is decertified during the life of the Agreement, the decertified subconsultant shall notify the Consultant in writing with the date of decertification. If a subconsultant becomes a certified DBE during the life of the Agreement, the subconsultant shall notify the Consultant in writing with the date of certification. Anychanges should be reported to the Agency's Contract Manager within 30 days_ OB 12-04 June 29, 2012 EIOIIBIT 10-d Standard.elgreement For. Subcontra¢tor/DBE Partm#iit on Local Assistance Procedures Manual 3. Performance of DBE Consultant and other DBE Subconsultants/Suppliers A. A DBE performs a commercially useful function when it is responsible for execution of the work of the Agreement and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a commercially useful function, the DBE must also be responsible with respect to materials and supplies used on the Agreement, for negotiating price, determining quality and quantity, ordering the material, and installing (where applicable) and paying for the material itself. To determine whether a DBE is performing a commercially useful function, evaluate the amount of work subcontracted, industry practices; whether the amount the firm is to be paid under the Agreement is commensurate with the work it is actually performing; and other relevant factors. B. A DBE does not perform a commercially useful function if its role is limited to that of an extra participant in a transaction, Agreement, or project through which funds are passed in order to obtain the appearance of DBE participation. In determining whether a DBE is such an extra participant, examine similar transactions, particularly those in which DBEs do not participate. C. If a DBE does not perform or exercise responsibility for at least 30 percent of the total cost of its Agreement with its own work force, or the DBE subcontracts a greater portion of the work of the Agreement than would be expected on the basis of normal industry practice for the type of work involved, it will be presumed that it is not performing a commercially useful function. 4. Prompt Payment of Funds Withheld to Subcontractors (Local agency to use either,4,B, or C below, delete the other two.) A. No retainage will be withheld by the Agency from progress payments due the prime contractor. Retainage by the prune consultant or subconsultants is prohibited, and no retainage will be held by the prime contractor from progress due subcontractors. Any violation of this provision shall subject the violating prime consultant or subconsultants to the penalties, sanctions, and other remedies specified in Section 7108.5 of the California Business and Professions Code. This requirement shall not be construed to limit or impair any contractual, administrative, or judicial remedies, otherwise available to the prime consultant or subconsultant in the event of a dispute involving late payment or nonpayment by the prime consultant or deficient subconsultant performance, or noncompliance by a subconsultant. This provision applies to both DBE and non -DBE prime consultants and subconsultants. B. No retainage will be held by the Agency from progress payments due the prime consultant. Any retainage held by the prime consultant or subconsultants from progress payments due subconsultants shall be promptly paid in full to subconsultants within 30 days after the subconsultant's work is satisfactorily completed. Federal law (49 CFR26.29) requires that any delay or postponement of payment over the 30 days may take place- only for good cause and with the Agency's prior written approval. Any violation of this provision shall subject the violating prime consultant or subconsultant to the penalties, sanctions and other remedies specified in Section 7108.5 of the Business and Professions Code. These requirements ,.. shall not be construed to limit or impair any contractual, administrative, or judicial remedies, otherwise available to the prime consultant or subconsultant in the event of a dispute involving late payment or nonpayment by the prime consultant, deficient subconsultant performance, or noncompliance by a subconsultant. This provision applies to both DBE and non -DBE prime consultant and subconsultants. Page 2 OB 12-04 June 29, 2012 Local Assistance Procedures Manual EXMBIT 10-J Standard Agreement For SubcontractorMOK Participation„ ExHiBIT 10-J STANDARD AGREEMENT FOR SUBCONTRACTOR/DBE PARTICIPATION 1. Subcontractors, A. Nothing contained in this Agreement or otherwise, shall create any contractual relation between the Agency and any subcontractors, and no subcontract shall relieve the Contractor of his/her responsibilities and obligations hereunder. The Contractor agrees to be as fully responsible to the Agency for the acts and omissions of its subcontractors and of persons either directly or indirectly employed by any of them as it is for the acts and omissions of persons directly employed by the Contractor. The Contractor's obligation to pay its subcontractors is an independent obligation from the Agency's obligation to make payments to the Contractor. B. Any subcontract in excess of $25,000, entered into as a result of this Agreement, shall contain all the provisions stipulated in this Agreement to be applicable to subcontractors. C. Contractor shall pay its subcontractors within ten (10) calendar days from receipt of each payment made to the Contractor by the Agency. D. Any substitution of subcontractors must be approved in writing by the Agency's Contract Manager in advance of assigning work to a substitute subcontractor. 2 Disadvantaged Business Enterprise (DBE) Participation A. This Agreement is subject to 49 CFR, Part 26 entitled "Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs." Proposers who obtain DBE participation on this contract will assist Caltrans in meeting its federally mandated statewide overall DBE goal. B. If the contract has a DBEgoal, the Consultant must meet the DBE goal by committing DBE participation or document a good faith effort to meet the goal. if a DBE subconsultant is unable to perform, the Consultant must make a good faith effort to replace him/her with another DBE subconsaltant, if the goat is not otherwise met. C. DBEs and other small businesses, as defined in 49 CFR, Part 26 are encouraged to participate in the performance of agreements financed in whole or in part with federal funds. The Consultant or subconsultant shall not discriminate on the basis of race, color, national origin, or sex in the performance .of this Agreement. The Consultant shall carry out applicable requirements of 49 CFR, Part 26 in the award and administration of US DOT- assisted agreements. Failure by the Consultant to carry out these requirements is'a material breach of this Agreement, which may result in the termination of this Agreement or such other remedy as the local agency deems appropriate. D. Any subcontract entered into as a result of this Agreement shall contain all of the provisions of this section. Page 1 OB 12-04 June 29, 2012 EXHBIT 10-I Local Assistance Procedures Manua[ Notice to-proRose__ _rs DBE Information 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. 7. FOR DBE TRUCKING COMPANIES: CREDIT FOR DBES WILL COUNT TOWARDS THE DBE GOAL UNDER THE FOLLOWING CONDITIONS: A. The DBE must be responsible for the management and supervision of the entire trucking operation for which it is responsible on a particular Agreement, and there cannot be a contrived arrangement for the purpose of meeting the DBE goal. B. The DBE must itself own and operate at least one fully licensed, insured, and operational truck used on the Agreement. C. The DBE receives credit for the total value of the transportation services it provides on the Agreement using trucks it owns, insures, and operates using drivers it employs. D. The DBE may BElease trucks leeasees from from anothDBE er DBE receives credit for the total value og an Owner-01erator who is f the ed as a DBE. A DBE transportation services the lessee DBE provides on the Agreement. E. The DBE may also lease trucks from a non -DBE firm, including an owner -operator. A DBE who leases trucks from a non -DBE is entitled to credit only for the fee or commission. it receives as a result of the lease arrangement. A DBE does not receive credit for the total value of the transportation services provided by the lessee, since these services are not provided by the DBE. F. For the purposes of this Section D, a lease must indicate that the DBE has exclusive use and control over the truck. This doesnot preclude. the leased truck from working for others during the term of the lease with the consent of the. DBE, as long as the lease gives the DBE absolute priority for use of the leased truck. Leased trucks must display the name and identification number of the DBE. Page 4 OB 12-04 Jane 29, 2012 Local Assistance Procedures Manual S. RESOURCES EXHBIT 10-1 Notice to Proposers DBE Information 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, Civil Rights, Business Enterprise Program web site at: http://www.dotca.gov/hq/bep/. • Click on the link in the left menu titled Disadvantaged Business Enterprise • Click on Search for a DBE Firm link • Click on Access to the DBE &ea Form located on the first line in the center of the page • Searches can be performed by one or more criteria • Follow instructions on the screen C. How to Obtain a List of Certified DBEs without Internet Access; DBE Directory - If you do not have Internet access, Caltrans also publishes a directory of certified DBE firms extracted from the online database. A copy of the .directory of certified DBEs may be ordered from the Caltrans Publications Unit at (916) 263-0822, 1900 Royal Oaks Drive, Sacramento, CA 95815-3800. 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 fnm that operates or maintains a factory, or establishment that produces on the premises the materials, supplies, articles, or equipment required under the Agreement and of the general character described by the specifications. B. If the materials or supplies purchased from a DBE regular dealer, count 60 percent of the cost of the materials or supplies. A DBE regular dealer is a firm that owns, operates or maintains a store, warehouse; or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the Agreement are bought, kept in stock, and regularly sold or leased to the public in the usual course of business. To be a DBE regular dealer, the firm must be an established; regular business that engages, as its principal business -and under its own name, in the purchase and sale or lease of the products in question. A person may be a DBE regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone or asphalt without owning, operating or maintaining a place of business provided in this section. Page 3 OB 12-04 June 29, 2012 EXHBIT 104 Local Assistance Procedures Manual Notice to Proposers DBE Information 3. SUBMISSION OF DBE INFORMATION If there is a DBE goal on the contract, a "Local Agency Proposer DBE Commitment (Consultant Contract)" (Exhibit 10-01) form shall be included in the Request for Proposal. In order for a proposer to be considered responsible and responsive, the proposer must make good faith efforts to meet the goal established for the contract. If the goal is not met, the proposer must document adequate good faith efforts. All DBE participation will be counted towards the contract goal, and all DBE participation shall be collected and reported. A ' Local Agency Proposer DBE Information (Consultant Contract)" (Exhibit 10-02) form shall be included with the Request for Proposal. The purpose of the form is to collect data required under 49 CFR 26. This form collects all DBE participation. Even if no DBE participation will be reported, the successful proposer must execute and return the form. 4. DBE PARTICIPATION GENERAL INFORMATION It is the proposer's responsibility to be fully informed regarding the requirements of 49 CFR, Part 26, and the Department's DBE program developed pursuant to the regulations. Particular attention is directed to the following: A. A DBE must be a small business firm defined pursuant to 13 CFR 121 and be certified through the California Unified Certification Program (CUCP). B. A certified DBE may participate as a prime contractor, subcontractor, joint venture partner, as a vendor of material or supplies, or as a trucking company. C. A DBE proposer not proposing as a joint venture witha 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 subcontractors, suppliers or trucking companies. 3. The proposer, prior to proposing, made adequate good faith efforts to meet the goal. D._ A DBE joint venture partner must be responsible for specific contract items of work or clearly defined portions thereof. Responsibility means actually performing, managing, and supervising the work with its own forces. The DBE joint venture partner must share in the capital contribution, control, management, risks and profits of the joint venture commensurate with its ownership interest. E. A DBE must perfortfi a commercially useful function pursuant to 49 CFR 26.55, that is, a DBE firm must be responsible for the execution of a distinct element of the work and must carry out its responsibility by actually performing, managing and supervising the work. F. The proposer shall list only one subcontractor for each portion of work as defined in their proposal and all DBE subcontractors should be listed in the bid/cog proposal list of subcontractors. G. A prime contractor who is a certified DBE is eligible to claim all of the work in the Agreement toward the DBE participation except that portion of the work to be performed by non -DBE subcontractors. Page 2 OB 12-04 June 29, 2012 Local Assistance Procedures Manual Notice to EXFIBTI' 10-I • P�oposeii� DBE.lnformetion. ExmBIT 10-I NOTICE TO PROPOSERS DBE INFORMATION The Agency has established a DBE goal for this Agreement of 8.79% 1. TERMS AS USED IN THIS DOCUMENT • The term "Disadvantaged Business Enterprise" or "DBE" means a for-profit small business concern owned and controlled by a socially and economically disadvantaged person(s) as defined in Title 49, Part 26.5, Code of Federal Regulations (CFR). • The term "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 RESPONSIBELITY A. DBEs and other small businesses are strongly encouraged to participate in the performance of Agreements financed in whole or in part with federal funds (See 49 CFR 26,'Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs"). The Contractor should ensure that DBEs and other small businesses have the opportunity to participate in the performance of the work that is the subject of this solicitation and should take all necessary and reasonable steps for this assurance. The proposer shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of subcontracts. B. Proposers are encouraged to use services offered by financial institutions owned and controlled by DBEs. Page 1 OB 1244 June 29, 2012 LoAssistance Procedures Manual EsJ�i6it 15-H Load DBS. fnform4tion - CAWY'MM Effort NOT APPUCABLE - MTCo has met contract DBE goal requirements F. Efforts made to assist interested DBEs in Obtaining necessa y egaipmeat, SWHes' materials or related assistance or services,-exchxft supplies and equipment the DBE Subeontracbar 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, ie., lists, Internet page doQmlaad, etc - NOTE: USE ADDITIONAL SHEETS OF PAPER EF NECESSARY - OB 12.-04 Jaae29,2612 E:{cildt H -H %oeatAa Mwee Procedwo Munn DBE rnforwaft -good FMrt NOT APPLICABLE - MTCo has met contrad DBE goal requirements C. The items of work whkh thebidder made avail" to DBE firms ming, where appropriate, any breaking down of ft contraatwork items (mcluft those items normally performed by the bidder with its over► forces) into economically feasible writs to facilitate DBE participation. It is the bidder's responsibiliip to demonstrate the sufficient work to facrl'tate DBE participation was made available to DBE firms. Items of Work Bidder Nodally Breakdown of Amount Percentage Performs Item Items ($) Of - (Y ....._ __ ...._ ._.... .. D. The names, addresses and phone mmnbers ofrejected DBE fim is, the reasons for the bidder's rejection of the DBEs, the firms selected for dw work (please attach copies of goatee from the firms involved), and the price difference for each DBE if the selected firm is not a DBE: Names, addresses and phone mmnbers of rejected DBEs and the reasons for the biddees rejection of the DBEs: E. Efforts made to assist fiftrested DBEs in obtaining bonding, lines of credit or insurance, and any tecintical assistance or information related to the plans, specifications and mems for the work which was provided to DBEs: PxS* H -Z Jww"12e12 off MM Exhibit 15 H Local Auldence Procedures Manuel DBE information - Goad Faith Effort EXIDBIT 15-H DBE INFORMATION--GOODFAITHEFFOIM DBE INFORMATION - GooD FAITH EFFORTS NOTAPPUCABIE - MTCo has met contract DBE goal requirements Federal -aid Project No. - Bid Opening Date eoblished a Disadvantaged Business Enterprise (DBE) goal of T! ........ .., ; �. for lhts,;p�a� 'Fieeiafor�at7oin-ps�vit�d herein:.shows that a gcwd faith el1ort was made. Lowest, seeand lowest and third lowest bidder's sha11 submit tlee £ol[ p& `�° good faith efforts. Bidders should submit_ollgvuiing:uifatmadtYeu'1�8y" f . the.bid<ier':.. or Consmstment" form indicates that the bifts.ftd-ft. -T I' vermisaward of the contract if the administering agency de itturas tUs tld made a mathematical eimr. bididetistiied'to to er=-for reasons, e.g., a DBE firm was not carM'ied at bid opening, or the bidder Submittal of only the "Local Agency Bidder DBE Commit inwe' form may not FO%0e sdfiicient documentation to demonstrate that adequals good faith eforts were made• The following items are listed in the Section entified "Submission of DBE CommitmeW of the Special Provisions: A. The names and dates of each publication in wltich:.a><rDBE;eiptaoa%his project was placed by the bidder (please attach copies of ailvtts°:ctr .. .. ..:°)� Publications .... Dates of Advertisement B. The names and dates of written notices sent to certified DBEs soliciting bids for this project and the dates aril 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 Jose 29, 2012 OB 1?r04 Local Assistance Procedures Manual EXHIBIT 16-Q Disclosure.of Lobhying.Activitks EXHIBIT 10-Q DISCLOSURE OF LOBBYING ACTIVITIES DISCLOSURE OF LOBBYING ACTIVITIES C01 I.ET6'%Ug1-0RDS.TOOISCIASELOBBYFQ31INGrAG[!VI`iITSPURStiAt�C U.S.C. 13 . 1. Type of Federal Action: 2. Status of Federal Action:3. Report e: ® a. conugix Q a. bwoffedappticatioa LI a. initial b. grant b. initial award b. material change c. cooperative agreement C, post -sward For Material Change Only: d. loan yea 4uaw e. loan guarantee date of but teport £ loan insuramx 4. Name and Address of Reporting Entity Prune lei Subawardee Tier , if known Congressional Disfrkt, if known 6. Federal Department/Agency. 8. Federal Action Number, if known: Vl,4.l4OW4 10. a. Name and Address of Lobby Entity (If individual, lost name, fust name; Ml) 0l0 S. If Reporting Entity is Ne 4 is Subawardee, Enter Name and Address Gf Prime: MjW-Ki10&4AS 1 CoMfPA44Y, IW, '1300 FOL -504A $LV 17.,SU IM :�,OCj CA 1*5240 Congressional District, ifknowa 7_F 4.; ERD1k Npnib�es, tfa�pi,cabte 9. Award Amount, if known: VrtWUkA b. Iadividuak Perforating Services (including address if diMsent from Wo. 109) (last name; first naa(mik MI) (attach Continuation Sheet(s) if necessary) T' 11. Amount of Payment (check all that apply) 13. Type of Payment (Cheek all that apply) $ D [3actual (3planned a. rstainer b. one-time fee 12. Form of Payment febeek ail that apply): _ a commission 8 a. Cash 4. contingent fee . b. in-kind; specify: r wMM ' - --- a defetmd Vaiud -€ £ other, specify 14. Brief Description of Services Performed or to be performed and Dates) of Servke, including ofltcer(s), employee(:), or members) Contacted, for Payment Indlcabed in Item 11: lip SepAAC IS sN�mtadoa Sheet(:) if nem) 13. Continuation Sheet(:) attached: Yes 13 No Q 16. [ofonnatioa rcgaested through this fomn aadtorized by 751k 31 U.S.C. Section 13S2. This dimtosuceofbbbYM9reliance Sigaeft=NJ- was phced by the tier above when his trmm im wasmaft or —� of ted into. This dtcdosm is required pmsumrteo 31 U.S.C. print Name t%:u .lbs It.j f.f 3 1352.. This falbrmad" willbf. apood W C tpcleitrrrra}tyandvnil'bea►?:fccpabltas�jA� 'Citle':t_.'."�• rn�s.rb.r:�rYPllf-i'�i'lz(i;', person wiw falls w to a civil patateYoftioltd00:aii�'iec;t�iaa �ot.�9?.4 5100,tiW foreteh each failure. Telephone No.: _ _ - -- - � Authorised for Local Reproduction Federal Use OW - Standard Form- LLL Distribution: Orig. Local Ageacy Project Files page l OB 12-03 June 26, 2612 Local Assistance Procedures Manual EXHiBIT 12-E PS&E Ciicekiiet Iastractious _ Attachment E ArrAcnmsNT E DEBARNIW AND sus"NsiON CERT mcAT'ON TITLE 49, CODE OF FEDERAL REGULATIONS, PART 29 The bidder, under penalty of perjury, certifies dad; except as noted below, he/she or any other person associated therewith in the capacity of owner, partner, director, officer, and manager: • R not currently under suspension, debarment; voluntary exclusion, or determiaet:on of ineligibility by any federal agency; • Has not been suspended, debarred, voluntarily excluded or determined ineligible by any federal agency within the past 3 years; • Does not have a proposed debarment pending; and • Has not been indicted, convicted, or had a "judgment rendered against k by a covet of competent jurisdiction in say matter nnvOKIng fraud or official misconduct within the Past 3 years. If there are any exceptions to this certification, insert the exceptions in the following space. N/A Exceptions will not necessarily result in denial of award, but wilt be considered in determining bidder responsibility. For any exception noted above, indicate below to whom it applies, initiating agency, and dates of action. Notes: Providing false information may result in criminal prosecution or administrative sanctions. The above certification is part of the Proposal. Signing tins Proposal on the signature portion thereof shalt Viso coastitute signature ofthis Certification. 4Wr 7 , /� 7�/ Fehr & Peers ... Page 12.29 OR 12-04 June 29, 2412 Local Assistance Procedures Manua{ EXHMIT 1" Disclosure dU0WftActlyifles. ExEuBrr ILO -Q DISCLOSURE OF LOBBYING ACTIVITM None DISCIMURE OF LOBBYING ACTIVITIES COMPLETEItS•FORMTQDISCLOSEl:0i1$YIAiC:I S*IR${JW TO 31 U.S.C. 2352 Type of Rederall Action: 2. States oif Federal Action: 3. Report Type: 13 �,.: µ a. bidtoffhAPPGcation a. initial b.: b, initial award L material change e.:.'-`- agreement e. post -award d soFor Material Change Only: c. loam-....:.. Yom— quarter— f. uartef. town Gisirie4rcc` ; date oflM report 4. Name su4,A-dWReport(ae Entity 5. If Reporting Entity la No. 4 is Subawarde% Enter Name and Address of Prime: Prime - ,tfknown Congressional District, if known' Congressional Distr2et, if2nown 6. Federal DepartmentfAgeney: 7. Federal Program NameR>escript2ea: CFDA Number, if applicable. -........__:. _.. -- _ S. Federal Action Number, if (mown: 9. Award Amount; if known: _ 10. a. Name and Address of Lobby Entity Individuals Performing Services (including (If individual, last names first name, Ml) different from No.1Qa) ,. �"•aip�'fust name, M[j (attach Continuation Sheet(s)3f0 11. Amount of Payment (check all dot apply) 13. Type ofp` ep (eheekOttthatapply) 5... o actual O planned a- b. b. ono -time the 11. Form of B aymant (check all that apply): o. commission ' a. cash d. condagentfee b. hr -kind; specify: nature,.. a deterred Value f. other. speft 14. Brief Description of Services Performed or to be performed and Dates) of Service, Including officer(s), employee(s), or memb c*) contacted, for Psymentlndleaied in Item i1: (attach Continuation Sheets) If neeesaery) 15. Continuation Shea*) attached: yes [3 No hiii r =�1:ClcS�. Sett�r135Z:'T��tctosatez�lobbXrn8 Signa[rm: - - - �;R�t��v?�wla}r-i�tau�fio�vW� :. •into:.'. '.ls' Punt Tiff `vi!DIfiooa Aliin Any Y5r1lshallsubjeet Trtte:.... _ �f fo av Pa it 9F!iiit ds tn►S QQ and notmoreilreu 8toti 000 Au esdi x'x#i faiturc,. Telephone No., 916-713-19QQ Data 9/26/12 Authorized for Local RcFroduction Federal Use Only Standard Farm -LLL Diafri6udon: Ong- Local Agency Project Files 00 12-03 dune 20, 2011 �g u Ls- O ca ` r -.i 0 co LO Cry C) a` t N oQ 10 M CN N�O _ co co M 00 L'7 m Go a10 �g u O ca ` r -.i 0 co LO Cry C) a` t N oQ 10 M CN N�O _ co co M 00 L'7 m Go a10 y> 0.V3 N k t a - s LA o O c 0 C4 C4 U o v .0 a -0 CFO r. p Q t :. Q: U10 ° c10 N m. �; P ¢ U fl u ` a II Dfi -o . to a,, . V' i > ` � IT S w,: —Im m -0 Qi &I m 6 Q U, � � >. V AU. >:. _ co > y 0 so o V 05 Q a V � ofLLJ 0 'i m � LT l _T. i - Q• V ¢ d h FIR I:, O ca ` r -.i 0 co LO Cry C) a` t N oQ 10 M CN N�O _ co co M 00 L'7 m Go a10 0.V3 N k a - LA o O c 0 C4 C4 U o v .0 N 10 -0 CFO r. p Q t :. Q: U10 ° c10 N m. �; P ¢ U fl u ` a II Dfi -o . to a,, . V' i > ` � IT S w,: —Im m -0 Qi &I m 6 Q U, � � >. V AU. >:. _ co > y 0 � V 05 Q a V � ofLLJ LL � l - r. Local Assistance FreWures Manual Exmnrr 10•Q !: Disclosure oiLot AeHvitks l Exwur1d-Q Dlsa,OSOREVFLOBBYINGACrIVITM 1 _ . bimettslatmra.�rrttsRus++aw. ! Dumbutlom Or* Low! Apacy Pv*ct Files OB i2-03 Junes 20, 2012 i 1 i DISCLOSUREOFLU1101 INVAUJ svaiMO, (LE7'B TAI&,PtilM 7'� AlSrri7:OH1�Y>1VaACilF1��PK]RSUAN'f ZrQ�33��i:��: 352:, 1 1. T pe of Federat Action: 2. Statue of Federal Action: 3. Report Type: ❑ a, contract Us. 6daaadwicetlan 13 a. initial h, grant b. iahiat award h, material ehsngs is C. coopew" agrecmwt s` rd For Material Clings Oni . ! d, iomt y41119 quarter o, loangumaaiec dateoflastnport $ I=tswaacc 4. Namsaad Address ofReportlngEntity 5. IfltsparthrgEntitp inNo.4 b Subaiwards% 1 EalerNsms and Address afPdhae. • ❑ Pdms ❑ Subarrardee - '! Iler , Lf hewn I. CoagressianatDistrict.3flwowa Cougresd aalDistrict,Ifknown { ti. Fedora! DVwtmuUft ltcy: I. Federal Prsgeam NatnelDesariptloa: CFDA Nu mbar. -VA Award B. BoderalActissNambeq ifkaown. 9, A � ifkwwn: i l0 a. Waage and Address dT.obby b. indMdaakPerfermhaEServku (ixGrding ifditTbm ; Svm No. lOa) 1 me" ad*= l Iadivida8l, panne, t'icvt aamt, MOi (lot same- 6ratpaanr" MI) ..i (MA Cairtinnatian $) >Fn09y) { 11. Amount of Payment (sheep all that apply) I3. Type afPaymept (check all that apply) S ❑ edaal [3P►� a. teta%W - - i b: one -flare fi:e i 12. Form of Payment (sheds all thst apply): a commission { L b = d. aortinge� ilx cra b. b0cind. speca)- MAnt a de6artr7d 1 Valus �� E . 14. BrkfIIuaripttoit of Servlew Perfbl'med or to lis performed slid Date(s) srsery M including e er(sb muF�9K(s). or metabsr(s) eontaated, far Payarept itadirated da Rom 11: 1. (attarl►Confmaauna Sbeet(s) Vn«xssaiy) Ix CsaNpwttop Sheets} sttaehadr Yea ❑ No' ❑' • d6, ta6ormatioa agacrteddtwoGh dris fhmt E: autbo[ittd bY7tiee IAa 31 U.S.Q &Kiw 1352 Ibis dtsolewaGoflnbbylagsip (. was QWxdbYdrot<etabowswivaldatratvris apadeos .. �/ awed ate. 'Ff6a qua � requtmd paaaanttoBl tl.5.G`. N .: , .: • :�l��.j/��l4'C�;►l � 1. 1352. 't3ic inPoratatioa w;ll6sseported to t.sagrsss ,, .:' semlarmesUysadvdif beavaHatils€srpobltopmC9oa. AaY .tea.- psaaouwltOl�Is�$Isib6ndlcdosu[esGaAbsmt�t _LaC toaaivN{ aitp aatlesa6iartS1Q.000arai�tatmorstFan fAf&duiDdm:- TtJqbu6W [. tOAN fcrcub much flus Autborizad Rar Iacai Reprodndioa " . . Federal Use Only. standard Form - LLL f _ . bimettslatmra.�rrttsRus++aw. ! Dumbutlom Or* Low! Apacy Pv*ct Files OB i2-03 Junes 20, 2012 i 1 i 11fForm 10-P _ Local Ajener.: GtY of {,Odi P[ojgtt i nElptlon:.; Professional Engineering Services Proposal pate: September 28, 2012 Name: _ APEK Civil Engineering _......... . The prospective participant certifies by signing and submitting this proposal/W to the best of his or her knowledge and belief that: (I) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the matting of any federal grant, the making of any federal loan, the entering Into of any cooperative agreement, and the extension, continuation, renewal, amendment: or modification of any federal contract, grant, loan, or cooperative agreement. (2) If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to Influence an officer or employee of any federal agency, a Member. of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit standard Form - LLL, "Disclosure of Lobbying Activities," in accordance with its Instructions. This certification is a material representation of fact upon which reliance was 'placed when this transaction was made or entered Intro. Submission of this certification is a prerequisite for making or entering into this transaction. imposed by Section 1352, Title 31, US. Code. Any person who fails to file the required certification shall be subject to a civil. penalty of not less than $10,000 and not more than $IW,= for each such failure. As the prospective participant we also agree by submitting this that we shall require that the language of this certification be included in all lower -tier subcontracts which exceed $100,000 and that all such sub -recipients shall certify and disclose accordingly. Pairicia l>xesian,Pr&rcipal Enghieer _ Name, Title PUBUC WORKS ♦ COMMERCIAL FORENSICS TRANSPORTATION PO BOX 1196, ORANGBtAt,E, CA 95662, E -MNL: PATlttt3l4.PMT0N@APEXCMLC0M T: 916.717.2832, F: 916.988.6770 T o -al A—.I"- Pineedrlrlaaaal err 10-P nee aes _ . _ _ 1Vonlobbying Certification for lhderat-std Coatrada EXMBff 10-P NONIABBYING CERTIFICATION FOR FEDERAL -AID CONTRACTS The prospective participant certifies by signing and submitting this proposal/bid to the best of his or her knowledge and belief that (1) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract; the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment; or modification of any federal contract, grant; loan, or cooperative agreement. (2) If any fumds other than federal appropriated funds have been paid or will be paid to any person for influencing -or -attempting -to influence an ofi'icer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in cormection with this federal contract, gram loan, or cooperative agreement; the undersigned shall complete and submit Standard Form -LLL, "Disclosure of Lobbying Activities," in accordance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails toff% the required certification Mali be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting hislher proposaLlbid that hatdie shah require drat the language of this certification be included in all lower tier subcontracts which exceed $100,000 and that all such sub -recipients shall certify and disclose accordingly. Pagel OR 1"3 Junc^ 2012 Local Assistance Procedures Manual EX=rr 10-01 __.. _ . -... Local Agency Consultant DBE Commitment EXHIBIT 10-01: LOCAL AGENCY CONSULTANT DBE Co mM nrmENP (Inclusive of all DBEs at time of proposal) A CYM-• PI&Am r^fer to inatmctinm rm the reverse side of tilts form. '-. �1'-.•. ��1.4... ;'•:. `C<^•a'�-ster=' - - - _ ��•_4 ,• a'v>.�«�,.�: sQ{r�. r. h1.-'=`":°ri'-'a1i'-an.Y� ;.i�.b" ' r • r. y�a�iAY'i�OLVn1�T�R/�m'1�K��sdl� i �4 [..��;'::�: rti'.:.....,,� •(• i`4 "I`�___ L Loeat Agency Names City of Lodi Department of Public Works... 2.ProjedLocatioW Lodi, Colifomia 3.Project Description; Pfojed Mattiljetiieeit, C? tgn-.ar,d EbgfneebgfZfhs Eiartzeytans7t P it:G ' r �__P�r 4. CousaftantName:. Mark Thomas & Company, inc.. S.ConizactDB£Goat%•_ .ITIQ - - , ...... .. _bB4CommntmentInformation_._ .. (,. Deseriptii»tof$gvices Oo ba Ptotli d 7. DBE Film L DBE COR 9 DBfi Y. Comm ThIannndon u -ic ut_rea Jtj'" ;;Btjeikie Comrnuiiicor►s. - ,_09'464=8707 frcrt;t�res :'R etit:_' ex Crg1 En I ennq 38747 Q. _; :PenQcnGou.. 37638, —00,91.327.-4261 Lb. Local Agency Contract Number 17. Federal -aid Project Number`-� ... -.. ._.. — ...:. ,.` : ` _ '`-' si::•.., :�Y.�.(.:Sf. -_ ~� �.�t .,.' Jas l� - - IL Proposed Com Execution Dvo: Local Agency cantles that all DBE certifications are valid and the information on this form is Complete and nomate: 11 Prepmes Nemo (Flat) 19. Local Ageaep GjiF ita4ve W2WW (PRrtt) Vice PresiderifirPnce'[tici1 a Ftrpaar's Ti6e _ . ... 2� Lacai Agency &eprete five s[Beatorc - - 21. Date-- ate-.'._-2L -22.L acat lje RelffewaWm7iffe, U (Am Code) Tel No. DiatriMtion:(I)Origurel-SubWtwithAwardPadaW (2) Copy -Local Agency files Page 1 OB 12-04 Jane 29, 2012 Local Assistanee Procedures Manual EI mer 12-E PS&E Chaklirt Indraellow Attxc_L. ment E ATFACHlVi M E DssAitl ENT AND SUSPENSION CERTMCATION MLE 49, CODE OF FEDERAL REGULATIONS, PART 29 The bidder, under penalty of perjury, certifies that, except as noted below, bdAc or any other person associated therewith in the capacity of owner, partner, director. officer, and manager: • is not cutely under suspension, debarment; voluntary exclusion, m determination of ineligibility by any federal mor. • Has not been suspended, debarred, volwrtan'ly excluded or determined itteligi6le by any federal agency within the past 3 years; • Does not have a proposed debarment pending and • Has not been indicted, convicted, or had a civil judgment rendered against it by a court of competent jurisdiction in any Matta involving fraud or official misconduct within dw past 3 years. If there are any exceptions to this certification, insert the exceptions. in the following space. None Exceptions will not necemnly result is denial of award, but will be considered in determining bidder +esponsibAity. For any exception noted above, indicate below to whom it applies, initiating agency, and dates of action. Notes: Providing Use information may result in crunind pms+ecution or wive sano901s. The above certification is part of the Proposes. Signing Ibis Proposal cn the sigashue portion thereof shall siso constitute sigpatare of this Certification. _ ......_ Page 12.29 0812.04 Jane 29, 3012 Load Assistance Procedures Manual EXHW r 10-Q Disdosare of Lobbying Ac#ivitles_. NOT APPUCABLE EX=rr 10-Q DISCLOSURE 9FLOBBYING ACTIVP M . DISCLOSURE OF LOBBYING ACTIViTTE.S - -- i. Type of Federal Aetion: 2. Status of Federal Aefloa: ❑ a. contract ❑ a. bWofWappacaliaa b. grant b initial sward a eoopearliveagreement C. "ad -award d. loan For Material Change Only: f loan gtt rantwMac, dilate oflast � i loan insurance 4. Name and Address of Reporting Entity 5. If Reporting Batley L No.4 h Sa6awai'deer Enter Name and Address of Prime: ❑ Prim" ❑ Subawandee Tier ,1fkoowa 3. Report Type: ❑L WN b. material d mge Distribution: Orig- focal Agency Project Files _._:...... _ _..._:.:_.- __:.:...... pap OB 12-03 Jane 20, 2012 Coagrwional Diahic ifknowa Congreaafonai lilsfrEet; ifknowa 6. Federal Mpartsent/Agency: 7. Federal Pragram Name/Deaeeiptloat CFDA:Numbw ifappbcable - L Federal Action.Number, if known: 4 Award Amount, if known: la. a. Name and Address of Lobby Entity b. IndMdU& Per " tgSewiess fhtchtdittg (ifindividual.addeessifdit'%tefcsoWIOa) (let name. first came, Mi) (attach Continuation Shat(s) if aecematy) IL Amount of Payment (check all that apply) 13. Type of Payment (eheek ail that Apply) S . ._:_ _..:..,❑ actual ❑ Planned a. retailer b. one-time be Form. of Payment (check all that apply): C. emomission a. cash d. contingent fee 8 b. is-Wnd; specW. nature.. e deferred value. it other, sem: 14. Brief Description of Services Performed or to be performed and Datt(s) of Suvk% including ofiieer(s), employee(s). or member(a) contacted, for Payment Ledlcated in Item 11: (attar]i Continuation Sheets) ifnecem") 15- Coutinoatioa Sheets) attached; Ya ❑ No ❑ tC hama"tegacsl ddsoaBttsisttnmisaeUtorWbyTift 3IU.S.C: Section 13S2.Thisdisciosuneoflobbyhtgreliom Sigoahm was plaid by the tiersbow when nit oran�Oswas Mile or entned Inte. This disclosure is MAW puts" to 31 U.S.C. Print NNW 1352. Tic irtlbnnatiat w� be rgiated toCoa _ .. _. _ ' sromiatstueltyandwdl.�4vabi�_ ��''' Tom, - p�nwhosi>stot�t5s � . haat�xt --- _._ .. _ _.. __ . _• toaciriipenalbyofattt'�CtYtbtdk , .ndfs�ce�n i100AWfor cubsuchfulove. Autbmiaed %r Local RepradttWm Federal Use Only: s Fo"n - LLL Distribution: Orig- focal Agency Project Files _._:...... _ _..._:.:_.- __:.:...... pap OB 12-03 Jane 20, 2012 Local Assistance Procedures Manual E7®ri lf-L E =rr10-L CONSULTANT CERTIFICATION OF FINALINDDtF=COSTS Firm Name:- Mork Thomas & Company, Inc. Indirect Cost Rate.- 125.98% Date of Proposal, Preparation (mm/ddtyyyy):. 10/08%1012 Fiscal Period Covered (mmldd/yyyy to mm/dd/yyyy): 9117/2012 to 4/22/2014 I certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as speodi'ied above and to the best of my knowledge and belief. 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 Replations (CFR), part 31. 1. This proposal does not include any costs winch are expressly unallowable ender the cost principles of the FAR of 4$ CFR 31. 2. All lmown material ftensadions or events that have 00MUred affectingthe firm's ownership, GWnizB" and indirect costrat>os' .. been disclosed. *Consultant Signature - Name and Title (Print) Robert A- Himes, Vice President/Principal Date of Certification (mm/ddfyyyy): 10/08/2012 *An Individual executive or financial officer of the contractors organiwdw at a level no lower than a Vice President or Chief Financial Officer, or egaivakm4 who has the authority to represent the financial information utilized to establish the indirect cosi rate proposal submitted in co4unc tiwt with the contract. Distn'b dm- 1) Original to Catuaw Audits and investigations with CostProposd Bi1M or mora 2) La d Agency ProjectFiks OB 12-03 June 20, EanBrr io-x Local Assistance Procedures Manual Certification of i�nsudal Maaagetn�t System and Contras Costs ertif c �. Local Agency Certification — Cost Analysis: t the undersigned, certify that I have performed a cost analysis in connection with this contract including contract modifications exceeding $150,000, for the fiscal period as specified above. Local Agency Certification Signature;. Local Agency Certifying Name and Title (Fi t); Local Agency Contact Information — Email and Phone number: _. _ ... Date of Certification (nmmldd/y)yy): Date of Cost Analysis (mm/dd/yyyy):.... _ .. ... Distribution: 1) Original to Caltrans Audits and hwestkWom with Cost Analysis if$IM or mope 2)IAeai AgwayFMjea Fifes Page 2 June 20, 2012 OB 12.43 14wW Assistance Procedum Mount mauBrr 10-K CerdrWatioa of ftmcial MsnWmeet $y*M rad Contract Costs Exdisrr 10-K CEILTHWATION OF FINANCIAL MANAGEMENT SYSTEM Arm CONTRAcr Cows Consultant Certification: Consultant Finn Nance• Mark Thomas & Company Inc Cost proposal Date: October 8, 2012 Fiscal Period Covered (mm/ddfyyyy tD mmld ftM): 9/17/2012 to 4/2212014.: L the undersigned, certify that all costs in this proposal (prime consultants and all subconsultants)we allowable in accordance with the cost principles of the Federal Acquisition Regalations (FAR) of tide 48, Code of Federal Regulations (CFR). Part 31 and the indirect cost rates) have been prepared or audited in accordance with the following criteria and in the acceptable indirect cost rate schedule formats, and rebind in The project files: 1. Generally Accepted Government Auditing Standards (GAGAb`j issued by the United States Government AccauntabRy Office, if applicable. 2. 23 Code of Federal Regulations (CFR), Chapter 1, Fart 172—Administnstion of Engineering and Desiga Related ServiceCotes. 3. 48 CFR, Chapter 1, Part 31— Contract Cost principles 4. 48 CFR, Chapter 99, Cost Accounting Standards, Subpart 9900 5. All known material transactions or events that have occurred affecting the firm's ownership, organization, and indirect cost rates have been disclosed. I, the undersigned, further certify that our financial management system meets the standards for financial reporting, accounting records, internal and budget control as set forth m the FAR of title 49, CFR, Part 18,20. b addition, I the undersigned, ceriif}► that the approximate dollar amount of all A&E contracts awarded by Caltrans or a California local agency to this firm within the cast three (3) calendar years for all State DOT and Local Agencies is $. 40,234 8;27:80 and the nu nber of States in which the firm does business is 1' -1. .1 *Consultant Certificmion Signature: . Consultant Certifying Name and Title (Print): Robert A. Himes, Vice President/Prindpal Consultant Contact informagon—Email and Phone number , Mmes@markthomas com;#4381-9100 Date of Consultant Certification (mm(ddlyyyy) 10/08/2012 *An Individual executive or financial officer of the contractor's org�nrza im at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the indirect cost rate proposal submitted in conjunction whir the coahtract. 03 12-0 Local Assistance Procedures Manual EXHIBIT 10-F C"MeatiortofConsuliant,.Commissloas&,Fos.. Ex=rr 10-F CERTIFICATION of CoNsuLTANT, CommlmONs & FzEs I HEREBY CERTIFY that I ant the. Vice President/Prindpol _ _. and duly authorized _ representative of the firm of Mark Thomas & Company, Inc. whose address is 7300 Folsom Boulevard, Suite 203, Sacramento, CA 95826 , 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 fie, or other consideration, any firm or person (other than a bona fide employee working sorely for me or the above consultant) to solicit or secure this agreement; 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 agreement. nor (c) paid, or agreed to pay, to any firm, organization or person (other than abona 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 agreement I acknowledge that this Certificate is to be made available to the California Department of Tramvorbdon (Caltrans) in connection with this agreement involving participation of Federal aid Highway fiords, and is subject to applicable state and federal taws, both criminal and eivik (Signature) -. Distribuffew. . t) Loot ASM q t?gCd File (Origind A Ca *K* 2) DLAB (wide= ad copy) 01312-0 Jane 20, NON -SUBSTITUTION MTCo. acknowledges that no substitution of the proposed team members and subconsultants will be done without prior approval by the City. CONFLICT OF INTEREST MTCo warrants that no official or employee of the City has an interest, has been employed or retained to solicit or aid in the procuring of the resulting contract, nor that any such person will be employed in the performance of such contract without immediate divulgence of such fact to the City. NON -COLLUSION MTCo warrants that our offer is made without any previous understanding, agreement or connection with any person, firm or corporation submitting a separate proposal for the some project and is in all respects fair, without outside control, collusion, fraud or otherwise illegal action. This condition shall not apply to proposals which are submitted by firms who have partnered with other to submit a cooperative proposal that clearly identifies a primary consultant and the associated subconsultants. INDEMNIFICATION & INSURANCE COVERAGE MTCo has the ability to fulfill the indemnification andinsurance requirements contained in the sample contract (attachment 1). MTCo also acknowledges that actual Certificates of Insurance are not required as part of our submittal. NON-DISCRIMINATION AND DBE REQUIREMENTS It is the policy of MTCo to provide its employees, applicants and independent contractors with a work environment that encourages efficient, productive, and creative work. MTCo does not tolerate any form of harassment, including but not limited'to harassment on the basis of race, color, religion, sex, (including pregnancy, childbirth or related medical conditions) national origin, ancestry, age, medical condition, physical disability, mental disability, family care status, veteran status, marital status, sexual orientation, or any other basis prohibited by law. In addition to MTCo's policy regarding harassment in the work place, the law provides that all employees have the right to file a charge or complaint with the department of Fair Employment and Housing ("DFEH") or the Equal Employment Opportunity Commission (°EEOC"). The EEOC is the federal agency charged with the enforcement of federal laws protecting employees from unlawful discrimination. The DFEH is the state agency that protects employees against unlawful discrimination. If employees think that you they been harassed or have been retaliated against for resisting or complaining, they may file a complaint with the appropriate agency. MTCo believes in providing opportunities for Disadvantaged Business Enterprises, with the goal of developing long-term business relationships. Our goals are to identify firms that have similar approaches to management, With good track records of performing quality work on time and within budget. We have been very successful in developing these teaming relationships over many projects (with and without goals), and have successfully met or exceeded DBE goals on previous projects. For this project, we have enlisted the expertise of three certified DBE firms — Judith Buethe Communications, Apex Civil Engineering, and Pennino Design Group. Together, these firms will be responsible for 10.25% of the work effort for the Homey Lane/UPRR Grade Separation PS&E Project. ads --*-Wdnpw)j 0 .,W~dnpm — kr=MSPKW4r --- �_M VwIp*W:dnp"M r—M qw.Lpwag r_==n� *.1dn9wa r mend **I"a . -'eWpo a Cut FMM.M more -- ---- Al, MAUC.-J, "imp ts :cvMtL-w %mmoi LAPS vww&"M VMP-M -up a RUPIM, UM %V"N-1 4.1, 'towl-01 -CUM-M -Po pw ."a. - IV. SMYS-n l*MW-j Vv * t .�uwsm _:!4p0_ tulaik" cum..L Vapoc _J% VOdrJNOkFfMGV=M*QWWd 't, WMUM .6po VA U=u.ft Lupo "Po ._K. M !Cww&q% _�"Q. tutus UM @Doi --cuml.p. CM99.4 AMUM �z 'was"t s" MAW -H -UPM ,.9i "Mo%womp"SAMPNOOM ca IM Cut owmes k ikFaam 401 A_ zw=-M NGWZ uePCBtLtNPPaPLMLPdLW PLPALO PmLaLtl U. U=Pm -c"IXIC "M -boo AQ-Mwbwp--ddv qMwo*w'S.Pw.*ftn $I,- oft!241 ift cmpom zcuaw ntlt 96ar It '"MMA _'Z�LmtNk .AM-,M.P5np-ww-4-d - amict mPk CHpLLri UK -R. .4-poot AL rircatPd WaMPA Lf -pe OUR.-HOM It We GLMxpd -Wws-ft 0-9 W44ivvjwpm , t&WXVj 'pampj A"* I-7PW-PS3"ll*SpM As emm " claus-W -we WP+edLN398d Y9 V9 twoolq -ftat IM.WSPITIM 99 =MR 'CUSURIQ 1. U&w. W& '.'UWL-H PMUM-fta-d 'we Ct"us 03 -tip a Pso-M.9A-M pq4-MM3vSd%w CO. -we .'UNAUM jCWHMKA '81MUM *UPW Pw""3M%M IMAMW -hP% Fal-M632"7L06 if up ,Wlnm ;tuca,tucat" -A-Po A. :91 cm mtv=tw ;twWV$w -Wo 'turarlm -Iwn nww"3m ano Lwtsz awtipw "OLtow Lupo :cvMtL-w %mmoi LAPS RUPIM, UM %V"N-1 4.1, 'towl-01 -CUM-M -Po apmjo.*.N IV. SMYS-n l*MW-j Vv * t .�uwsm _:!4p0_ tulaik" cum..L Vapoc _J% VOdrJNOkFfMGV=M*QWWd 't, WMUM .6po +Lllpaia+w7l.LawNP•L6 ._K. tutus UM @Doi 'was"t s" LLLtO�iLIL tLPYQ ,. ,.9i "Is NONCOM 'UP= A xwwp.F4dw U=Pm -c"IXIC "M -boo AQ-Mwbwp--ddv gwm� P." AVU91% "!"a ift cmpom zcuaw ntlt 96ar sllA '"MMA _'Z�LmtNk .AM-,M.P5np-ww-4-d - amict LuP,q lit, 4&MMLQU W* OUR.-HOM ft cuumpwa swoompai Sopoc qo.Wdw-wdrUvP)MQc rWAPOM 'tw4pw &%PI3 tulwap" "M 26opq_ CAM :tHC.i pw cwmpm L&P CWNS"M LAP. W& COM41ML ."o ;Z=aPVA OMNI MM NPS -cum P" MMML -PAQ -WPbNftp-"MMH~ a MUM mm. 'c"Myj -up a .. L- 1� :aWo� MRS' WSW -K-k wsm"dD*W& # -ZWMLpd .v=tum MPP 'CUIPUP-M tw=—A Lw"z *&Po (dW SH MM MON30i -_..._CIO. 4-="=y Z1W.1 -we : MM"I al"mil WS""t 'It k A -it x J_ _U 4.4 GENERAL cROSs-sF-cnom MTCo will use.Autodesk Civil 3D to create general cross-sections at 50 -foot intervals. The general cross- sections will include the pavement sections, curbs, gutters, sidewalks, ditches, soundwalls, and critical offsets and elevations. These cross-sections will be used for estimating excavation and embankment quantities, and will be available to the contractor during bidding_ 4.5 SLOPE STAKE NOTES MTCo will export information from the general cross-sections produced in Task 4.5 into an Excel spreadsheet. This information can be used by the surveyors providing construction staking for the project. 4.6 RESIDENT ENGINEER FILE MTCo will provide a Resident Engineer (RE) File to the City prior to construction. The RE File will provide useful information to the construction inspector, and will generally include quantity calculations, critical information the inspector should know, etc. 4.7 PREPARE PRELIMINARY SWPPP MTCo has several certified QSPs and QSDs on staff. it is now required that preliminary SWPPPs be prepared and uploaded to the State's website in order to receive a WDID number (as required by Caltrans). MTCo will prepare the preliminary SWPPP for upload. TASK 5: BIDDING ASSISTANCE AND CONSTRUCiION_SUPPORT 5.1 BIDDING ASSISTANCE MTCo and our subconsultants will provide assistance, as required, to the City during bidding of the project. An allowance has been provided for bidding assistance in our fee, and this work will be charged on a time and materials basis. 5.2 coNsmucTION su"ciar MTCo and our subconsultants will provide assistance, as required, to the City during construction of the project. An allowance has been provided for construction support in ourfee, and this work will be charged on a time and materials basis. 5.3 RECORD DRAWINGS MTCo and our subconsultants will provide Record Drawings to the City after construction is complete.: construction pricing. The Plans and Estimates (P&E) will be provided at 65% submittal and the PS&E will be provided at the 95%, 100% and Bid Package stages. a is anticipated the plan package will include the following plan sheets: 4.1 PRoma Paws MTCo and our subconsultants will prepare the following Plan Submittals: . 4.1.1 65% PLAN sueatlTrAL The 65% plan submittal will include the sheets specified above and.will.specify critical details needing approval. . The intent of this submittal is to gain buy -off on plan layout and standards used, and confirm property and utility impacts. 4.1.2 95% Peart susmTrAL The 95% plan submittal will include the plan sheets specified above and details. The 95% plan submittal is considered to be 100% and will be used to perform a thorough internal review for constructability and bidability. 4.1.3 100% PLAN sue wrrAL The 100% plan submittal will include the plan sheets specified above and details, and will include final comments received by the City and MTCo's internal reviewers. 4.1.4 eta se -r suemiTrAL The Bid Set submittal will be printed on myiar or vellum (whichever the City prefers), and will be signed and ready for the City to advertise. 4.2 sPEciAL Ptt mtoNs MTCo will prepare Special Provisions for the project. The specials provisions will combine of Caltrans general provisions and the City's technical provisions. The special provisions will be submitted at the 9596' and 100% plan reviews and Bid Set. 4.3 EaimATEs MTCo will prepare preliminary construction cost estimates and submit them with each plan submittal. MTCo will also prepare preliminary costs for design options, as needed, for the City to make decisions. 2.2 STRUCTURE INDEPENDENT CHECK Upon completion of the 65% Structures Submittal, APEX will commence the structures independent check. All discrepancies between the designer and independent checker will be resolved prior to the 95% Submittal. 2.3 LANDSCAPE DEsIGN Pennino Design Group (PDG) will develop up to two concepts for hardscape and landscaping the medion and the outside embankments for the overhead crossing from Hutchins to Stockton. This scope includes preliminary design of all four quadrants of the grade separation. The scope and fee con be adjusted if the City decides to landscape the northwest quadrant only. 2.4 UTIury COORDINATION MTCo will coordinate with utility companies to relocate their facilities to accommodate construction. This includes: ■ Sending Utility W tetters (Already sent in PA -ED ■ City and Utility Companies will Approve contract) Agreements IN Sending Preliminary Conflict Mapping (Already sent ■ Preparing Certification of Sufficiency (MTCo and in PA -ED contract) Neil O. Anderson) ■ Attending Field Meeting with Utility Companies ■ C61trans will Issue an Environmental Certification ■ Utility Company will Prepare Their Relocation ■ Caltrans will Issue an Right of Way Certification Design ■ Utility Companies will Send Their Claim Letters Submitted to the City TASK 3: RIGHT OF WAY SERVICES It is assumed there will be seven (7) acquisitions, and temporary access will be allowed with Rights of Entry. With federal funding, Caltrons will be involved in every step of the right of way acquisition process. They will review the plats, descriptions, appraisals, and offers, and will ultimately issue a right of way certification. 3.1 APPRAISAL SERVICES Interwest will subcontract with Sierra West Valuation to perform appraisal services as described below. The reports will be prepared in conformance with and subject to the requirements of the Uniform Standards of Professional Appraisal Practice (USPAP). 3.2 APPRAISAL REVIEW Interwest will subcontract with Henry Spoto to perform the appraisal review services described below. The reports will be reviewed in conformance with and subject to the requirements of the USPAP. 3.3 ACQulsmoN/NEGOTIA11ON PROCEss Interwest's licensed agents will negotiate to acquire interests that are identified and required for the project. Interests to be acquired or cleared include, but may not be limited to: fee andpermonent and temporary construction easement. MTCo will be heavily involved with the acquisition and appraisals, providing exhibits and attending field meetings with the appraiser and property owners as needed. TASK 4: PROJECT PIANS SPECIFICATIONS & ESTIMATES (PS&E) MTCo and our subconsultonts will prepare the Plans, Specifications, and Estimates (PS&E) based on designs performed in Task 2 of this scope of work. The plans will be prepared in AutoCAD, in a version compatible With the City's software requirements. Specifications will be prepared in MS Word and will be based on the City and Caltrans specifications. The Estimates will be prepared in MS Excel and will include quantities and current 1.4 PUNDWG suPPORT In addition to coordinating with CPUC and CTC to acquire Section i 90 funds, as defined in our PA ED contract, MTCo will assist the City to prepare the E-76 authorization request for federal funding reimbursements. 1.5 PREPARE/UPDATE PROJECT SCHEDULES MTCo will continue to update the project schedule for review at the PDT meetings. 1.6 MONTHLY PROGRESS REPORTS MTCo will prepare a monthly status spreadsheet with each of the invoices submitted for payment. The spreadsheet will show the original budget, reallocated budget, amount spent to date, amount spent this period, and percentage spent to date for each task. 1.7 QUALITY ASSURANCE/QUAM CONTROL MTCo will employ our comprehensive QC/QA checklists and perform an independent review of each submittal in parallel with agency reviews. We have assigned Matt Brogan (MTCo) to serve as Quolity Control Manager for this project. He will be responsible for internal and external quality control measures (e.g., verifying sound design practices internally, and verifying that our subconsultants are using most recent information). 1.$ UPRR/CPUc ANa usury cooRDINATiom MTCo will continue to coordinate with UPRR, CPUC, and the City to facilitate approval of the following: ■ Cost Sharing Agreement N Construction & Maintenance Agreement for the ■ Right of way and aerial easements for construction new grade separation ■ GO -886 grade separation crossing application 1.9 CALTRANS COORDRMATION MTCo will continue to coordinate with Caltrans and the City to facilitate the approval of the following (these items are now required with federal funding): ■ Record of Investigation f Utility Agreements ■ Certification of Sufficiency 1.10 PUBLIC OuTREACH ■ Environmental Certification ■ Right of Way Certification Judith Buethe Communications (JBC) will continue to provide public outreach for this project. JBC is already scoped to provide several update newsletters throughout the project within the PA -ED contract. For the PS&E scope, JBC Will coordinate two (2) public meetings. It is anticipated that these meetings will be held following the 65% design submittal and after the project has been awarded. This will provide a check-in with the public and property owners during design and just prior to construction. MTCo will continue to provide support at the Shirtsleeve and Council meetings as needed. MASK: DEYAI.L..ED PROJECT DEIGN 2.1 srRUcruREs DEsiGN MTCo will prepare structure plans based upon the approved General Pian. The structure.will be designed using Load and Resistance Factor Design following AASHTO tRFD Bridge Design Specifications. Other references that MTCo will follow are Caltrans Division of Structures -Bridge Memo to Designers, Bridge Design Aids, Bridge Design Detdils, and BNSF=UPRR Guidelines for Railroad Grade Separation Projects. WORK PERFORMED UNDER CURRENT PA -ED CONTRACT Several of the tasks that are included in MTCo's current PA -ED contract will continue through completion of the PS&E contract, as detailed in our approved contract with the City. As such, these tasks are not included in the following scope of work. These items generally include: DESCRIPTION Funding Support (Section 190 Authorization) PERFORMED BY MTCo = Right of Way Plats and Description Baumbach & Piazza (UP) - "Show Me Stakes" for Proposed Right of Way B&P Hydrology. and Drainage Design B&P;.•,� _ ., ,_ .: Preparation/Distribution of Newsletters JBC... Design,l;efinemep# gnd Geometric=:,. • rovgl.DrQwirigs „ _ _,,_,:--��___- _MT -._--.. -_ - In addition, there are several PS&E level tasks that have already been completed; therefore; they are not included in the scope below. These items include: Bodis for Brid a and Retoinin Wall Foundations Neil O. Anderson & n 9 9 9 r Associates r{eelnn_I u�rcl Tnnnnrnnhie �iuwa��e B&P WORK PROPOSED FOR THE PS&E CONTRACT TASK:1.: PROJECT MUWAGEMENi' -. 1.1 PROJECT DEVELOPMENT TEAM (PDT) MEEriws MTCo will continue to coordinate with the PDT on this project. Once PS&E design commences, meetings will be held on a monthly basis or as needed to correspond with deliverables and decision deadlines. The PDT meetings will include the City, MTCo and our subconsultonts, Caltrans, SJCOG, and other agency representatives as appropriate. MTCo will continue to take the lead in facilitating the meetings, preparing and distributing meeting agendas, inviting meeting participants, and preparing/distributing meeting minutes. Meeting minutes will include a list of materials distributed/discussed at the meeting, and a summary of action items to be addressed prior to the next meeting. This proposal assumes there will be 10 PDT meetings. 1.2 CLIENT/SUBCONSULTAN7 P80JECr MANAGEMENT MTCo will continue to perform ongoing general project coordination with the City and our subconsultants. This will include maintaining project files; holding focused design coordination meetings; and preparing correspondence, e-mail, and phone calls necessary to manage the project, maintain project budget, and achieve on -schedule submission of project deliverables. 1.3 AGENCY COORDINATION MTCo will continue to perform ongoing general project coordination with the City, Caltrans (for right of way certification and funding authorizations), Union Pacific Railroad (UPRR), and the California. Public Utilities Commission (CPUC). This will include holding design review meetings and CPUC field review meetings; and preparing checklists, applications, and submittals consistent with Coltrans, CPUC, and UPRR guidelines. 1. MTCo will look at several options for the lowest cost structure, but typically a 3 -span structure is the least expensive because it is easiest to construct and provides the thinnest structure depth, ' which reduces embankment costs and will accommodate High Speed Rail in the future. 2. UP will require the project accommodate a future track (most likely to the east) and maintenance road. ' 3. Per the UP standards the structure supports will need to be completely outside of UP right of way i and have a minimum construction clearance of 21'-0" high and 12'-0" on each side of the track. The permanent minimum clearance must be at least 23'-4" high and 25'-0" on the outside of the tracks (existing and future). 4. The barrier fence shall extend to the UP right of way and a minimum of 25' outside the tracks. 5. There is a Kinder Morgan fuel line that runs within the UP right of way. For an overhead structure it is anticipated the KM fuel line will not require relocation, but a KM inspector must be in the field during foundation construction. 6. Utility relocations along Harney Lane should be minimal because the existing Lodi electric overhead lines, water lines, gas line and fiber`optics are located along the north right of way line. 7. The overhead structure will be designed to discourage camping under the structure. , 8. UP requires that access roads are constructed along the new embankment or at the bottom of the MSE wall to provide access to their right ofway. The City and utility companies will most likely require this also. Access driveways will, be required from Harney.Lane to these access roads. 9. The noise study shows that a new soundwall is required at three locations. The next step is to prepare the Noise Abatement. Decision .Report (NADR) to determine whether each wall location is i feasible: 10. Councilmembers Joanne Maurice and Larry Hansen would also like to see soundwalls constructed . on the south side of the overhead structure. 11. An overhead crossing will be seen from the residents that back-up to Harney Lane. Landscaping the embankment slope and providing a screen wall on the north side adjacent to.the neighborhood will be considered. 12. The overhead will..b..e desgned_to. AASHTQ "taillight" sighf distance_guidelines.whch_pr_o..vides.._._ ._._ conforms near the existing and proposed driveways and public roads. , 13. Per AASHTO guidelines, sag curve lengths can be reduced by providing street lighting. ' 14. Working with the Costa's, the new public road has been set across from Banyan. The Costa ' property is ultimately planned for mid and light residential with mixed use and open space. 15. Tsutsumi is concerned with the amount of acquisition required for the embankment and circulation in and out of his business.. By eliminating left turns into his driveway, access will be required from # the west. 16- Mr. Costa wants to be involved in the detail design to ensure a fence of some sort is constructed along his property to discourage .tresspassing. 17. A new connection will be provided to Maggio Circle to improve circulation at Valley Iron Works and provide access to the possible retention basin, city well, and the utility corridor along north embankment. 18. Access and circulation within the existing well site will be coordinated with the City. 19. One drainage option that will provide retention and eliminate the need for water quality treatment is to construct a new retention basin at the project site. Depending on the impervious area constructed with the project and if the drainage outfalls in to the City system the water will need to be treated using filters and/or swales. 20. This project will need to coordinate with planned developments such as Sutter Gould and Reynolds Ranch. Construction projects are now also required to provide temporary soil cover for inactive disturbed soil areas (inactive soils are defined as not being used within 14 days). By having a contractor fully mobilized by the summer the likelihood of rain events is reduced and grading operations can be more continuous. I'L64PING ASSISTANCE 'MTCo has assisted the City with the CPUC Section 190 application that is effectiveforthe 2012/2013 and 2013/2014 fiscal years. The homey lane crossing ranked number 10 state-wide which puts the City in great position to receive Section 190 funds for this project. MTCo and the City need to make sure that the Right of Way Certification, UPRR Construction and Maintenance Agreement, and CPUC GO -88B Approval are in place before April 2014 (see the project schedule included in this proposal). MANAGEMENT APPROACH As seen above, we at MTCo pride ourselves with coming up with creative solutions to complex problems. Any and all of these potentially cost saving ideas will be discussed in depth with the City and the conversation will be one of candid pros and cons. Part of the MTCo philosophy is never to go to a client about a problem without at least one viable solution. In order to -properly facilitate a project, which is one of the primary roles of a design consultant, one has to be a problem solver first. Furthermore, proactively following through and closing loops to make sure that the solution is appropriately administered and carried out is equally as important. The MTCo Team personnel will always be open and frank about their professional opinion on any given matter, and once a solution is agreed upon by the City, to cavy out the directive to the best of their ability. On the subject of staffing, being efficient and cost effective is also part of the core values of the MTCo Team. The MTCo design costs are generally always lower than the competition because of the lean and efficient staffing strategies and philosophy that MTCo utilizes. it is important to note that this is not a recently adopted value because of the economic times that many of us are going through, but has been a core value of our company since its inception. it directly reflects the character and integrity of MTCo and our entire staff. Ws also important to know that being lean and efficient does not mean that MTCo compromises the professional services, integrity and quality assurance requirements of the project. it is done simply as a matter of professional pride and integrity. MTCo is adamant about providing the best service at the most reasonable cost to the clients and taxpayers. Because MTCo personnel and upper management have so many years of experience with these types of contracts they are well aware of the required staffing of the projects and when it's time to appropriately trim staff or go to part time when the workload allows it. MTCo does not "pad" jobs; we property staff and complete them. artist lan sheets and fications for work — while in make sudrcreated the e her aesthetic designs a 4 intentdwere captureden the contract documents. Glose contact with the artist to KINDER MORGAN PETROLEUM PIPELINE%UTILITY COORDINATION MTCo has already sent out Utility "A" Letters, received dtiufppingg .#ritered mapping in AutoCAD, identified potential conflicts and serif conflict mappi igto each of the utility :comparties- in the corridor. Although. the overhead .oiiemative wiA reduce impacts within ttie roacluray:and UPlttt :►ut -C-i vAl" Work-hord to make sure we are communicating with the uttldiy;comparties for protection acid retocation of their facilities. As you will see in qur Scope of Work, MTCo-wall work with the utility companies to follow Caltrans process from rebcation design; record °f.'nveshgotion' agreements to notice to owner. HIGH SPEED RAIL The High Speed Rail Authority just recentred their: Record af'Determim the High Speed Rail. The Authority has�'ic#enttfted the H R`ioif tgnment f at this location. The proposed three -span structur6 provides . low=cc accommodate HSR in the future. The structure has beex► designed to operating right of way. Because the track is raised:aboyethosurroun wilt provide a vertical clearonce that will be acceptable(not prefedx. to provide the 27 -foot vertical clearance preferied:6y.; the Authoritwit driveways, intersections, etc. the e)dshng .UPRR right of way. rssing that lies the.flextbttrty to' A" aver the.enfire; l QQ` UPRtt KEEP HARNEY LANE OPEN, DURING CONSTRUCTION Homey Lane is required to stay open during construction. of•the:gidde, crossid-§ Jh--e sete.: Gfte *,uc urj fin aligned to accommodate two lanes of traffic at all times d�u69 ccnsti'vetion=Ttie. satdifr s'*de of fhe.situcluce and embankment will be constructed in the first phase while tri is .4maiiis>i islis: tf4gu cttsa == a ��de o t phase is complete, the traff1c will be shifted to th rrew-embardkment and tri yr structiJre=(e1!m!r�at+ng ` the at -grade crossing) and the north side construction can begtt�: Because M. i otitis: utility dmpctcts are _on ttxe north side of Harney Lane, there will be sometime after coc�s?nrtfa� st'u f°locx�(te:the ufiltttes: w�tho4t delaying, the contractor. UTILIZE STORM DRAIN BASINS FOR EMBANKMENT AND WATER QUALITY TREATMENT During the development of the PA -ED phase, MTCo looked at several drainage basin locations. An overhead grade separation will require in the range of 100,000 cubic yards of fill_ The cost of obtaining this fill material can vary with haul routes and borrow sources both playing a role. One way to reduce embankment cost is to excavate for drainage basins and utilize that soil for the .rnpoi�t. MTCo has reviewed the City's storm drain basin master plan and Several pad �:.basins and temporary basins are within the vicinity of the`.pibJ&d-' ITCo con Bo ow Sork with urce City and/or nearby developers ta.-crete:a::fV[andatory 'for the project. By having a site nearby and permitted for excavation the City will have a better handle on the embankment costs. Mico has t' efieMinn basins into our grade separation projects - experience incorpora ►ng r South of the project site ene a ed over 100,0 0 cubht Mile Road two ic yard of embankme storm drain ent foon �the p sins oie�rtcreated on adjacent excess property g HAVE THE CONTRACTOR FULLY MOBILIZED BY SUMMER The new Construction General Permit issued by the State Water Resources Control Board stats thattemporary --inn rnntrol is now reauired year-round and that a Rain Event Action Plan must be ready y operating corridor instead of the full 250 -feet. This is an important point as the City will only have to span the 100 -feet operating corridor with a structure instead of the 250 -feet operating corridor which can save the City approximately $3 million. MTCo and the City submitted the General Plan for the structure and other information needed for UPRR's conceptual approval in August 2012. ENVIRONMENTAL APPROACH MTCo and the City have set this project up to utilize available federal funding by following the Caltrons Local Assistance Procedures Manual (LAPM) processes for both the Califomia Environmental Quality Act (CE(SA) and the National Environmental Policy Act (NEPA). Under CEQA, the grade separation project qualified for a Statutory Exemption (SE) under CEQA Guidelines Section 15282(8) and Public Resources Code 21080.13. Under NEPA, the grade separation project would qualify for a NEPA Categorical Exclusion (CE), provided the actions meet the definition contained in 40 CFR 1508.4 and do not involve significant impacts. Caltrans has agreed that a NEPA CE is appropriate for this' project. The City Council has selected the overhead alternative to move forward. The MTCo team has prepared and is ready to submit the technical reports to Caltrans for review. The technical reports have determined there are no mitigations necessary, except for three soundwalls located along the project corridor. COMMUNITY RELATIONS MTCo will continue to take an active role in community relations. MTCo has met several times with each effected property owners, held two Council Shirtsleeve meetings, held a public meeting, and presented atthe Gly Council meeting on August 1, 2012. Our team continues to include Judith Buethe Communications (JBC) who will assist MTCo with ongoing one-on-one meetings, public meetings and council meetings. Based on comments from the Community and the Council, the final design needs to take the following into account: ■ Make sure the types of plants do not introduce ■ Provide a fence along the Costa right of way to rodent problems keep trespassers off his property ■ Consider a soundwall on the south side of Harney Lane or future development ■ Provide a barrier or fence to discourage access the UPRR right of way from Homey Lane PROPERTY ACCESS N Look for ways to discourage camping under the overhead structure ■ Shield the view from the overhead embankment to the backyards down below MTCo has worked with Tsutsumi, Costa, and Valley Iron Works to minimize impacts to their proAerties during . construction and with the completed project. Continuing these'conversations will be an important part of final design and right of way acquisition. ARTIST COORQINATtON MTCo is aware that the City of Lodi requires public works projects to include a 21/6 public art component. This is the some requirement that MTCa just recently dealt with in Stockton on three grade separations. MTCo is experienced coordinating public art components of this nature ond has successfully blended several art designs into our engineering designs.. Recently on the Stockton grade separation projects MTCo took designs from an PROJECT BACKGROUND Lodi approved the update to its General Plan in April 2010 and one of the primary purposes of the plan was to provide the basis for establishing and setting priorities for implementing the Capital Improvements Program. New growth areas were identified surrounding Homey Lane including: properties south of Homey Lane and north of the Armstrong Road Agricultural/Cluster Study Area for residential and mixed use development, and properties around the Kettlemon and Harney Lane interchanges of Highway 99 for office and commercial development. Based on these new growth areas Lodi prepared a Specific Plan for Homey Lane in 2010 (Mark Thomas & Company was the City's prime consultant). The Specific Plan reached a consensus on the appropriate roadway improvements to be constructed along the Harney Lane corridor to serve the growth and traffic volume increases. Widening of Harney Lane will be primarily driven by development. However, widening of Homey Lane across the UPRR would be difficult since California Public Utilities Commission (CPUC) regulations do not typically permit the widening of an existing at=grade crossing, if a grade separation is feasible. To assist the City with determining the viability of a grade separation across UPRR, the City retained Mark Thomas & Company (MTCo) to prepare a feasibility study for the grade separation project and to initiate a funding request with the CPUC under their Section 190 Grade Separation program. In late 2011, the City retained MTCo to prepare a CEQA and NEPA document, evaluating four alternative configurations. On August 1, 2012, the City Council unanimously selected Alternative 1 which raises Harney Lane over the UPRR tracks with sloped embankments. The approved environmental document (SE and CE) will be approved by the end of the year. Based on our extensive grade separation experience and our knowledge of this project, there are several key areas we will need to keep track of to make this a successful project: UPRR/CPUC COORDINATION Construction of a new grade separated crossing over a rail line will require concurrence from UPRR and approval by the CPUC under General Order 88B. MTCo has recently completed this process on the some UPRR rail line for the Eight Mile Road/UPRR grade separation project and the Grant Line Road/UPRR grade separation project. The key approvals needed for this process are: ■ Concept Approval (30% Plans, submitted 8/2012) ■ Construction & Maintenance Agreement (with ■ 90% Plans Approval UPRR) ■ PUC GO -88B Approval ■ 100% Plans Approval The MTCo team is experienced with this process and working with UPRR and from this experience, we know that the two key UPRR issues will be negotiating UPRR's 10% cost share and gaining approval of a 100' UPRR operating corridor instead of the 250' operating corridor implied by their existing right-of-way. UPRR 10% Cosy SHAm Based on the California Streets and Highways Code, UPRR is required to contribute 10% of the theoretical cost of a grade separation for the existing road use. In the case of Harney Lane, the existing road crossing is a two-lane roadway so UPRR will be responsible for a theoretical two-lane grade separation project. When negotiating the 10% UPRR cost share, MTCo understands the items that UPRR will allow and will utilize our experience to get the City the maximum cost share allowed under the "10% Rule". 100-Foor Vs. 250 -FOOT OPERAnim CORRIDOR At the Harney Lane/UPRR crossing, UPRR has a 250 -foot Congressional Grant to the south of Harney Lane and 100 -foot of right-of-way to the north. For both the Eight Mile Road/UPRR and the Grant Line Road/ UPRR projects on the some rail line, MTCo has successfully worked With UPRR to gain approval of a 100 -foot Valerie A. Pennino, owner and Registered Landscape Architect, returned to the San Joaquin Valley after graduating from Cal Poly San Luis Obispo in 2002. The Fwa RE landscape Architecture degree she earned there has led to more than ten years PENN ING%4 QESICN(Jg,P of experience immersed in the design field and licensure in the state of California. And as a woman owned business PDG holds a DBE Certification in the State of California. BLA- Landscape Architecture, RELEVANT PROJECTS San Joaquin Regional Rail Commission Rail Maintenance Facility, Stockton Landscape Architect. Pennino Design Group was contracted to coordinate Landscape Design and Construction Documents with agency, engineers and the City of Stockton. We were given the task of producing color conceptual documents, and full construction documents for the Landscape portions of the project, which include streetscape & screening measures along Alpine Road, as well as point of entry, building surround, a detention basin and parking areas. Pennino Design Group is currently contracted to provide Construction administration on this project, which is currently under construction. ADM Distribution Center, Lodi Landscape Architect. Pennino Design Group was contracted to coordinate with the client and City of Lodi in the production of landscape design plans for the interior of the site, including a retention basin, as well as the streetscapes along Victor and Guild that would serve to screen the large silos and highly visible tanker railcars that are stored on site. Abundance Vineyards Tasting Room, Lodi Landscape Architect. Provide Landscape Design and Construction Documents for the grounds surrounding the Tasting roam- Features include a casual atmosphere, with decomposed granite paving, outdoor seating, and a vine trellised arbor over the entry. Services included color conceptual renderings, and full planting and irrigation construction documents. access ways. Bellevue Streetscape, Merced Landscape Architect. Mrs. Pennino was the lead Landscape Architect on this community development which included the design and completion of construction documents for the streetscapes, medians and sound -walls on all major roadways throughout the subdivision. Community monuments and subdivision entry signage were also incorporated into the sound -wall design. The community additionally included the design of a utility easement to be utilized as a pedestrian bike trail, 2 neighborhood parks and a large community sports park, which included environmental sensitivity due to a viable stream that divided the park. Joe Gutierrez has 20 years experience focused on bridge design, and twenty- three years overall. My experience includes bridge design, land surveying, civil :EZHG1HEER1:NG]land development, and transportation. I have been an assistant project manager for Caltrans projects including the San Diego - Coronado Bay Bridge Retrofit Project, and more recently the SRI 52/SR156 Interchange Improvement Project. Communication is the key to the success of any project. RELEVANT PROJECTS San Frandsco-Oakland Bay Bridge Temporary Bypass Structure This project was performed for TRC Imbsen Engineering as part of a design/build contract between Caltrans and the Contractor. Mr. Gutierrez performed final design calculations of West -Tie -In segment Frame 2. SR-152/SR 156 Interchange Project, Santa Clara This project near Casd de Fruta was for the Santa Clara Valley Transportation Authority. This project was a grade separation interchange project. Mr. Gutierrez served as Assistant Project Manager leading Environmental, and Civil. He was , responsible for communications, meeting minutes, preparing structural alternatives and costs, preparing presentation materials, and design to 35%. Bailey Avenue Grade Separation, San Jose This project in San Jose's Coyote Valley, extends Bailey Avenue to Interstate 101. This required three major bridges, an overcrossing at 1101, a bridge at Coyote Creek, and on overhead at Monterey Road and UPRR. Mr. Gutierrez led the design of the bridge and overhead structures. This included aesfh6tic components to produce a landmark appearance as the gateway to the City of San Jose. Hanson Road and Vulcan Road Bridges, Pleasanton For this fast -tracked project, the design of both bridges was completed in two - months, and the bridges were built in six -months. The design and construction support was for two span cast -in-place post -tensioned bridges of 100' spans, and 110' spans. Buchanan StreetlEastshore Highway Connection, Albany This project was a combination in -fill widening overhead structure and new elevated intersection/connection structure. The infill -widening was designed using precast -prestressed Caltrans 1 -girders, and cast -in-place T girders to match the existing structure. The new connection structure was designed using post -tensioned combined with mild steel reinforcing for slab design with curving geometry. The substructure utilized a tall cantilever abutment with an MSE wall approach. Considerable coordination had to be executed due to the large amounts of utilities, and proximity to the railroad right of way. Jack Tone RoadlHwy 99 Interchange, Ripon, San Joaquin County. This replacement interchange project involved the design of four new bridges. Mr. Gutierrez designed the Railroad Overhead (419'), and led or assisted in the design of the other three. Due to site constrains the type selected bridge was an unbalanced three -span (157, 144, 1181 casein -place post tensioned box girder. Patricia Preston has 23 years of engineering experience, specifically in the area .APEX CMof transportation related structure design. She has participated in every aspect of ENGINEERING project delivery from the planning stage, to the design phose;.constiuction support, inspection, and just recently as a member of a community.advisary`:ctimmittee. Principally, she has led or been part of a design team for delivering bridge projects. As a former Caltrans engineer, Patricia has a thorough .un.&M66dirtgzof Caltrans' i Civil Engineering, University organizational structure, its processes and procedures. F.1ifornia, Davis, 1988 RELEVANT PROJECTS Bay Bridge - Yerba Buena Westbound Ramps Improvement Project, San Francisco The YBl Ramps Improvement Project addresses the geometric and operational deficiencies of the existing on -and off -ramps and their effects on the San Francisco - Oakland Bay Bridge (1-80) mainline. This project improves safety and facilitates traffic operations at the 1-801YBi interchange by replacing the westbound on- and off -ramps located on the east side of YBI. The proposed structure will be 350' by 70' wide. it is considered a life line structure and must meet additional seismic demand requirements. Duncan Creek Bridge, Placer County Provided technical specifications, quality control and contructability review of a pre- cast girder bridge for the emergency replacement of a flood damaged culvert. San Francisco Oakland Bay Bridge Temporary By Pass Structure, Oakland Working with Imbsen & Associates, Inc. providing assistance with design and analysis for the temporary by-pass for the New East Bay Bridge. Horse Ranch Creek, San Diego County Providing structural engineering design services to Imbsen & Associates for a three span reinforced concrete slab bridge widening. Due to scour and liquefaction, the existing bridge was found to be seismically deficient. Widening the structure required strengthening of the proposed foundations and passive seismic walls to reduce transverse displacement demand on the existing bridge. Chestnut Avenue Grade Separation, Fresno County Project Engineer for a 4 span crossing. over the Golden State Boulevard south of Fresno. Early on in the process, I recognized potential conflicts with current UPRR guidelines and Utility information and took the initiative to adjust our design and our project management strategies. For a project, which normally takes one full year, our aggressive project coordination efforts. effectively, managed to handle the Utility effort and the coordination effort with UPRR to deliver the full PS&E design phase in 6 months. Faith Home Road Overhead, Ceres Design engineer for a 695 -foot long by 49 -foot wide 4 span cast in place box girder bridge with a 48 degree skew which required special analysis and detailing for torsional effects. Additional consideration was given to future utility locations in both the superstructure and sidewalks. Tehama Avenue Bridge over Tehama Slough, Tehama County Project Engineer for a 3 span creek crossing, using a conventional reinforced concrete bridge with pier walls on spread footings. During the foundation investigation, the conventional pile foundation was eliminated" due to constructability, issues. John has been in the public sector of the real estate field for nearly 21 years, primarily working on highway and road projects. John has been with Interwest Consulting Group since 2005. He has a wide range of experience in managing, coordinating and processing real property and relocation transactions, ensuring that all federal, state and local laws are met. John is skilled at managing right of way activities for road improvement projects; soliciting, hiring and administering contracts for real estate professionals; directing the work efforts of consultants; initiating eminent domain actions; residential and business relocation advisory services; title and escrow coordination; reviewing construction plans, appraisal reports, and design reports; and developing project schedules, charts and budgets. John held many different positions with Caltrans in the Right -of -Way Department, both at the Headquarters and District levels. He was Appraisals Chief, Util"rty Chief, RW Coordinator, and Local Programs Coordinator. RELEVANT PROJECTS Clinton Keith Road,4-15Interchange, City ofWddomar John was the Project Right of Way Agent in charge of acquiring the land necessary to construct the proposed Clinton Keith/115 interchange in Riverside County. The project involved appraisal coordination, negotiations and overseeing the title/ escrow process. Caltrans recently certified the Right of Way which allows the County to proceed to construction. Sheldon Road/SR 99 interchange, GW ofEfkGrove John served as the City's Interim Real Estate Manager in charge of overseeing the delivery of right-of-way for this project, which involved 41 acquisitions: 7 full - takes and 34 partial takes, including several complex acquisitions and numerous relocations of both residential and commercial properties. Close coordination with Caltrans was necessary to certify this project as well as meeting a very aggressive construction schedule. Folsom Dam Bridge Project, City of Folsom John provided real estate acquisition services to the City of Folsom and the Anny Corps of Engineers. This fast-track, multi-million dollar project required meticulous management of right-of-way activities, including the acquisition from two private property owners, as well as multiple federal and state agencies. This project had a very aggressive schedule and required close coordination with the Army Corp. and the City of Folsom. John also assisted in the preparation of the rightof-way certification for the Army Corps of Engineers. Julie has been involved with the management and delivery of public land acquisition and municipal real estate for 20 years, for both public and private sectors. Julie has been with Interest Consulting Group since 2004. She has a wide range of experience in the public sector of real estate including delivery of right-of-way and land acquisition for large public infrastructure projects, acquisition of municipal facilities, flood protection, utilities, etc., and has been responsible for *)ess Administration, managing and overseeing multi-million dollar real estate budgets on a number of State University. large projects in the Sacramento region. .nto, 1989 She is skilled at developing and implementing policies and procedures to successfully improve customer satisfaction and project delivery in a time -efficient • manner, and has expertise in negotiating and resolving sensitive, political, and controversial project issues. Julie provides technical assistance an&support to a large range of professionals, including engineering design teams and government leaders. In addition, she has been responsible for business development, project scope, fee determination, proposal preparation, contract negotiation, client inal Right of Way coordination, project presentations, and project management on a variety of high - .n i end projects. ... RELEVANT PROJECTS Folsom Dam Bridge Project, City of Folsom As the Project Manager, Julie provided full-service real estate acquisition services to the City of Folsom and the Army Corps of Engineers. This fast-track, multi-million dollar project required meticulous management of right-of-way activities, including the acquisition from two private property owners, as well as multiple federal and state agencies. This project had a very aggressive schedule and required close coordination with the Army Corp. and the City.of Folsom. Eureka Road/t-80Interchange, City of Roseville Julie was involved with overseeing the appraisal process and negotiating the acquisition of real estate interests from 7 property ownerships. All of.the acquisitions involved large commercial real estate interests, which made this project uniquely challenging. The acquisitions were necessary to. widen portions of Eureka Road and to create additional turn lanes at North'Sunrise. Sheldon Road/SR 99 interchange, City of Elk Grove Julie served as the City's Real Estate Manager in charge of overseeing the delivery of right-of-way for this project, which involved 4i acquisitions. 7 full- takes and 34 partial takes, including several complex acquisitions and numerous relocations of both residential and commercial properties. Close coordination with Caltrans was necessary on this project as well as meeting a very aggressive construction schedule. Grant Line RoadfSR 99Interchange, City of Elk Grove This project was a critical transportation improvement project for the City of Elk Grove. Julie was responsible for the delivery of the necessary right of way to construct the new 6 -lane structure. The project involved the acquisition of various property interests from 38 property owners, including the relocation of two major service stations, a propane facility, a saloon and several small businesses. Project began in 2005 and was completed fall of 2008. Mike Johnstone is a Senior Technical Specialist with over.15 years of experience who currently manages a number of traffic signal and lighting design projects. Mr, F E H R P E E R S Johnstone's experience includes preparing plans, specifications and estimates for the design of traffic signals, highway lighting and sign illumination, street lighting, ramp metering, and signal interconnect systems, signing and striping plans, as well as roundabout concept designs. Mr. Johnstone has completed projects in BA iii Arts, Geology, California the cities of Lodi, Sacramento, Roseville, Elk Grave, Folsom, Dixon, and Winters, Staite University, Sacramento and in Sacramento and EI Dorado Counties. He is proficient with AutoCAD and Microstation, the latest drafting software programs; AG132, lighting analysis software; Autotum, vehicle turning analysis software; and SignCAD, sign panel T. design software. RELEVANT PROJECTS State Route 99/Harney Lane interim Signals, Lodi (2 signals) West Entry Parking Structure Signals, UC Davis (I signal, I signal modification) • CSUS Parking Structure #3 Entry Signal, CSU Sacramento Douglas Road Widening, Rancho Cordova (2 signals, 3 signal conduit plans) Barrett Ranch, County ofSacramento (2 signals) Power inn Sam's Club, County ofSacramento (I signal, 2 signal modifications; and street lighting) • State Route 5051Russell Boulevard Signal, Winters Fiddyment Ranch, Roseville (7 signals) 1-80/Eureka Road Improvements, Roseville (2 Signa( modifications and lighting) Auburn Boulevard Improvement Project, Citrus Heights (2 signal modifications and lighting) CirbyWay/Roseville Road Improvement Project, Roseville (6 signal modifications) 151Louise Avenue Traffic Signals, Lathrop (2 signal modifications) 154athrop Road Traffic Signals, Lathrop (2 signals) • l -Sloe{ Paso Road Interchange Signalization, Sacramento (2 signals) • Market and t oth Street Traffic Signal Colusa (1 signal and streetlighting) • Mitchell RoadlDon Pedro Road Traffic Signal Installation, Ceres • Greenback LanelMariposa Avenue Traffic Signal Modification, Citrus Heights Kristin D. Colic, P.E., T.E., is a Senior Associate with Fehr & Peers. Ms. Calla has a Bachelor of Science degree in Civil Engineering from California Polytechnic F E H R .� PTIRS State University, San Luis Obispo. She is a Registered Civil Engineer and Traffic Engineer in the State of California and a Registered Civil Engineer in the State of Washington. She has over 15 years of traffic engineering experience and has been working for Fehr & Peers for 12 years. Ms. Colic specializes in traffic signal and i Civil Engineering. California lighting system designs and roadway signing and striping and has been responsible technic State Un:viarsity, San for the design of hundreds of traffic signals throughout California. Ms. Calla has designed and managed projects ranging from single traffic signal designs Obispo. 1993 to projects involving several interchanges. She has worked extensively with local agencies and Caltrans. Ms. Colic's professional experience also includes Inteliigent -62461 Transportation System (ITS) designs, traffic operations analyses, traffic impact studies, safety studies, and access and circulation studies. RELEVANT PROJECTS Transportationtute Of • State Route 991Hamey Lane Interim Signals - Signals - Lodi) • Lower Sacramento Road Widening -Harney Lane to Kettleman Lane - rican Society of Civil Signal,, Interconnect- Lodi - Lower Sacramento Road Widening - Kettleman Lane to Turner Road - Signals - Lodi rican Public Works - Lower Sacramento Road Improvements - Turner Road to Woodbridge Road - • Lighting - San Joaquin County Hammer Lane Phase 111- Signals and Lighting -Stockton • El Dorado Street Improvements -Signals, Lighting, Signing, Striping - Stockton IS/County Road 102 Interchange - Signals, Lighting, ITS - Woodland Antelope Road Widening - Signals and Lighting - Citnu Heights Sheldon Road Widening - Signals and Lighting - Elk Grove State Route 99 Widening - Signals, Lighting, iTS - Manteca Judith Buethe, founder and owner of JBC, has more than 32 years of private and public sector experience in public relations and consensus building. Judith designs and implements effective strategic public involvement plans, project team communication plans, public meetings and open houses, public outreach and education, cross-cultural communications, social marketing, meeting facilitation, stakeholder identification, media relations, newsletters, direct mail campaigns, advertising, events (large and small), consensus development, and staffs Hotlines. She has designed and facilitated formal focus groups, regional surveys, and walked door-to-door in mobile home parks to survey tenants and satisfy environmental justice requirements. She has served as a hearing officer. FranciscoLi )iversity of San RELEVANT PROJECTS Relevant Public Outreach and Public Participation Programs Among the more than 300 public participation programs designed and .1 3USilleSS Council, Inc. implemented in the Central Valley and Foothills are these: HispanicS21-1 JOat,Uhl County Chamber of Commerce 0 North County Corridor Project Route Adoption and PA -ED. Developed a Team Communications Pian and developed and implemented a )n Ch a mber of strategic Community Outreach Plan for both phases for this project, -which -has Commerce Board of Directors elicited keen interest in the community. In addition to ensuring that NEPA%CEOA SocietyChinese Cultural requirements for outreach have been met, Judith has coordinated all logistics, srocktonmedia relations, and notifications for public meetings, workshops, and hearings. She has also served as a hearing officer and organizes and facilitates quarterly meetings of a Community Focus Group of people representing various community ..... .. _-I, interests. SR -132 West Freeway/Expressway: Developed and. implemented a strategic Community Outreach Plan for this long-awaited project. Judith has coordinated all logistics, media relations, and notifications for public meetings. She also organizes and facilitates quartedy meetings of a Project implementation Plan group representing community interests. NEPA/CEQAA requirements for outreach and environmental justice needs are being met. Hamey Lane Specific Plan: Guided development of public outreach communications plan and its successful implementation. mot's GIiS..%f@S,pOn9lArr[r1ES'-r17Cl;1(Qe [;7[e�aF�n� vr;�cat�c urs,+rv�iu:Fe�w�cr�.r�y,;.v�,c�� .,.,...y.. ! type 5elecf"ivri repdrtsK bndgt ctesl9rt eakulatlor gn pian preparation for freeway rrilerekang strucft'0_ s and k>xidge retrgf►is; Four's etcpepnce includes preparation of detiigtr Eatculatrons, pans; specif[c�sttot►s arc eshnrates for numerous, transportafion sht�cfcsre pro ecfs!ncl Aiv Keri"au3.c%signs o brdges, puarp stations, rdtainrn xvi<iEls.anoutrdwtills He hite University, San I sps extemsrve knowledge :of nurpeous computer applications including CTBRiDCE; EISAB seismic brrd`ge :.901yes program, Enercalc structural analysis and RISA 3D. RELEVANT PROJECTS Stevens Creek Trail & Pedestrian Bridge - Reach 3, Mountain View Structures Engineer responsible for preparing the plans, specifications and estimate package for this two-mile long pedestrian/bikf baa. Ptoje t'tnfJuded desinging three steel truss bridges over Stevens Creek, -6 1, :steel multi span truss bridge over UPRR, Central Expressway aitE'Ewelyn Avencread a tie -back wall under the Route 85 bridge. Responsibilities iriel?lcle5t con;ept Oeveloprnent, quality control, PS&E submittal and constructability review. Atwater -Merced Expressway PS&E, Merced County Bridge Engineer responsible for preparation of the Advance Planning Study for five new structures as part of the new expressway. Structures include overhead structures at BNSF railroad and SRI 40, UPRR Railroad and SR99, and a replacement structure at Buhach Road and SR99. Responsibilities include bridge layout, investigation of structure alternatives and preparation of general plans, estimates, and planning study report following Caltrans guidelines. 1-80/680112 Interchange PRIED, Solana County Bridge Engineer responsible for the preparation of the Advance Planning Studies for 40 new structures as part of the interchange replacement project study. The studies included long elevated connector structures, creek bridge replacements and UPRR overpass structure. Responsibilities included bridge layout, investigation of structure alternatives and preparation of.cgeneral plans, estimates, in accordance With Caltrans and FHWA guidelines. $0*4B .1Ms Segment 1- PA -EQ, PS&� Conniid` osfa Cor�eity` : rfdge:E3e p: Engineer for a four -span, post=ti ri0'm 6& g M_e -bh. fZespbkrsrbr�r3i'es included preliminary design; prepares rnr o cl+rwncEi. iianning :skit, j. biIft type selection, final structural desrgrrcrilculdtibhk cPe#trih and estimates for all bridge components. Harkins Slough Road Bridge over Struve Slough West Branch PSE, Watsonville Pro�+eet Eru,rgeer ftes(onsrble for designing a HBP #�rnded, ijve spares precast . Co- brrdg� bVeYtvtve Slough West Bc�trresporasrbfe for preparing �Brr��,e Tl±pe;SeleEhoi l�efsoit�, f?� and coordinafretr��wtih rortdwaYengineerstind :otl�r�oi�sultaiits ta:°t('ev%�i ciil�to support utili�i�saan.:the6rxdge: Coyote Creek Bridge Replacement dt-1`000.:sa -id" Bridge Design Engineer responsible'160,,ype:I tdeftoil:^,(� r.k nii:ct�:sgn of.. 550 -foot long bridge replacement ittcicuiing design-ciaicufstioits:.}1:'lslb-tee" superstructure was used to expedite consfrai tion:-—diit:e it► t.00ieritaAy sensitive creek habitat. Julie Possalacqua has more than eight years of experience as project engineer and design engineer designing and preparing details and quantities for bridge itx } engineering conshuction projects. Her responsibilities include the structural design and analysis of bridge structures and retaining wails, production of contract documents, advance planning studies, shop droving reviews, and field investigations. RELEVANT PROJECTS North Stockton Railroad Grade Separations and Bridge Replacements PS&E, Stockton Structures Project Engineer responsible for six structures in North Stockton. Structures include a single -span, post -tensioned concrete box girder overheard, a three -span, post -tensioned concrete box girder overhead, a three -span reinforced concrete box girder overhead, a two -span steel plate girder with concrete deck underpass and two post -tensioned voided concrete slab bridges. North Stockton Railroad Grade Separations and Bridge Replacements PA -EQ, .. Stockton Structures Project Engineer responsible for preparation of Advance Planning Studies for six structures in North Stockton. Structures consist of one railroad underpass, three railroad overheads and two creek crossings. LowerSacramearo Road Bridge over BearCreek, Stockton Structures Project Engineer responsible for three -span, 153 -foot long, cast -in-place, post -tensioned concrete voided slab replacement bridge. Responsibilities included overseeing structure design and independent check, along with plan, estimate and specifications preparation. Project involved significant coordination with the US Army Corps of Engineers (USACE) and the San Joaquin Area Flood Control Agency (SJAFCA). LowerSacramento Road Bridge over PixleySlaugh, Stockton Structures Project Engineer responsible for two -span, 82 foot long, cast -in-place prestressed concrete voided slab replacement bridge. Responsibilities included preparation of the structure type selection, design and independent check, along with plan, estimate and specifications preparation. This project involved significant coordination with the various resource agencies including the US Army Corps of Engineers and the Central Valley Flood Protection Board. Cohasset Road Widening & Bridge Replacement PS&E, Chico Structures Design Engineer responsible for independent structure design, layout and pion preparation check for bridge replacement structure. Structure consists Of a three span, 90 foot long, cast -in-place, reinforced concrete slab bridge with stage construction, which replaced the existing vehicular bridge and adjacent bicycle bridge. Abernathy.Road Bridge over Ledgewood Creek PS&E, Solano County Structures Design Engineer for this bridge replacement structure consisting of a single span, 43 -foot long, cast -in-place, reinforced concrete slab. Also investigated a precast, voided concrete slab bridge option for the Type Selection Report. Responsibilities included structure layout and desing, including stage construction. Jeff Nettleton has more than six years of experience in municipal and transportation engineering. He has served as design engineer on numerous projects, including (� local roadway and intersection improvements. His experience includes geometric design, drainage design, utility coordination and the preparation of plans, specifications and estimates. RELEVANT PROJECTS .ity, Sacramento, HarneyLaneAIPRR Grade Separation PA -ED, Lodi Design Engineer responsible for preparation of geometric exhibits and preliminary estimates including preparing various alignment designs, profile designs, and estimates. Other responsibilities included preparing exhibits for public meetings, utility coordination, and coordinating with various agencies. Harney LanelUPRR Grade Separation Feasibility Study Report, Lodi Design Engineer responsible for preparation of geometric exhibits, and preliminary estimates including preparing various alignment designs, profiledesigns, and estimates. Other responsibilities included utility coordination and preparing feasibility study. Eight Mile Road/UPRR Grade Separation, Stockton Design Engineer responsible for the development of a PS&E package for the widening and grade separation of Eight Mile Road in the north Stockton area. improvements included the widening of Eight Mile Road to eight'lanes for a stretch, four lanes in others, and then conforming to a two-lane road. Project challenges included coordinating with UPRR as well as local and state flood control boards, and incorporating bicycle- and pedestrion-friendly designs into a major arterial thoroughfare. North Stockton Railroad Grade SeparationsBridge Replacements PA -ED, Stackton Design Engineer responsible for preparation of geometric exhibits and preliminary estimates including preparing various alignment designs, profile designs, and estimates. Other responsibilities includedpreparing exhibits for public meetings,. utility coordination, and coordinating with various agencies. Lathrop RoadlUnion Pacific Railroad Westerly Grade Separation and Lathrop Road .. Widening PA -ED, Lathrop : Design Engineer responsible for preparation of geometric exhibits and preliminary estimates including preparing various alignment designs, profile designs, and estimates. Performed utility coordination and prepared project Project Engineer responsible for preparing a feasibility study for the grade separation at Harney Lone/UPRR. Multiple alternatives were developed and the study included cost estimates, design challenges, scheduling, and recommendations. ShawAvenuelUPRRGrade Separation -Preliminary Engineering, Fresno I - Design Engineer responsible for preparation of geometric exhibits and preliminary, estimates including preparing various alignment designs, profile designs, and estimates. Performed utility coordination and prepared project memos. . Harney Lane/Ham Lone Traffic Signal Improvements, Lodi Project Engineer responsible for a PS&E package for the si,gnalization of Harney Lone/Ham Lane. A key project challenge was the very aggressive schedule to have the project advertised three weeks after the design contract was awarded. Derek Minnema has 10 years of experience designing transportation projects with MTCo. Derek has completed a variety of different projects including railroad grade Ijtjt separations, road widenings, streetscape projects, intersection modifications with traffic signals, highway interchanges, bridges, and alignment planning studies. Derek is knowledgeable in both the local agency and Caltrans project development processes and has successfully delivered projects with very aggressive schedules .gineering, California and significant public outreach efforts. In addition to working as a project manager sizy, Sacramento at MTCo, he served as a Trustee on the American River Flood Control District for 8 years, giving him unique insight and knowledge of the central valley's flood control challenges. RELEVANT PROJECTS HarneyLonelUPRR Grade Separation feasibifityStudy Report, Lodi Project Engineer responsible for preparing a feasibility study for the grade jer .d Control separation at Hamey Cane/UPRR. Multiple alternatives were developed and the study included cost estimates, design challenges, scheduling, and recommendations. Grant Line RoadAIPRR Grade Separation PS&E Elk Grove Project Engineer responsible for the development of a PS&E package for the widening and grade separation of Grant Line Road in the City of Elk Grove. Improvements included a new 4 lane road and railroad overhead connecting the recently constructed SR 99/Grant Line Road interchange and the recently constructed realignment of Waterman Road. Project challenges included coordination with Union Pacific Railroad, numerous utility relocations including high voltage overhead transmission towers, a high-pressure petroleum pipeline, water transmission lines, and a sewer trunk line relocation. Eight Mile RoadNPRR Grade Separation, Stockton Project Engineer responsible for the development of a PS&E package for the widening and grade separation of Eight Mile Road in the north Stacldon area. Improvements included the widening of Eight Mile Road to eight lanes for a stretch, four lanes in others, and then conforming to a two-lane road. Project challenges included coordinating with UPRR as well as local and state flood control boards, and incorporating bicycle- and pedestrian -friendly designs into a major arterial thoroughfare. Lower Sacramento Road/UPRR Grade Separation, Stockton Project Engineer responsible for the development of a PS&E package for roadway Widening and grade separation at Lower Sacramento Road. Improvements included a new underpass for a six -lane road, a new pump station, and roadway realignment Significant project elements included coordinating with UPRR for work that included a shoofly track for construction, designing retaining walls, coordinating with an artist and implementing aesthetic designs, and incorporating bike and pedestrian friendly designs into a major arterial thoroughfare. HameyLanelHam Lane TratRcSignal Improvements, Lodi Project Manager responsible for a PS&E package for the signal'aation of Homey Lane/Ham Lane. A key project challenge was the very aggressive schedule to have the project advertised three weeks after the design contract was awarded. Philip Vulliet has more than eight years of experience in municipal and transportation engineering. He has served as design engineer on numerous projects, including local roadway, grade separation, intersection, and interchange improvements. His experience includes geometric design, drainage design, PUC/ UPRR coordination, utility coordination, construction support, construction staking, general cross sections, and the preparation of plans, specifications and estimates. RELEVANT PROJECTS Homey Lane/UPRR Grade Separation PA -ED, Lodi Senior Project Engineer responsible for day to day project management including meeting with project stakeholders, assisting with determination of environmental impacts, development of project alternatives including estimated cost and right of way impacts, analysis of vehicular and truck movements within proposed alternatives, correspondence with members of the public at public meetings, scheduling, facilitation, and recording of PDT meetings, and layout of preliminary geometries and 3D models. Lower Sacramento Road Widening, TumerRoad to Woodbridge Road PS&E, Woodbridge Design Engineer responsible for generation of general cross sections, quantity takeoffs, and construction cost estimates for roadway widening, new ADA facilities, and new curb and gutter. Wntner Square Shopping Center (Route 12) PSM, Lodi Design Engineer responsible for construction staging/traffic handling, drainage system design, general cross sections, construction details, and roadway grading plans for civil design of roadway improvements to accommodate development of new shopping center. Watt Avenue tight Rail Transit Grade Separation PSK, Sacramento County Design Engineer responsible for parking lot layout, parking lot grading, utility coordination, geometric roadway design, drainage system design, drainage analysis, construction staging/traffic handling, signing and striping plans, roadway grading plans, and subcontractor coordination for project to provide a grade separation structure for light rail tracks, station and parking lot improvements, and roadway widening and improvements. Grant Line Road/Route 99 interchange & overcrossing Reconstruction PSR, PRiED, PSM, Elk Grove Design Engineer responsible for drainage system design, hydrological/watershed analysis, and cost estimates/quantity takeoff for design of new interchange. Sacramento Regional Transit 5SCP2-Civil Track& Structure PS&E Design Engineer responsible for station modification, parking lot layout, site grading, site drainage, geometric roadway design, roadway grading plans, engineering quantities and estimate, and subcontractor coordination for project to extend light rail service from Us existing southerly terminus at Meadowview Road to the Cosumnes River College campus. Kammer lane Widening Phase lit, Kelly Drive to Thornton Road PS&E, Stockton Design Engineer responsible for production of plan sheets, generation of engineers estimate, design of drainage facilities, grading details and coordination of plan review process. Matt Brogan has more than 12 years of experience in municipal and transportation engineering. He has served as project manager and project engineer on numerous projects, including bridges, local roadway improvements, highway interchanges, bicycle facilities, civil related transit improvements, streetscape designs, and downtown infrastructure improvements. Matt has completed a variety of different projects and has extensive experience with Caltrans facilities and local agency improvements. He has experience ranging from completing interchanges with Caltrans approval to streetscape/infrastructure projects within historic downtown University, 1998 areas_ RELEVANT PROJECTS Washington Boulevard Pedestrian Underpass PS&E, Roseville Project Engineer responsible for design oversight, extensive coordination with the City and subconsultants, oversight for production of concept aesthetic and lighting plans, and development of final PS&E for development of a preliminary concept and final PS&E for beautification of Underpass, which extends under UPRR roil yard. Fast-track project consisted of working with City and community members to develop a concept that provided improved aesthetics, lighting, and artwork within the Underpass. Sacramento Reglonal Transit SSCP2-Civil Track & Structure PS&E Project Manager responsible for managing civil design team including utility coordination, station modification, parking lot layout, site grading, site drainage, geometric roadway design, roadway grading plans, engineering quantities and estimate, and subcontractor coordination for project to extend light rail service from its existing southerly terminus at Meadowview Road to the Cosumnes River College campus. The project includes five (5) new grade crossings, drainage/water quality treatment features, and a significant number of utility relocations, including relocations of 69 KV and 230 KV electric towers. Riverside Avenue Streetscope f Infrastructure Improvements PS&E, Roseville Project Manager for this project to replace existing curb, gutter, sidewalk, provide streeiscape and landscape improvements and construct a new roundabout on Riverside Avenue. Project includes construction of bulbout islands for pedestrian safety, new storm drain, water and sewer systems, new bus facilities, additional parking and modifications for new driveway locations. Historic District Streetscapellnfrastructure Improvements PS&E, Roseville Project Manager for project to repair substandard cross -slopes, and degraded pavement areas. Project also includes construction of new curb, gutter and sidewalk, raised crosswalks and islands for pedestrian safety, new storm drain system, additional parking and extensive landscape/streetscape features to improve the aesthetics of Historic Roseville. Project also inducted extensive community and property owner outreach. 10th Street& MarketStreetintersection Improvements&SIgnalizadon Phasel PS&E, Colusa Project Manager currently beginning the preliminary design phase of a $1.6 million first phase to construct a signal, minor widening at the intersection, and construct pedestrian "refuge" areas along the crosswalks_ Aesthetics will include decorative crosswalks and signal poles and an entry feature or plaza at the entrance to Memorial Park. Rob Himes has more than 25 years years of experience in municipal and transportation engineering with MTCo. Rob is a Principal of the firm and specializes in all aspects of transportation projects ranging from feasibility studies to construction documents. Rob is experienced preparing project reports, project study reports, and concept approval reports. In addition to acting as project manager, he is currently Edit cz an instructor for the University of California Berkeley Extension teaching Caltrans Engineering,BS in Civil University Geometric Design/Process. • RELEVANT PROJECTS Harney Lane/UPRR Grade Separation PA -ED, Lodi Principal in Charge/Project Manager responsible for meeting with project stakeholders, assisting with determination of environmental impacts, development of project alternatives including estimated cost and right of way impacts, analysis of vehicular and truck movements within proposed alternative, correspondence with . members of the public at public meetings, scheduling, facilitation, and recording of PDT meetings, and layout of preliminary geometrics and Sharpie hand sketches. Lower Sacramento Road Widening, Harney Lane to Kettleman Lane PS&E, Lodi Project Manager for the widening of 2 miles of Lower Sacramento Road from two to four lanes from Harney Lane to Kettleman Lane. The project was phased to construct improvements to the Woodbridge Irrigation District (WID) Canal.duririg the winter when the canal was empty. Improvements included evaluating the structural integrity . of the culvert at Lower Sacramento Road, extending the existing culvert by 70 feet, three retaining walls at various locations, designing aesthetic barriers and wrought iron fencing and gates, and relocation of a water line. Roadway design included new curb, gutter and sidewalks, reconstruction of five signalized intersections, rubberized asphalt concrete overlays and wide landscaped medians. HameyLanefRoute 99 CombinedPSRIP& Lodi Principal in Charge responsible for overseeing the project team and preparing a PSR/PR for improvements to mitigate the traffic impacts due to the proposed retail development in the southwest quadrant and to accommodate future development. improvements include replacement of the Route 99 overcrossing, widening Harney Lane, relocating the overhead utility lines, and realigning the west frontage road south of Harney Lane to accommodate the new southbound on-ramp. North Stockton Railroad Grade Separationsloridge Replacements PS&E; Stockton Principal in Charge responsible for the preparation of technical reports and defining the proposed improvements for final design. Improvements consist of roadway widening, bridges for grade separation and creek crossings, traffic signal and street lighting layout, aesthetic treatment, and hydrology and drainage report. Grant Line Road Grade Separation & Widening PS&E, Elk Grove Principal in Charge of project which will widen Grant Line Road from Survey Road to Bradshaw Road to accommodate planned growth in southeast Sacramento County. The project will also include the construction of a grade separation over the UPRR; and the realignment of Waterman and Bradshaw Roads to improve the intersection geometrics. Traffic signals will be constructed at; those intersections as well. An Environemntal Impact Report was prepared by others with support provided by MTCo. Watt Avenue Light Rail Transit Grade Separation PS&E, Sacramento County Principal in charge responsible for design of a fight rail overcrossing over Watt Avenue on Folsom Boulevard. The project included reconstruction and landscaping at the intersection of Watt Avenue/Folsom Boulevard. 0 m c a 0 E •� 0 a rn m` D 0 T > Q sm c a m a CL m a m 3 •® o s 3 ,0. E_.. o'm ma� c m .c m c of 3 0 G m �C m O O.� O w L m- a N L" m� 'b C C � K d � m T m C C = c ` c o .QE a 20 T 04; H C c - `Li o m -O'a o m 0 •c > E wu. N 0 a � w 0 o m m 'o 0 �t gra o rnm cD Out. o� m 6 of r ods N m� YF C The ability of the MTCo team members to work as an extension of our clients'.stalf to complete successful designs and gain project approvals has allowed us to build and maintain strong trust -based working relationships. We have identified clients from local agencies for whom we have completed a number of projects similar to the Homey Lane Grade Separation PS&E. We encourage you to contact each of our references, who will verify MTCo project manager Rob Himes' dedication to technical excellence and client service, and our team's ability to complete similar projects on time and within budget, with adaptive measures to changing project demands. North Stockton RR Grade Sep. coNTAcr: Wes Johnson, City of Stockton, tel. (209) 937-8088 DATE: 2007-2010 sTAFF: Rob !-limes, Derek Minnema, Jeff Nettleton, Julie Passalacqua Thornton Community Improvements coNTAcT: Jeff Levers, San Joaquin Co., tel. (209) 953-7631 DATE: 2009 -Present STAFF. Jon Stanley SR 99/Ramey Lane Signals coNTAcr Lyman Chang, City of Lodi, tel. (209) 333-6800 DATE: 2009-2011 STAFF: Kristin Colic, Mike Johnstone I-15/Clinton Keith Road Interchange coNTAcT: Frank Oviedo, City of Wildomar, tel. (951) 677-7751 DAZE: 2009-2011 STAFF: Julie Cline Rail Maintenance Facility CONTACT: Stacy Mortensen, Son Joaquin Regional Rail Commission, tel. (209) 944-6220 DATE: 2009 -Present STAFF: Valerie Pen nino Grant tine Road/SR 99 Interchange & Overcrossing Recon. coNTAcT: Gary Grunwald, City of Elk Grove, tel. (916) 478-2236 DATE: 2004-2009 STAFF: Rob Slimes, Phil Vulliet, Derek Minnema, Jeff Nettleton, Julie Passalacquo North Stockton RR Grade Sep. eorrracT: Eric Alvarez, City of Stockton, tel. (209) 937-8228 DATE: 2010-2011 STAFF: Jan Stanley CirbyWay/Roseville Road Improvements cor4m= Jason Shykowski, City of Roseville, tel. (916) 746-1300 DATE: 2008-2009 srAFF: Kristin Colic, Mike Johnstone Kings Beach Commercial Core Improvements CONTACT: John Weber, County of Placer, tet. (530) 745-7564 DATE: 2011-2012 STAFF: Julie Cline, John Almozan RTD Downtown Transit Center, Malt Transfer Center CONTACT: Donna DeMartino, San Joaquin Regional Transit District, tel. (209) 948-5566 ext.615 DATE: 2007-2009 STAFF• Valerie Pennino Lower Sacramento Road over Bear Creek CONTACT: Erik Alvarez, City of Stockton, tel. (209) 937-8228 omr. 2007-2010 STAFF: Rob Himes, Derek Minnema, Jeff Nettleton, Julie Possolacqua SR 99/Hammer Lane Interchange/ SR 99 Widening coNTAcT: Bob Murdoch, City of Stockton, tel. (209) 937-8400 DATE: 2005-2008 STAFF: Jan Stanley Auburn Boulevard Improvements corrncT: Stuart Hodgkins, City of Citrus Heights, tel. 014 727-4734 DATE: 2008 -Present STAFF: Kristin Colic, Mike Johnstone Grant Line Rd/SR 99 Interchange comAcT: Richard Shepard, City of Elk Grove, tel. (916) 683-7111 DATE: 2005-2008 STAFF: Julie Cline ADM Sweetener Distribution Center CoNTAcr City of Lodi, Community Development DAIS: 2007-2009 STAFF: Valerie Pennino Ian=FENNINO DESMCRWP INTERWEST CONSULTING GROUP Folsom Boulevard Street-scape Rancho Cordova Eureka Road/11-80 Interchange Elie Senior Engineer - City *fRoseville (9 0).746-1300 the W.1th. p- ps-win-1 th a, d -love St ofn negotiating . a q red W. �e�7-�--wqerships. All of -the q ufs on from seven Isim volvoidlae.9w,pomMir 61 Reol'Wtif 1"it"iJaWL which made this project .0-0 1.0 0 wt are -jj -the , adwis ons wi ..Roo oft,,; R. portions of Eureka *eS atrj�t j*' APEX CIVIL ENGINEERING Duncan Creek Bridge Sanders, SAGE Geotechnical (916) 729-8050 PENNINO DESIGN GROUP Placer County production of the structural fiechnical sp icFi#ioras .cjuulify co itQv-,w" as -f- mJ'a"b"I Gini} Foot wide by 75 foot Fong weathered steei�;� r �,e ,�;i�t�ge,; ' Analysis: Upon reviewing the pplaps and specifications of a pre -cast slab option our QC reviewer recommended changing the proposed option to a prefabricated ridge This reduced the construction window and satisfied design standards. EERS FEHRtP__r JUDITH BUETHE COMMUNICATIONS Stockton North Stockton RR Grade Separation -(209) 937--_S —7-71 Client Reference; Enc Alvqr.oz, Engineering Services Mono - City of Stockfori Manager . 2-��-� ._o" _.ati k ThalsebRO-46daldo"S" d'o"tistru.4ft d epar ons. JBCs strategies for optve publ►e outreach eq ing ceremony; creation of a " to' 'atdri holi 4- 6 o . , - �pyope da" osuresrty owners tenants, and q ilia; md;n '.0ters'. clierit FEHR & PEERS is Plan 'n 5 Son&lin; Public Works Diviid6r�- City of Lodi (209) 333-6709- ;.7No7, . .L 1 State Route 99/Hamey Lane Signals Client an Ch Lyman m Depariment.(2,09) 333-6800 Reference. klic Works: .. " .1. - . ��7 Chy of 40'Nu Cirby Way/Roseville Road improvement - City. of Roseville Public Works (916) 746-1300 Thq.. Hartley Ltane_. Specie Plan Client Reference: Wally Sandelin, Public Work's Diredor - City of Lodi (209).333-b709 i�rerur Pion'for-'Hamiey Torre -from mill idw itiFe f. Reda: f4diw s slid as i tdinirrg ,ac�l[s::ai �t';cnstc s c�riweways The Specific Plan complied with Sections 65450 — 65457 of the Government Code which states that a Specific Pian needs to be consistent with the adopted General Plan. MTCo then assisted the Cray and Dyett & Bhatia (the City's General Pian consultant) to make sure the General Plan Update was consistent with the proposed Homey Lane Specific Plan. s of existing public on detailed geometric ded two public ted into the plan. I Improvements4Praleci AAdr�ager Cr7y QfSfiac�O�r- Morada Lane in north Stockton currently runs east -to -west, connecting Route 99 to West Lane and then has a dead end just west of West Lane. As future development occurs in the area Morada Lane will need to be extended and connected to Lower Sacramento Road. MTCc, was selected by the City of Stockton to perform altemative_ analysis, environmental documentation and a detailed Geometric Approval Drawing (35% design) for the project. This effort has allowed the City to plan for future right of way and road network needs so that it can condition future development appropriately. AW- o analyzed alignments, road connections, future drainage requirements, irrigation canal impacts, and connections to the nearby Class 1 bike path. At this location two active tracks are present which requires special consideration to the bridge folsework design. Homey Lane/UPRR Grade Separation Feasibility Study Report Client Reference: Wally Sandelin, Public Works Director - City of Lodi (209.) 333-6709 The City of Lodi is currently adopting a Specific Plan for Harney Lane which would classify it as a four lane divided arterial. Future development in the area Will increase traffic congestion on this roadway and without a grade separation traffic delays would increase exponentially with the current at -grade crossing. MTCo was hired by the City to look at different alternatives to grade separate this crossing. MTCo prepared a technical report for the City in which several different alternatives were examined and analyzed to help the City define the project's scope and funding needs of the project. The report included a list of pros and cons for each alternative, preliminary layout, cost estimates and an overall recommendation for the next steps of the project. Unique Challenges: With each alternative there were several challenges and requirements that needed to be met. Some of those challenges included utility relocation, conforming to existing intersections, identifying and then minimizing - impacts to adjacent property owners, and relocating access to Harney Lane for several business and residential driveways. Ham Lane/Harney Lane Intersection Signalization Project Public Works Director - City of Lodi {2091333-6709 As part of the Harney Lane Specific Plan, this project wili install a new traffic signal at the intersection of Ham Lane and Homey Lane, which is ranked as the highest priority on the City's Signal Priority List. As the civil subconsultant to Y&C Transportation Consultants MTCo is performing design of the traffic signal and lighting project. finder an aggressive schedule, the project will construct interim signal and lighting improvements, with subsequent signal improvements constructed as development occurs to the south of Homey Lane. The proposed interim improvements will provide an LOS of no less than LOS D through 2023. SR 99/Homey Lane Interchange Interim Improvements Client Reference: Wally Sandelin, Public Works Director - City of Lodi (209) 333-6709 Grant Line Rood/UPRR Overhead Grade Separation Client Reference: Gary Grunwald, Seniot Preyed Mdiniiger - CiIV of Elk Grove 1916) Vd"2236 Grant Line Road is a heavily travelled east -west connector road and a major truck route in the Elk Grove area that connects State Route 99 to Rancho Cordova. Post growth and development in the Elk Grove area fueled the increase in traffic on Grant Line Road and generated the need to grade separate the crossing with the Union Pacific Railroad (UPRR). This project is planned for an eight lane -facility -in the -General -Plan- - but currently is being constructed to four lanes. The bridae as well u tip a olip �ehivood' st afrig onpep , wece 0414 Girt a opihons regritm. analysis:ctf thgfufufe.eigEi# la e c ctl. and #ut. 0 . onowdidn catisti'atnfs. A#.this location tYct+ve tracFe: are pKes�t,wfsi�lh rc}u�i es sp�eialcgi iSiti�rdtioR idstFi bridge falsework design. MTCo was selected by the City of Elk Grove to perform altemative analysis, preliminary engineering, environmental documentation and PS&E construction documents for the project. Additional services include extensive community and property owner outreach, survey and right of way services, including coordination• with developers along the corridor. Due to past experience and excellent working relationships with UPRR, all design submittals to UPRR received zero comments and were approved within three weeks of being submitted. Unique Challenges: Numerous utility relocations are involved, including overhead transmission towers, high-pressure petroleum pipeline relocation, water transmission line construction, and sewertrunk line relocation. The project requires extensive agency coordination for utility relocation and to secure permits. Utifity companies include Western Area Power Administration, Sacramento Municipal Utilities District, Kinder -Morgan, PG&E, Frontier, and Comcast. Other agencies involved in utility coordination include Sacramento Area Sewer District, Sacramento County DOT and Sacramento County Water Agency. C •Lower Sacramento Road/UPRR Underpass Grade Separation Client Reference: lames Wong, Associafe Civil Engineer - City of Stockton. (205) 537-8110 Lower Sacramento Road is a critical north -south urban and rural highway connecting the City of Stockton to the City of Galt. Past growth and development in the North Stockton area fueled the increase in traffic on Lower Sacramento Road and generated the need to grade separate the crossing with the Union Pacific Railroad (UPRR). This project depresses Lower Sacramento Road = 41m -LW below the UPRR frocks. At its lowest point, the $' new roadway will be approximately 25 -feet beneath than the existing roadway and will conform to the existing roadway approximately 1,000 -feet to the north and south of the current at -grade crossing. The new bridge for the UPRR track was designed to meet the current UPRR/BNSF design guidelines for grade separated crossings. MTCo was selected by the City of Stockton to perform alternative analysis, preliminary engineering, environmental documentation and ME construction documents for the project. A large portion of the project funding came from the, Highway -Railroad Crossing Safety Account (HRCSA) which required the project to have a construction contract awarded by July 2010. MTCo successfully accelerated the project delivery to meet this deadline and the project is currently under construction. Unique Challenges: To expedite the construction of the project, the City of Stockton decided to close Lower Sacramento Road during the construction of the underpass. MTCo assisted the city in determining appropriate Detour Routes, attending and speaking at public meetings, and coordinating with other agencies for the closure. Bear Creek is the drainage outfall for the project and is also a regulated waterway and a stream listed as threatened in Section 303(d) of the Clean Water Act. Roadway drainage required treatment of runoff before entering the creek. With the help of Contech Construction Products, MTCo was able to incorporate several treatment units into the drainage systems that would treat the required amount of runoff associated with the new grade separation. The railroad crossing at Lower Sacramento Road is located approximately 1,700 -feet north of Bear Creek and 1,000 -feet north of Grider Way_ As part of the project, it was determined that the existing bridge over Bear Creek would eventually need to be replaced and upgraded to current standards for freeboard over the 200 year flood elevation. The profile for Lower Sacramento Road had to be designed to raise the elevation over the creek, maintain elevation at an existing street crossing in between, and achieve adequate clearance at the railroad tracks. Both the railroad and roadway at the Lower Sacramento Road crossing are major utility corridors. Fiber-optic lines within the railroad corridor had to be directionally bored approximately 50 -feet below grade to clear all of the roadway improvements. PG&E gas and electric distribution and transmission mains were relocated outside of the roadway prism to ensure that service could be maintained during construction. Through diligent coordination, all relocations were completed with minimal issues. �T Eight Mile Road/UPRR (East) Overhead Grade Separation !� Client Reference: Eric Alvarez, Capital improvements Oroied'Manager - 0i of Stockton (209) 937 823 t Similar to the previous project, Eight Mile Road has two at -grade rail crossings and both have been designed by MTCo to be grade separated. This project raises Eight Mile Road over the UPRR tracks between West Lane and Highway 99. MTCo was selected by the City of Stockton to perForm alternative analysis, preliminary engineering, environmental documentation and PS&E construction documents for the project. Again, a large portion of the project funding come from the Highway -Railroad Crossing Safety Account (HRCSA) which required the project to have a construction contract awarded by July 2010. MTCo successfully accelerated the project delivery to meet this deadline and the project is currently under construction. Unique Challenges: fight Mile Road is a critical truck haul route and the need to maintain one lane of traffic in both directions at all Mmes made construction stog�ngi aid traffic hdridting cn"trcal parts of the:protect: The dsse prof+ititynca� County -rdads;. 'F&drseri -Rp& Ein`d ol{view lt�ad a► + d int ge (rrrgiat ott D,� rtti wins to keep i e-ite—h emit of*tiglif We- erert rs> buitd� #��pQ�ry Will; during corisfrErciion� aiicf spiit'ftie:;ofrucfron of tRie $tretcture.irita iw© sfcfcs� The:crossing; of"fl3e Woedbidge Irigatitsn.:.Di'strct canal required a new aligrlMent and o-hd v i3 foot tang box_cufverF. To help generate embankment, this project.also: ncorporested large:ceteqfiior -basins (ovearsized for the design storms):-and'the Fo�n ft tpik. waspurchased and closed. The project was des%grredfavvo(d (e fG.rtder Morgan petroleum tine, but other utility conflicts for -the project urcf6r ed P", gas lines and electric lines. Two billboards were alsorn ct and MTCo assisted the City with its condemnation, effoxis o�r-6�5 Ofclocrs.: Eight Mile Road/UPRR (West) overhead Grade Separation Client Reference: Was Johnson, Senior Civil Engineer - City of Stockton (209) 937-8088 Eight Mile Road is a critical east -west connector road and a major truck route in the North Stockton area that connects State Route 99 to Interstate 5. Past growth and development in the North Stockton area fueled the increase in traffic on Eight Mile Road and generated, the need to grade separate the crossing with the Union Pacific Railroad (UPRR)- ; Eight Mile Road over the UPRR tracks and and Lower Sacramento Road. At its new roadway will be approximately 28 - he existing roadway and will conform to the approximately 1,300 -feet to the east and west 3rade crossing. The new bridge. over the UPRR xd to meet the current UPRR/BNSF design sings. Stockton to perform alternative analysis, 3rE#nC daeurr►entat ats.cand I E-cons"uct on: portion ofkte;projeLc#;funding,c�rrnfiom the 4crQunt.(iiRC-.r, ►k �n!f►�E�T EBEjPIM 1f{e r0(eCt ar4tsl bgJu(.j'tit'0.,titTCa su..ceessfitfly meet this deadline and the project is currently toad is a critical truck haul route and the need )th directions at all times made construction its of the. project* i -he clfete;pr irli'ii : the..pr✓4jectglsn:. ad�ked tat.Frecornp.exity:: a'ineni ai#emcafi+e was:io:sCfhfffie-coctdsvey rtg tof �vay to aecorttriaodafe fho. shtfl This 011t in th'efirs# stage ref +0- -pro- f One to traffic. regulated waterway and a stream listed as ion 303(d) of the Clean Water Act. Roadway treatment of runoff before entering the ielp of Contech Construction Products, o incorporate several treatment units into the that would treat the required amount of runoff e new grade separation. iod major utility conflicts, including a 24 -inch ine owned by PG&E. The cast of relocation s over $2 million dollars. MTCo worked G&E and the City to incorporate the cost and ition into the construction contract. 4 fl- SUBCONSULTANTS MTCo has assembled a highly -qualified and dedicated team with extensive experience delivering projects in the Lodi region. We have selected our team based upon our previous working relationships and track record of success with similar local projects - Judith Buethe Communications, Interwest Consulting Group, and Fehr & Peers Transportation Consultants have already provided services as part of the earlier phases of this project. Because we are deeply dedicated to seeing this project through to completion, each firm has committed their most qualified and experienced personnel for the duration of this project. e Communications (JBC), a sole proprietorsh in consensus -building and public participation )BC has organized and implemented_ outreach .�N stintcrus;►Nr t iEti n: .-:<,!tt -.- .." tt I rfg'tneec rtg is a sma(i engineering firm 9668 Snowberry Way ourxdd itt`t3°vPdfng deign services lei eorlsuifaitts public agencies, builders Crangevale, CA 95662 and arirtecfs°fist #tTe design at new tresp©r#ohon-rehd structures and structural DBE assessrren of existing sicaetrtres;4pe3E ss a cfified DBS and WBE_ kh'f OF *A 9M M.H`C V'.AG�:i�J [fit'- � e- w' af-C?0[ s'iMing_.Gi 66p NI specializes in ,4 „■. _ ►nd�tctRol reaF;alb:�axrsulf'ctt�srrrotxlKeFa£e�s�rvcCes�rpafs�ir:ageneiesthroughout Cgl�driYic� Int+e�wes�`s LIE �3i'c►_te tear�r��prrrs rr�t of ve�fse~i+iices including 9300 W. Stockton Blvd., prof me�t._gcgrksrhonr, gpra�sal, ap�rratt t@vtev¢,(ocation assistance, Suite 105 escr..an'titfe coordiirc3hon; ani aemnation support, Elk Grove, CA 95758 ` FEHR PEERS :pmv a -M ANim sp on pl nnni g and troffiPeers ce gineerirrgs r i s 2990 lava Ridge Court, piiitpf .s`e ox clients. They.emphosize the development of cre+fi%ver cost=elfech ;•and Suite 200 planning 9 P _: . RosevNle, CA 95661 r�stt-o.t solutions to lannin and design roblen asociEi#e$ ctoles o it arsspii'on. JP M. LmDscaPE DESIGN - Pennino Designis cin tncle a stay ovvrse�(dnd operated Landscape Architecture firm`jdc iii Lctdt Prowr`des �► PEW N O11 planning, construction documents, hardscgPe- t]es M Wo 0-i dOM. ' r`t ti9'i?. > tit system desrgn, construction detailing, and)t_ a std _�o�akatron i 450 Springhavers Way detailing. They have performed this work fcc d,vdrr ;:c fAa' :; a�"roi � psi#, ;1 Lodi, CA 95242 development projects in Lodi and Stockton. Penninb"Is a ce� [5BE`iand VGB� firm,> DBE PusLrc CURE established i programs in pro r9mS fo 445 Weber Avenue, Yrn Suite 221 sats%iFte Stockton, CA 95201 iiiuo.(vetFCextfy DBE DBE/LIDBE/ e Communications (JBC), a sole proprietorsh in consensus -building and public participation )BC has organized and implemented_ outreach .�N stintcrus;►Nr t iEti n: .-:<,!tt -.- .." tt I rfg'tneec rtg is a sma(i engineering firm 9668 Snowberry Way ourxdd itt`t3°vPdfng deign services lei eorlsuifaitts public agencies, builders Crangevale, CA 95662 and arirtecfs°fist #tTe design at new tresp©r#ohon-rehd structures and structural DBE assessrren of existing sicaetrtres;4pe3E ss a cfified DBS and WBE_ kh'f OF *A 9M M.H`C V'.AG�:i�J [fit'- � e- w' af-C?0[ s'iMing_.Gi 66p NI specializes in ,4 „■. _ ►nd�tctRol reaF;alb:�axrsulf'ctt�srrrotxlKeFa£e�s�rvcCes�rpafs�ir:ageneiesthroughout Cgl�driYic� Int+e�wes�`s LIE �3i'c►_te tear�r��prrrs rr�t of ve�fse~i+iices including 9300 W. Stockton Blvd., prof me�t._gcgrksrhonr, gpra�sal, ap�rratt t@vtev¢,(ocation assistance, Suite 105 escr..an'titfe coordiirc3hon; ani aemnation support, Elk Grove, CA 95758 ` FEHR PEERS :pmv a -M ANim sp on pl nnni g and troffiPeers ce gineerirrgs r i s 2990 lava Ridge Court, piiitpf .s`e ox clients. They.emphosize the development of cre+fi%ver cost=elfech ;•and Suite 200 planning 9 P _: . RosevNle, CA 95661 r�stt-o.t solutions to lannin and design roblen asociEi#e$ ctoles o it arsspii'on. JP M. LmDscaPE DESIGN - Pennino Designis cin tncle a stay ovvrse�(dnd operated Landscape Architecture firm`jdc iii Lctdt Prowr`des �► PEW N O11 planning, construction documents, hardscgPe- t]es M Wo 0-i dOM. ' r`t ti9'i?. > tit system desrgn, construction detailing, and)t_ a std _�o�akatron i 450 Springhavers Way detailing. They have performed this work fcc d,vdrr ;:c fAa' :; a�"roi � psi#, ;1 Lodi, CA 95242 development projects in Lodi and Stockton. Penninb"Is a ce� [5BE`iand VGB� firm,> DBE Mark Thomas & Company, Inc. (MTCo) is a leading engineering firm deeply rooted in Northern California. Since our company's PATCO A., GLANCE founding in 1927, we have provided consulting engineering services _,• for transportation, structural and municipal engineering projects, as well as right of way engineering, surveying and mapping, and ■ 85 YEARS w BUSINESS engineering management services for a wide range of private and ■ 180 EMPLorEEs Flteit 1lVIDE public sector clients. Today, our company serves clients throughout the state from a network of nine offices staffed with more than 180 ■ '9 GwFbnmA OFFICE LocAnoNs professional, technical and support personnel. _ - . - _OWN _ J MTCo has maintained stability through the years because of our reputation for providing quality services with an experienced engineering staff. This has enabled us to maintain a list of repeat - clientele who provide the company with 80% of our workload and has given the firm a level of stability u which our clients can refY with 9 til on p ,xi-` ''��::• " confidence. MTCo offers integral experience and credentials to the City, including 0 the followings ■ PROJECT STAFF AND DESIGN eomNur ry — MTCo has been actively involved in the Homey Lane/UPRR Grade Separation Project. since 2010, having prepared the Feasibility Study, Section 190 Funding Application and Nomination Form, and the Homey Lane Specific Plan; as well as design for the Highway 99/Harney Lanes= Interchange Interim Improvements. As a result of our work and involvement in stakeholder and public outreach in the early development of the Project, MTCo has extensive knowledge of design standards and a strong trust -based working relationships with the City of Lodi, Lodi City Council, and the local community. This experience will go a long way toward achieving quick project start-up, agency sign -off and approval, and stakeholder/public consensus to deliver a desirable project design and an efficient construction phase. With this level of continuity, MTCo's project team is structured to deliver the project on the City's schedule without interruption or additional expense. ADDITIONAL EXPERIENCE ALONG THE SAM UPRR coRwooR —Within 20 miles of the Homey Lane/UPRR project site, MTCo has successfully delivered three grade separation projects through construction, and has taken another four through various stages of design and environmental clearance. Three of those seven grade separations are located on this some UPRR corridor. This includes the Eight Mile Road/UPRR Overhead in Stockton and the Grant Line Road/UPRR Overhead in Elk Grove. It is important to note that the some staff that delivered these projects is the some staff we are proposing to successfully deliver the final phases of the Homey Lane Grade separation_ This unparalleled experience gives the MTCo Team an understanding of the specific UPRR issues and the solutions that will translate into cost savings for the City. ■ CONSISTENCY AMONGST PROJECT STAFF THROUGHOUT THE LIFE OF THE PROJECT — This is particularly important at the management level and is critical in controlling project budgets, schedules, and quality. Many of our proposed staff are career -long MTCo employees, and the City of Lodi will benefit from working with the some group of professionals throughout the course of this project. Proposed principal in charge/project manager, Rob Himes, has been with MTCo for 26 years, and his investment as a firm principal and owner assure his full-term commitment to this project. ■ AVAILABILITY OF ALL TEAM MEMBERS To ADDRESS KEY PROJECT ISSUES As SOON As PosslsLE — A high profile project such as the Homey Lane grade separation project requires that a project manager and staff be immediately available to address concerns as they come up. As a principal of the firm, Rob Himes will: 1) dedicate the staff listed in this proposal forthe duration of the project; and 2) commit to reallocating firm resources to this project should the schedule need to be accelerated to meet program goals. This is a distinct advantage that we bring to the City and will provide for an efficient project delivery. The structure of the MTCo Team ensures this availability. COVER LETTER ORGANIZATIONAL CHART Team Introduction ................ 1 Organizational Chart.............:�s :...<:,: Y . 3 EXPERIENCE OF FIRM AND REFERENCES MTCo Experience .......................................... Subconsultant Experience ................................ References........................................................=.t=.......... ....... _ .....- .,.13 PROPOSED STAFF Team Members Tabfe:::::.,:..::,:.::_::..�:�::. ;::::::�:...:::::::�..................................... ... Resumes PROJECT UNDERSTANDING.....................................................................................16 PROPOSED SCOPE OF WORK ........ ........................................................................... 22 PROPOSED PROJECT SCHEDULE...............................................................................27 REQUIREDSTATEMENTS............................................................................................28 Non -Substitution Conflict of Interest Indemnification and Insurance Requirements Non -Discrimination and DBE Requirements REQUIRED FORMS Exhibit 10-17 Certification of Consultant, Commissions & Fees Exhibit 10-K Certification of Financial Management System and Contract Costs Exhibit 10-1. Consultant Certification of Final Indirect Costs I Exhibit 10-01 Local Agency Consultant DBE Commitment (Consultant Contracts) Exhibit 10-P Nonlobbying Certification for Federal -Aid Contracts Exhibit 10-0 Disclosure of Lobbying Activities Exhibit 12-E Attachment E Debarment and Suspension Certification (PRIME AND SUBS) Exhibit 12-G Bidder's List of Subcontractors (DBE and Non -DBE) - Part 1• and Part 11 (PRIME AND SUBS) Exhibit 15-H UDBE Information - Good Faith Efforts COSTS (UNDER SEPARATE COVER) Cost Summary Spreadsheet Exhibit 10-H Sample Cost Proposal Exhibit 10-02 Local Agency Consultant DBE Information Pharb 9rS.6Si.7tti �AOt�P�Wty �� R RM 9tti.69t,3h73 wow "WWdkr,�"V6 ora !7kGmrScaticamia9S7ss G' `o l` V E September 12.2011 JIURL — Mr. Wally Sandenn, Public Worts Director City of Lodi 221 West Pine Stream Lodi, CA 95241 SUBJECT: LETTER OF RECONNENDATiON FOR MARK THOMAS & COMPANY Dear Mr. Suidelilk k has collie to my allerkdon that you are tooling for a Consultant to assist you with the Harney Lane/Union Pio& Railroad (UPW) grade septa melon project. 1 strongly reconuneud that you consider Mark Thomas & Company for this project. Mark Thomas & Company is currently leading the Grant Line Road1UPRR Grade Separation project for the City of Sk Grove. Our project is an the same UPRR trade One to the north of the Harney Lane crossing and will have many of the same project issues that Mark Thomas & Company has been able to efRder* resolve for the City. One fatty issue dot Mark Thomas & Company resolved was working with UPRR to minfrr = the "operating corridor" to 100 few instead of the 250 feet basad on the UPRR right-of-way. This resulted in a much smaller structure and significant cast savings to the City. Late in the design process. the City was able to completely acquire one of the key properties within the project Omits. Mark Thornas & Company was to" in working with the City do redesign the project to fully take advantage of this acquisition and as a result reduced the project costs. Mark Thomas & Company has also assisted the City in preparing grant appOations for the Caftmia Public Utilities Commission (CPUC) Section 190 Grant program. Mark Thomas & Company provides the quality and high level of customer service that the City of Elk Grove expects from its consultants which has resulted in a very successful long term relationship ' 1 would not hesxate for a miiuite in r ecornmending them to had your project Please feel free to contact me at (916) 479-2236 or via email atg you have any questions about Mark Thomas & Company or our project. Gary Gruunwdd, Senior Project Manager City of Elk Grove Pubic Works Deparutrtetnt Mr. WallySanddfn Page 2 October$ 2012 We feel that our team has performed very well on the current PA -ED phase. While the City Council initially wanted the road to pass under the railroad tracks, they ultimately approved the overhead crossing option, with a unanimous 5-0 decision. We have received favorable feedback from the Council members and residents, including: "impressed with the thoroughness of the evaluation" — Larry Hansen, Councilmember "(MTCo's) presentation was very helpful, they did a good job" — Mr. Costa, property owner "Clear, concise, well-run meeting" — nearby resident We would love to continue to be "the face" of the project as we continue to meet with the public and the City Council and to work hard for the City to make this a very successful project we can all be proud of. c l fi entl,,i =prapasing fj440- a tec ;:( etxtk .m working on the PA -ED phase of this project. !,. ltoberr MErtes� w�lr rats tle teart� d rge/Project Manager, and will be closely Y. Prn�l%rk��n gta suppn.$'4.Phil. Vrilliet as'Pbjfi Egirieer_ar[d lei Nefttebn as Design Leader. This team has wortkcd g k�sr.fascsecessf jl ; 11 l v tr u rive tT ii,isf grade separation projects in the lost five years Work described in this proposal will be managed and administered from our Sacramento office, and I will be the point of contact for the selection and contract process, at the address and phone number noted on the first page of this letter. I can be reached on my mobile at any time, at (91 6) 207-381 3 or via email at rhimesCa?morkthomos.com, if you. have any questions or comments. MTCo will perform the. seri acfia Oft t the requirements described in the Ciiyr's RFP, and we acknowledge that all p,m-m--als %iiiiy'tie>ro t idered public information. This proposal is firm for 180 days from the date of the Oxice� tl a primal. Thank you for your time and consideration. We look forward to continuing work with you on this important project Sincerely, MARK THOMAS & COMPANY Et Piv ng Engineering, &--Av & Plannrng Serii— ii J ' October 8, 2012 SA -11818 Mr. Wally Sandelin, Public Works Director oFP=s City of Lodi Cupertino Public Works Department Fresno 221 West Pine Street Irvine Lodi, CA 95240 Pleasanton salivas t° Sof;naa RE: PROPOSAL FOR PROJECT MANAGEMENT, DESIGN AND ENGINEERING FOR THE Son Carlos HARNEY LANE /UPRR GRADE SEPARATION PROJECT San Jose Walnut creek Dear Mr. Sandelin: As you know, the City of Lodi has been working with the community to develop a scope for improvements on Homey Lane from Route 99 to the City limits. Minor improvements to the Homey Lane/SR 99 interchange have been constructed to accommodate traffic from the recently opened Costco and Home Depot, and the need for further improvements on Homey Lane to the west is imminent. The proposed railroad grade separation between South Hutchins Street and South Stockton Street is a critical element of these improvements, as it will reduce delays and improve the safety of vehicles, cyclists, and pedestrians at the Union Pacific Railroad (UPRR) crossing. The MTCo team provides an intrinsic value that no other firm can offer — we have beed.1rorking with the City on all of the planned Homey Lane improvement projects to date, which include: ■ Harney Lane Specific Plan ■ Homey Lane/Route 99 Interim Project Improvements ■ Homey Lane/Ham intersection Improvements Furthermore, our work on this Harney Lane/UPRR grade separation project includes: R Grade Separation Feasibility Study ■ Grade Separation Preliminary Design and Environmental Document Also unique to the MTCo team is the amount of Grade Separation experience we have, especially along this some UPRR track corridor. MTCo recently delivered Plans, Specifications, and Estimates (PS&E) for other overhead separations as follows: ■ Eight Mile Road/UPRR Overhead project* in Stockton ■ Grant Line Road/UPRR Overhead project in Elk Grove This direct experience with projects on Homey Lane, on the some UPRR track corridor, combined with our current work on the PA -ED phase of the overcrossing, allows us "hit the ground running" and move forward with the project with no unnecessary delays or leaming curves. 7300 Folsom Blvd., Suite 203 Sacramento, CA 95826 www.morkthomoo.com Tek (916) 381-9100 Foie (916) 381.9180 ltd I -D CilyoPiodi X54' iG hv�w AususQ,2010 dive 1 Harney Lane t UPRR Overhead (Sloped EmNankments} Preliminary Project Cost Rills to Attachment 4 Overall Project Cost Estimate is . IWpWitojECTSISTREMUia noaraMWat=�Y �-Revised 914 doc EXiIlBIT 19-0 Local Assistance Procedures Manual Disadvantaged Business Enterprises (DBL).Certiffcation.Status Change Form CP -CEM 2403(F) (New 10199) DISADVANTAGED BUSINESS ENTERPRISES (DBE) CHANGE IN CERTIFICATION STATUS REPORT The:topcsftheifornr equir s:specifiesuif6mmitan-regprdtngtheeon uetronPc�jec Coat NuiOft Coin►, Roeite; Post Miles;:iti"A ddi iiisferusg: ,. the t:cs ctCoigRtefcaa e; anti tlkw fisstimafed t on�ract Art oemf It..�quitestl9e 'nace l :ont�tbr'� nau�e:andSpahZess Ad :.ilia facu�o�l was .ta sulislan�f$ dttd seri ttre tgct l i7I3 doilacameurifpard'tq.Mhti 1 onzfe&mlJy funded projects that had a changed in Certification :state Abringtile-coarse of the completion of4ke eAntt :The two situations that are being addressed by CP -CEM 3'are il•'a certified as a DBE and doitigw6rk on the contract during the course of the project becomes Deep and'if a non -DBE firm doing wa&6 i 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 toy - 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 (Leifer 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 Contactor and the Resident Engineer sign and date that the information provided is complete and correct. Page 1744 July 21, 2006 LPP 06.03 0 h N arc a cr' EXHIBIT 17-F Local Assistance Procedures Manual Final Report -Utilization of Disadvantaged Business Enterprises (DBE), Fust -Tier Subcontractors FINAL REPORT—UTILIZATION OF DISADVANTAGED BUSINESS ENTERPRISES (DBE), FIRST-TIER SUBCONTRACTORS CEM 2402(F) (Rev. 02/2008) Thefprm re veres speetfie infarrnatioitregardirng#he coitstxuehoapm�ect Contract Number, Ctit� ntyftidf Post Mites Feder i ardPrclja¢tblo„ the-14dttt[WA-i-ri ' enay; the ContractCompletion Date and tTie':I's ated'Conbact Anusultt IEregtYu s the R conlractar aam and :busteiess atddie 'l V. focus of the form is to descrt6e v +ho.did what byoontract itempumtierancl descx Ohms, asknig for specific dollar values of item work completed' broken down by sbt ontractois who pirfvcated the wolKc both I?BL and pori -DBE work forces. DBE prime contractors are required to shod td[ te:of ivarl(.pertforpte t.:by eic:ewl f *s:�ith the corresponding dollar value of work. The form has a column to enter the Contract Item No. (or Item No's) and description of work performed or materials provided, as well as a column for the subcontractor name and business address. For those firms who are DBE, there is a column to enter their DBE Certification Number. The DBE should provide their certification number to the contractor and notify the contractor i a writing with the date of the decertification if their status should change during the course of the project The form has six columns for the dollar value to be entered for the item work performed by subcontractor. The Non -DBE colunm is used to enter the dollar value of work performed for firms who are not certified DBE. The. ecisiolr.a€i�viu f :ei tij as :`lye iuse l€Fic'ente, itig the DBE dotlarvatue is based on what program(s) staffs the iircWis certified its preptatri`lfatas determined by the California Unified Certification Program b�± 41 gtsde�r,oSrsli;:sn' citirot)§su at time of certification. To confirm the certification status endpragrattfi sfa[us�acllxe D�parimerll of'i!attsportation Civil.Rights web site at: htto Nwyaw clot cgior by'cailing,T'324170© or the toll free number at (888) 810-6346. Based on this DBE Program status, the following table depicts which column to be used: If a contractor performing work as a DBE on the project becomes decertified and still performs work after their decertification date, enter the total dollar value performed by this contractor under the appropriate DBE identification column. If a contractor performing work as a non -DBE on the project becomes certified as a DBE, enter the dollar value of all work performed after certification as a DBE under the appropriate idea ification column. Enter the total of each of the six columns in Form CEM -2402(F). Any changes to DBE certification must also be submitted on Form -CEM 2403(F). Enter the Date Work Completed as well as the Date of Final Payment (the date when the prime contractor made the °`final payment" to the subcontractor for the portion of work listed as being completed). The contractor and the resident engineer sign and date the form indicating that the information provided is complete and correct. 1, 2012 LPP 09-02 W t; �Q Q W N w N 11i 32 W w a z� zC N i0) O Q v a0 9 0z z Q R I W qF fit �r "a 12 J m V~l W m 6 Q{- o a V V w U L V p � Q W f9 U 2 � p 2 H � Te i U a V , i a O .03, 1 119 N . !N f9 'N fA 'H t w 8 E tq w O; o vs ds w eas rn sA d► y w e� i 13 z U f g to SZ -all w ul 8 3 m v 11 LL � Z O (. z OW�n w i9 � �Y !lc �• F U o. �7 m 6 Local Assistance Procedures Manual ExMrr 10-V Non -Discrimination Clause EXHIBrr 10-V NON-DISCRIMINATION CLAUSE (To be included in Consultant Agreement/Contract) NON-DISCRIMINATION CLAUSE During the performance of this Agreement, Contra*0is 660#02 ........ .. . 1- tfat 1 discriminate, harass, or allow harassment against arkntplcyee oyttient because of sex, race, color, ancestry, religious or, (including HIV and AIDS), mental disability.' marital status, and denial of family care leave. 'Su evaluation and treatment of their employees anti aptiiliployme discrimination and harassment. Contractor and x -PIW 299 (51-h aind the applicable Yom --awd Jit h -g., Adt .0 -,'."C do §12990 (a f) de ofRegulations, Tide 2, Section 7285 et made"a paA hereof as if set fbiffi in........ of their obligations under this clause to [a izffdons I with . b which they fim; a collective bargaining or other Agreement. Contractor shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under the Agreement OB 12-03 June 20, 2012 Local Assistance Procedures Manual EXHIBIT WE SAMPLE PAYMENT CLAUSES Cosy-Pt.us-RXEn FEE EXHIBIT 10-E Sample Payment Clauses The basis of payment for the services provided under this agreement shall be cost plus -a -fixed fee. I. The local agency shall reimburse the consultant for actual costs (including labor costs, employee benefits, overhead and other direct costs) incurred by the consultant in performance of the work, in an amount not to exceed S. exclusive of any fixed fee. Actual costs shall not exceed the estimated wage rates and other costs set forth in the consultant's proposal. 2. in addition to the costs referred to in paragraph 1 of this article, the local agency shall pay the consultant a fixed fee of S_ _ .,Said fixed fee shall not be altered, unless there is a significant alteration in the scope, complexity, or character of the work to be performed which is documented as an amendment 3. The Consultant shall be reimbursed for actual travel expenses incurred in the performance of this work, including the use of private vehicles at the rate of cents per mile, while traveling away from consultant's headquarters, which is hereby designated as -. In addition, consultant's personnel shall be reimbursed for per diem expenses ata rate not to exceed the currently authorized rates for state employees under State Department of Personnel Administration rules: 4. Total expenditures made under this agreement, including the fixed fee shall not exceed the sum of, LUMPSUM The basis of payment for the services provided under this agreement shall be lump sum. 1. Pursuant to satisfactory completion of this agreement, a lump sum payment of $ - ,which includes all expenses incurred will be made to the consultant 2. The above lump sum payment includes: salary, fringe benefits, overhead, profit, and all other expenses incurred by the consultant. The other methods of payment are not addressed here and be viewed in Exhibit 10-R, "A&E Sample Contract Language." P . 1. OB 12-03 June 20,1012 Attachment 3 Federal Forms Required upon Execution of Agreements 17 K,.kVMPROJEG'fS15TAEETM=eyGrad4eP oa%RFPWamoyRFP-Revised9-&Mdac Exhibit 15-H Local Assistance Procedures Manual . DBE Ini'ormatlon - 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 primcontractor 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.): ;1 ,: 'A Method/Date of Contact. _. Results Name of . ee 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 Jane 29, 2012 OB 12-04 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 Amount Items Percentage Of (Y/N) Contract- D. for the bidder's rej'ecttort of ]3B1✓s, thnfirnta sde�c for chat work (please attach copies of quotes mthe firms it,�aly�};;aud the pticvc�i<eltecfor each DBE if the selected frm 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 DBFs in obtaining bonding, lines of credit or instar we, 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 12-1)4 Local Assistance Procedures ManualExhibit 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 66ty"n_ty'66establ'AL-d a Disadvantaged Business Enterprise (DBE) goal of % for this project. The information provided herein shows that a good faith effort was made_ Iiv.,seeq;td towstattd thud [awestbidders shallsiibriiit;die--fvllowgtt#matiantoeurrteni? gpaci:fatth efforts Bidders:;should stiEimit the foflorvidg inforinstioa evert ff the teai ABenc3! Bidder DBE Couiiiniti0ent"torte. utcirc;aies'tbat:ttie bidder has Md.'. a I?BE gam! 'Tbis will proteetir' " gibtlity for s eh award of the contract if the administering agency determines tliiit tl% bfdd :i$itedtc eetthe foal for various reasons, e.g., a DBE firm was not certified at bid apeoing, or the bidder made a mathematical error. Submittal of only the "Local Agency Bidder DBE Commitment" form may not provide sufficient documentation to demonstrate that adequate good faith efforts were made. The following items are listed in the Section entitled "Submission of DBE Commitment" of the Special Provisions: A. The names and dates of ea ch. publication in which a request for DBE participation for this project was placed by the bidder (please attach copies of advertisements or proofs of publication): Publications Dates of Advertisement B. The names and dates of written notices sent to certified DBEs soliciting bids for this project and the dates and methods used for following up initial solicitations to determine with certainty whether the DBEs were interested (please attach copies of solicitations, telephone records, fax confirmations, etc): Names of DBEs Solicited Date of Initial Follow Up Methods and Dates Solicitation Page 15-1 OB 12-04 June 24, 2012 ^.6::" .:T ;d � - "`t' it s�i�ti 7.,.-�_.c� `: � ��l`t" 'Cv-••F` . ...U,.a7 �`�..�. �`�'��. }"�,�';� } Soso .`` � ' '""•' ''r":= �W4.` tial :'� _$%�., '.r• ,�..b�..: ns. - .r�a�? 'gam•-�) .yam .a;. -' .�c"�!i$; ��. �,�.L• � �a'.'a: Wn+iZh��1.~.a: '�-.� ,'•1. d�,'':'^,. �t X2 ' �. q�$.'9 `v.• �! S ,� . R: '. F � _ . " tom,. �'�� `.�� t "'' `` .� :� ?:`t vi .�•_.:• � 'meq, � `�. Fi •� r. I� � �� • t. { .r 3 r i � ! x 4i ` M N n•r H .r h 69 iA rq bT wF VS 6S '.r k 6TJ yf 69 nr &9 6! 4?. rA : N ..r: Li, Vf •.; :r iN n•1 H i9 ;V V � .V 1v !A ,V V V V :A V V .V . V . A . V Y V 0.0 13 13 Di a ;a w q y o w s w ri C i z Lisp ok d .Q k 0 0 a D e C m �A MIN FS R 4 fA !FR .i.. !A In H .moi f% 69 a �/�./.. 69 p;: f9 N tii .1'f. i%� . H : h; H' � 6y 6% fA � G9 Vl V yf f/t ` V .. !/! V fA 'v r. N n a v v C3 v 0 7v 13 n C3 v 0 v C30.. v ,v °A... v V Y VPP 0 n q aw d N y q 'jgyp� i z Local Assistance Procedures Manual EXMBIT 12-E PS&E Checklist Instructions ATTACHi4IENT E DEBARMENT AND SUSPENSION CERTIFICATION TITLE 49, CODE OF FEDERAL REGULATIONS, PART 29 The bidder, under penalty of perjury, certifies that, except as noted below, he/she or any other person associated therewith in the capacity of owner. partner, director, officer, and manager: • Is not currently under suspension, debarment, voluntary exclusion, or determination of ineligibility by any federal agency; • Has not been suspended, debarred, voluntarily excluded or determined ineligible by any federal agency within the past 3 years; • Does not have a proposed debarment pending; and • Has not been indicted, convicted, or had a civil judgment rendered against it by a court of competent jurisdiction in any matter involving fraud or official misconduct within the past 3 years. If there are any exceptions to this certification, insert the exceptions in the following space. Exceptions will not necessarily result in denial of award, but will be considered in determining bidder responsibility. For any exception noted above, indicate below to whom it applies, initiating agency, and dates of. action. Notes„. Providing false information may result in criminal prosecution or administrative sanctions. The above certification is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Certification. :�� --- - - Page 12-29 OB 12-04 June 2% 2012 Loeal Assistance Procedures Manna[ EX[1BIT 1" D�closure of Lobbying Activities oiticials. identify the federal officer(s) or employees) contacted or the officers) employees) or Member(s) of Congress that were contacted. 15. Check whether or nota continuation shee(s) is attached. 16. The certifying official shall sign and date the form, print his/her name title and telephone numbs'• sr— LLL-Wmmd= Rev.06A4.9OoMD1Fb for Page 3 OB 12-03 June 2O, 2012 EXHIBIT 10-Q Local Assistance Procedures Manual Disclosure of Lobfiqft Activities INSTRUCTIONS FOR COMPLETION OF SF -LLL, DISCLOSURE OF LOBBYING ACTIVYPIES This disclosure form shall be completed by the reporting entity, whether subawiRdee 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 gt RiAaence an officer or employee of any such payment er agroemeeiE to make palrtttent taloblrtnti�"x 1Mfi pr3q:E agency, a Mender ofFottgeess as efiicec of eraptoyeet>FCiNigta33q�81t tdi$loM10.41N+t - of Congress is connection with a covered federal action. "Mid Complete Completeall iteotsthat apply for both the tnitii.ftimgiibrl tnetolia!'ohaitgi repQtt. ;t9fei tothciFttplepreat8r$$utdenesitubGsfed by the Cfice of Management and Budget for additional information. 1. Identify the type of covered federal action for which lobbying activity is and/or has been secured to influence, the outcome of a covered federal action. 2. Identify the status of die covered federal action. 3. Identify the appropriate classification of this report If this is a follow-up report caused by a materia[ change to the information previously reported, enter the year and quarter in which the change occurred. Enter the date of tate last, previously submitted report by this reporting entity for this covered federal action 4. Enter the full name, address, city, state and zip code ofthe repotting entity. Include Congressional District if known. Check the appropriate classification oftlte repotting entity that designates if it is or expects to be a prime or subaward recipient. Identify the tier of the subawardec, 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 Aril name, address, city, State and tip 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 0. If known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans and loan commitments. 8.Enter.tke'triosCpEnpft Gfederai identiilitgi. ifi!aile6lfor the federal action idantIfication in item 1(e.g, Request for Pro osa oft, uiiieG':lavitation for BYd 114ml tatannouncement number, the contract grant, or loan award member, P ,;; . i:a . ,control numberas"s., : etl2(��%. agency). Include prefixes, e.g., 'RFP -D&40.001 " the aplilf.`Yioillpcoposetl;,.:;. ,. �.. 4.. 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 S. 10. (a) Enter the full name, address, city, state and zip code of the lobbying entity engaged by the reporting entity ident fled in Item 4. to influenced the covered federal action. (b) Enter the full names of the Individual(s) performing services and include full address if different from 10 (a). Enter lest Name, First Name and Middle initial (MI). It. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity (Item 4) to the lobbyinentity Item 10). Ind irate whether the payment has been made (actual) or will be made (planned). Check all boxes that apply is a material change report, enter the cumulative amount of payment made or planned to be made. 12. Check the appropriate box(m). Check all boxes that apply. if payment is made through an in-kind contribution, specify the nature and value of the hi -kind payment. 13. Check the appropriate box(es). Cheek all boxes that apply. if othe4 specify nature. 14.Provide a specific and detailed description of the services that the lobbyist has performed or will be expected to perform and the dates) of any services rendered. Include all preparatory and related activity not just time spent in actual contact with federal page 2 01912-03 June 20, 2012 Local Assistance Procedures Manual E7CTIIBPP 10-Q Disclosure of Lobbying. Activities EXHIBIT 10-Q DISCLOSURE OF LOnmm ACTIVITIES DLS(:L(Kluxti Ur JUV00 z u v r a.,��. may, • COMPLETE-THIS:OO NTODISELQSSLOBBYING.AC1'iRgTW.PURsUANTT0.31U.S,C..I35 1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type: a. contract ❑ a. bid/offer/application ❑ a. initial b. grant b. initial award b. material change c. cooperative agrwment c. post -award d. loan For Material Change Only: e. loan guaranteeuarter f loan. insurance daft of last report 4. Name and Address of Reporting En MY S. If Reporting Entity In No. 4 is Subawardee, Enter Name and Address of Prime: ❑ Prime ❑ Subawardee Tier . if known Congressional District, ifknown Congressional Distriet, if known 6. Federal Department/Agency: 7. Federal Program NaosetDescription: CFDA Number, ifapplicable .. . S. Federal Action Number, if known: 9. Award Amount, if known: 10, a. Name and Address of Lobby Entity b. Individuals Performing Services (including (If individual, last name, first name. M0 address if different from No. 100 (last name, first mune, Mn (attach Continuation Sheet(s) if necessary) 11. Amount of Payment (check all that apply) .13. Type of Payment (check all that apply) $ ❑ actual ❑ pined a. retainer b, one-time fee 12. Form of Payment (check all chat apply): c. commission a. cash d. contingent fee 8 b. in-kind; specify: nature. a deferred Value;,____;_ f. other, specify 14. Brief Description of Services Performed or to be performed and Date(s) of Service, including officer(s), employee(s), or member(s) contacted, for Payment Indicated In Item 11: (attach Continuation Sheet(s) if necessary) 15. Continuation Sheet(s) attached: Yes NO 16. information requested through this farm is authorized by Title 31 U.S.C. Section 1352. This disclosure of lobbying reliance Signature:. was placed by the tier above when his Uwaction was made or entered into. This disclosure is required pursuantta 31 U.S.C. print Name:. 1352. This information will be reported to Congress semiannually and will be available forpublie inspection. Any Title. person who fails to file the required disclosure shall be subject . to a civil penalty of not less than $10,000 and not more than Telephone No.;: Dam 3100,000Ibreach such failure. ___ _ Authorized for Local Reproduction Federal Use Only: Siaudard Form -LLL Distribution: Orifi Local Agency Project He$ _-....... _.. _ ... Page 1 OB 12-03 June 20, 2012 Local Assistance Procedures Manual EXHIBIT 10-P Nonioltbypig Certification for Federal -aid Contracts EKWiTT 10-P NONLOBByING CERTmwm FOR FEDERAL -AID CONTRACTS The Prospective participant certifies by signing and submitting this proposalfbid to the best of his or her knowledge and belief that: d' ---i W. loan, the entering into of any cooperative agreenje; Ire ng: e. ox ti 111ftow: ream amendment, or modification of any federal contract,. .. grant loan, or cooperative agreement. (2) if any funds other than federal appropriated funds have been paid or will be paid to any person fb! . . ..y I — '- inf luencing or attempting to influence an officer Or employee q f - aW .: �a. aa UM-Wtta iiii-1-90 W&W eiiie[avea ofColtaress, or an employee This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction i imposed by Section 1352, Title 31, U.S. Code Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such Mum. The pr "", a Wr-gW-g- -,M -. by submitting his/her pToposaMid that he/she shall require that the ok-.015. in all lower -tier subcontracts which exceed $100,000 and that all such fang' ."zoa _Wtq - - sub- .. ... eiffs "br ad4W4'ft accordingly. Page t 43B 12-03 June 20, 2012 Local Assistance Procedures Manual EXHIBIT 10.02 Local A94weY Consultant DBE. Information INSTRUCTIONS. LOCAL AGENCY CONSULTANT DBE INFORMATION Consultant Seetion . The Consultant shall 1. Local Agency Name - Enter the name of the local or regional agency that is funding the contract I Project Location - Enter the project location as it appears on the project advertisement. 3. Project Description - Enter the project description as it appears on the project advertisement (Bridge Rehab, Seismic Rehab, Overlay, Widening, etc). 4. Total Contract Award Amount - Enter the total contract award dollar amount for the prime consultant S. Consultant Name - Enter the consultant's firm name. A- Contract DBE Goal % - Enter the contract DBE goal percentage, as it was reported on the Exhibit 10-I form, See LAPM Ckapton to; •'t'$lii4Dtitltt� Aimcprtt%r.Sntieentractors- Bnterttte total dollar amount for all sttbcontractcd consultants. SUM =(DBE's + 0'-- tori_DBE's),I)or�inciiide_tbeprinie tteittiniomwtianinthis count all Dion 8: Wfal.oumberofill,4 0' intractors=FaW—tbe.totatjiumborafatlsubeontnutedconsuttaats.SUM=(DBE's+ IT8E •s), >]a tnelude lttc pts eon§uttaatintt?itneNan #it thts.00"t all work to be p. Desert tion oPSeetrias to. b d Provi4+31 Bata Ilam of tµoik dastxtpiioa ofse ccs bt;.luovtd a D� B 100°Jo of the item perfotatedbyDBFsmdudtngworkpdifotwietlbythepriepconaultam'sowafarees, iheptitne iseat fm be y. 01 tecl or fiicnfshed (►j► WaDBE. dcsceibe thcmcecx portiotr to lig performed or Rttmstte� bg the DBE. See LAPM ttto ¢etprntute how to eoaacepergc�pbjtoiRD$Efums. �•' Bone number of alt DBE subcontracted consultants. Also, enter the ;1'p; DBE Firar C�ataat�nformat€ea l�t;erthe neuro and tdlap Es must he certified on the deft bids prrme coasultattt!s ttameen:telepltanr3 number.ihapne'is a DBE 314.. DBE Cert.:t!Iunatiat I ter:tlu: DBE's pert eatiott IaettUf%cahme consultant uAi wDting wa the date of the decertification if their opened{DRiF•sut�onintetealc'rn►�ihantsshouldi�otlfS'�:FR- status shouldehattge durg•16e course .ofthn wntraa3 of the work to be otmed or service to be provided. Include the 12;:. DBE t?'oUar t►mouot -.F thesu6eorttrted ifit+Itar atsiouiti. l .a•:s.aau: _nsa-t�,�tr�.DSBsthatare not identified as subcontractors on the Exhibit 10-01 fomt 13Claintcd" divided by item "4._Totall ConitriactttiAown acrl?daimAmedofuornrct co)ol.ulumImfntnshs e121T2 oaautan13°. .a= (item "14. Total Partiupation Dollars 14.% med is less than item "6. Contract DBE Gaal",: a Good >:eith E@'att (,Fil?.L�t�r.• . 15. preparer`s8iguature Theparsottitetiag��sxUroaoftheforutforU►s+ttitants3ftiiinmisigntlu�r: 16. Prepare�r'stame(Print�(lteatl;rgntathenamasfthepasugniagtGissotco>1itc;fGiYnf?r.d3aftasvltant 1T. PreparerrsTltts-Endtc•posiEimrXtitles�PthapersonsnUtgthtsseetrbnoftkeformfccthccssnsolfaai 18. Date-Lnterdhe: n oPti►Gbrm issigmed by Uta pnepateti: 19. (Area Code) Tel. No. - Enter the area code and telephotteattntb ofthe porsoR<s(g;(iisseepsd.eYtite>fotirt dot tjie. consultant Local Agency Section! The Local Agency representative shall: 20. Loea1 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 AgcrispaYtepre"sei %tive. Nlame(PriO.0 dearty: 6M. the name of the person completing this section- t& Locel,Ageacg Represaptatiye S1goRtttre She person coirtpleting this section of the forst for the Local Agency must sign their reame:nrsertif3t ttafthe tnfbrtttation in this anti Qonstfl;Section of this form is complete and accurate. 25. 1tft;c -denten the ditto lute Lceal pgon�y-Rcpressirttdtve stilts the form. LacaLAgeacy ti2ypres6ttttitve 1'itte .doter thC.ttigttltitic of the person signing this section of Elle form 2'k n yde)'Pef . No = Eater iha.at ea:eode:ead�tbdop[tone number of the Local Agency represeumdve signing this section of ttu :(Aro form. Caltrans Section: Caltrans Dlstrkt:LoCW A& atmw.ftineer (I1F.d j,Ikalh 28. DLAF.Nim-girdtit)=Gl a�tyginteeitiC tn¢::oftheDLAE. 29. DLAE Signature--131,A-Ermist• ljA thii:i"oo of the form to certify that it has been reviewed for completeness 30. Date - Eimer thd-d'etethAt the Dl jlB.si871s:.ti►is notion tate form. `Page 2 OB 12-04 June 29, 2012 Local Assistance Procedures Manual EXHIBIT 10-02 Local M44 ,'Consultant DOE Information EXHIBIT 10-02: LOCAL AGENCY CONSULTANT DBE INFORMATION �Inctusii►e of all DBEs listed at bid proposal) I.- - .;A. nflhi. form_ Distribution: (1) Copy—Email a copy to the C31um District LOW ASSWOCCEngiRwr (DLAE) within 30 ftys or convacE award' ra"m w sonu copy to the DLAE within 30 days of contract award may result in delay of7payment. (2) 1 Copy —Include in award package scat to Caltrans DLAE (3)(3riginal —Lou[ agency files Page 1 01312-04 I June 29,2012. F1, Loco Agency Name: 2.Pr eject Location: 3. Project Description: 4. Total Contract Award Amount: $ S. ConsultantName: 6.CoF&actDBE Qoal%.. 00., . —.110- TO 7. Total Dollar Amount for all subcontractors: g. Total Number ofilLi Subcontractors. Award DBE Information 0. 13664io�;n7fscrviea to be Provided Diiia Dauer DBE Cert7 F2, Lo 20. Local Agency Contract Number, 21. Federal -aid Project Number: 22. Contract Execution Date: Local Agency certifies that all DBE certifications are valid and dw information oil this form is complete and accurate: IK 23 L=W Agency Itepraentadve Name (Print) 16. Local Agen7q Repromtefivc Tide '27.'(Area D 6 d e)'T'd L No. 167pmpames Nzn* (Print) Caltrans District Local Assistance Engineer (DLAE) certifies that this form has been reviewed for completeness: U. DLAE Now DLAE 9ii.W. 30, Dab is. Date' r9. (Am Code) Tot: Distribution: (1) Copy—Email a copy to the C31um District LOW ASSWOCCEngiRwr (DLAE) within 30 ftys or convacE award' ra"m w sonu copy to the DLAE within 30 days of contract award may result in delay of7payment. (2) 1 Copy —Include in award package scat to Caltrans DLAE (3)(3riginal —Lou[ agency files Page 1 01312-04 I June 29,2012. Exhibit 10-01 Local Assistance Procedures Manual Local Agency Consultant DBE Commitment _ INSTRUCTIONS - LOCAL AGENCY CONSULTANT DBE COMMITMENT _Consuitant Section The Consultant shall 1. Local Agency Name=+..Enter;tiio•nafacottt►alocat orr�gioua agS ii j!=t(t �n 2. Project Location - Edtsr:tie:uojaGC:lgcetiori as it appearsati<thc;pFojdt�x Bement 3. Project Description-Egtet.-Ai:pmjectdeseription as tt ap@ cars oil lir `pecJeet advertnsement (Bridge Rehab, Seismic Rehab, Overlay, Widening, etc).. 4. Consultant Name - Enter the consultant's firm name s. Contract DBS Goal % - Enter the contract DBE goal percentage, as it was reported on the Exhibit ! 0-I form. See LAPM 4liaprer I0 to be.psarddcd 7ndictliesl lworktobc ¢: Descripdou oekWIcea: to:, Pori vided � En( daro of �k!ittc'dcscriPt<cae£ . perforipsd.bY-1?13Ls dncludir►g t�wiieporP�gud by the.priii�e consft(ta�lt's oKni forces, ifiiu r�n!r✓ is.sDBE, W100% of the item y �_ --r .� :at ti:.nrar,ert<6v-ffie DBE. See LAPM 9ieteiopanel PCtTt one number of all DBE subcontracted consultants Also, enter the 7, DSL Finn onbteClaforaiatiou -.&ssts+r tfia't�rtie F id:xeigplso prime consuItant's name and telephone number, if the prime is a DOB - DBE Cert Number - Enter tho DBEs Certification Identification Nmnber. Ad DBEs must be certified on the date bids are ,.,.�:a ;cmtau ei�tsr�inti�otsdoaasuttaiNs shoved noti£Y'the prime consultant in writing with the date of the decertification if their s(etus;shQuld chane anrmg utC Couiscnr icw cwte?. 9. 1)BL'_?fo PtrcegtpaRicirAttealnfgYctlFlobep4£q{[`orservicepivvidedbyaDBE.Iacludetbeprimeconsuttantif the prime is:a:DR£.cA k kPA%Chape► 9 �rliasrtapQy fujP/peirtial participation. 10. Total % Ctaitned - finier lite total participation claimed. If the Total °!o Claimed is less titan item "6. Contract DBE Goat a GoodFaithEfl tii;,•GFE)isrrguiiotl 11. Preparer's:$i gatuii ThcpC siin000np. 12. Preparer's.:Name'(Print)-:GY_eert}!-eraer:dsettt 13. Preparer's Title Eotea the AW, gm/IiUe of0e 14. Date - Enteritie ¢atcUua of elle fbrari, 15. (Area Code) Tei. No. - Enterthe arca code and consultant Local Agency Section' peason'siguitig.tiiissecli4uti:(g' tfiefariri'.Coftiis; The Local Agency representative shall: 16. Local Agency Contract Number - Enter the Local Agency Contract Number. 19. Federal -Aid Project Number- Enter the Federal-AidProjeet Number. is. Contract Execution Date - Enter the date the contract was executed and Notice to Proceed issued. Sea LAPM Chapter 10, page 23, 19. I ccia .Agegcp, Represoiytali a ATataa:: l'rta k -Clean etet t elle name offhe person completing this section. 20. %Deal:A;envy ltepresoatatrvtSfBiuce.-'tc`i>etsoit;r!pkhag this section of the form for the Local Agency must sign their iarielo.:ao�t[£� that elle liif?eot}htiipsaad:ttsr:G�OsaiEadt Section of dais form is complete and accurate. tatEvtsi�nns the form. 21. Rate-Eltear<Wedetethe:iocaj;liieyl: 22. Local Agency Representative Title - Enter the posi4onftiEle of the person signing this section of the form. 23. (Area Cade) Tel No, - Enter the area code and telephone number of the Local Agency representative signing this section df the form. Page 2 OB 1204 June 29, 2012 J Local Assistance Procedures Manual EXHIBIT 10-02 Local Agency Consultant DBE Commitment EXHIBIT 10-01: LOCAL AGENCY CONSULTANT DBE COMMITMENT (Inclusive of all DBEs at time of proposal) w,n.ra. nr-....- ..et «F..:«�«...r:..«e m. cha wnoarna niriP nftt,ie fnrrrt Distribution; (1) Original —Submit with Award Package (2) Copy —Local Agency isles :: _:.----- 0812-04 .._.OB12-04 Jane 29, 2012 I. Local Agency Name: 2. Project Location: 3. Project Description: _.. 4. Consultant Name: _.._ 5. Contract DBE Goal 5C*,. DBE. Cor3mitmeni Information G. Description of services to be provided 7. DBE Firm. 8. DBE Cert _ . Local n fi� Cbxa iel� tt,,is gectfon.•� la Tarot a • ' ` ,. 16, Local Agency Contract Number. ;,17. Federai-aid Project Number IS. Proposed Conn=Execution Dates Local Agency certifies that all DBE eertifications ale valid and the information on this form is complete and acctttaie: n. Preparces signature 12, Pteparer's N=M 19. Local Agency Representative Name (Priirt) _ 20. Local Agency Representative Signature 2L lithe 22. Local Agency Representative Title 23 (Area Co ft Tet -Nd. 13: PreFarer's Title .. _ . . 14. Date 15. (Area. Cade) Tet, No. Distribution; (1) Original —Submit with Award Package (2) Copy —Local Agency isles :: _:.----- 0812-04 .._.OB12-04 Jane 29, 2012 EXHIBIT 10-L Local Assistance Procedures Manual Consultant Certification of Final Indirect. Costs EXHIBIT 10--L CONSULTANT CERTIFICATION OF FINAL INDIRECT COSTS Firm Name: Indirect Cost Rate: - Date of Proposal Preparation (mmlddlyyyy): _ Fiscal Period Covered (mm/dd/yyyy to mm/dd/yyyy): I 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: All costs included in this proposal to establish final indirect cost rates are allowable in accordance with the cost principles of the Federal AcquisitionRegulations(FAR) of title 48, Code of Federal Regulations (CFR), part 31. 1. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR. of 48 CFR 31. 2. All known material transactions or events that have occurred affecting the firm's ownership, organization, and indirect cost rates have been disclosed. *Consultant Signature: Name and Title (Print) Date of Certification (mm/dd/yyyy): *An individual executive or financial officer of the contractor's organization at a level no lower than a vice President or Chief Financial officer, or equivalent, who has the authority to represent the financial information utilized to establish the indirect cost rate proposal submitted in conjunction with the contract. Distribution: 1) Original to Caltrans Audits and Investigations with Cost Proposal if SIM or more 2) Local Ageney Project Files ... _ .: Page 1 Jane 20, 2012 OB 12-03 Local Assistance Procedures Manual EXHIBIT 10-K Certification otFinanciat Mant#geig_eatt:>ya and Contrail Com ... ............ Local Aaenev Certification — Cost Aualvsis: I, the undersigned, certify that I have performed a cost analysis in connection with this contract including, contract modifications exceeding $150,000, for the f'i'scal period as specified above. Local Agency Certification Signature: Local Agency Certifying Name and Title (Print): Local Agency Contact Information—Email and Phone number:.. Date of Certification (mmldd/yyyy): Date of Cost Analysis (mmldd/yyyy):. Distribution: 1) original to Caltrans Audits and investigations with Cost Anab sis if $IM or more 2) Local Agency Project Pites Page 2 OS 12-03 June 20, 2012 EXHIBIT 10-K Local Assistance Procedures Manual Certification of Fiaaac[si Managemw►t 5ystoa pnd_Contract Costs EXHIBIT 10-K CERTIFICATION OF FINANCIAL MANAGEMENT SYSTEM AND CONTRACT COSTS Consultant Certification: Consultant Firm Name: Cost Proposal Date:. - - Fiscal Period Covered (mm/dd/yyyy to mm/dd/yyyy)i. —.-_ I, the undersigned, certify that all costs in this propa at; r mi3 a insdtants and all subconsuitants) are allowable in accordance with the cost principles•ofthe'FederaE.Ac�ti'tsition Regulations (FAR) of title 48, Code of Federal Regulations (CFR), Part 31 and the iailretebsC.$) have been prepared or audited in accordance with the following criteria and in the acceptable indirect cost rate schedule formats, and retained in the project files: 1. Generally Accepted Government Auditing Standards (GAGAS) issued by the United States Govermnent Accountability Office, if applicable. 2. 23 Code of Federal Regulations (CFR), Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts. 3. 48 CFR, Chapter 1, Part 31— Contract Cost Principles 4. 48 CFR, Chapter 99, Cost Accounting Standards, Subpart 9900 5. All known material transactions or events that have occurred affecting the firm's ownership, organization, and .indirect cost rates have been disclosed. I, the undersigned, further certify 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. In addition, 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 S and the number of Slates in which the firm does business is *Consultant Certification Signature: Consultant Certifying Name and Title (Print): Consultant Contact Information — Email and Phone number . Date of Consultant Certification (nrmfddlyyyy) *An Individual executive or financial officer of the contractor's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the indirect cost rate proposal submitted in conjunction with the contract. Page 1 June 20, 2012 OB 12-03 Local Assistance Procedures Manua! EXHIBIT I" Standard Ag -toff or Subcontractor/DBE POW''n _ .. .. sad ra ; at istere�sttial C. The -ten+ shall holdsnag-froat:iite ptntte:cosuhant and s�re�}>imatee.,prempc other 'i sciEed:'iF;eet► 7-11Q8•'o£°the Business and Professions Code. These requirements hall not tie construed to limit or impair any contractual, administrative, or judicial remedies, otherwise available to the prime eirisriltiKit r�r subiriaultariti in the event of a l<gptrte tnvolvitigite payment ar nonpayment lytie=prune cx►ittradirr:deE subconsultant performance; p or:nonedmsc by e su bcontractor. ihisprow.ision applies::td.66r;bBE:and non -DBE pumcconsuitai�tsiiitshieohsiiTt. D. Any subcontract entered into as a result of this Agreement shall contain all of the provisions of this section. :-- S. DBE Records A- The Consultant shall maintain records of materials purchased and/or supplied from all subcontracts entered into with certified DBEs. The records shall show the name and business address of each DBE or vendor and the total dollar amount actually paid each DBE or vendor, regardless oftier. The records shall show the date of payment and the total. dollar figure paid to all firms. DBE prime consultants shall also show the date of work performed by their own forces along with the corresponding dollar value of the work. B. Upon completion of the Agreement, a summary of these records slYal C btl att l submitted on the form entitled, "Final Report -Utilization of Disadvantaged Busineft'Eni pitise. B,:First Tier Subcontractors," CENT 2402F (Exhibit I7 -F, Chapter 17, of the l AP = ed eoxrect by the Consultant or the Consultant's authorized representative and shall be famished to the Contract Manager with the final invoice. Failure to provide the slit-illaic O. -PO va—meO �;..... �t invoice will result in 25% of the dollar value of the invoice beiilylielcfdot+pytpOtt 1 t=uSU b• The amount will be returned to the Consultant W&l st."Moot Vit'i-1 ePs1 Tt l!z f! ?n of Disadvantaged Business Enterprises (DBE), First -Ties Subcontractors" is submitted to the Contract Manager. 6. DBE Certification and Decertification Status Page 3 OB 12-04 June 29, 2012 EXKMrr 10-i LAW Assistance Procedures MSMIRI Agreement F StandardA vorrien qr$.ubo!ktrActor/DBEP-#F.OciPR(10n 3. Performance of DBE Consultant and other DBE SubcOusultsilftSuPPliers h ibl, for 0 W.0 Of .raig-adommemi... . .... . &jMd, cm in A. A DBE p i . b . i SUP s 9: e 'Out its Agreement imal*car- M -R -- ---- dile Vn4-. EmUst. - work involved: To.performs:a, ao IY useful -I, - ottabtJ d. respect to material*anill rl"ide M"g. quantity, orderingtiv:ad TO t determine whether t -subcontracted, industry practices;or commensurate with the work it is actually performing and other relevant factors. B. -,A 15MRdues slituseful°uon if its role is limited to d*'Ofba Pft.-- POVOCiOad funds are passed in orderto-ofit the In a irmactidn -Agreeni64- project through Whidk appearance Mice .:o 'Eiji is such an extra participant,61siffift partreurarly these in vsiii"iclt I�BFs do. not participate. C. If aDBB,ddts--Adt !to.r rOMO. total cost of its esponsibility for at lea* Agre;OM-en't-W."M its: . 6 M DBE ssubcontractsi greater 0" 0,.*; fthe work of the o . . - S I type of work involved, .0affi-q.-basis of normal industry it WW. tL �Pm , �U!god- tkdt it 19,00'-par6rhAns a commercially usedi function. 4. Prompt Payment of Funds Withheld to Subcontractors (Local agency to use either AB, or c below., delete the other two.) ... ....... A.NdrOtOhftWieVft,n POSO-Vi 0. - a or impair any contractual, administrative, orjuMON WAMI or subconsultant in the, event of a dispute involy-1W.0 or deficient subconsultant Performance, or noncoko both DBE and non -DBE prime consultants and subcOr. ot}These requirements shall Code .to specifiedmtonfBS.of the shall not be construedadministative, or remedies, otherwise construed to limit or impair any contractual, . .. I ..t .04we 14.. -.Va or f-g"dispute inv nonpaymeri# by the prune available th. -b -a ba&jg�#060nance oragge-Op. 'Su. subconsMadt. PIP 44 4 Page 2 OB 12-04 June 29, 2012 Local Assistance Procedures Manual EXHIBIT 10-J Standard Agreement For Subcontractor/DBE Participation. EXHIBIT 10-3 STANDARD AGREEMENT FOR SUBCONTRACTOR/DBE PARTICIPATION 1. Subcontractors A. Noth eon ficid tir th t gr wiftiret .ft-nvrse, shalt create ani eonttaefuat rel tote bet on the �4geney and any saE coiifrair%rs� and tta:slubmin sEia#1 rel�evethe o oc o NOW a d obligations hareamdr The ihtr$ %x ngi?ees to Ger as fitiL3a rdsponsible to theAgeneyfor the acts ad tlin.ssior oP�ts sulicoritsauEfors.nd cpe:eitlterrectyor �ndae�tl emigayed by any trthe a t is for the acts and omissions of persons directly erttpla�+edbyfEi�Corrtra�ior a;:, tontraefar's ob&[gi#tton to pay its subcontractors is an independent obiigatiQci9i~?$p0son Fpiriaitepayeiils:t the Contractor. B. Any subcontract in excess of $25,000, entered into as a result of this Agreement, shall contain all the provisions stipulated in this Agreement to be applicable to subcontractors. C. Contractor shall pay its subcontractors within ten (10) calendar days from receipt of each payment wade to the Contractor by the Agency. D. Any substitution of subcontractors must be approved in writing by the Agency's Contract Manager in advance of assigning work to a substitute subcontractor. 2. Disadvantaged Business Enterprise (DBE) Participation A. This Agreement Os:'s3�iiit'fDiyFR, itel "Participation by Disadvantaged Business Enterprises in De a ep€; f Tran }sc rE...... itiaueia Assistance Programs:' Proposers who obtain DBE participation on tWc atMU t .ass :: g ;meeting its federally mandated statewide overall DBE goal. B. If the contract has a DBE goal, the Consultant must meet the DBE goal by committing DBE participation or document a good faith effort to meet the goal. If a DBE subconsultant is unableto perform, the Consultant must make a good faith effort to replace bimther with another DBE subconsultant, if the goal is not otherwise met. C. DBEs and other small businesses, as defined in 49 CFR, Part 26 are encouraged to participate in the requirements is a material breach of this Agreement, which may result in the termination of this Agreement or such other remedy as the local agency deems appropriate.- D. ppropriate.D. Any subcontract entered into as a result of this Agreement shall contain all of the provisions of this section. .0812-04 June 29, 2012 Local Assistance Procedures Manual EXRBIT 10-I Notice to Proposers DBE Information EXHIBIT 10-1 NOTICE TO PROPOSERS DBE INFORMATION The Agency has established a DBE goal for this Agreement of 8.79% 1. TERMS AS USED IN THIS DOCUMENT • The term "Disadvantaged Business Enterprise" or "DBE" means a for-profit small business concern owned and controlled by a socially and economically disadvantaged person(s) as defined in Title 49, Part 26.5, Code of Federal Regulations (CFR). • The term "Agreement" also means "Contract." • Agency also means the local entity entering into this contract with the Contractor or Consultant. • The term "Small Business" or "SB" is as defined in 49 CFR 26.65. 2. AUTHORITY AND RESPONSIBILITY A. DBEs and other small businesses are strongly encouraged to participate in the performance of Agreements financed in whole or in part with federal funds (See 49 CFR 26, "Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs"). The Contractor should ensure that DBEs and other small businesses have the opportunity to participate in the performance of the work that is the subject of this solicitation and should take all necessary and reasonable steps for this assurance. The proposer shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of subcontracts. B. Proposers are encouraged to use services offered by financial institutions owned and controlled by DBEs. Page 1 OR 12-04 June 29, 2012 Local Assistance Procedures Manual EXHIBIT 10-J Standard Agreement For Subcontractor/DBE Participation EXHIBIT 10-J STANDARD AGREEMENT FOR SUBCONTRACTOR/DBE PARTICIPATION 1. Subcontractors A. Nothing contained in this Agreement or otherwise, shall create any contractual relation between the Agency and any subcontractors, and no subcontract shall relieve the Contractor of his/her responsibilities and obligations hereunder. The Contractor agrees to be as fully responsible to the Agency for the acts and omissions of its subcontractors and of persons either directly or indirectly employed by any of them as it is for the acts and omissions of persons directly employed by the Contractor. The Contractor`s obligation to pay its subcontractors is an independent obligation from the Agency's obligation to make payments to the Contractor. B. Any subcontract in excess of $25,000, entered into as a result of this Agreement, shall contain all the provisions stipulated in this Agreement to be applicable to subcontractors. C. Contractor shall pay its subcontractors within ten (10) calendar days from receipt of each payment made to the Contractor by the Agency. D. Any substitution of subcontractors must be approved in writing by the Agency's Contract Manager in advance of assigning work to a substitute subcontractor. 2. Disadvantaged Business Enterprise (DBE) Participation A. This Agreement is subject to 49 CFR, Part 26 entitled "Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs." Proposers who obtain DBE participation on this contract will assist Caltrans in meeting its federally mandated statewide overall DBE goal. B. If the contract has a DBE goal, the Consultant must meet the DBE goal by committing DBE participation or document a good faith effort to meet the goal. If a DBE subconsultant is unable to perform, the Consultant must make a good faith effort to replace him/her with another DBE subconsultant, if the goal is not otherwise met. C. DBEs and other small businesses, as defined in 49 CFR, Part 26 are encouraged to participate in the performance of agreements financed in whole or in part with federal funds. The Consultant or subconsultant shall not discriminate on the basis of race, color, national origin, or sex in the performance of this Agreement. The Consultant shall carry out applicable requirements of 49 CFR, Part 26 in the award and administration of US DOT- assisted agreements. Failure by the Consultant to carry out these requirements is a material breach of this Agreement, which may result in the termination of this Agreement or such other remedy as the local agency deems appropriate. D. Any subcontract entered into as a result of this Agreement shall contain all of the provisions of this section. rage t OB 12-04 June 29, 2012 EXHIBIT 10-J Standard Agreement For Subcontractor/DBE Participation Local Assistance Procedures Manual 3. Performance of DBE Consultant and other DBE Subconsultants/Suppliers A. A DBE performs a commercially useful function when it is responsible for execution of the work of the Agreement and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a commercially useful function, the DBE must also be responsible with respect to materials and supplies used on the Agreement, for negotiating price, determining quality and quantity, ordering the material, and installing (where applicable) and paying for the material itself. To determine whether a DBE is performing a commercially useful function, evaluate the amount of work subcontracted, industry practices; whether the amount the firm is to be paid under the Agreement is commensurate with the work it is actually performing; and other relevant factors. B. A DBE does not perform a commercially useful function if its role is limited to that of an extra participant in a transaction, Agreement, or project through which funds are passed in order to obtain the appearance of DBE participation. In determining whether a DBE is such an extra participant, examine similar transactions, particularly those in which DBEs do not participate. C. If a DBE does not perform or exercise responsibility for at least 30 percent of the total cost of its Agreement with its own work force, or the DBE subcontracts a greater portion of the work of the Agreement than would be expected on the basis of normal industry practice for the type of work involved, it will be presumed that it is not performing a commercially useful function. 4. Prompt Payment of Funds Withheld to Subcontractors A 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 subconsultanfs 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. 1. Any subcontract entered into as a result of this Agreement shall contain all of the provisions of this section. 5. DBE Records A. The Consultant shall maintain records of materials purchased and/or supplied from all subcontracts entered into with certified DBEs. The records shall show the name and business address of each DBE or vendor and the total dollar amount actually paid each DBE or vendor, regardless of tier. The records shall show the date of payment and the total dollar figure paid to all firms. DBE prime consultants shall also show the date of work performed by their own forces along with the corresponding dollar value of the work. B. Upon completion of the Agreement, a summary of these records shall be prepared and submitted on the form entitled, "Final Report -Utilization of Disadvantaged Business Enterprise (DBE), First -Tier Subcontractors," CEM -2402F (Exhibit 17-F, Chapter 17, of the LAPM), certified correct by the Consultant or the Consultant's authorized representative and shall be furnished to the Contract Manager with the final invoice. Failure to provide the summary of DBE payments with the final invoice will result in 25% of the dollar value of the invoice being withheld from payment until the form is submitted. The amount will be returned to the Consultant when a satisfactory "Final Report -Utilization of Disadvantaged Business Enterprises (DBE), First -Tier Subcontractors" is submitted to the Contract Manager. Page 2 June 29, 2012 OB 12-04 Local Assistance Procedures Manual EXHIBIT 10-J Standard Agreement For Subcontractor/DBE Participation 6. DBE Certification and Decertification Status If a DBE subconsultant is decertified during the life of the Agreement, the decertified subconsultant shall notify the Consultant in writing with the date of decertification. If a subconsultant becomes a certified DBE during the life of the Agreement, the subconsultant shall notify the Consultant in writing with the date of certification. Any changes should be reported to the Agency's Contract Manager within 30 days. Page 3 OB 12-04 June 29, 2012 Local Assistance Procedures Manual EXHIBIT 10-01 Local Agency Consultant DBE Commitment ExHim 10-01: LocAL AGENCY CONOLTANT DBE COM M ffMNr (Inclusive of all DBEs at time of proposal) - `~L• ENVY PI 1. Local Agency Name: City of Lodi Department of Public Works l.ProjeotLocation, Lodi, California 3. Project Description: Project Management, Design and Engineering for the Hamev Lane/UPRR Grade Separation Praier+ 4. Consultant Name: Mark Thomas(& Company, Inc- -i S. Contract DBE Goal %: DBE Commitment Information 6. Description of Services to be Provided 7. DBE Firm Contact Information 8. DBE Cert. 9. DBE % umber Public Outreach Judith Buethe Communications 37196 3.01% (209) 464-8707 Structures Independent Check Apex Civil Engineering 38747 5.95% 916 717-2812 Landscape Design Pennino Design Group 37638 1.29% -4261 .(209132 LocalAgeacy to Compkirr this Section � -, .: _ - .�:�o�Torat`. - ='�': 16. Local Agency Contract Number. 17. Federal -aid Project Number: 18. Proposed Contract Execution Date: Local Agency certifies that all DBE certifications are valid and the information on ibis forth is complete and accurate: 11. cepa Si ataue Robert A. Rimes 12. Prepames Name (Print) Vice President/Principal 19. Local Agency Representative Name (Print) 20. Local Agency Representative Signature 21. Date 22. Local Agency RepresentativeTitle 23. (Area Code) Tel. No. 13. Preparees Title 10/08/2012 (9l 6) 381-9100 14. Date M. (Area.Code) Td. No. Distribution: (1) Original — Submit with Award Package (2) Copy—Local Agency files Page 1 OB 12-04 dune 29, 2012 Local Assistance Procedures Manual EXHIBIT 10-02 Local Agency Consultant DBE Information EXHIBIT M02: LOCAL AGENCY CONSULTANT DBE INFORMATION (inclusive of all DBEs listed at bid proposal) t., ..:.rn nFN.ie Fnrm Comi~'lh1s Section ' e °Consultant -to... te - ._..P - 1. Local Agency Name: City of Lodi Department of Public Work 2.project Location.. Lodi, Colifomia 3. project Description. -Project Management Design and Engineering for the Ho I nne/i 1PRR C,rrir,- SPpa. aku =jP_ct 4. Total Contract Award Amount: S N/A S. Consultant Name: Mark Thomas & Company, Inc. 6. Contact DBE Goal %. 'b . tR o/o 7. Total Dollar Amount for alt Subcontractors: S 195,309 S. Total Number of all Subcontractors: 5 Award DBE Information 9. Description of Services to be Provided 10. DBE Firm MOWE 11. DBE CertDBE Dollar Number — Amount Public Outreach ludith buethe Communications 37196 $28,044 (20914 4 870 Structures Independent Check Apex Civil En ineerin 38747 $55,487 {916) 717-2812 Landscape Design Pennino Design Group 37638 $12,036 (209) 327-4261 .. ... ; - - - •"7` ' .. - Local Agency to Complete this Section ..13• TO path:: 20. Local Agency Contract Number 21. Federal -aid ftiectNumber: 22. Contract Execution Data -757777 Local Agency certifies that all DBE certifications are valid and tate information on this form is complete and accurate: 23. Local Agency Representative Now (Print) 24. Local Agency Repseseatative Signature 25. Date Z6. Local Agency Reptemotative li le 27• (Arca Code) TeL No. 15. nF i store Robert A. Himes 16. Pteparces Now (pint) Vice President/Principal Caltrans io Com etc this Section i?. Pteparer's Title 10/08/2012 (916) 381-9100 Caltrans District Local Assistance Engineer (DLAE) certifies that this form 18. Date 19. (Area Code) Tel. No. has been reviewed for completeness: 2& DLAE Name (Print) 29. DLAE Signalm Date Distribution: (t) Copy -Email a copy to the Caltrans District Lorstt Assnstance Engineer (DLAE) widdR 30 days of contract swam rarmm m scan a copy to the DLAE within 30 days of contract award may result in delay afpayment. (2) Copy- htclude in award package sent to t:.aitrans DLAE (3) Original -Local agoncy fires Page 1 OB 12-04 June 29, 2012 Local Assistance Procedures Manual Exhibit 15-H DBE Information - Good Faith Effort F.VMIT 15-H DBE INFORMATION --GOOD FAITH EFFORTS Federal -aid Project No. DBE INFORMATION - GOOD FAITH EFFORTS NOT APPilCABLE - MTCo has met contract DBE goal requirements Bid Opening Date The (Qity/County oto established a Disadvantaged Business Enterprise (DBE) goal of % for this project. The information provided herein shows that a good faith effort was made. Lowest, second lowest and third lowest bidders shall submit the following information to document adequate good faith efforts. Bidders should submit the following information ever 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 goad 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 Commitmere 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 winch a request for DBE participation for this project was placed by the bidder (please attach copies of advertisements or proofs of publication): Publications Dates ofAdvertisement 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 confu mations, etc.): Names of DBEs Solicited Date of Initial Follow Up Methods and Dates Solicitation Page 15-1 OB 12-04 June 29,201z t Exhibit 15-H Local Assistance Procedures Manual DBE Information -Good Faith Effort NOT APPLICABLE - MTCo has met contract DBE goal requirements 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 Breakdown of Amount Percentage Performs Item Items Of (Y/N) Contract D. The names, addresses and phone numbers of rejected DBE firms, the reasons for thebidder'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.DB& 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 firths selected for the work above: i t 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, 21!12 OB 12-04 Local Assistance Procedures Manual Exid6it 15-H DBE Information - Good Faith Effort NOT APPLICABLE - MTCo has met contract DBE goal requirements 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 IL 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 dune 29, 2012 wo a W a 2oz � 4 F oa M yaO an V LL.O 0Z F O V aN D a:? W 2 °_ O LL LL. LU .4 W H Z � F F Z a 0 o Z V U W F � Q CL z z Z Q LLf U- U- �- O n u~i W di E z r U O W � O Z a ul I- z F W Oii ?yi � V Q Y IL 1W- 0 m U OV O Z g U F 2LU 0 is 4 m o Q Ef3 Es3 EH 5 s EH Ess Ess En 613 Ef? to EH ; e a n In � a S W U. N U) 2 C O K p Z fH (ft :A Ef3 iH EFT Ef} EA EH fs) Ef} Ef} EfT w 3 1 co CO ow O~ 3 0 O w Ul ~ W o � o m CZ � a a+ c 00) a E d uj W C-' �g m .0 v LLI Z >. 03 W W 6 $ a� o j V @ w V a � w O a w b z�g❑ F 2 �' £ W O 2 Lu F c4 m QF M (WL g lu a Q va Z LLI O 00 F v wa U _ o UJ a ��z O a. Z 0 <ss -' c EXHIBIT 17-F Local Assistance Procedures Manual Final Report -Utilization of Disadvantaged Business Enterprises (DBE), First -Tier Subcontractors FINAL REPORT — UTILIZATION OF DISADVANTAGED BUSINESS ENTERPRISES (DBE), FIRST-TIER SUBCONTRACTORS CEM 2402(F) (Rev. 02/2008) The form requires specific information regarding the construction project: Contract Number, County, Route, Post Miles, Federal -aid Project No., the Administering Agency, the Contract Completion Date and the Estimated Contract Amount. It requires the prime contractor name and business address. The focus of the form is to describe who did what by contract item number and descriptions, asking for specific dollar values of item work completed broken down by subcontractors who performed the work both DBE and non -DBE work forces. DBE prime contractors are required to show the date of work performed by their own forces along with the corresponding dollar value of work. The form has a column to enter the Contract Item No. (or Item No's) and description of work performed or materials provided, as well as a column for the subcontractor name and business address. For those firms who are DBE, there is a column to enter their DBE Certification Number. The DBE should provide their certification number to the contractor and notify the contractor in writing with the date of the decertification if their status should change during the course of the project. - The form has six columns for the dollar value to be entered for the item work performed by the subcontractor. The Non -DBE column is used to enter the dollar value of work performed for firms who are not certified DBE. The decision of which column to be used for entering the DBE dollar value is based on what program(s) status the firm is certified. This program status is determined by the California Unified Certification Program by ethnicity, gender, ownership, and control issues at time of certification. To confirm the certification status and program status, access the Department of Transportation Civil Rights web site at: http://www.dot.ca.gov/hq/beg or by calling (916) 324-1700 or the toll free number at (888) 810-6346. Based on this DBE Program status, the following table depicts which column to be used: DBE PpWarn Status Column to be used If program status shows DBE only with no other programs listed DBE If a contractor performing work as a DBE on the project becomes decertified and still performs work after their decertification date, enter the total dollar value performed by this contractor under the appropriate DBE identification column. If a contractor performing work as a non -DBE on the project becomes certified as a DBE, enter the dollar value of all work performed after certification as a DBE under the appropriate identification column. Enter the total of each of the six columns in Form CEM -2402(F). Any changes to DBE certification must also be submitted on Form -CEM 2403(F). Enter the Date Work Completed as well as the Date of Final Payment (the date when the prime contractor made the "final payment" to the subcontractor for the portion of work listed as being completed). The contractor and the resident engineer sign and date the form indicating that the information provided is complete and correct. Page 17-22 July 1, 2012 LPP 09-02 Local Assistance Procedures Manual EXHIBIT 10-P Nonlobbying Certification for Federal -aid Contracts ExHlsrr 10-P NONLonym CERTIFICATION FOR FEDERAL -AID CONTRACTS The prospective participant certifies by signing and submitting this proposal/bid to the best of his or her knowledge and belief that: (1) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant; loan, or cooperative agreement. (2) If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form -LLL, "Disclosure of Lobbying Activities,' in accordance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his/her proposal/bid that he/she shall require that the language of this certification be included in all tower -tier subcontracts which exceed $100,000 and that all such sub -recipients shall certify and disclose accordingly. Page I OR 1243 June 20, 2012 Non -Lobbying Certification Form 10-P Local Agency. City of Lodi Project Description: Professional Engineering Services Proposal Date: September 28, 2012 Proposen's Name: APEX Croil Engineering The prospective participant certifies by signing and submitting this proposal/bid to the best of his or her knowledge and belief that: (1) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, � continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement, (2) if any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form - LLL, "Disclosure of Lobbying Activities," in accordance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1332, Tide 31, U.S. Code. Any person who falls to file the required certificefion shall be subject to a civil penalty of not less than $1o,00o and not more than $100,000 for each such failure. As the prospective participant we also agree by submitting this that we shall require that the language of this certification be included in all lower -tier subcontracts which exceed $100,000 and that all such sub -recipients shall certify and disclose accordingly. Patricia Preston, Principal EngineerA 114 Name, %tle Signature, Date PUBLIC WORKS * COMMERCIAL ♦ FORENSICS * TRANSPORTAT'ON PO BOX 1196, ORANGEVALE, CA 95662, E-MAIL: PATRi &PRE5T'ONOAPEXCML-COM T: 915.7172812, f: 916.488.6770 Local Assistance Procedures Manual PS&E Checklist Instructions ATTACHMENT E DEBARMENT AND SUSPENSION CERTIFICATION TITLE 49, CODE OF FEDERAL REGULATIONS, PART 29 EXHIBIT 12-E Attachment E The bidder, under penalty of perjury, certifies that, except as noted below, he/she or any other person associated therewith in the capacity of owner, partner, director, officer, and manager: • Is not currently under suspension, debarment, voluntary exclusion, or determination of ineligibility by any federal agency; • Has not been suspended, debarred, voluntarily excluded or determined ineligible by any federal agency within the past 3 years; • Does not have a proposed debarment pending; and • Has not been indicted, convicted, or had a civil judgment rendered against it by a court of competent jurisdiction in any matter involving fraud or official misconduct within the past 3 years. If there are any exceptions to this certification, insert the exceptions in the following space. Exceptions will not necessarily result in denial of award, but will be considered in determining bidder responsibility. For any exception noted above, indicate below to whom it applies, initiating agency, and dates of action. Notes: Providing false information may result in criminal prosecution or administrative sanctions. The above certification is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Certification. Page 12-29 OB 12-04 June 29, 2012 Local Assistance Procedures Manual EXHIBIT 10-V Non -Discrimination CIause EXHIBIT 10-V NoN-DISCRIMINATION CLAUSE (To be included in Consultant Agreement/Contract) NON-DISCRIMNATION CLAUSE During the performance of this Agreement, Contractor and its subcontractors 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. Contractor and subcontractors shall insure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment. Contractor and subcontractors 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 Agreement by reference and made a part hereof as if set forth in fiill. Contractor and its subcontractors shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other Agreement. Contractor shall include the nondiscrimination and compliance provisions ofthis clause in all subcontracts to perform work under the Agreement. -- Page 1 OB 12-03 .Tune 20, 2012 Local Assistance Procedures Manual EXHIBIT 10-F Certification of Consultant, Commissions & Fees Exmrr 16-F CERTIFICATION OF CONSULTANT, COM14QSsiom & FEES I HEREBY CERTIFY that I am the Vice President/Principal , and duly authorized representative of the firm of Mork Thomas & Company, Inc. , whose address is 7300 Folsom Boulevard, Suite 203, Sacramento, CA 45826 , 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 agreement; 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 agreement; 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, contn'bution, donation, or consideration of any kind, for or in connection with, procuring or carrying out this agreement I acknowledge that this Certificate is to be made available to the Catiform a. Department of Transportation (Caltrans) in connection with this agreement involving participation of Federal aid Highway fiords, and is subject to applicable state and federal laws, loth criminal and civil. oc�''12. (Date) Distribution: i) t.oW Agency Projed File (Orifi"& Canna) 2) DLAE (with c nb-Ad copy) 'JI 1 --- rage ■ 08 12-03 June 2% 2012 Local Assistance Procedures Manual EXHIBIT 10-G Certification of Local Agency EXHIBIT 10-G CERTIFICATION OF LOCAL AGENCY I HEREBY CERTIFY that I am the Public Works Director of the _ City of Lodi _ _ , and that the consulting firm of Mark Thomas & Company Inc. ,or its representative has not been required (except as herein expressly stated), directly or indirectly, as an express or implied condition in connection with obtaining or carrying out this Agreement to: (a) employ, retain, agree to employ or retain, any firm or person, or (b) pay or agree to pay, to any firm, person or organization, any fee, contribution, donation, or consideration of any kind. I acknowledge that this Certificate is to be made available to the California Department of Transportation (Caltrans) in connection with this Agreement involving participation of federal -aid highway funds, and is subject to applicable state and federal laws, both criminal and civil. Zllz�� (Date) Distribution: 1) Local Agency Project File ( original & Contract) 2) DLAE (with cotnract copy) (Signature) Page 1 June 20, 2012 OB 12-03 1. AA# 2, JV# CITY -OF LODI - - - - APPROPRIATION ADJUSTMENT. REQUEST T0: Internal Services Dept. - Bud et Division 3. FROM; I Rebecca Areida-Yadav 15. DATE: 5/5/2015 4. DEPARTMENT/DIVISION: Public Works 6. REQUEST ADJUSTMENT OF APPROPRIATION AS LISTED BELOW - J FUND # BUS. UNIT # ACCOUNT # ACCOUNT TITLE AMOUNT A. SOURCE OF FINANCING 307 56402 Other Federal Grants 45 000.00 B. USE OF FINANCING 307 3.0799000 77020 Capital Projects $ 45 000.00 7. REQUEST'IS _MIADE TO•FUND:THE FOLLOWING PROJECT NOT_INCLUDE.D IN THE CURRENT BUDGET' . Please provide a description of the project, the total cost of the project, as well as justification for the requested adjustment. If you need more space, use an additional sheet and attach to this form. Amendment No. 1 with Mark Thomas & Company for the Harney Lane Grade Separation project. If Council has authorized the appropriation adjustment, complete the following: Meeting Date: Res No: Attach copy of resolution to this form. Department Head Signature: how A 8. APPROVAL SIGNATURES Deputy City Manager/Internal Services Manager Date Submit completed form to the Budget Division with any required documentation. Final approval will be provided in electronic copy format. RESOLUTION NO. 2015-68 A RESOLUTION OF THE LODI CITY COUNCIL AUTHORIZING THE CITY MANAGER TO EXECUTE AMENDMENT NO. 1 TO THE PROFESSIONAL SERVICES AGREEMENT WITH MARK THOMAS & COMPANY, INC., OF SACRAMENTO, FOR THE HARNEY LANE GRADE SEPARATION PROJECT AND FURTHER APPROPRIATING FUNDS WHEREAS, on October 5, 2011, City Council approved the Professional Services Agreement with Mark Thomas & Company, Inc., of Sacramento, for the design of the Harney Lane Grade Separation Project; and WHEREAS, the design work has been completed and the project is moving to the next phases of work preliminary to awarding the construction contract; and WHEREAS, staff recommends approval of Amendment No. 1 that will add funding assistance and utility coordination services to the scope of work, at a cost not to exceed $45,000. NOW, THEREFORE, BE IT RESOLVED that the Lodi City Council does hereby authorize the City Manager to execute Amendment No. 1 to the Professional Services Agreement with Mark Thomas & Company, Inc., of Sacramento, California, for the Harney Lane Grade Separation Project, in an amount not to exceed $45,000; and BE IT FURTHER RESOLVED, that funds in the amount of $45,000 be appropriated from the Regional State Transportation Program (307) for this project. Dated: June 3, 2015 I hereby certify that Resolution No. 2015-68 was passed and adopted by the City Council of the City of Lodi in a regular meeting held June 3, 2015, by the following vote: AYES: COUNCIL MEMBERS — Kuehne, Mounce, Nakanishi, and Mayor Johnson NOES: COUNCIL MEMBERS — None ABSENT: COUNCIL MEMBERS — Chandler ABSTAIN: COUNCIL MEMBERS — None aNIFER FERRAIOLO City Clerk 2015-68