02-2H6004 - Roadway Excavation_ Place HMA and Install Corrugated Steel Pipe.pdf

Bids open Tuesday, October 13, 2026

Dated September 8, 2026

STATE OF CALIFORNIA

DEPARTMENT OF TRANSPORTATION

NOTICE TO BIDDERS

AND

SPECIAL PROVISIONS

FOR CONSTRUCTION ON STATE HIGHWAY IN SHASTA COUNTY IN SHASTA

FROM SECOND STREET TO MIDDLE CREEK ROAD

In District 02 On Route 299

Under

Bid book dated September 8, 2026 Standard Specifications dated 2025

Project plans approved June 8, 2026 Standard Plans dated 2025

Identified by

Contract No. 02-2H6004

02-Sha-299-18.6/19.0

Project ID 0216000150

SPECIAL NOTICES

See sections 2 and 3 for contractors' registration requirements.

The Department advises bidders that potential claim records must be submitted by the contractor using the Department's Internet potential claim system.

See section 2 for submittal requirements for DVBE quotes and Non–Small Business

Subcontractor Preference.

For work plan for local material from (1) a noncommercial source or (2) a source not regulated under California jurisdiction, see section 6-1.03B(2).

See section 7-1.02K(3) for the requirements for electronic submittal of certified payroll records using LCPtracker Pro.

The flagging and temporary traffic control requirements have been revised. See sections 7-

1.03, 7-1.04, and 12.

See sections 2-1.11 and 2-1.33B for in-use off-road diesel-fueled vehicle requirements regarding Certificate of Reported Compliance submittals.

See section 14-11.14 for changes to the management of treated wood waste.

Contract No. 02-2H6004 i

TABLE OF CONTENTS

NOTICE TO BIDDERS

BID ITEM LIST

SPECIAL PROVISIONS

ORGANIZATION

DIVISION I GENERAL PROVISIONS

1 GENERAL

2 BIDDING

5 CONTROL OF WORK

6 CONTROL OF MATERIALS

7 LEGAL RELATIONS AND RESPONSIBILITY TO THE PUBLIC

8 PROSECUTION AND PROGRESS

9 PAYMENT

DIVISION II GENERAL CONSTRUCTION

10 GENERAL

12 TEMPORARY TRAFFIC CONTROL

13 WATER POLLUTION CONTROL

14 ENVIRONMENTAL STEWARDSHIP

DIVISION III EARTHWORK AND LANDSCAPE

18 DUST PALLIATIVES

19 EARTHWORK

21 EROSION CONTROL

DIVISION V SURFACINGS AND PAVEMENTS

39 ASPHALT CONCRETE

DIVISION VIII MISCELLANEOUS CONSTRUCTION

73 CONCRETE CURBS AND SIDEWALKS

DIVISION XI MATERIALS

90 CONCRETE

ii

STANDARD PLANS LIST

The standard plan sheets applicable to this Contract include those listed below. The applicable revised standard plans (RSPs) listed below are included in the project plans.

RSP A3A Abbreviations (Sheet 1 of 3)

RSP A3B Abbreviations (Sheet 2 of 3)

RSP A3C Abbreviations (Sheet 3 of 3)

A10A Legend - Lines and Symbols (Sheet 1 of 5)

A10B Legend - Lines and Symbols (Sheet 2 of 5)

A10C Legend - Lines and Symbols (Sheet 3 of 5)

A10D Legend - Lines and Symbols (Sheet 4 of 5)

A10E Legend - Lines and Symbols (Sheet 5 of 5)

A20A Pavement Markers and Traffic Lines - Typical Details

A20C Pavement Markers and Traffic Lines - Typical Details

A24G Pavement Markings - Yield Lines, Limit Lines, and Wrong Way Details

A62A Excavation and Backfill - Miscellaneous Details

A62F Excavation and Backfill - Metal and Plastic Culverts

A73A Object Markers

A73B Markers

A73C Delineators, Channelizers and Barricades

D75A Steel Pipe Inlets

D77A Grate Details No. 1

D77B Grate Details No. 2

D94A Metal and Plastic Flared End Sections

D97A Corrugated Metal Pipe Coupling Details No. 1 - Annular Coupling Band, Bar and Strap, and Angle Connections

D97C Corrugated Metal Pipe Coupling Details No. 3 - Helical and Universal Couplers

D97D Corrugated Metal Pipe Coupling Details No. 4 - Hugger Coupling Bands

D97E Corrugated Metal Pipe Coupling Details No. 5 - Standard Joint

H52 Rolled Erosion Control Product

T1A Temporary Crash Cushion - Sand Filled (Unidirectional)

T1A1 Temporary Crash Cushion - Sand Filled (Unidirectional)

T1B Temporary Crash Cushion - Sand Filled (Bidirectional)

T2 Temporary Crash Cushion - Sand Filled (Shoulder Installations)

RSP T3A Temporary Railing (Type K)

T3B Temporary Railing (Type K) iii

T3C Temporary Barrier System (Cross Bolt)

T3D Temporary Barrier System (Cross Bolt)

T3E Temporary Barrier System (Cross Bolt)

T3F Temporary Barrier System (Cal F-23)

T3F2 Temporary Barrier System (Cal F-23)

T3G Temporary Barrier System (Staking or Anchoring)

T3G2 Temporary Barrier System (Staking or Anchoring)

RSP T13A Traffic Control System - Two Lane Conventional Highways

T56 Temporary Water Pollution Control Details (Temporary Fiber Roll)

T57 Temporary Water Pollution Control Details (Temporary Check Dam)

T59 Temporary Water Pollution Control Details (Temporary Concrete Washout Facility)

T61 Temporary Water Pollution Control Details (Temporary Drainage Inlet Protection)

T65 Temporary Water Pollution Control Details (Temporary High-Visibility Fence)

RS1 Roadside Signs - Typical Installation Details No. 1

RS2 Roadside Signs - Wood Post - Typical Installation Details No. 2

RS4 Roadside Signs - Typical Installation Details No. 4

CANCELED STANDARD PLANS LIST

The 2025 standard plan sheets listed below are canceled and not applicable to this contract.

Plan No.

Date

Canceled Plan No.

Date Canceled

Plan No.

Date

Canceled

P8 04-20-26

NOTICE TO BIDDERS

Bids open Tuesday, October 13, 2026

Dated September 8, 2026

General work description: Roadway excavation, place HMA and install corrugated steel pipe.

The Department will receive electronically sealed bids for the following work: CONSTRUCTION ON

STATE HIGHWAY IN SHASTA COUNTY IN SHASTA FROM SECOND STREET TO MIDDLE CREEK

ROAD.

District-County-Route-Post Mile: 02-Sha-299-18.6/19.0

Contract No. 02-2H6004

The Contractor must have either a Class A license or the following Class C license which constitutes a majority of the work: C-12.

The DVBE Contract goal is 3 percent.

The SBE Contract goal is 5 percent.

Bids must be on a unit price basis.

Complete the work within 30 working days.

The estimated cost of the project is $1,140,000.

The Department will receive bids until 2:00 p.m. on the bid open date via Bid Express website. Bids received after this time will not be accepted. For more information refer to the Electronic Bidding Guide at the Office Engineer's website.

The Department will open and publicly read the bids through webcast/teleconference services immediately after the specified closing time.

For bid results go to:

https://ppmoe.dot.ca.gov/cc

Select Electronic Bidding under the Bidding tab.

District office addresses are provided in the Standard Specifications.

Present bidders' inquiries to the Department and view the Department's responses at:

https://ppmoe.dot.ca.gov/cc?id=cc_bidinquiries

Questions about alleged patent ambiguity of the plans, specifications, or estimate must be asked before bid opening. After bid opening, the Department does not consider these questions as bid protests.

Submit your bid with bidder's security equal to at least 10 percent of the bid.

Under Govt Code § 14835 et seq. and 2 CA Code of Regs § 1896 et seq., the Department gives preference to certified small businesses and non–small businesses who commit to 25 percent certified small business participation.

Under Pub Cont Code § 6107, the Department gives preference to a "California company," as defined, for bid comparison purposes over a nonresident contractor from any state that gives or requires a preference to be given to contractors from that state on its public entity construction contracts.

Prevailing wages are required on this Contract. The Director of the California Department of Industrial Relations determines the general prevailing wage rates. Obtain the wage rates at the DIR website, http://www.dir.ca.gov, or from the Department's Labor Compliance Office of the district in which the work is located.

The Department has made available Notices of Suspension and Proposed Debarment from the Federal Highway Administration. For a copy of the notices, go to https://www.dir.ca.gov/dlse/debar.html.

Additional information is provided in the Excluded Parties List System at https://sam.gov/content/home.

Caltrans and the Construction Industry are committed to making partnering the way we do business. For more information, go to https://dot.ca.gov/programs/construction/partnering.

Department of Transportation

BID ITEM LIST

Item No.

Item Code Item Description Unit of Measure Estimated Quantity

0001 070030 LEAD COMPLIANCE PLAN LS LUMP SUM

0002 090100 TIME-RELATED OVERHEAD (WDAY) WDAY 30

0003 100100 DEVELOP WATER SUPPLY LS LUMP SUM

0004 120090 CONSTRUCTION AREA SIGNS LS LUMP SUM

0005 120100 TRAFFIC CONTROL SYSTEM LS LUMP SUM

0006 010413 PORTABLE RADAR SPEED FEEDBACK SIGN

SYSTEMS (LS)

LS LUMP SUM

0007 128652 PORTABLE CHANGEABLE MESSAGE SIGN (LS) LS LUMP SUM

0008 013357 AUTOMATED FLAGGER ASSISTANCE DEVICE LS LUMP SUM

0009 130100 JOB SITE MANAGEMENT LS LUMP SUM

0010 130301 STORMWATER POLLUTION PREVENTION PLAN LS LUMP SUM

0011 130312 PRE-STORM EVENT INSPECTION REPORT EA 13

0012 130323 DURING-AND POST-STORM EVENT INSPECTION

REPORT

DAY 13

0013 130331 STORMWATER ANNUAL REPORT EA 1

0014 130610 TEMPORARY CHECK DAM LF 150

0015 130620 TEMPORARY DRAINAGE INLET PROTECTION EA 6

0016 130640 TEMPORARY FIBER ROLL LF 1,500

0017 130680 TEMPORARY SILT FENCE LF 160

0018 130900 TEMPORARY CONCRETE WASHOUT LS LUMP SUM

0019 131103 WATER QUALITY SAMPLING AND ANALYSIS DAY EA 2

0020 131104 WATER QUALITY MONITORING REPORT EA 2

Item No.

Item Code Item Description Unit of Measure Estimated Quantity

0021 131105 WATER QUALITY ANNUAL REPORT EA 1

0022 131201 TEMPORARY CREEK DIVERSION SYSTEMS LS LUMP SUM

0023 146002 CONTRACTOR-SUPPLIED BIOLOGIST (LS) LS LUMP SUM

0024 146007 INVASIVE SPECIES CONTROL LS LUMP SUM

0025 160110 TEMPORARY HIGH-VISIBILITY FENCE LF 95

0026 170103 CLEARING AND GRUBBING (LS) LS LUMP SUM

0027 190101 ROADWAY EXCAVATION CY 7,240

0028 190185 SHOULDER BACKING TON 64

0029 194001 DITCH EXCAVATION CY 70

0030 205033 GRAVEL MULCH SQFT 4,660

0031 210212 DRY SEED (SQFT) SQFT 5,960

0032 210252 BONDED FIBER MATRIX (SQFT) SQFT 5,370

0033 210255 FIBER REINFORCED MATRIX (SQFT) SQFT 50,900

0034 210280 ROLLED EROSION CONTROL PRODUCT

(BLANKET)

SQFT 5,960

0035 037334 HYDROSEED (HBGM) SQFT 50,900

0036 210610 COMPOST (CY) CY 32

0037 210630 INCORPORATE MATERIALS SQFT 5,370

0038 260203 CLASS 2 AGGREGATE BASE (CY) CY 390

0039 390132 HOT MIX ASPHALT (TYPE A) TON 540

0040 394090 PLACE HOT MIX ASPHALT (MISCELLANEOUS

AREA)

SQYD 39

Item No.

Item Code Item Description Unit of Measure Estimated Quantity

0041 397005 TACK COAT TON 1.1

0042 510094 (F) - STRUCTURAL CONCRETE, DRAINAGE

INLET

CY 1.2

0043 510502 (F) - MINOR CONCRETE (MINOR STRUCTURE) CY 1.8

0044 610300 (F) - CONCRETE BACKFILL (PIPE TRENCH) CY 2.3

0045 665018 18" CORRUGATED STEEL PIPE (.109" THICK) LF 190

0046 665024 24" CORRUGATED STEEL PIPE (.109" THICK) LF 70

0047 665062 72" CORRUGATED STEEL PIPE (.138" THICK) LF 38

0048 700640 36" CORRUGATED STEEL PIPE INLET (.138"

THICK)

LF 23

0049 705011 18" STEEL FLARED END SECTION EA 3

0050 705015 24" STEEL FLARED END SECTION EA 2

0051 705041 72" STEEL FLARED END SECTION EA 1

0052 710132 REMOVE CULVERT (LF) LF 41

0053 710167 REMOVE FLARED END SECTION (EA) EA 2

0054 710208 ADJUST FRAME AND COVER TO GRADE EA 2

0055 710366 CONCRETE INVERT PAVING CY 4.1

0056 723080 ROCK SLOPE PROTECTION (60 LB, CLASS II,

METHOD B) (CY)

CY 16

0057 729011 ROCK SLOPE PROTECTION FABRIC (CLASS 8) SQYD 64

0058 730070 DETECTABLE WARNING SURFACE SQFT 42

0059 731502 MINOR CONCRETE (MISCELLANEOUS

CONSTRUCTION)

CY 2

0060 750001 (F) - MISCELLANEOUS IRON AND STEEL LB 1,314

Item No.

Item Code Item Description Unit of Measure Estimated Quantity

0061 810170 DELINEATOR (CLASS 1) EA 2

0062 820112 MARKER (CULVERT) EA 7

0063 820330 REMOVE ROADSIDE SIGN (STEEL POST) EA 7

0064 820760 FURNISH SINGLE SHEET ALUMINUM SIGN

(0.080"-UNFRAMED)

SQFT 160

0065 820840 ROADSIDE SIGN - ONE POST EA 38

0066 015651 6" THERMOPLASTIC TRAFFIC STRIPE (BROKEN

9-3)

LF 1,990

0067 840515 THERMOPLASTIC PAVEMENT MARKING SQFT 250

SPECIAL PROVISIONS

ORGANIZATION

Special provisions are under headings that correspond with the main-section headings of the Standard Specifications. A main-section heading is a heading shown in the table of contents of the Standard Specifications.

Each special provision begins with a revision clause that describes or introduces a revision to the Standard Specifications.

Any paragraph added or deleted by a revision clause does not change the paragraph numbering of the Standard Specifications for any other reference to a paragraph of the Standard Specifications.

DIVISION I GENERAL PROVISIONS

1 GENERAL

Add to section 1-1.01:

Bid Items and Applicable Sections

Item code

Item description Applicable section

010413 PORTABLE RADAR SPEED FEEDBACK SIGN SYSTEMS 12

013357 AUTOMATED FLAGGER ASSISTANCE DEVICE 12

037334 HYDROSEED (HBGM) 21

015651 6" THERMOPLASTIC TRAFFIC STRIPE (BROKEN 9-3) 84

Add to the table in the 1st paragraph of section 1-1.06:

SBE Small Business Enterprise

Add to section 1-1.07B:

small business enterprise: Small business or small business for the purpose of public works, as certified by the Department of General Services, Office of Small Business and DVBE Services, and as defined in Govt Code § 14835 et seq. and 2 CA Code of Regs § 1896 et seq.

Add to section 1-1.09:

This project is in a freeze-thaw area.

2 BIDDING

Add between the 1st and 2nd paragraphs of section 2-1.06B:

The Department makes the following supplemental project information available:

Supplemental Project Information

Means Description Included in the Information Handout 1. PLAC - U.S. Army Corps of Engineers, Sacramento

District, Nationwide Permit No.14, dated February 25, 2022

2. PLAC - California Regional Water Quality Control Board, Central Valley Region, Water Quality Certification, WDID No. 5A45CR00648, dated September 27, 2023

3. PLAC - California Department of Fish and Wildlife, 1602 Streambed Alteration Agreement, No.

EPIMS-SHA-38237-R1, dated Septermber 9, 2025

4. Hydrological Data for Temporary Creek Diversion System

5. Tunnel Safety Order

6. DOT OCR-0003 (NEW 04/2024) Final Report -

Utilization of Small Business Enterprises Available as specified in the Standard Specifications

1. Digital terrain model in DWG format

2. Digital design model in DWG format

3. Digital datum model in DWG format

4. Design features for project design in DWG format

5. Cross sections in 2D DGN and PDF format

Replace section 2-1.23 with:

2-1.23 SMALL BUSINESS ENTERPRISE PARTICIPATION GOAL REQUIREMENT

2-1.23A General

Section 2-1.23 applies if an SBE participation goal requirement is shown on the Notice to Bidders.

The SBE participation goal requirement is in addition to any DVBE goal shown on the Notice to Bidders and the DVBE requirements in section 2-1.22.

Make work available to SBEs and select work parts consistent with the available SBEs, including subcontractors, suppliers, service providers, and truckers.

Meet the SBE participation goal requirement shown on the Notice to Bidders. A bid that demonstrates an SBE participation commitment less than the SBE participation goal requirement is nonresponsive.

Each listed SBE must be certified as a small business or small business for the purpose of public works by 5:00 p.m. on the bid opening date. The complete application and any required substantiating documentation must be received by the Department of General Services by 5:00 p.m. on the bid opening date.

The Department of General Services determines whether an SBE was certified on the bid opening date.

The Department of Transportation confirms an SBE’s certification status.

2-1.23B SBE Submittals

Submit SBE information under section 2-1.33.

For the SBE participation goal requirement, submit the following:

1. Completed Small Business Enterprise – Commitment form. Failure to submit the completed form by 4 p.m. on the 4th business day after bid opening may result in a nonresponsive bid.

2. Copy of the quote for each SBE shown on the Small Business Enterprise – Commitment form that describes the type and dollar amount of work shown on the form. Quotes are not required for work that will be completed by SBE prime bidders. Failure to submit a copy of the quote for each SBE listed on the Commitment form by 4 p.m. on the 4th business day after bid opening may result in disallowance of the SBE’s participation.

3. Completed Small Business Enterprise – Confirmation form from each SBE listed on the Commitment form. The form for each SBE is required to establish that the SBE will be participating in the Contract for the type and dollar amount of work shown on the form. Failure to submit completed Confirmation forms for each SBE listed on the Commitment form by 4 p.m. on the 4th business day after bid opening may result in disallowance of the SBE’s participation.

4. If an SBE is participating as a joint venture partner, submit a copy of the joint venture agreement.

The Department may contact you and SBEs to clarify quotes and supporting documentation.

If you elect, at time of bid, to pursue the optional small business or non-small business preference, see section 2-1.24 for the requirements arising from your request for the preference. SBE participation listed to meet the SBE participation goal requirement should not be listed for the preference.

Replace section 2-1.24 with:

2-1.24 SMALL BUSINESS AND NON–SMALL BUSINESS SUBCONTRACTOR PREFERENCES

2-1.24A General

Section 2-1.24 applies to a non-federal-aid contract.

The Department applies small business preferences and non–small business preferences under Govt Code § 14835 et seq. and 2 CA Code of Regs § 1896 et seq.

Any contractor, subcontractor, supplier, or service provider who qualifies as a small business or small business for the purpose of public works is encouraged to apply for certification as an SBE by submitting its application to the Department of General Services, Office of Small Business and DVBE Services.

The Department of General Services determines whether an SBE was certified on the bid opening date.

The Department of Transportation confirms an SBE’s certification status before applying the small business or non-small business preference.

Contract award is based on the total bid, not the reduced bid.

Pursuant to Govt Code § 14838, SBE participation listed on the Small Business Enterprise – Commitment form used to meet the SBE participation goal requirement should not be listed on the Certified Small Business Listing for the Non-Small Business Preference form. Listing the same SBE participation on both the Small Business Enterprise – Commitment form and on the Certified Small Business Listing for the Non-Small Business Preference form may result in disallowance of the SBE’s participation toward the small business or non-small business preference.

2-1.24B Small Business Preference

The Department allows a bidder certified as an SBE by the Department of General Services, Office of Small Business and DVBE Services, a preference if:

1. Bidder submitted a completed Request for Small Business Preference or Non–Small Business Preference form with its bid

2. Low bidder did not request the preference or is not certified as a small business

The Bidder's signature on the Request for Small Business Preference or Non–Small Business Preference form certifies that the Bidder is certified as an SBE at the date and time of bid or has submitted a complete application to the Department of General Services. The complete application and any required substantiating documentation must be received by the Department of General Services by 5:00 p.m. on the bid opening date.

The small business preference is a reduction for bid comparison in the total bid submitted by the small business contractor by the lesser of the following amounts:

1. 5 percent of the verified total bid of the low bidder

2. $50,000

If the Department determines that a certified small business bidder is the low bidder after the application of the small business preference, the Department does not consider a request for non–small business preference.

2-1.24C Non–Small Business Subcontractor Preference

At time of bid, the Department allows a bidder not certified as an SBE by the Department of General Services, Office of Small Business and DVBE Services, the option of requesting the non-small business subcontractor preference. If a bidder elects to pursue that option at the time of bid, the bidder is required to meet the corresponding commitment.

For the non-small business subcontractor preference, submit the following:

1. Completed Request for Small Business Preference or Non–Small Business Preference form with your bid

2. Completed Certified Small Business Listing for the Non–Small Business Preference form which shows you are subcontracting at least 25 percent to certified SBEs

Each listed SBE must be certified as a small business or small business for the purpose of public works by 5:00 p.m. on the bid opening date. The complete application and any required substantiating documentation must be received by the Department of General Services by 5:00 p.m. on the bid opening date.

Failure to submit a completed Certified Small Business Listing for the Non–Small Business Preference form by 4 p.m. on the 4th business day after bid opening will result in a nonresponsive bid.

The non–small business subcontractor preference is a reduction for bid comparison in the total bid submitted by the non–small business contractor requesting the preference by the lesser of the following amounts:

1. 5 percent of the verified total bid of the low bidder

2. $50,000

Replace the table in the 1st paragraph of section 2-1.33B(3)(b)(ii) with:

Bid Form Submittal Schedule for a Non-Federal-Aid Contract with a DVBE Goal Form Submittal deadline

Bid to the Department of Transportation Time of bid except for the public works contractor registration number for a joint-venture contract

For a joint-venture contract, copy of the Bid to the Department of Transportation as submitted at the time of bid with the public works contractor registration number

10 days after bid opening

Subcontractor List Time of bid In-Use Off-Road Diesel-Fueled Vehicle List 10 days after bid opening Small Business/DVBE/DBE Certification Status Time of bid Opt Out of Payment Adjustments for Price Index Fluctuationsa

Time of bid

Certified DVBE Summary No later than 4 p.m. on the 4th business day after bid opening

California Company Preference Time of bid

Small Business Enterprise – Commitment No later than 4 p.m. on the 4th business day after bid opening

Small Business Enterprise – Confirmation No later than 4 p.m. on the 4th business day after bid opening

Request for Small Business Preference or Non– Small Business Preferencea

Time of bid

Certified Small Business Listing for the Non– Small Business Preferencea

No later than 4 p.m. on the 4th business day after bid opening aSubmit only if you choose the option or preference.

Replace the table in the 1st paragraph of section 2-1.33B(3)(c)(ii) with:

Bid Form Submittal Schedule for a Non-Federal-Aid Contract without a DVBE Goal Form Submittal deadline

Bid to the Department of Transportation Time of bid except for the public works contractor registration number for a joint-venture contract

For a joint-venture contract, copy of the Bid to the Department of Transportation as submitted at the time of bid with the public works contractor registration number

10 days after bid opening

Subcontractor List Time of bid In-Use Off-Road Diesel-Fueled Vehicle List 10 days after bid opening Small Business/DVBE/DBE Certification Status Time of bid Opt Out of Payment Adjustments for Price Index Fluctuationsa

Time of bid

California Company Preference Time of bid

Certified DVBE Summaryb No later than 4 p.m. on the 4th business day after bid opening

Small Business Enterprise – Commitment No later than 4 p.m. on the 4th business day after bid opening

Small Business Enterprise – Confirmation No later than 4 p.m. on the 4th business day after bid opening

Request for Small Business Preference or Non– Small Business Preferencea

Time of bid

Certified Small Business Listing for the Non– Small Business Preferencea

No later than 4 p.m. on the 4th business day after bid opening aSubmit only if you choose the option or preference.

bSubmit only if you obtain DVBE participation or you are the apparent low bidder, 2nd low bidder, or 3rd low bidder and you choose to receive the specified incentive.

5 CONTROL OF WORK

Replace the 2nd and 3rd paragraphs of section 5-1.09A with:

Professionally facilitated project partnering is required.

Replace section 5-1.13D with:

5-1.13D Non-Small Business Preference

5-1.13D(1) General

Section 5-1.13D applies to a non-federal-aid contract when you have obtained a non-small business subcontractor preference under section 2-1.24.

Use each SBE as shown on the Certified Small Business Listing for the Non-Small Business Preference form unless you receive authorization for a substitution under section 5-1.13D(3).

Maintain records of subcontracts and agreements made with each SBE. Include in the records:

1. SBE subcontract or agreement

2. Name and business address of each business

3. Proof of each payment made to an SBE

Upon reasonable notice and during normal business hours, permit access to the SBE premises for the purpose of:

1. Interviewing employees.

2. Inspecting and copying books, records, accounts, and other material that may be relevant to a matter under investigation.

Upon work completion, complete a Final Report – Utilization of Small Business Enterprise form and submit within 10 days of Contract acceptance. The Department withholds the greater of 10 percent of the SBE work amount or $10,000 until the form is submitted. The Department releases the withhold upon submission of the completed form. If additional payments are made to an SBE after submittal of the completed form, submit an updated form to reflect such payments.

5-1.13D(2) Commercially Useful Function

SBEs must perform a commercially useful function under 2 CA Code Regs § 1896.15 when performing tasks listed on the Certified Small Business Listing for the Non-Small Business Preference form and as a Department authorized substitute SBE. The SBE’s value of work will only count toward the non-small business preference if the SBE performs a commercially useful function under 2 CA Code Regs § 1896.15.

Provide written notification to the Engineer at least 15 days in advance of each SBE’s initial performance of work on the Contract. Include the SBE’s name, contract work to be performed, and the location, date, and time of where the SBE’s work will take place.

Monitor each SBE’s performance of a commercially useful function throughout their duration of work on the Contract. Maintain supporting documentation of commercially useful function related records. Provide copies of the following to the Department within 5 business days of a specific SBE request:

1. Subcontract or agreement with the SBE

2. Purchase orders

3. Bills of lading

4. Invoices

5. Proof of payment

You and your SBEs must submit any commercially useful function related records and documents within 5 business days of Department request such as:

1. Proof of ownership or lease and rental agreements for equipment

2. Tax records

3. Employee rosters

4. Certified payroll records

5. Inventory rosters

Notify the Engineer immediately if you believe an SBE may not be performing a commercially useful function.

Failure to submit requested records and documents, or failure of an SBE to perform a commercially useful function, will be a violation of these specifications. Such violations will result in referral to the Department of General Services, and you may be subject to sanctions under Govt Code § 14842 et seq.

5-1.13D(3) Substitutions

Substitution of an SBE may be requested for the reasons listed in Pub Cont Code § 4107. The Department will consider your SBE substitution request under 2 CA Code Regs § 1896.10. The substitute must be another SBE.

The requirement that an SBE be certified by the bid opening date does not apply to SBE substitutions after contract award.

Include in your substitution request:

1. Copy of the written notice issued to the SBE with proof of delivery

2. Copy of the SBE response to the notice

3. Your explanation of the reason for the substitution request

4. Names and certification numbers of the listed SBE and the proposed substitute SBE

5. Description of the work to be performed including dollar amount or percentage of overall contract the proposed substitute SBE will perform

6. If an SBE substitution cannot occur, written justification and the steps that were taken to try to acquire a new SBE and how that non-small business preference portion of the Contract will be fulfilled

Upon receipt of the substitution request, the listed SBE will be notified by the Department of the substitution request. The listed SBE will have 5 business days to respond. Where the listed SBE objects to the substitution, the Department will schedule a hearing.

If the Department authorizes your SBE substitution request, it will do so in writing.

Work performed by a firm other than the listed SBE or authorized substitute will be a violation of these specifications. Such violations will result in notification of the Department of General Services, and you may be subject to sanctions under Govt Code § 14842 et seq.

Replace section 5-1.13E with:

5-1.13E Prompt Payment

Section 5-1.13E applies to all contracts.

Pay your subcontractors within 7 days of receipt of each progress payment under Pub Cont Code §§ 10262 and 10262.5. Pay duly authorized motor carriers of property in dump trucks for transportation charges under Bus & Prof Code § 7108.6. Pay other entities, such as material suppliers, within 30 days of receipt of each progress payment.

Each month, after the 15th and prior to 20th, submit the following payment information through the Department’s prompt payment monitoring system at https://caltrans.dbesystem.com:

1. Subcontractor’s or entity’s business name

2. Description of work performed

2.1. Bid item numbers or change order numbers

2.2. Written narrative of work performed

3. Value of work performed

4. Amount paid to subcontractor or entity

5. Withhold amount, if applicable

6. Explanation of withhold reasoning, if applicable

Your subcontractors and other entities may validate payments received using the prompt payment monitoring system.

If a subcontractor’s or other entity’s work is in dispute, provide a written withhold notification to the subcontractor or entity and the Engineer no later than 7 days after receipt of the corresponding progress payment that includes the following:

1. Value of the disputed work

2. Amount of the withhold being taken

3. Bid item numbers or change order numbers associated with the disputed work

4. Explanation of the deficiencies of the disputed work and how the corresponding value was calculated

5. Corrective actions to be taken for release of withheld amount

The Department may request additional documentation from you to evaluate whether you applied the withhold in good faith. Submit requested documents within 10 days of receipt of request.

The Department may withhold the same amount of your withhold from a future progress pay estimate if the Department determines any of the following has occurred:

1. Withhold was not applied in good faith

2. Requested additional withhold documentation records were not provided

3. Payment information was not submitted through the prompt payment monitoring system

4. Required withhold notification was not provided

The Department may also apply a 2 percent penalty on the withhold amount for every month payment is not made.

Replace section 5-1.13F with:

5-1.13F Small Business Enterprise Participation Goal Requirement

5-1.13F(1) General

Section 5-1.13F applies to a non-federal-aid contract if an SBE participation goal requirement is shown on the Notice to Bidders.

Use each SBE as shown on the Small Business Enterprise – Commitment form unless you receive authorization for a substitution under section 5-1.13F(3).

Maintain records of subcontracts and agreements made with each SBE. Include in the records:

1. SBE subcontract or agreement

2. Name and business address of each business

3. Proof of each payment made to an SBE

Upon reasonable notice and during normal business hours, permit access to the SBE premises for the purpose of:

1. Interviewing employees.

2. Inspecting and copying books, records, accounts, and other material that may be relevant to a matter under investigation.

Upon work completion, complete a Final Report – Utilization of Small Business Enterprise form and submit within 10 days of Contract acceptance. The Department withholds the greater of 10 percent of the SBE work amount or $10,000 until the form is submitted. The Department releases the withhold upon submission of the completed form. If additional payments are made to an SBE after submittal of the completed form, submit an updated form to reflect such payments.

5-1.13F(2) Commercially Useful Function

SBEs must perform a commercially useful function under 2 CA Code Regs § 1896.15 when performing tasks listed on the Small Business Enterprise – Commitment form and as a Department authorized substitute SBE. The SBE’s value of work will only count toward the SBE participation goal requirement if the SBE performs a commercially useful function under 2 CA Code Regs § 1896.15.

Provide written notification to the Engineer at least 15 days in advance of each SBE’s initial performance of work on the Contract. Include the SBE’s name, contract work to be performed, and the location, date, and time of where the SBE’s work will take place.

Monitor each SBE’s performance of a commercially useful function throughout their duration of work on the Contract. Maintain supporting documentation of commercially useful function related records. Provide copies of the following to the Department within 5 business days of a specific SBE request:

1. Subcontract or agreement with the SBE

2. Purchase orders

3. Bills of lading

4. Invoices

5. Proof of payment

You and your SBEs must submit any commercially useful function related records and documents within 5 business days of Department request such as:

1. Proof of ownership or lease and rental agreements for equipment

2. Tax records

3. Employee rosters

4. Certified payroll records

5. Inventory rosters

Notify the Engineer immediately if you believe an SBE may not be performing a commercially useful function.

Failure to submit requested records and documents, or failure of an SBE to perform a commercially useful function, will be a violation of these specifications. Such violations will result in referral to the Department of General Services, and you may be subject to sanctions under Govt Code § 14842 et seq.

5-1.13F(3) Substitutions

Substitution of an SBE may be requested for the reasons listed in Pub Cont Code § 4107. The Department will consider your SBE substitution request under 2 CA Code Regs § 1896.10. The substitute must be another SBE.

The requirement that an SBE be certified by the bid opening date does not apply to SBE substitutions after contract award.

Include in your substitution request:

1. Copy of the written notice issued to the SBE with proof of delivery

2. Copy of the SBE response to the notice

3. Your explanation of the reason for the substitution request

4. Names and certification numbers of the listed SBE and the proposed substitute SBE

5. Description of the work to be performed including dollar amount or percentage of overall contract the proposed substitute SBE will perform

6. If an SBE substitution cannot occur, written justification and the steps that were taken to try to acquire a new SBE and how that SBE participation goal requirement portion of the Contract will be fulfilled

Upon receipt of the substitution request, the listed SBE will be notified by the Department of the substitution request. The listed SBE will have 5 business days to respond. Where the listed SBE objects to the substitution, the Department will schedule a hearing.

If the Department authorizes your SBE substitution request, it will do so in writing.

Work performed by a firm other than the listed SBE or authorized substitute will be a violation of these specifications. Such violations will result in notification of the Department of General Services, and you may be subject to sanctions under Govt Code § 14842 et seq.

Add to the end of section 5-1.20A:

During the progress of the work under this Contract, work under the following contracts may be in progress at or near the job site of this Contract:

Coincident or Adjacent Contracts

Contract no. County–Route–Post Mile Location Type of work 02-2J2204 VAR-VAR-VAR In Lassen, Modoc, Plumas, Shasta, Siskiyou, Tehama, Trinity, and Butte Counties at various locations

Upgrade curve warning signs

Coordinate lane closures and traffic handling with the Engineer and with contractors of coincident or adjacent projects. Potential conflicts may not be limited to the contracts listed above.

Add to the end of section 5-1.20B(1):

The Department will communicate with PLAC agencies unless communication between you and the PLAC agency is authorized.

Replace section 5-1.24 with:

5-1.24 CONSTRUCTION SURVEYS

5-1.24A General

The Department places stakes and marks under the chapter, "Construction Surveys," of the Department's Surveys Manual.

Submit construction staking request for Department-furnished stakes and ensure:

1. Area is cleared and prepared for stakes

2. Request For Construction Staking form is complete with project and contact information, reference alignment, offset and priorities listed, and completion dates

After submittal, the Department starts staking within 2 business days.

The Department will complete the requested staking. The Contractor must plan for the time required by Department surveyors to complete the staking.

Preserve stakes and marks placed by the Department. If the stakes or marks are destroyed the Department replaces them at their earliest convenience and deducts the cost.

5-1.24B Department Construction Surveys for Automated Machine Guidance

The Department will provide a project control referenced to the State Plane Coordinate System compatible with the project datum. These physical points must be used by all positioning system users on the site.

The Department may provide grid coordinates for control points, at acceptable locations provided by the Contractor, where the Contractor can install the Contractor’s global navigation satellite system reference station receiver.

For slope stakes and rough grade stakes, the Department sets 6 survey control points or 2 per mile, whichever is greater.

The Department sets slope stakes and rough grade stakes at:

1. Conform stations

2. Beginning and end of each alignment

3. Midpoint or every 200 feet, whichever results in a greater number of stakes, on a curve of less than

1,500 feet

4. Every 500 feet on tangents and curves of 1,500 feet or more

For final grade, the Department sets stakes under the section, "Final Grade Stakes," of the Department's Surveys Manual, or at your request the Department sets survey control points under the sections, "Automated Machine Guidance (AMG)" and "Supplemental Project Control," of the chapter, "Construction Surveys," of the Department's Surveys Manual at:

1. Conform stations

2. Beginning and end of each alignment

3. Midpoint or every 100 feet, whichever results in the greater number of stakes, on a curve with a radius of 1,200 feet or less

4. Midpoint or every 200 feet, whichever results in the greater number of stakes, on a curve with a radius of more than 1,200 feet

5. Every 200 feet on a tangent

At your request and under the chapter, "Construction Surveys," of the Department's Surveys Manual, the Department provides (1) staking for intersections, clearing, fencing, drainage, curbs, structures, abutment fill, walls, and miscellaneous areas and (2) additional survey control or staking for earthwork in areas where global navigation satellite system coverage is inadequate for AMG.

Replace section 5-1.25 with:

5-1.25 AUTOMATED MACHINE GUIDANCE

5-1.25A General

Automated machine guidance (AMG) must be used by and for the Department to perform earthwork. Any positioning equipment used for AMG must meet accuracy requirements to comply with staking tolerances specified in section titled "Typical Department-Furnished Construction Stakes" in the Department's Surveys Manual.

Furnish the Department with positioning equipment and all equipment needed for grade verification.

Global navigation satellite system (GNSS) equipment must be capable of receiving Real Time Kinematic Data Streams in a format that is compatible with the Caltrans Spatial Reference Network.

Equipment includes:

1. Total station

2. GNSS base station

3. GNSS rover

4. Electronic devices needed to control equipment provided such as tablets or survey controllers

Accessories and equipment needed to efficiently operate any provided equipment, such as batteries, cables, data radio, poles, tripods, etc.

The Department returns the furnished equipment upon work completion.

The project survey datum, survey control points, site and equipment calibration, electronic files, inspection methods, conflict resolution, and construction staking needs will be discussed at the preconstruction meeting.

5-1.25B Definitions automated machine guidance: Technology that uses one or more positioning devices, such as GNSS, robotic total stations, or rotating laser levels, to determine line and grade, or control the real-time position of construction equipment using onboard computer equipment.

California Coordinate System of 1983 (CCS83): California Coordinate System as defined in Public Resource Code §8801.

Caltrans Spatial Reference Network: The Department owned and operated GNSS real-time positioning network. This network is used to collect data to be used for the design and construction of transportation improvement projects.

digital construction model: Electronic three-dimensional model of the project’s proposed design infrastructure used by the Contractor's AMG equipment.

digital design model: Electronic three-dimensional model consisting of roadway design elements including alignments, profiles, and cross sections representing the finished grade.

digital terrain model: Electronic three-dimensional model that represents the original ground before job site activities begin.

global navigation satellite system: Constellation of orbiting satellites used to determine the geographic location of a user's receiver on the surface of the earth.

GNSS base station: Single ground-based instrument consisting of a GNSS receiver, antenna, and telemetry equipment that provides GNSS corrections to other GNSS receivers. Base stations can be set up temporarily or permanently constructed. Multiple base stations can be combined into a GNSS real-time network.

GNSS correction service subscription: Subscription service to receive GNSS corrections for GNSS positioning through a private GNSS real-time network. Corrections are typically received via cellular wireless data services.

GNSS real-time network: Satellite-based correction service using a collection of ground-based receivers and a central processing center that provides highly accurate location services to users instantaneously over a broad geographic region.

GNSS rover: Portable GNSS antenna, receiver, rod, and data collector with telemetry equipment for real-time point measurements.

GNSS site calibration: Process that establishes the relationship between the observed control point coordinates and the established control point coordinates that define the project survey datum.

grid: General term for describing cartesian coordinates. For the purposes of this specification, grid references Northing (y) and Easting (x) coordinates based on CCS83.

National Spatial Reference System (NSRS): Nationwide network of vertical and horizontal control monuments in the United States. CCS83 is aligned to the NSRS.

project survey datum: Time-stamped reference to the NSRS, represented by CCS83 defined by geodetic survey control points on the surface of the earth.

robotic total station: Survey instrument capable of tracking an optical target and providing real-time coordinates of the target to the equipment operator and AMG equipment. A robotic total station unit can provide positioning for AMG if site conditions do not allow GNSS receivers to be used and must also be used where a higher accuracy is required than the GNSS provides, such as structural section elements.

5-1.25C Electronic Files

Electronic design files include:

1. Digital terrain model as a TIN surface in DWG format

2. Digital design model representing the finished grade surface as a TIN surface in DWG format

3. Digital datum model representing any roadway prism structural section datum surfaces as a TIN surface in DWG format

4. Design features including the design alignments, profiles, superelevations, catch lines, hinge lines, grade changes, edge of pavement, edge of traveled way, and other elements used to facilitate project design, provided in DWG format

The Department makes electronic design files available as supplemental project information.

You must create the digital construction models (DCM) for use with your AMG system.

Convert the electronic design files to a format compatible with your AMG system.

Digital design model information may not exist for certain project features. The Department places stakes under these circumstances.

The Department provides you with updated electronic data whenever the Engineer determines a plan change materially affects the finished grade. For minor grade changes, the Department may place stakes and marks at the discretion of the Engineer.

5-1.25D Quality Control Plan

Submit an AMG QC plan at least 15 days before starting work requiring AMG. The plan must include the following information:

1. Contract number.

2. Names, professional license numbers, and contact information of each QC Manager in responsible charge of AMG and GNSS site calibration. At least one QC Manager must be licensed to perform land surveying in the State.

3. Limits of the area for which the AMG will be used.

4. Scope of work when AMG is to be used for any of the following work categories:

4.1. Earthwork

4.2. Rough grading

4.3. Subgrade

4.4. Subbase

4.5. Base

4.6. Trench excavation

4.7. Clearing and grubbing

4.8. Curb and gutter

4.9. Cold planing or milling existing pavement

4.10. Paving

4.11. Intelligent compaction

4.12. Concrete barrier

4.13. Finishing roadway

5. Project control plan sheet detailing control points covering the job site, including control points used in the GNSS site calibration.

6. List of GNSS equipment, including:

6.1. Type

6.2. Manufacturer

6.3. Model

6.4. Software version

7. Description of GNSS site calibration or robotic total station quality control validation methods, including:

7.1. List of equipment used for any GNSS site calibration

7.2. GNSS site calibration procedures

7.3. Estimated dates of any GNSS site calibration

7.4. Format of the report of the results of any GNSS site calibration and QC validation measurements, including:

7.4.1. Dates performed

7.4.2. Names of survey control points used in the GNSS site calibration

7.4.3. Difference between the survey control point coordinates and the GNSS site calibration results

7.4.4. GNSS equipment manufacturer and model

7.4.5. Accuracy statement of the GNSS site calibration or QC validation measurements

7.4.6. Name, stamp, and signature of the person in responsible charge of performing the calibration

7.5. Estimated timeframe to submit the results and reports of any GNSS site calibration

7.6. Complete GNSS site calibration report produced by your software

8. List of AMG onboard computer equipment, including:

8.1. Type

8.2. Manufacturer

8.3. Software version

8.4. List of AMG-controlled heavy equipment and what scope of work in which it will be used, including:

8.4.1. Type, e.g., loader or grader

8.4.2. Manufacturer

8.4.3 Model

9. Procedures for AMG-controlled equipment calibration, including:

9.1. Description of equipment calibration procedures

9.2. Frequency of calibration

9.3. Format for recording calibration information

10. Electronic data file control, including:

10.1. Name and contact information of the person responsible for the electronic files

10.2. DCM file-naming convention

10.3. Description of the process that will be used to upload the DCM to the AMG equipment

10.4. Description of the process that will be used whenever updated DCM files are required to be uploaded to the AMG equipment

11. Digital construction models in LandXML format prior to use.

Do not begin work requiring AMG until your plan is authorized.

If QC procedures or personnel change, submit a QC plan supplement describing the change.

5-1.25E Quality Control Personnel

During AMG activities, provide personnel responsible for the following:

1. GNSS site calibration and upload to all positioning equipment

2. Maintenance of GNSS and AMG equipment

3. Documentation of the calibration and maintenance of GNSS equipment

4. Calibration and documentation of AMG equipment following manufacturers guidelines

5. Daily setup and takedown of GNSS and robotic total station components

5-1.25F Just-in-Time Training

Provide at least 8 hours of JIT training on the GNSS rover for up to 3 Department employees. Provide training materials and equipment upon request of the Engineer.

The JIT training must cover the following topics:

1. Background information for the positioning systems to be used

2. Setup and calibration checks for:

2.1. GNSS base station

2.2. GNSS rovers

2.3. Machinery

3. Operation of the positioning equipment, including:

3.1. Setup data collection

3.2. Settings for alignments and profiles

3.3. Onboard display options

4. Demonstration of grade checking using the appropriate positioning equipment

5-1.25G Construction

5-1.25G(1) General

If you find a discrepancy in any survey control point, survey stake, or in the electronic data provided, immediately submit an RFI detailing the points and location in question.

5-1.25G(2) Global Navigation Satellite System Site Calibration

Under the responsible charge of a person licensed to practice land surveying in the State, perform a GNSS site calibration to the survey control points that define the project survey datum.

Check each calibration point for accuracy. Submit the GNSS site calibration results within 3 business days of the calibration work. Allow 14 days for the review of the results.

5-1.25G(3) Global Navigation Satellite System Quality Control Validation Methods

Before starting work requiring AMG, conduct daily QC validation for the proper setup of the GNSS or robotic total station equipment. Ensure the GNSS or robotic total station equipment achieves accuracies within:

1. 0.