Bids open Thursday, August 27, 2026

Dated July 27, 2026

STATE OF CALIFORNIA

DEPARTMENT OF TRANSPORTATION

NOTICE TO BIDDERS

AND

SPECIAL PROVISIONS

FOR CONSTRUCTION ON STATE HIGHWAY IN NAPA COUNTY IN NAPA AT

SOUSA LANE AND AT 1.4 MILES NORTH OF VICHY AVENUE

In District 04 On Route 121

Under

Bid book dated July 27, 2026 Standard Specifications dated 2025

Project plans approved March 30, 2026 Standard Plans dated 2025

Identified by

Contract No. 04-0Q8004

04-Nap-121-6.9, 12.1

Project ID 0418000155

SPECIAL NOTICES

See section 1-1.07B for changes to the definition of working day.

See sections 1-1.06, 1-1.07B, 2-1.23, 2-1.24, 2-1.33B(3), 5-1.13D, and 5-1.13F for “Small

Business Enterprise Participation Goal Requirement” and “Small Business and Non-Small Business Subcontractor Preferences.”

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 6-1.08 for the requirements for environmental product declarations for hot mix asphalt and concrete materials and products.

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. 04-0Q8004 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

17 GENERAL

19 EARTHWORK

20 LANDSCAPE

21 EROSION CONTROL

DIVISION V SURFACINGS AND PAVEMENTS

39 ASPHALT CONCRETE

DIVISION VIII MISCELLANEOUS CONSTRUCTION

78 INCIDENTAL CONSTRUCTION

DIVISION IX TRAFFIC CONTROL DEVICES

84 MARKINGS

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

A20B Pavement Markers and Traffic Lines - Typical Details

A62D Excavation and Backfill - Concrete Pipe Culverts

A62DA Excavation and Backfill - Concrete Pipe Culverts - Indirect Design Method

A62F Excavation and Backfill - Metal and Plastic Culverts

D72B CIP Drainage Inlets - Types G1, G2, G3, G4, G5 and G6

D72C CIP Drainage Inlets - Types G1, G2, G3, G4, G5 and G6

D72F CIP Drainage Inlet Notes

D72G CIP Drainage Inlet Tables

D73B Precast Drainage Inlets - Types G1, G2, G3, G4, G5 and G6

D73C Precast Drainage Inlets - Types G1, G2, G3, G4, G5 and G6

D73F Precast Drainage Inlet Notes

D73G Precast Drainage Inlet Tables

D74 Drainage Inlet Details

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

H1 Landscape and Erosion Control Symbols

H51 Erosion Control Details - Fiber Roll and Compost Sock

T1A Temporary Crash Cushion - Sand Filled (Unidirectional)

T1A1 Temporary Crash Cushion - Sand Filled (Unidirectional)

T1B Temporary Crash Cushion - Sand Filled (Bidirectional) iii

T2 Temporary Crash Cushion - Sand Filled (Shoulder Installations)

T3B Temporary Railing (Type K)

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)

T9 Traffic Control System Tables for Lane and Ramp Closures

RSP T13 Traffic Control System with Reversible Control on Two Lane Conventional Highways

RSP T13A Traffic Control System - Two Lane Conventional Highways

T55 Temporary Water Pollution Control Details (Temporary Erosion Control Blanket)

T58 Temporary Water Pollution Control Details (Temporary Construction Entrance)

T60 Temporary Water Pollution Control Details (Temporary Reinforced Silt Fence)

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

T62 Temporary Water Pollution Control Details (Temporary Drainage Inlet Protection)

T63 Temporary Water Pollution Control Details (Temporary Drainage Inlet Protection)

T64 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 Thursday, August 27, 2026

Dated July 27, 2026

General work description: Install drainage systems and Pvmt delineation, construct driveway.

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

STATE HIGHWAY IN NAPA COUNTY IN NAPA AT SOUSA LANE AND AT 1.4 MILES NORTH OF

VICHY AVENUE .

District-County-Route-Post Mile: 04-Nap-121-6.9, 12.1

Contract No. 04-0Q8004

The Contractor must have either a Class A license or any combination of the following Class C licenses which constitutes a majority of the work: C-8, C-12, C-42.

The DVBE Contract goal is 5 percent.

The SBE Contract goal is 5 percent.

Bids must be on a unit price basis.

Complete the work within 70 working days.

The estimated cost of the project is $780,000.

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 70

0003 120090 CONSTRUCTION AREA SIGNS LS LUMP SUM

0004 120100 TRAFFIC CONTROL SYSTEM LS LUMP SUM

0005 120103 STATIONARY IMPACT ATTENUATOR VEHICLE DAY 70

0006 128651 PORTABLE CHANGEABLE MESSAGE SIGN (EA) EA 4

0007 130100 JOB SITE MANAGEMENT LS LUMP SUM

0008 130201 WATER POLLUTION CONTROL PROGRAM LS LUMP SUM

0009 130620 TEMPORARY DRAINAGE INLET PROTECTION EA 2

0010 130670 TEMPORARY REINFORCED SILT FENCE LF 2,650

0011 130710 TEMPORARY CONSTRUCTION ENTRANCE EA 1

0012 130730 STREET SWEEPING LS LUMP SUM

0013 130900 TEMPORARY CONCRETE WASHOUT LS LUMP SUM

0014 141101 REMOVE YELLOW PAINTED TRAFFIC STRIPE

(HAZARDOUS WASTE)

LF 940

0015 146007 INVASIVE SPECIES CONTROL LS LUMP SUM

0016 170103 CLEARING AND GRUBBING (LS) LS LUMP SUM

0017 194001 DITCH EXCAVATION CY 3

0018 200002 ROADSIDE CLEARING LS LUMP SUM

0019 210010 MOVE-IN/MOVE-OUT (EROSION CONTROL) EA 5

0020 210255 FIBER REINFORCED MATRIX (SQFT) SQFT 3,760

Item No.

Item Code Item Description Unit of Measure Estimated Quantity

0021 210270 ROLLED EROSION CONTROL PRODUCT

(NETTING)

SQFT 1,580

0022 210350 FIBER ROLLS LF 500

0023 210430 HYDROSEED SQFT 2,160

0024 210610 COMPOST (CY) CY 15

0025 210630 INCORPORATE MATERIALS SQFT 1,580

0026 260203 CLASS 2 AGGREGATE BASE (CY) CY 24

0027 360200 BASE BOND BREAKER SQYD 40

0028 390100 PRIME COAT TON 1

0029 390132 HOT MIX ASPHALT (TYPE A) TON 17

0030 394076 PLACE HOT MIX ASPHALT DIKE (TYPE E) LF 130

0031 397005 TACK COAT TON 2

0032 398100 REMOVE ASPHALT CONCRETE DIKE LF 130

0033 510041 (F) - STRUCTURAL CONCRETE (RSC) CY 54

0034 510094 (F) - STRUCTURAL CONCRETE, DRAINAGE

INLET

CY 2

0035 665018 18" CORRUGATED STEEL PIPE (.109" THICK) LF 37

0036 667005 21" X 15" CORRUGATED STEEL PIPE ARCH (.079"

THICK)

LF 140

0037 710130 REMOVE CULVERT (EA) EA 1

0038 750001 (F) - MISCELLANEOUS IRON AND STEEL LB 240

0039 780447 STAIN GALVANIZED SURFACES (LF) LF 5

0040 810120 REMOVE PAVEMENT MARKER EA 40

Item No.

Item Code Item Description Unit of Measure Estimated Quantity

0041 810230 PAVEMENT MARKER (RETROREFLECTIVE) EA 40

0042 840501 THERMOPLASTIC TRAFFIC STRIPE LF 1,880

0043 846020 REMOVE PAINTED TRAFFIC STRIPE LF 940

0044 999990 MOBILIZATION LS LUMP SUM

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

999990 MOBILIZATION 9

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.

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. U.S. Fish and Wildlife Letter of Concurrence

2. DOT OCR-0003 Final Report – Utilization of Small

Business Enterprises

3. DOT OCR-0004 Small Business Enterprise -

Commitment

4. DOT OCR-0005 Small Business Enterprise -

Confirmation

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.

Replace the 2nd paragraph of section 3-1.04 with:

If the Department awards the contract, the award is made to the lowest responsible bidder within 60 days after bid opening.

5 CONTROL OF WORK

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.

Replace section 5-1.20D with:

5-1.20D Occupied Improvements within the Right-of-Way

Occupied improvements are within the right-of-way at:

1. PM 6.9

2. PM 12.1

Do not take any action that will result in unnecessary inconvenience or disproportionate injury to or that is coercive in nature to the occupants of the improvements.

Add between the 2nd and 3rd paragraphs of section 5-1.32:

Where State-owned areas have been designated for Contractor’s use beneath bridge structures, comply with the following:

1. Do not store any of the following beneath structures:

1.1. Explosives or explosive materials

1.2. Flammable or combustible materials

1.3. Incompatible materials, such as chlorine and ammonia, or batteries and fuels, in the same secondary containment facility

2. Material storage may not encroach on any of the following:

2.1. Within 20 feet of any bridge support

2.2. Within 10 feet of any exposed footing or pile cap

2.3. Within a 6-foot minimum clear zone height from the bottom of superstructure to top of material storage

3. Maintain 12-foot minimum width pathways beneath each hinge, bent cap and bridge span allowing manlift vehicle access.

4. Do not obstruct drainage systems.

Add to the end of section 5-1.32:

Personal vehicles of your employees must not be parked on the traveled way or shoulders, including sections closed to traffic.

Personal vehicles of your employees must not be parked within the highway except between PM 6.9 and

PM 12.1.

Do not cast precast concrete members within the right-of-way of Route 121.

6 CONTROL OF MATERIALS

Replace section 6-1.03B with:

6-1.03B Submittals

6-1.03B(1) General

Not Used

6-1.03B(2) Work Plan

For local material, such as rock, gravel, earth, structure backfill, pervious backfill, imported borrow, and culvert bedding, obtained from a (1) noncommercial source, or (2) source not regulated under California jurisdiction, submit a local material plan for each material at least 60 days before placing the material. The local material plan must include:

1. Certification signed by you and an engineer who is registered as a civil engineer in the State or a professional geologist licensed as a professional geologist by the State stating:

I am aware local material from a noncommercial source or a source not regulated under CA jurisdiction must be sampled and analyzed for pH and lead and may require sampling and analysis under section 6-1.03B(3) for other constituents of concern based on the land use history. I am aware that local material sources must not contain ADL at concentrations greater than 80 mg/kg total lead or equal to or greater than 5 mg/L soluble lead as determined by the Waste Extraction Test (WET) Procedures, 22 CA Code of Regs § 66261.24(a)(2) App II. I am aware that a maximum quantity of material may be excavated at the site based on the minimum number of samples taken before excavating at the site under section 6-1.03B(3).

2. Land use history of the local material location and surrounding property

3. Sampling protocol

4. Number of samples per volume of local material

5. QA and QC requirements and procedures

6. Qualifications of sampling personnel

7. Stockpile history

8. Name and address of the analytical laboratory that will perform the chemical analyses

9. Analyses that will be performed for lead and pH

10. Other analyses that will be performed for possible hazardous constituents based on:

10.1. Source property history

10.2. Land use adjacent to source property

10.3. Constituents of concern in the ground water basin where the job site is located

The plan must be sealed and signed by an engineer who is registered as a civil engineer in the State or a professional geologist licensed as a professional geologist by the State.

If the plan requires revisions, the Engineer provides comments. Submit a revised plan within 7 days of receiving comments. Allow 7 days for the review.

6-1.03B(3) Analytical Test Results

At least 15 days before placing local material, submit analytical test results for each local material obtained from a noncommercial source or a source not regulated under CA jurisdiction. The analytical test results must include:

1. Certification signed by an engineer who is registered as a civil engineer in the State or a professional geologist licensed as a professional geologist by the State stating:

The analytical testing described in the local material plan has been performed. I performed a statistical analysis of the test results of the analytical testing described in the local material plan using the US EPA's ProUCL software with the applicable 95 percent upper confidence limit. I certify that the material from the local material source is suitable for unrestricted use at the job site and the material has met the following criteria:

1. Has a pH above 5.0.

2. Does not contain soluble lead in concentrations equal to or greater than 5 mg/L as determined by the Waste Extraction Test (WET) Procedures, 22 CA Code of Regs § 66261.24(a)(2) App II.

3. Does not contain lead in concentrations above 80 mg/kg total lead.

4. Is not contaminated with the other constituents of concern identified in the local material plan in average concentration (95 percent upper confidence limit) in excess of these constituents' respective San Francisco Bay RWQCB commercial/industrial environmental screening levels ESLs, except for arsenic.

5. Does not exceed the maximum allowed concentration limit table listed in Section 6- 1.03B(4).

2. Chain of custody of samples.

3. Analytical results no older than 1 year.

4. Statistical analysis of the data using US EPA’s ProUCL software with a 95 percent upper confidence limit.

5. Comparison of sample results and 95 percent upper confidence limits to hazardous waste concentration thresholds and the applicable San Francisco Bay RWQCB environmental screening levels (ESLs) given in direct exposure human health risk levels (Table S-1), commercial/industrial:

Shallow soil exposure, under Summary of Soil ESLs tables (2019 Rev 2). The Summary of Soil ESLs tables (2019 Rev 2) can be obtained by sending an email to ESLs.ESLs@waterboards.ca.gov with "Request for ESL Documents" in the subject line.

6-1.03B(4) Sample and Analysis

Sample and analyze local material from a (1) noncommercial source or (2) a source not regulated under CA jurisdiction:

1. Before bringing the local material to the job site

2. As described in the local material plan

3. Under US EPA Test Methods for Evaluating Solid Waste, Physical/Chemical Methods (SW-846)

The sample collection must be designed to generate a data set representative of the entire volume of proposed local material.

Before excavating at (1) a noncommercial material source or (2) a source not regulated under CA jurisdiction, collect the minimum number of samples, and perform the minimum number of analytical tests for the corresponding maximum volume of local material as shown in the following table:

Minimum Number of Samples and Analytical Tests for Local Material

Maximum volume of imported borrow (cu yd)

Minimum number of samples and analytical tests

< 5,000 8

5,000–10,000 12 for the first 5,000 cu yd plus 1 for each additional 1,000 cu yd or portion thereof

10,000–20,000 17 for the first 10,000 cu yd plus 1 for each additional 2,500 cu yd or portion thereof

20,000-40,000 21 for the first 20,000 cu yd plus 1 for each additional 5,000 cu yd or portion thereof

40,000–80,000 25 for the first 40,000 cu yd plus 1 for each additional 10,000 cu yd or portion thereof

> 80,000 29 for the first 80,000 cu yd plus 1 for each additional 20,000 cu yd or portion thereof

Do not collect composite samples or mix individual samples to form a composite sample.

Statistically analyze the samples’ laboratory results using the US EPA's ProUCL software to define 95 percent upper confidence limit for the various contaminants of concern. All chemical analysis must be performed by a laboratory certified by the SWRCB's Environmental Laboratory Accreditation Program

(ELAP).

The analytical test results must demonstrate that the local material:

1. Is not a hazardous waste

2. Has a pH above 5.0

3. Has an average total lead concentration, based upon the 95 percent upper confidence limit, at or below 80 mg/kg

4. Is not contaminated with local material plan-identified constituents of concern at average concentrations (95 percent upper confidence limits) in excess of their respective commercial/industrial San Francisco Bay RWQCB environmental screening levels ESLs, except for arsenic.

5. Does not contain any of the following compounds, chemicals, or elements at an estimated average concentration (95 percent upper confidence limit) above the maximum allowed concentration defined in the following table:

Compound/Chemical Maximum allowed concentration (mg/kg)

Arsenic 11 Barium 1500 Benzene 1 Beryllium 10 Cadmium 10 Chromium (total) 1000 Cobalt 100 Diesel 150 Ethylbenzene 10 Gasoline 500 Mercury 10 Motor oil 500 Nickel 150 Selenium 10 Toluene 10 Trichloroethene 1 Vanadium 200 Xylenes 10 Zinc 600

6-1.03C Local Material Management

Do not place local material until authorized.

If the Engineer determines the appearance, odor, or texture of any delivered local material suggests possible contamination, sample and analyze the material. The sampling and analysis is change order work unless (1) hazardous waste is discovered or (2) the analytical test results indicate the material does not comply with section 6-1.03B(3).

Dispose of noncompliant local material at an appropriately permitted CA Class I, CA Class II or CA Class III facility. You are the generator of noncompliant local materials.

Add to section 6-1:

6-1.08 ENVIRONMENTAL PRODUCT DECLARATIONS FOR HOT MIX ASPHALT AND CONCRETE

Section 6-1.08 includes specifications for environmental product declarations for hot mix asphalt and concrete materials and products.

See section 6-1.06B for definitions.

For projects with bid opening dates after February 1, 2025, with a total bid over $1 million and 175 or more original working days, materials or products specified in the following table require facility-specific, product stage, environmental product declarations as informational submittals:

Material or product Material specifications

Hot mix asphalta Section 39-2, "Hot Mix Asphalt" Excludes RHMA, OGFC, and BWC materials.

Concreteb Section 28-2, "Lean Concrete Bases," Section 28-3, "Rapid Strength Concrete Base," Section 28-4, "Lean Concrete Base Rapid Setting," Section 28-5, "Concrete Base," Section 40, "Concrete Pavement," Section 47-5, "Type 6 Retaining Walls," Section 49-3, "Cast-In-Place Concrete Piling," Section 49-4, "Steel Soldier Piling," Section 51, "Concrete Structures," Section 58-2, "Masonry Block," Section 73, "Concrete Curbs and Sidewalks," Section 83, "Railings and Barriers," and Section 99, "Building Construction."

Excludes volumetric-proportioned rapid strength concrete and Section 90-4 PC concrete members.

aFor each hot mix asphalt plant providing 2,250 tons or more on the project by job mix formula.

bFor each concrete plant providing 250 cubic yards or more on the project by mix design.

The requirements in section 6-1.08 do not apply to seasonal plants operating fewer than 6 months per year.

The requirements in section 6-1.08 do not apply to informal-bid contracts.

For product category rules for hot mix asphalt or concrete, go to the METS website. Use the product category rule in effect on the date of bid opening unless otherwise authorized. An environmental product declaration for hot mix asphalt or concrete is not required for either of the following conditions:

1. Applicable product category rule has expired without replacement as of the bid opening date.

2. Applicable product category rule was issued less than 50 days before the bid opening date.

Immediately notify the Engineer if a program operator has determined their product category rule does not allow for development of a facility-specific environmental product declaration. Include written correspondence from the program operator with your notification to the Engineer. If the Engineer determines the development of a facility-specific environmental product declaration cannot be achieved, an environmental product declaration will not be required for that material or product.

You must register on the Department’s Data Interchange for Materials Engineering (DIME) at least 15 days before submitting environmental product declarations. Follow the registration process at:

https://dime.dot.ca.gov/

Within 30 days of initial placement of each applicable material or product, submit a facility-specific, product stage, environmental product declaration informational submittal to DIME and provide proof of submission in PDF file format to the Engineer. The DIME entry information must include intended use of materials and estimated quantities of materials to be used as represented by the environmental product declaration.

Failure to provide a required environmental product declaration informational submittal will result in a $6,000 performance failure withhold for each missing declaration. The Department returns the withhold within 30 days after receipt of the compliant declaration if submitted prior to Contract acceptance.

Withholds become permanent deductions if the declaration is not submitted before Contract acceptance.

7 LEGAL RELATIONS AND RESPONSIBILITY TO THE PUBLIC

Replace Section 7-1.02K(6)(j)(iii) with:

7-1.02K(6)(j)(iii) Unregulated Earth Material Containing Lead

Section 7-1.02K(6)(j)(iii) includes specifications for handling, removing, and disposing of unregulated earth material containing lead. Management of this material exposes workers to health hazards that must be addressed in your lead compliance plan. This material contains average lead concentrations below 80 mg/kg total lead and below 5 mg/L soluble lead and is not regulated by DTSC as a hazardous substance or a hazardous waste. This material does not require disposal at a permitted landfill or solid waste disposal facility. The RWQCB has jurisdiction over reuse of this material at locations outside the job site limits.

Unregulated earth material exists throughout the job site.

Lead is typically found within the top 2 feet of material within the highway. Reuse all the excavated material on the right-of-way.

Handle the material under all applicable laws, rules, and regulations, including those of the following agencies:

1. Cal/OSHA

2. CA RWQCB, Region 2 San Francisco Bay

8 PROSECUTION AND PROGRESS

Replace the row for DBE and DVBE in the table in the 2nd paragraph of section 8-1.03 with:

DVBE Final utilization reports

Replace the row for Schedule in the table in the 2nd paragraph of section 8-1.03 with:

Schedule Baseline schedule and weekly statement of working days report

Replace Reserved in section 8-1.04F with:

8-1.04F Flexible Start

The 1st paragraph of section 8-1.04B does not apply.

Within 10 days after receiving notice that the Contract has been approved by the Attorney General or the attorney appointed and authorized to represent the Department, submit a request for authorization to start job site activities. The request must include:

1. CPM baseline schedule

2. Date you plan to start job site activities

The Department does not allow changes to the request after it is authorized.

Except for measuring controlling field dimensions and locating utilities, do not start…