Alta_Mesa_Culvert_Replacement_Project_Special_Provisions_-_Bid_Set.pdf

COUNTY OF SACRAMENTO

COMMUNITY SERVICES AGENCY

DEPARTMENT OF TRANSPORTATION

SPECIAL PROVISIONS

FOR:

ALTA MESA CULVERT REPLACEMENT

PROJECT

FEDERAL AID PROJECT

15J7 (027)

CONTRACT NO. 4684

NOTE: THE COUNTY OF SACRAMENTO 2024 STANDARD CONSTRUCTION SPECIFICATIONS, DATED

NOVEMBER 1, 2024 AND THE STATE OF CALIFORNIA DEPARTMENT ON TRANSPORTATION STANDARD

SPECIFICATIONS DATED 2024 ARE HEREBY MADE PART OF THESE SPECIFICATIONS. A COPY OF THE

SACRAMENTO STANDARD CONSTRUCTION SPECIFICATIONS MAY BE DOWNLOADED FROM THE

COUNTY WEBSITE AT HTTPS://SACCOUNTYSPECS.SACCOUNTY.GOV

Bids Open: August 21, 2025

DAVE DEFANTI, CONTRACT NO. 4684

Deputy County Executive DATE: JULY 22, 2025

RON E. VICARI, Director

Department of Transportation https://saccountyspecs.saccounty.gov/

COUNTY OF SACRAMENTO

COMMUNITY SERVICES AGENCY

DEPARTMENT OF TRANSPORTATION

ALTA MESA CULVERT REPLACEMENT

PROJECT

1,100 FT SOUTH OF BOESSOW ROAD

FEDERAL AID PROJECT

15J7 (027)

COUNTY CONTRACT NO. 4684

SPECIAL PROVISIONS

GENERAL

TO BE SUPPLEMENTED WITH 2024 SACRAMENTO COUNTY STANDARD

CONSTRUCTION SPECIFICATIONS DATED NOVEMBER 1, 2024 AND THE STATE OF

CALIFORNIA DEPARTMENT OF TRANSPORTATION STANDARD SPECIFICATIONS

DATED 2024.

THE SPECIAL PROVISIONS CONTAINED HEREIN HAVE BEEN PREPARED BY OR

UNDER THE DIRECTION OF THE FOLLOWING REGISTERED PEOPLE:

ROADWAY:

Benjamin Drye

97152

3/31/2027

SIGNED: ______________________

Benjamin Drye, PE

Registered Civil Engineer

CONTRACT NO. 4684 ALTA MESA CULVERT REPLACEMENT PROJECT

i

TABLE OF CONTENTS

SECTION 1 – TERMS AND DEFINITIONS .......................................................................................................................... - 1 -

1-1 GENERAL ............................................................................................................................................................... - 1 -

SECTION 2 - BID REQUIREMENTS AND CONDITIONS ...................................................................................................... - 2 -

2-5 CONTRACTORS/SUBCONTRACTORS REQUIRED TO BE LICENSED AND REGISTERED ............................................ - 2 - 2-8 SUBCONTRACTORS ............................................................................................................................................... - 2 -

2-8.01 BIDDER’S LIST OF SUBCONTRACTORS (DBE AND NON-DBE) ........................................................................... - 2 - 2-8.02 FORM FHWA-1273 REQUIRED CONTRACT PROVISIONS FEDERAL-AID CONTRACTS ....................................... - 2 -

2-13 PUBLIC OPENING OF BIDS ..................................................................................................................................... - 3 - 2-17 DISADVANTAGED BUSINESS ENTERPRISES (DBE) ................................................................................................. - 3 -

2-17.01 DBE GOAL FOR THIS PROJECT ........................................................................................................................ - 4 - 2-17.02 DBE SUBMITTAL ADDRESS ............................................................................................................................. - 4 - 2-17.03 NONDISCRIMINATION STATEMENT ............................................................................................................... - 4 - 2-17.04 CONTRACT ASSURANCE ................................................................................................................................. - 4 - 2-17.05 PROMPT PROGRESS PAYMENT ...................................................................................................................... - 5 - 2-17.06 PROMPT PAYMENT OF WITHHELD FUNDS TO SUBCONTRACTORS ............................................................... - 5 - 2-17.07 TERMINATION AND REPLACEMENT OF DBE SUBCONTRACTORS .................................................................. - 6 - 2-17.08 COMMITMENT AND UTILIZATION ................................................................................................................. - 8 - 2-17.09 GOOD FAITH EFFORTS SUBMITTAL ................................................................................................................ - 9 - 2-17.10 DBE RUNNING TALLY OF ATTAINMENTS ...................................................................................................... - 10 - 2-17.11 COMMERCIALLY USEFUL FUNCTION ............................................................................................................ - 10 - 2-17.12 USE OF JOINT CHECKS .................................................................................................................................. - 12 -

2-18 FEMALE AND MINORITY GOALS .......................................................................................................................... - 12 - 2-19 BID RIGGING ........................................................................................................................................................ - 13 - 2-20 TITLE VI ASSURANCES ......................................................................................................................................... - 13 -

SECTION 3 - AWARD AND EXECUTION OF CONTRACT .................................................................................................. - 16 -

3-3 AWARD OF CONTRACT ........................................................................................................................................ - 16 - 3-7.01 BID ALTERNATIVES ......................................................................................................................................... - 16 -

3-9 INSURANCE ......................................................................................................................................................... - 16 - 3-9.01 GENERAL LIABILITY ......................................................................................................................................... - 16 - 3-9.02 AUTOMOBILE LIABILITY.................................................................................................................................. - 17 - 3-9.03 WORKERS COMPENSATION ........................................................................................................................... - 17 - 3-9.08 CONTRACTOR’S POLLUTION LIABILITY INSURANCE ....................................................................................... - 17 -

SECTION 4 – SCOPE OF WORK ...................................................................................................................................... - 18 -

4-11 LANDS AND RIGHTS-OF-WAY .............................................................................................................................. - 18 - 4-13 DESCRIPTION OF WORK ...................................................................................................................................... - 18 -

SECTION 5 - CONTROL OF WORK AND MATERIALS ...................................................................................................... - 19 -

5-5 COOPERATION WITH OTHER ENTITIES ............................................................................................................... - 19 - 5-6 CONTRACTORS DISMISSAL OF UNSATISFACTORY EMPLOYEES .......................................................................... - 19 - 5-14 SUBSTITUTIONS ................................................................................................................................................... - 19 - 5-16 MATERIALS SAMPLING AND TESTING ................................................................................................................. - 19 -

5-16.01 CONTROL OF MATERIALS ............................................................................................................................. - 20 - 5-21 TEMPORARY SUSPENSION OR DELAY OF WORK ................................................................................................. - 20 - 5-24 BUY AMERICA ...................................................................................................................................................... - 20 -ii

5-25 PROHIBITION OF CERTAIN TELECOMMUNICATIONS AND VIDEO SURVEILLANCE EQUIPMENT AND SERVICES . - 22 -

SECTION 6 – LEGAL RELATIONS AND RESPONSIBILITIES ............................................................................................... - 24 -

6-1.02 PREVAILING WAGE ......................................................................................................................................... - 24 - 6-1.04 NONDISCRIMINATION .................................................................................................................................... - 24 - 6-1.14 LABOR COMPLIANCE POSTERS ...................................................................................................................... - 24 - 6-10.01 DESIGNATED BIOLOGISTS ............................................................................................................................ - 25 - 6-10.05 CALIFORNIA DEPARTMENT OF FISH AND WILDLIFE - SAA (1600) ................................................................ - 26 - 6-10.08 ENCROACHMENT PERMITS .......................................................................................................................... - 26 -

6-11 EXISTING UTILITIES .............................................................................................................................................. - 26 -

SECTION 7 – PROSECUTION OF THE WORK .................................................................................................................. - 27 -

7-1 BEGINNING OF WORK ......................................................................................................................................... - 27 - 7-1.01 ORDER OF WORK ........................................................................................................................................... - 27 -

7-6 UNUSUAL SITE CONDITIONS ............................................................................................................................... - 27 - 7-8.01 ALLOWABLE TIMES AND HOURS OF WORK ......................................................................................................... - 28 - 7-8.02 OFF-PERIOD WORK .............................................................................................................................................. - 28 - 7-12 DELAYS ................................................................................................................................................................ - 28 - 7-15 TIME OF COMPLETION ........................................................................................................................................ - 28 -

SECTION 8 – MEASUREMENT AND PAYMENT .............................................................................................................. - 29 -

8-5 PROGRESS PAYMENT PROCEDURES.................................................................................................................... - 29 - 8-10 LIQUIDATED DAMAGES FOR DELAY .................................................................................................................... - 29 -

SECTION 9 – CHANGES AND CLAIMS ............................................................................................................................ - 30 -

9-24 SIGNIFICANT CHANGES IN THE CHARACTER OF WORK ...................................................................................... - 30 -

SECTION 10 - ENVIRONMENTAL CONTROLS AT WORK SITE .......................................................................................... - 31 -

10-4 EROSION SEDIMENT AND WATER POLLUTION CONTROL................................................................................... - 31 - 10-4.06 WATER POLLUTION CONTROL PROGRAM (WPCP) ...................................................................................... - 31 - 10-4.09 PAYMENT ..................................................................................................................................................... - 32 - 10-4.10 BMP SCHEDULE OF VALUES ......................................................................................................................... - 32 - 10-4.12 WATER DIVERSION ....................................................................................................................................... - 34 -

SECTION 11 – PRECONSTRUCTION PHOTOGRAPHS AND RECORD DRAWINGS ............................................................. - 35 -

11-2 PRECONSTRUCTION PHOTOGRAPHS .................................................................................................................. - 35 -

SECTION 12 - SAFETY, PUBLIC CONVENIENCE, AND TRAFFIC CONTROL ........................................................................ - 36 -

12-1 SAFETY................................................................................................................................................................. - 36 - 12-3 PUBLIC SAFETY AND TRAFFIC CONTROL .............................................................................................................. - 36 -

12-3.04 FURNISHING, INSTALLING, AND MAINTAINING TEMPORARY TRAFFIC CONTROLS ..................................... - 36 - 12-3.07 CONSTRUCTION SIGNS ................................................................................................................................. - 37 - 12-3.14 PORTABLE CHANGEABLE MESSAGE SIGNS .................................................................................................. - 38 - 12-3.16 TEMPORARY PAVEMENT DELINEATION ....................................................................................................... - 38 -

SECTION 13 – EXISTING FACILITIES ............................................................................................................................... - 40 -

13-2.09 REMOVAL OF TRAFFIC STRIPES AND PAVEMENT MARKINGS ...................................................................... - 40 - 13-3 MEASUREMENT AND PAYMENT.......................................................................................................................... - 40 -

SECTION 15 – CLEARING AND GRUBBING .................................................................................................................... - 41 -

15-1 GENERAL ............................................................................................................................................................. - 41 - 15-1.02 TREES, SHRUBS, GROUND COVER, AND LAWNS .......................................................................................... - 41 -iii

15-1.06 MISCELLANEOUS .......................................................................................................................................... - 42 -

SECTION 18 – EARTHWORK .......................................................................................................................................... - 43 -

18-2 ROADWAY EXCAVATION ..................................................................................................................................... - 43 - 18-5 UNSUITABLE MATERIAL EXCAVATION ................................................................................................................ - 43 -

SECTION 22 – BASE MATERIAL ..................................................................................................................................... - 44 -

22-2 AGGREGATE BASE ............................................................................................................................................... - 44 - 22-4 MEASUREMENT AND PAYMENT.......................................................................................................................... - 44 -

SECTION 23 – ASPHALT CONCRETE .............................................................................................................................. - 45 -

23-2.04 TEST METHODS ............................................................................................................................................. - 45 - 23-3.01.C GRADATIONS ............................................................................................................................................. - 45 - 23-5.04.B.2 GRADATIONS .......................................................................................................................................... - 45 - 23-10.06.C.2 AGGREGATE GRADATIONS ................................................................................................................... - 45 -

SECTION 38 –STORM DRAIN CONSTRUCTION .............................................................................................................. - 46 -

38-13 STORM DRAIN PIPE ............................................................................................................................................. - 46 - 38-14 RCP UPGRADE ..................................................................................................................................................... - 46 - 38-15 REINFORCED CONCRETE HEADWALLS, ENDWALLS, AND WINGWALLS ............................................................... - 46 -

SECTION 48 – TRAFFIC STRIPES AND PAVEMENT MARKINGS ....................................................................................... - 47 -

48-2 THERMOPLASTIC TRAFFIC STRIPES AND PAVEMENT MARKINGS ........................................................................ - 47 - 48-3 PAINTED TRAFFIC STRIPES AND PAVEMENT MARKINGS ..................................................................................... - 47 - 48-7 MEASUREMENT AND PAYMENT.......................................................................................................................... - 47 -

APPENDIX .................................................................................................................................................................... - 48 -

SCHEDULE OF WAGES ........................................................................................................................................................... A DBE FORMS ........................................................................................................................................................................... B SCHEDULE OF VALUES ........................................................................................................................................................... C BID PROPOSAL ....................................................................................................................................................................... D PLANS .................................................................................................................................................................................. E

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SECTION 1 – TERMS AND DEFINITIONS

1-1 GENERAL

The 2024 County of Sacramento, Community Services Agency Standard Construction Specifications, dated

November 1, 2024 and these Special Provisions shall control all work to be done under this contract. In case of conflict between these Special Provisions and the Standard Construction Specifications, these

Special Provisions shall take precedence over and be used in lieu of the conflicting portions.

Unless otherwise specified, the California Department of Transportation (State) Specifications, Revised

Standard Specifications, and State Standard Plans, DATED 2024, shall be the version used when referenced in these Special Provisions.

The Standard Construction Specifications, which are incorporated by reference in the Contract Documents, may be downloaded from the County website at https://saccountyspecs.saccounty.gov https://saccountyspecs.saccounty.gov/

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SECTION 2 - BID REQUIREMENTS AND CONDITIONS

2-5 CONTRACTORS/SUBCONTRACTORS REQUIRED TO BE LICENSED AND

REGISTERED

The Contractor’s attention is directed to the provisions in Section 2-5, “Contractor/Subcontractors Required to be Licensed and Registered,” of the Standard Construction Specifications.

The Contractor must be properly licensed as a contractor from contract award through Contract acceptance

(23 CFR 635.110).

2-8 SUBCONTRACTORS

The following is added to the end of Section 2-8, “Subcontractors,” of the Standard Construction

Specifications:

Before subcontracted work starts, the Contractor shall submit a Subcontracting Request form (CEM-

1201).

2-8.01 BIDDER’S LIST OF SUBCONTRACTORS (DBE AND NON-DBE)

In accordance with Title 49, Section 26.11 of the Code of Federal Regulations, and Section 4104 of the

Public Contract Code of the State of California, the apparent low bidder, the 2nd low bidder, and the 3rd low bidder must complete, sign, and submit Exhibit 12-B "Bidder's List of Subcontractors (DBE and Non-

DBE)", included in the Appendix, to the County of Sacramento regardless of whether DBE participation is reported. The form must be received by the County of Sacramento no later than 4:00 p.m. on the 5th calendar day after bid opening.

2-8.02 FORM FHWA-1273 REQUIRED CONTRACT PROVISIONS FEDERAL-AID

CONTRACTS

Form FHWA-1273 is required with this project and must be physically incorporated into the executed contract without modification (Excluding ATTACHMENT A – EMPLOYMENT AND MATERIALS

PREFERENCE FOR APPALACHIAN DEVELOPMENT HIGHWAY SYSTEM OR APPALACHIAN

LOCAL ACCESS ROAD CONTRACTS).

The current version of Form FHWA-1273 is accessible at FHWA's website:

https://www.fhwa.dot.gov/programadmin/contracts/1273/1273.pdf

Each subcontract and any lower tier subcontract that may in turn be made must have the "FHWA 1273 -

Required Contract Provisions Federal-Aid Contracts" physically incorporated into the subcontract.

Noncompliance shall be corrected. Payment for subcontracted work involved will be withheld from progress payments due, or to become due, until correction is made. Failure to comply may result in termination of the contract.

https://www.fhwa.dot.gov/programadmin/contracts/1273/1273.pdf

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2-13 PUBLIC OPENING OF BIDS

Section 2-13, “Public Opening of Bids,” of the Standard Construction Specifications is hereby deleted and replaced with the following:

Bids will be publicly opened by electronically unsealing the Bids on the Agency's eProcurement system website as indicated in the Notice to Bidders or a subsequent Addendum. Bidders and the public can view Bids received on the Agency's eProcurement system website after the Bid due date and time.

2-17 DISADVANTAGED BUSINESS ENTERPRISES (DBE)

The contractor, subrecipient or subcontractor shall take necessary and reasonable steps to ensure that DBEs have opportunity to participate in the contract (49 CFR 26). To ensure equal participation of DBEs provided in 49 CFR 26.5, the Agency shows a contract goal for DBEs. The prime contractor shall make work available to DBEs and select work parts consistent with available DBE subcontractors and suppliers.

The prime contractor shall meet the DBE goal shown elsewhere in these special provisions or demonstrate that they made adequate Good Faith Efforts (GFE) to meet this goal. An adequate GFE means that the bidder must show that it took all necessary and reasonable steps to achieve a DBE goal that, by their scope, intensity, and appropriateness to the objective, could reasonably be expected to meet the DBE goal.

If the DBE goal is not met, the contractor needs to complete and submit the DBE GFE documentation as described in Local Assistance Procedures Manual (LAPM) Chapter 9, Section 9.8 within 5 (five) days of bid opening.

It is the prime contractor’s responsibility to verify that the DBE firm is certified as a DBE on the date of bid opening by using the California Unified Certification Program (CUCP) database and possesses the most specific available North American Industry Classification System (NAICS) codes and Work Code applicable to the type of work the firm will perform on the contract. Additionally, the prime contractor is responsible to document this verification by printing out the CUCP data for each DBE firm. A list of DBEs certified by the CUCP can be found at:

https://dot.ca.gov/programs/civil-rights/dbe-search

DBE participation will only count toward the California Department of Transportation’s federally mandated statewide overall DBE goal if the DBE performs a commercially useful function under 49 CFR 26.55.

Credit for materials or supplies the prime contractor purchases from DBEs counts towards the goal in the following manner:

• 100 percent counts if the materials or supplies are obtained from a DBE manufacturer.

• 60 percent counts if the materials or supplies are obtained from a DBE regular dealer.

• Only fees, commissions, and charges for assistance in the procurement and delivery of materials or supplies count if obtained from a DBE that is neither a manufacturer nor regular dealer. 49 CFR

26.55 defines "manufacturer" and "regular dealer."

The prime contractor receives credit towards the goal if they employ a DBE trucking company that performs a commercially useful function as defined in 49 CFR 26.55(d) as follows:

https://dot.ca.gov/programs/civil-rights/dbe-search

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• The DBE must be responsible for the management and supervision of the entire trucking operation for which it is responsible on a particular contract, and there cannot be a contrived arrangement for the purpose of meeting DBE goals.

• The DBE must itself own and operate at least one fully licensed, insured, and operational truck used on the contract.

• The DBE receives credit for the total value of the transportation services it provides on the Contract using trucks it owns, insures, and operates using drivers it employs.

• The DBE may lease trucks from another DBE firm, including an owner-operator who is certified as a DBE. The DBE who leases trucks from another DBE receives credit for the total value of the transportation services the lessee DBE provides on the Contract.

• The DBE may also lease trucks from a non-DBE firm, including from an owner-operator. The DBE that leases trucks equipped with drivers from a non-DBE is entitled to credit for the total value of transportation services provided by non-DBE leased trucks equipped with drivers not to exceed the value of transportation services on the contract provided by DBE-owned trucks or leased trucks with

DBE employee drivers. Additional participation by non-DBE owned trucks equipped with drivers receives credit only for the fee or commission it receives as a result of the lease arrangement.

• The DBE may lease trucks without drivers from a non-DBE truck leasing company. If the DBE leases trucks from a non-DBE truck leasing company and uses its own employees as drivers, it is entitled to credit for the total value of these hauling services.

• A lease must indicate that the DBE has exclusive use of and control over the truck. This does not preclude the leased truck from working for others during the term of the lease with the consent of the DBE, so long as the lease gives the DBE absolute priority for use of the leased truck. Leased trucks must display the name and identification number of the DBE.

2-17.01 DBE GOAL FOR THIS PROJECT

The County of Sacramento has established a DBE goal of Six (6.0%) percent for this project.

2-17.02 DBE SUBMITTAL ADDRESS

An electronic submittal, CD, DVD, flash drive, or hard copies of DBE Commitment form, Good Faith

Efforts, and other DBE submittals are to be delivered to the County of Sacramento at the address(s) listed in Section 3-7, “Execution of Contract,” of these Special provisions.

2-17.03 NONDISCRIMINATION STATEMENT

The contractor, subrecipient or subcontractor will never exclude any person from participation in, deny any person the benefits of, or otherwise discriminate against anyone in connection with the award and performance of any contract covered by 49 CFR 26 on the basis of race, color, sex, or national origin. In administering the Local Agency components of the DBE Program Plan, the contractor, subrecipient or subcontractor will not, directly, or through contractual or other arrangements, use criteria or methods of administration that have the effect of defeating or substantially impairing accomplishment of the objectives of the DBE Program Plan with respect to individuals of a particular race, color, sex, or national origin.

2-17.04 CONTRACT ASSURANCE

Under 49 CFR 26.13(b):

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The contractor, subrecipient or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of

49 CFR 26 in the award and administration of federal-aid contracts. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the recipient deems appropriate, which may include, but is not limited to:

1. Withholding monthly progress payments;

2. Assessing sanctions;

3. Liquidated damages; and/or

4. Disqualifying the contractor from future bidding as non-responsible.

2-17.05 PROMPT PROGRESS PAYMENT

In accordance with California Business and Professions Code section 7108.5, the prime contractor or subcontractor shall pay to any subcontractor, not later than seven days after receipt of each progress payment, unless otherwise agreed to in writing, the respective amounts allowed the contractor on account of the work performed by the subcontractors, to the extent of each subcontractor’s interest therein. In the event that there is a good faith dispute over all or any portion of the amount due on a progress payment from the prime contractor or subcontractor to a subcontractor, the prime contractor or subcontractor may withhold no more than 150 percent of the disputed amount. Any violation of this requirement shall constitute a cause for disciplinary action and shall subject the licensee to a penalty, payable to the subcontractor, of 2 percent of the amount due per month for every month that payment is not made.

In any action for the collection of funds wrongfully withheld, the prevailing party shall be entitled to his or her attorney’s fees and costs. The sanctions authorized under this requirement shall be separate from, and in addition to, all other remedies, either civil, administrative, or criminal. This clause applies to both DBE and non-DBE subcontractors.

2-17.06 PROMPT PAYMENT OF WITHHELD FUNDS TO SUBCONTRACTORS

The Agency shall hold retainage from the prime contractor and shall make prompt and regular incremental acceptances of portions, as determined by the Agency of the contract work and pay retainage to the prime contractor based on these acceptances. The prime contractor or subcontractor shall return all monies withheld in retention from all subcontractors within seven (7) days after receiving payment for work satisfactorily completed and accepted including incremental acceptances of portions of the contract work by the Agency. Any delay or postponement of payment may take place only for good cause and with the

Agency’s prior written approval. Any violation of these provisions shall subject the violating prime contractor or subcontractor to the penalties, sanctions, and other remedies specified in Section 7108.5 of the California Business and Professions Code and Section 10262 of the California Public Contract Code.

This requirement shall not be construed to limit or impair any contractual, administrative or judicial remedies otherwise available to the contractor or subcontractor in the event of a dispute involving late payment or nonpayment by the contractor; deficient subcontractor performance and/or noncompliance by a subcontractor. This clause applies to both DBE and non-DBE subcontractors.

Any violation of these provisions shall subject the violating prime contractor or subcontractor to the penalties, sanctions and other remedies specified therein. These requirements shall not be construed to limit or impair any contractual, administrative, or judicial remedies otherwise available to the prime contractor

- 6 -or subcontractor in the event of a dispute involving late payment or nonpayment by the prime contractor, deficient subcontract performance, or noncompliance by a subcontractor.

2-17.07 TERMINATION AND REPLACEMENT OF DBE SUBCONTRACTORS

The prime contractor shall utilize the specific DBEs listed to perform the work and supply the materials for which each is listed unless the contractor obtains the Agency’s written consent. The prime contractor shall not terminate or replace a listed DBE for convenience and perform the work with their own forces or obtain materials from other sources without prior written authorization from the Agency. Unless the Agency’s prior written consent is provided, the contractor shall not be entitled to any payment for work or material unless it is performed or supplied by the listed DBE on the Exhibit 15-G Construction Contract DBE

Commitment form, included in the Bid.

Termination of DBE Subcontractors

After a contract with a specified DBE goal has been executed, termination of a DBE may be allowed for the following, but not limited to, justifiable reasons with prior written authorization from the Agency:

1. Listed DBE fails or refuses to execute a written contract based on plans and specifications for the project.

2. The Local Agency stipulated that a bond is a condition of executing the subcontract and the listed

DBE fails to meet the Local Agency’s bond requirements.

3. Work requires a contractor's license and listed DBE does not have a valid license under Contractors

License Law, or is not properly registered with the California Department of Industrial Relations as a public works contractor.

4. Listed DBE fails or refuses to perform the work or furnish the listed materials (failing or refusing to perform is not an allowable reason to remove a DBE if the failure or refusal is a result of bad faith or discrimination).

5. Listed DBE's work is unsatisfactory and not in compliance with the contract.

6. Listed DBE is ineligible to work on the project because of suspension or debarment.

7. Listed DBE becomes bankrupt or insolvent or exhibits credit unworthiness.

8. Listed DBE voluntarily withdraws with written notice from the Contract

9. Listed DBE is ineligible to receive credit for the type of work required.

10. Listed DBE owner dies or becomes disabled resulting in the inability to perform the work on the

Contract.

11. The Agency determines other documented good cause.

To terminate a DBE or to terminate a portion of a DBE's work, the contractor must use the following procedures:

1. Send a written notice to the DBE of Contractor’s intent to use other forces or material sources and include one or more justifiable reasons listed above. Simultaneously send a copy of this written notice to the Agency. The written notice to the DBE must request they provide any response within five (5) business days to both the Contractor and the Agency by either acknowledging their agreement or documenting their reasoning as to why the use of other forces or sources of materials should not occur.

2. If the DBE does not respond within 5 business days, Contractor may move forward with the request as if the DBE had agreed to Contractor’s written notice.

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3. Submit Contractor’s DBE termination request by written letter to the Agency and include:

• One or more above listed justifiable reasons along with supporting documentation.

• Contractor’s written notice to the DBE regarding the request, including proof of transmission and tracking documentation of Contractor’s written notice

• The DBE's response to Contractor’s written notice, if received. If a written response was not provided, provide a statement to that effect.

The Agency shall respond in writing to Contractor’s DBE termination request within 5 business days.

Replacement of DBE Subcontractors

After receiving the Agency’s written authorization of DBE termination request, the Contractor must obtain the Agency’s written agreement for DBE replacement. The Contractor must find or demonstrate

GFEs to find qualified DBE replacement firms to perform the work to the extent needed to meet the DBE commitment.

The following procedures shall be followed to request authorization to replace a DBE firm:

1. Submit a request to replace a DBE with other forces or material sources in writing to the Agency which must include:

a. Description of remaining uncommitted work items made available for replacement DBE solicitation and participation.

b. The proposed DBE replacement firm's business information, the work they have agreed to perform, and the following:

• Quote for bid item work and description of work to be performed

• Proposed subcontract agreement and written confirmation of agreement to perform on the Contract

• Revised Subcontracting Request form

• Revised Exhibit 15-G: Construction Contract DBE Commitment

2. If Contractor has not identified a DBE replacement firm, submit documentation of the

Contractor’s GFEs to use DBE replacement firms within 7 days of Agency's authorization to terminate the DBE. The Contractor may request the Agency's approval to extend this submittal period to a total of 14 days. Submit documentation of actions taken to find a DBE replacement firm, such as:

• Search results of certified DBEs available to perform the original DBE work identified and/or other work the Contractor had intended to self-perform, to the extent needed to meet the DBE commitment

• Solicitations of DBEs for performance of work identified

• Correspondence with interested DBEs that may have included contract details and requirements

• Negotiation efforts with DBEs that reflect why an agreement was not reached

• If a DBE's quote was rejected, provide Contractor’s reasoning for the rejection, such as why the DBE was unqualified for the work, or why the price quote was unreasonable or excessive

• Copies of each DBE's and non-DBE's price quotes for work identified, as the Agency may contact the firms to verify solicitation efforts and determine if the DBE quotes are substantially higher

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• Additional documentation that supports the GFE

The Agency shall respond in writing to the Contractor’s DBE replacement request within five (5) business days. The Contractor must submit a revised Subcontracting Request form if the replacement plan is authorized by the Agency.

2-17.08 COMMITMENT AND UTILIZATION

The Agency’s DBE program must include a monitoring and enforcement mechanism to ensure that DBE commitments reconcile to DBE utilization.

The bidder shall complete and sign Exhibit 15-G: Construction Contract DBE Commitment included in the contract documents regardless of whether DBE participation is reported. The bidder shall provide written confirmation from each DBE that the DBE is participating in the Contract. LAPM Exhibit 9-I: DBE

Confirmation or equivalent form and DBE’s quote must be submitted. The written confirmation must be submitted no later than 4pm on the 5th day after bid opening. If a DBE is participating as a joint venture partner, the bidder shall submit a copy of the joint venture agreement.

If the DBE Commitment form, Exhibit 15-G, is not submitted with the bid, it must be completed and submitted by all bidders to the Agency within five (5) days of bid opening. If the bidder does not submit the DBE Commitment form within the specified time, the Agency will find the bidder’s bid nonresponsive.

The prime contractor shall use each DBE subcontractor as listed on Exhibit 15-G: Construction Contract

DBE Commitment unless they receive written authorization for a termination or replacement from the

Agency.

The Agency shall request the prime contractor to:

1. Notify the Resident Engineer or Inspector of any changes to its anticipated DBE participation

2. Provide this notification before starting the affected work

3. Maintain records including:

• Name and business address of each 1st-tier subcontractor

• Name and business address of each DBE subcontractor, DBE vendor, and DBE trucking company, regardless of tier

• Date of payment and total amount paid to each DBE (see Exhibit 9-P: Prompt Payment

Certification)

If the prime contractor is a DBE contractor, they shall include the date of work performed by their own forces and the corresponding value of the work.

Before the 15th of each month, the prime contractor shall submit a Monthly DBE Trucking Verification

(LAPM Exhibit 16-Z1) form.

If a DBE is decertified before completing its work, the DBE must notify the prime contractor in writing of the decertification date. If a business becomes a certified DBE before completing its work, the business must notify the prime contractor in writing of the certification date. The prime contractor shall submit the notifications. Upon work completion, the prime contractor shall complete a Disadvantaged Business

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Enterprises (DBE) Certification Status Change, Exhibit 17-O, form and submit the form within 30 days of contract acceptance.

Upon work completion, the prime contractor shall complete Exhibit 17-F: Final Report – Utilization of

Disadvantaged Business Enterprises (DBE), First-Tier Subcontractors and submit it within 90 days of contract acceptance. The Agency will withhold $10,000 until the form is submitted. The Agency releases the withhold upon submission of the completed form.

2-17.09 GOOD FAITH EFFORTS SUBMITTAL

If you have not met the DBE goal, complete and submit the DBE Information - Good Faith Efforts, Exhibit

15-H, form with the bid showing that you made adequate good faith efforts to meet the goal. Only good faith efforts directed towards obtaining participation by DBEs will be considered.

If the Good Faith Efforts, Exhibit 15-H, is not submitted with the bid, the apparent low bidder, the 2nd low bidder, and the 3rd low bidder must complete, sign, and submit Exhibit 15-H, included in the Appendix, to the County of Sacramento no later than 4:00 p.m. on the 5th calendar day after bid opening.

If your DBE Commitment form shows that you have met the DBE goal or if you are required to submit the

DBE Commitment form, you must also submit good faith efforts documentation within the specified time to protect your eligibility for award of the contract in the event the Agency finds that the DBE goal has not been met.

Good faith efforts documentation must be in accordance with Local Assistance Procedures Manual (LAPM)

Chapter 9, Section 9.8 and include the following information and supporting documents, as necessary:

1. The bidder’s overall DBE commitment.

2. Items of work the bidder has made available to DBE firms. The bidder identifies and describes those items of work the bidder might otherwise perform with the bidder’s own forces and those items that have been broken down into economically feasible units to facilitate DBE participation. For each item listed, the bidder must show the dollar value and percentage of the total contract. It is the bidder’s responsibility to demonstrate that sufficient work to meet the goal was made available to

DBE firms.

3. Names of certified DBEs and dates on which they were solicited to bid on the project. The bidder must include the items of work offered. The bidder must describe the methods used for following up initial solicitations to determine with certainty if the DBEs were interested, and the dates of the follow-up. The bidder must attach supporting documents such as copies of letters, memos, facsimiles sent, telephone logs, telephone billing statements, and other evidence of solicitation.

The bidder is reminded to solicit certified DBEs through all reasonable and available means and provide sufficient time to allow DBEs to respond.

4. Name of selected firm and its status as a DBE for each item of work made available. The bidder must include name, address, and telephone number of each DBE that provided a quote and their price quote. If the firm selected for the item is not a DBE, the bidder must provide the reasons for the selection.

5. Name and date of each publication in which the bidder requested DBE participation for the project.

The bidder must attach copies of the published advertisements.

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6. Names of agencies and dates on which they were contacted to provide assistance in contacting, recruiting, and using DBE firms. If the agencies were contacted in writing, the bidder must provide copies of supporting documents.

7. List of efforts made to provide interested DBEs with adequate information about the plans, specifications, and requirements of the contract to assist them in responding to a solicitation. If the bidder has provided information, they must identify the name of the DBE assisted, the nature of the information provided, and date of contact. The bidder must provide copies of supporting documents, as appropriate.

8. List of efforts made to assist interested DBEs in obtaining bonding, lines of credit, insurance, necessary equipment, supplies, and materials, excluding supplies and equipment that the DBE subcontractor purchases or leases from the bidder or its affiliate. If such assistance is provided by the bidder, they must identify the name of the DBE assisted, nature of the assistance offered, and date assistance was provided. Provide copies of supporting documents, as appropriate.

9. Written documentation of the bidder’s commitment to use a DBE subcontractor whose participation it submits to meet a contract goal.

10. Written confirmation from each listed DBE firm that it is participating in the contract in the kind and amount of work provided in the bidder’s commitment.

11. Written documentation of reason(s) for rejecting DBE quotes.

12. Any additional data to support demonstration of good faith efforts.

The Agency may consider DBE commitments from other bidders when determining whether the low bidder made good faith efforts to meet or exceed the DBE goal.

2-17.10 DBE RUNNING TALLY OF ATTAINMENTS

Exhibit 9-F is no longer required. Instead, by the 15th of the month following the month of any payment(s), the prime contractor must now submit Exhibit 9-P to the Local Agency administering the contract. If the

Contractor does not make any payments to subcontractors, supplier(s) and/or manufacturers they must report “no payments were made to subs this month” and write this visibly and legibly on Exhibit 9-P.

2-17.11 COMMERCIALLY USEFUL FUNCTION

DBEs must perform a commercially useful function (CUF) under 49 CFR 26.55 when performing work or supplying materials listed on the DBE Commitment form. The DBE value of work will only count toward the DBE commitment if the DBE performs a CUF. A DBE performs a CUF when it is responsible for execution of the work on the contract and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. If a DBE does not perform or exercise responsibility for at least 30% of the total cost of its contract with its own work force, or the DBE subcontracts a greater portion of the work of a contract than would be expected on the basis of normal industry practice for the type of work involved, it will be presumed that the DBE is not performing a CUF. Additionally, the DBE must also be responsible, with respect to materials and supplies used on the contract, for negotiating price, determining quality and quantity, ordering the material and installing (where applicable), and paying for the material itself.

The Contractor must perform CUF evaluation for each DBE company working on a federal-aid contract, with or without a DBE goal. Perform a CUF evaluation at the beginning of the DBE’s work, and continue to monitor the performance of CUF for the duration of the project.

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The Contractor must provide written notification to the AGENCY at least 15 days in advance of each DBE's initial performance of work or supplying materials for the Contract. The notification must include the DBE's name, work the DBE will perform on the contract, and the location, date, and time of where their work will take place.

Within 10 (ten) days of a DBE initially performing work or supplying materials on the contract, the

Contractor shall submit to the LPA the initial evaluation and validation of DBE performance of a CUF using the LAPM 9-J: Disadvantaged Business Enterprise Commercially Useful Function Evaluation.

Include the following information with the submittal:

• Subcontract agreement with the DBE

• Purchase orders

• Bills of lading

• Invoices

• Proof of payment

The Contractor must monitor all DBE’s performance of CUF by conducting quarterly evaluations and validations throughout their duration of work on the contract using the LAPM 9-J: DBE Commercially

Useful Function Evaluation. The Contractor must submit to the AGENCY these quarterly evaluations and validations by the 5th of the month for the previous three (3) months of work.

The Contractor must notify the AGENCY immediately if the Contractor believes the DBE may not be performing a CUF.

The AGENCY will verify DBEs performance of CUF by reviewing the initial and quarterly submissions of

LAPM 9-J: DBE Commercially Useful Function Evaluation, submitted supporting information, field observations, and through any additional AGENCY evaluations. The AGENCY must evaluate DBEs and their CUF performance throughout the duration of a Contract. The AGENCY will provide written notice to

Contractor and DBE at least two (2) business days prior to any evaluation. The Contractor and DBE must participate in the evaluation. Upon completing the evaluation, the AGENCY must share the evaluation results with the Contractor and DBE. An evaluation could include items that must be remedied upon receipt.

If the AGENCY determines the DBE is not performing a CUF the Contractor must suspend performance of the noncompliant work.

The Contractor and DBEs must submit any…