Local Instructions to Bidders Page 1 of 20 (Revised 03/05/2024)

INSTRUCTIONS TO BIDDERS

Locally Funded Contracts

The bidder shall carefully examine the instruction contained herein and satisfy himself/herself as to the conditions with which he/she must comply prior to bid and to the conditions affecting the award of contract.

The bidder's attention is directed to the City of Stockton "Standard Specifications and Plans" (https://www.stocktonca.gov/services/public_works/standard_specifications.php) for additional detailed information regarding the project requirements.

1. COMPETENCY OF BIDDERS

(a) LICENSE - Bidders must be properly licensed in accordance with the laws of the State of California.

(b) CONTRACTOR REGISTRATION REQUIREMENTS- Pursuant to Labor Code Section 1771.1, a contractor or subcontractor shall not be qualified to bid on, be listed in a bid proposal, subject to the requirements of Section 4104 of the Public Contract Code, or engage in the performance of any contract for public work, as defined in Labor Code Section 1720, unless currently registered and qualified to perform public work pursuant to Section 1725.5. It is not a violation of Labor Code Section 1771.1 for an unregistered contractor to submit a bid that is authorized by Section 7029.1 of the Business and Professions Code or by Section 10164 of the Public Contract Code, provided the contractor is registered to perform public work pursuant to Labor Code Section 1725.5 at the time the contract is awarded.

Only vendors/contractors that are subject to the public works statutes would be required to register.

A&E firms that are not doing or subcontracting out tasks subject to public work requiring prevailing wages are not subject to registration and public works laws. Design work is not subject to prevailing wages and, therefore, not considered public work, and the firm does not have to register. For example, A&E tasks that are subject to public works laws would be surveying, soil testing, material testing, and building/construction inspection, as there are prevailing wage determinations for these works.

No contractor or subcontractor may be awarded a contract for public work on a public works project unless registered with the Department of Industrial Relations pursuant to Labor Code Section 1725.5 [with limited exceptions from this requirement for bid purposes only under Labor Code section 1771.1(a)].

Department of Industrial Relations- Contractor Registration information and web link:

http://www.dir.ca.gov/Public-Works/PublicWorks.html In compliance with Senate Bill 854 and the California Labor Code, all bidders shall include with their bid proof of registration from the Department of Industrial Relations that includes the contractor’s legal name, registration number, license type/number, registration date and expiration date, for every contractor and subcontractor, regardless of tier. For subcontractor proof of registration that could not be included with the bid, the contractor will be allowed to submit subcontractor registration proof no later than four business days after bid opening (Bid Forms).

This project is subject to compliance monitoring and enforcement by the Department of Industrial Relations. Contractors must submit their certified payroll records directly to the Division of Labor Standards Enforcement Compliance Monitoring Unit, as well as the City of Stockton.

Local Instructions to Bidders Page 2 of 20 (Revised 03/05/2024)

2. EXAMINATION OF PLANS, SPECIFICATIONS AND SITE OF THE WORK

(a) CONTRACTOR'S RESPONSIBILITY- The bidder shall examine carefully the site of the work and the plans and specifications, therefore. He/She shall investigate and satisfy himself/herself as to conditions to be encountered, the character, quality and quantity of surface, subsurface materials or obstacles to be encountered, the work to be performed, materials to be furnished, and as to the requirements of the bid documents and the plans and specifications of the contract.

(b) RESPONSIBILITY FOR UTILITIES- As part of the responsibility stated in Subdivision 2a above and without limitation thereon, the Contractor shall be responsible at his/her own cost for any and all work, expense of special precautions caused or required by the existence or proximity of utilities encountered in performing the work, including, without limitation thereon, repair of any and all damage and all hand or exploratory excavation required. Attention is directed to the possible existence of underground facilities not known to the City or in a location different from that which is indicated on the plans or in the special provisions. The Contractor shall take reasonable steps to ascertain the exact location of all underground facilities prior to doing work that may damage such facilities or interfere with their service. If the Contractor discovers underground facilities not indicated on the plans or in the special provisions, he/she shall immediately give the Project Manager written notification of the existence of such facilities. Such facilities shall be protected from damage as directed by the Project Manager, and the Contractor will be paid for such work as extra work.

Where it is determined by the Project Manager that the rearrangement of an underground facility, the existence of which is not shown on the plans or in the special provisions, is essential in order to accommodate the improvement, the City will provide for the rearrangement of such facility by other forces, or such rearrangement shall be performed by the Contractor which will be paid for as extra work.

The bidder is cautioned that such utilities may include high pressure fluid pipe lines, communication cables or electrical cables which may be high voltage and the ducts enclosing such cables, and, when working or excavating in the vicinity thereof, the special precautions to be observed at his/her own cost shall also include, but may not be limited to, the following: All such cables and their enclosure ducts shall be exposed by careful hand excavation so as not to damage the ducts or cables nor cause injury to persons, and suitable warning signs, barricades and safety devices shall be erected as necessary or required.

3. DISCREPANCIES OR ERRORS

If omissions, discrepancies, or apparent errors are found in the plans and specifications prior to the date of bid opening, the bidder shall submit a written request for a clarification, which will be given to the form of addenda to all bidders if time permits.

4. ADDENDA OR CLARIFICATIONS

Each bid shall include all addenda or clarifications issued during the bidding period acknowledged by the bidder's signature thereon. Failure to so include or acknowledge an addendum or clarification may result in the bid being rejected as not responsive.

5. BIDDING DOCUMENTS

(a) BID FORMS- City of Stockton standard bid forms, which, when filled out and executed, may be submitted as a bid. Bids not presented on City forms shall be cause for considering the bid as non-responsive. The bid forms must be submitted in the same name style and manner as is used on the bidder's license and prequalification. Bid forms may be obtained from the City of Stockton website at www.stocktonca.gov/pwbid

Local Instructions to Bidders Page 3 of 20 (Revised 03/05/2024)

All bids shall give the prices in the manner required by the bid and shall be signed by the bidder or his/her duly authorized representative, with his/her address. If the bid is made by an individual, his/her name, postal address, and signature must be shown. If the bid is made by a firm or partnership, the name and postal address of the firm or partnership and the signature of one or both partners must be shown; if made by a corporation, the bid shall show the name of the state under the laws of which the corporation was chartered, the name of the corporation and the title of the person who signs on behalf of the corporation. The corporate seal must be used. All bidders shall provide proof of DIR registration (print screen from DIR website https://efiling.dir.ca.gov/PWCR/Search.

(b) LIST OF PROPOSED SUBCONTRACTORS- Bidder shall list names of all subcontractors performing work in excess of one-half of one percent (0.5%) or $10,000 (whichever is greater) of the Bidder’s total bid, on the form provided in the bidding document. Each bidder shall give the name, business address, proof of DIR registration (print screen from DIR website https://efiling.dir.ca.gov/PWCR/Search), contractor license number, description of the work, and the dollar amount to be PAID the subcontractor, for each subcontractor that will be used on the project.

(c) BIDDER'S SECURITY- All bids shall be accompanied by (1) cash, or (2) a cashier's check of a responsible bank, or (3) a check certified by a responsible bank, payable to the order of the City of Stockton for an amount not less than ten percent (10%) of the aggregate of the bid, or (4) bidder's bond executed by a surety authorized by the Insurance Commissioner to transact business of insurance in California, and made out in favor of the City of Stockton for an amount not less than ten percent (10%) of the aggregate of the bid.

Within ten (10) days after the award of the contract, the City of Stockton will return all bidder's security accompanying the bid that is not to be further considered in making the award. Retained bidder's security will be held until the contract has been fully executed.

When the contract for doing said work has been duly entered into and the contract bonds accompanying same have been duly approved and filed, the City Clerk shall certify said facts by voucher to the Director of Finance, who shall draw his/her warrant upon the special deposit fund for the return to the Contractor of said cash or bidder's bond or the proceeds of said check. If the bidder fails or refuses to enter into the contract to do said work or furnish said supplies or to furnish the required bond within ten (10) days after the awards shall have become final, then the cash, cashier's check or certified check shall be forfeited to the City as liquidated damages and shall be transferred to the general fund, or the obligation of the bidder's bond shall be enforced and the proceeds placed in the general fund. The Council does not have the power to relieve from or to remit such forfeiture.

It is understood that the bid may be rejected at the sole discretion of the City Council of the City of Stockton.

(d) NON-COLLUSION DECLARATION - The bidder shall execute a Non-Collusion Declaration in the appropriate space provided in the bid form. Any bid made without such declaration or in violation thereof, and also any contract let thereunder shall be absolutely void unless a correct declaration is received after the bid deadline with approval of the City Council.

6. TITLE VI

Title VI of the Civil Rights Act of 1964 requires that “no person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving federal financial assistance.”

(42 USC Section 2000d). https://www.dol.gov/agencies/oasam/regulatory/statutes/title-vi-civil-rights-act-of-1964 The City of Stockton is committed to complying with the requirements of Title VI in all of its federally funded programs and activities (Bid Forms).

Local Instructions to Bidders Page 4 of 20 (Revised 03/05/2024)

7. QUALITY ASSURANCE

The City uses a Quality Assurance Program (QAP) to ensure a material is produced to comply with the Contract (Exhibit A).

You may examine the records and reports of tests the Agency performs if they are available at the job site. Schedule work to allow time for QAP.

8. DISCRIMINATION AND HARASSMENT POLICY

The City of Stockton has a Discrimination and Harassment Policy (Exhibit B). The purpose of this policy is to reaffirm the City’s commitment to demonstrating respect for all individuals by strictly prohibiting discrimination and harassment, including sexual harassment in the workplace, to define the types of behavior and conduct prohibited by this policy, and to set forth a procedure for reporting, investigating and resolving complaints of discrimination and harassment in the workplace.

9. SUBCONTRACTING

The Contractor shall perform with its own organization contract work amounting to not less than thirty percent (30%) of the original total contract price, except that any designated "Specialty Items" may be performed by subcontract, and the amount of any such "Specialty Items" so performed may be deducted from the original total contract price before computing the amount of work required to be performed by the Contractor with its own organization. When items of work in the Bidding Schedule are preceded by the letter (S), said items are designated "Specialty Items." Where an entire item is subcontracted, the value of work subcontracted will be based on the contract item bid price. When a portion of an item is subcontracted, the value of work subcontracted will be based on the estimated percentage of the contract item bid price, determined from information submitted by the Contractor, subject to approval by the Project Manager.

Before work is started on a subcontract, the Contractor shall file with the Project Manager a written statement showing the work to be subcontracted, the names of the subcontractors and the description of each portion of the work and the dollar amount to be so subcontracted.

10. LABOR STANDARDS PROVISIONS/CALIFORNIA LABOR CODE

The bidder shall understand that conditions set forth in Chapter 1, Part 7, Division 2 of the California Labor Code shall be considered part of the contract agreement.

https://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?lawCode=LAB&division=2.&title=&pa rt=7.&chapter=1.&article=2.

(a) PREVAILING WAGE RATES - The prime Contractor to whom the contract is awarded and any subcontractor must pay the general prevailing wage rates as ascertained from time to time which shall be applicable to this project. Prevailing wages are required for locally funded projects over $15,000 (for repair, maintenance) and over $25,000 (for new construction). This is in compliance to SB7, as the City of Stockton is a Charter City. In accordance with the provisions of Section 1773 of the Labor Code, the Director of the Department of Industrial Relations of the State of California has determined the general prevailing rates of wages and employer payments for health and welfare, pension, vacation, travel time, and subsistence pay as provided for in Section 1773.1, apprenticeship or other training programs authorized by Section 3093, and similar purposes applicable to the work to be done.

The contractor performing the work shall be responsible for obtaining a copy of the State wage rate determination. State wage rates may be obtained at:

https://www.dir.ca.gov/OPRL/DPreWageDetermination.htm. A copy of the wage rates are also posted on BidFlash. The contractor shall be responsible for posting said wage rate at a prominent location at

Local Instructions to Bidders Page 5 of 20 (Revised 03/05/2024) the work site and shall maintain same in a good readable condition for the duration of the work. In those projects where federal funds are involved, as indicated by reference to or the inclusion of the federal Wage Determination in these "Instructions to Bidders," the minimum wages to be paid shall be the highest of either the State or federal prevailing wage rates.

Should the contractor choose to work on a Saturday, Sunday or on a holiday recognized by the Labor Unions, the contractor shall reimburse the City of Stockton the actual cost of engineering, inspection, superintendence, and or other overhead expenses which are directly chargeable to the contract.

Should such work be undertaken at the request of the City, reimbursement will not be required.

(b) PAYROLL RECORDS - The prime Contractor to whom the contract is awarded shall insure that the prime and each subcontractor will, in accordance with Section 1776 of the Labor Code, maintain certified payroll records. A copy of said records shall be provided with each invoice to the Public Works Department, Attention: Contract Compliance Officer. It shall be the prime contractor's responsibility to obtain copies of the current prevailing wage rate determination for all subcontractors.

Additionally, certified payroll records must be uploaded to the DIR website as required by the Labor Code.

(c) APPRENTICESHIP STANDARDS - The prime Contractor shall comply with the provisions established in Section 1777.5 of the Labor Code concerning the 1) certified approval by local joint apprenticeship committees for the employment and training of apprentices, and 2) contribution of funds to administer and conduct apprenticeship programs.

11. BID ITEMS

The listed bid quantities are approximate only, being given as a basis for the comparison of bids, and the City of Stockton does not, expressly or by implication, agree that the actual amount of work will correspond therewith, but reserves the right to increase or decrease the amount of any class or portion of the work or to omit portions of the work, as may be deemed necessary or advisable by the Project Manager.

Bids are required for the entire work. The amount of the bid for comparison purposes will be the total of all items. The total price for each bid item will be determined by extension of the unit price bid, multiplied by the estimated quantity set forth for the item. In case of a discrepancy between the item total price and the total determined by extension of the unit price bid, multiplied by the estimated quantity, the unit price shall prevail. However, if the amount set forth as a unit price is ambiguous, unintelligible or uncertain for any cause, or is omitted, or is the same amount as the entry in the "Total" column, then the amount set forth in the "Total" column for the item shall prevail and shall be divided by the estimated quantity for the item and the price thus obtained shall be the unit price. The total for lump sum items or lump sum bids shall be the amount set forth in the "Total" column.

All bids shall include for each item of work, in clearly legible figures, a unit price and a total price for the item in the respective spaces provided. Illegible or ambiguous figures shall be cause for rejection.

In determining the amount bid by each bidder, the City may correct mathematical errors in addition, subtraction, multiplication, and division that appear obvious on the face of the Bid. When such a mathematical error appears in the Bidding Schedule, the City shall have the right to correct such error and to compute the total amount bid by each bidder on the basis of the corrected figure or figures.

When any item, for which an item unit price and/or an item total price has been included in the Bidding Schedule, is omitted from the total bid, the item total price shall be added to the total bid to arrive at a corrected total bid.

If, for any item, both the item unit price and the item total price are omitted from the Bid, then it shall be deemed incomplete and nonresponsive, and the Bid shall be disregarded.

Local Instructions to Bidders Page 6 of 20 (Revised 03/05/2024)

12. WITHDRAWAL OF BIDS

Bids may be withdrawn at any time up to official bid opening only upon written request to the City Clerk.

13. PUBLIC OPENING OF BIDS

Bids will be publicly opened and read at the time and place indicated in the "Notice Inviting Bids."

Bidders or their authorized agents are invited to be present.

14. REJECTION OR IRREGULAR BIDS

When bids are signed by an agent other than the officer or officers of a corporation authorized to sign contracts on its behalf, or are signed by an agent other than a partner of partnership, or by an agent for an individual, a Power of Attorney must be on file with the Department of Public Works, prior to opening bids or shall be submitted with the bid; otherwise, the bid will be rejected as irregular or unauthorized.

15. COMPETITIVE BIDDING

If more than one bid is offered by an individual, firm, partnership, corporation, association, or any combination thereof, under the same or different names, all such bids may be rejected. A party who has quoted prices on materials or work to a bidder is not thereby disqualified from quoting prices to other bidders.

All bidders are put on notice that any collusive agreement fixing the prices to be bid so as to control or affect the awarding of this contract is in violation of the competitive bidding requirements of the City and may render void any contract let under such circumstances. A non-collusive affidavit is required.

16. LIQUIDATED DAMAGES

Bidders should note the provision for Liquidated Damages for this contract is specified in the contract Special Provisions.

17. CONTRACT BONDS

The Contractor shall furnish two (2) surety bonds, one performance bond guaranteeing the faithful performance of the work, and one labor and material bond securing the payment of laborers, mechanics or material or men employed on the work under contract. The surety which provides the bonds must be authorized by the Insurance Commissioner to transact business of insurance in California. All alterations, extensions of time, extra and additional work and other changes authorized by these specifications, or any part of the contract shall be made without securing the consent of the surety or sureties on the contract bonds.

18. BUSINESS LICENSE

The contractor must obtain and maintain a valid City of Stockton business license throughout the fiscal periods embraced by the duration of the contract.

19. INSURANCE

Please see attached Exhibit C, Summary of Indemnity and Insurance Requirements Checklist. This form is for information and is not required to be submitted. Contractor shall not commence any work before obtaining and shall maintain in force at all times during the duration and performance of this agreement the policies of insurance specified in Exhibit D, which is attached to this agreement and incorporated by this reference.

Local Instructions to Bidders Page 7 of 20 (Revised 03/05/2024)

Maintenance of proper insurance coverage is a material element of this contract and failure to maintain or renew coverage or to provide evidence of renewal may be treated as a material breach of contract.

The Proponent shall satisfy these insurance requirements concurrently with the signing of the contract prior to commencement of work. Please contact City of Stockton Risk Services at

(209) 937-5037. Any exceptions to this language may result in a non-responsive proposal.

It shall be a requirement under the Contract that any available insurance proceeds broader than or in excess of the specified minimum Insurance coverage requirements and/or limits shall be available to the Additional Insured.

Furthermore, the requirements for coverage and limits shall be (1) the minimum coverage and limits specified in this Agreement; or (2) the broader coverage and maximum limits of coverage of any Insurance policy or proceeds available to the named Insured; whichever is greater.

The Additional Insured coverage under the Contractor’s policy shall be “primary and non-contributory” and will not seek contribution from the City of Stockton’s insurance or self-insurance and shall be at least as broad as CG 20 01 04 13.

The limits of Insurance required in this agreement may be satisfied by a combination of primary and umbrella or excess insurance. Any umbrella or excess Insurance shall contain or be endorsed to contain a provision that such coverage shall also apply on a primary and non-contributory basis for the benefit of the City of Stockton (if agreed to in a written contract or agreement) before the City of Stockton’s own Insurance or self-insurance shall be called upon to protect it as a named insured.

All self-insured retentions (SIR) must be disclosed to Risk Management for approval and shall not reduce the limits of liability. Payment Bond in the amount of the self-insured retention (SIR) may be required.

Policies containing any self-insured retention (SIR) provision shall provide or be endorsed to provide that the SIR may be satisfied by either the named Insured or the City of Stockton.

The City of Stockton reserves the right to obtain a full certified copy of any Insurance policy and endorsements. Failure to exercise this right shall not constitute a waiver of right to exercise later.

Contractor shall maintain insurance as required by this contract to the fullest amount allowed by law and shall maintain insurance for a minimum of five years following the completion of this project. In the event contractor fails to obtain or maintain completed operations coverage as required by this agreement, the city at its sole discretion may purchase the coverage required and the cost will be paid by contractor.

Contractor agrees to include with all subcontractors in their subcontract the same requirements and provisions of this agreement including the indemnity and insurance requirements to the extent they apply to the scope of the Subcontractor’s work. Subcontractors hired by Contractor agree to be bound to Contractor and the City of Stockton in the same manner and to the same extent as Contractor is bound to the City of Stockton under the Contract Documents. Subcontractor further agrees to include these same provisions with any Sub-subcontractor. A copy of the City of Stockton Contract Document Indemnity and Insurance provisions will be furnished to the Subcontractor upon request. The General Contractor shall require all subcontractors to provide a valid certificate of insurance and the required endorsements included in the agreement prior to commencement of any work and contractor will provide proof of compliance to the city.

Local Instructions to Bidders Page 8 of 20 (Revised 03/05/2024)

20. WORKER'S COMPENSATION INSURANCE

The successful bidder shall comply with all provisions of the Worker’s Compensation and Safety Laws of the State of California, Divisions IV and V of the Labor Code, and shall use all of the accepted and best safety practices for the public and/or his/her employees.

In accordance with Labor Code Section 1725.5 et seq., the successful bidder, prior to executing the contract to do the work, shall take out and maintain in full force and effect workers compensation insurance with an insurance carrier authorized to transact business in the State of California covering the bidder's full liability for compensation to any persons employed who may be injured in the carrying out of said contract or the dependents thereof. Evidence of such workers compensation insurance shall furnish to the City of Stockton an insurance certificate prior to the commencement of the work and said certificates shall contain a provision that the coverage thereunder will not be cancelled until at least thirty (30) days prior written notice has been given to the City.

21. INDEMNIFICATION AND HOLD HARMLESS

To the fullest extent permitted by law, Contractor shall hold harmless, defend, and indemnify City of Stockton and its officers, officials, employees, and volunteers from and against all claims, damages, losses, and expenses including attorney fees arising out of the performance of the work described herein, caused in whole or in part by any negligent act or omission of the Contractor, any subcontractor, anyone directly or indirectly employed by any of them, or anyone for whose acts any of them may be liable, except where caused by the active negligence, sole negligence, or willful misconduct of the City of Stockton. This obligation is independent of, and shall not in any way be limited by, the minimum Insurance obligations contained in this agreement. These obligations shall survive the completion or termination of this agreement.

22. CONSTRUCTION AND DEMOLITION DEBRIS

In order to comply with the California Integrated Waste Management Act of 1989, Assembly Bill 939, the City of Stockton requires that permitted construction and demolition projects recycle at minimum fifty percent (50%) of all materials generated by the projects to divert project waste from the landfills.

(a) CONSTRUCTION AND DEMOLITION RECYCLING PLAN After receiving a Notice to Proceed, the contractor is required to complete and submit a Construction/Demolition (C&D) Recycling Plan. This plan is meant to assist contractors with identifying the types of materials that will be generated as a result of the project and prepare for a diversion of these materials from landfill disposal. The bidder must submit the C&D Plan to the City of Stockton Public Works Dept., Solid Waste & Recycling Division, 22 E. Weber Ave., Room 301, Stockton, CA 95202, prior to the start of the project. Bidders without a Notice to Proceed do not need to submit a C&D Recycling Plan, unless requested to do so by the City of Stockton. The City reserves the right to request additional information, as necessary, from the lowest apparent bidder.

(b) CONSTRUCTION AND DEMOLITION DEBRIS RECYCLING REPORT Within 60 days after completion of the construction or demolition project, the contractor must complete and submit the Construction/Demolition (C&D) Recycling Report. The completed form must be accompanied by the official weight tags or disposal receipts, verifying the information provided in the report. The C&D Report, together with all weight tickets and receipts, must then be submitted to the City of Stockton Public Works Department, Solid Waste & Recycling Division, 22 E. Weber Avenue, Room 301, Stockton, CA 95202. Failure to provide the C&D Recycling Plan or Report may result in a five percent (5%) withholding of the contract amount. (See sample:

http://stocktonca.gov/government/departments/publicWorks/garbCon.html.

Local Instructions to Bidders Page 9 of 20 (Revised 03/05/2024)

23. LOCAL EMPLOYMENT ORDINANCE

This project is subject to the requirements of the City’s Local Employment Ordinance (Bid Forms).

For further information, please see: https://ecode360.com/43418963#43418963 The Contractor shall submit a Final Local Employment Ordinance Report upon completion of the project. Said Final Report shall be considered a final construction punch list item, and failure to submit the report shall be cause for withholding the Notice of Completion and release of retention.

The Contractor shall submit a project Final Local Employment Ordinance Report in the suggested form and content as shown by Exhibit E and/or requested by the Project Manager.

The Contractor shall provide Monthly Local Employment Ordinance Compliance Reports as part of the Contractor’s progress pay requests. The form and content of the Monthly Reports shall provide the same information as noted in Exhibit E or as requested by the Project Manager. Failure to submit said Monthly Reports could result in the City withholding 5% of the monthly progress payment until said report is submitted.

The Contractor shall promptly submit their Good Faith Effort documentation prior to execution of the construction contract. An explanation of the reasons for non-compliance and future good faith efforts which can lead to project compliance will be part of the Monthly Reports.

Monthly Reports shall be compiled with all applicable information and submitted at the end of the project as a part of the Final Report. All reporting required for the Local Employment Ordinance shall be paid as in all other items of work.

24. LOCAL BUSINESS PREFERENCE ORDINANCE

The City’s Local Business Preference Ordinance applies to this project (Bid Forms). For further information, please see: https://library.qcode.us/lib/stockton_ca/pub/municipal_code/item/title_3-chapter_3_68?view=all#title_3-chapter_3_68-article_i-3_68_090

25. SANCTIONS

Deliverables must conform with all applicable federal, state, and local laws. Such conformity includes compliance with federal sanctions, and Contractor certifies that it has not and will not engage in prohibited transactions with sanctioned persons or entities.

26. SAMPLE CONTRACT

A sample contract is attached (Exhibit F) and could be subject to change.

STATE OF CALIFORNIA------- BUSINESS, TRANSPORTATION AND HOUSING AGENCY

Gavin Newsom, Governor

DEPARTMENT OF TRANSPORTATION

DIVISION OF ENGINEERING SERVICES

MATERIALS ENGINEERING TESTING SERVICES AND GEOTECHNICAL SERVICES

INDEPENDENT ASSURANCE AND REFERENCE SAMPLE PROGRAM BRANCH Flex your power!

TRANSPORTATION LABORATORY-MS 5 Be energy efficient!

5900 FOLSOM BLVD.

SACRAMENTO, CA 95819-4612

Expiration Date: 04/15/2029 Status: In Compliance

A. Document Originator

Name of Agency/Consultant: City of Stockton

Address: 22 E. Weber Ave. Rm 301

Telephone Number: (209) 937-7903 Email: Ahbid.mohammad@stocktonca.gov

Approved by: Eric Alvarez PE C 57830 Expires 06/30/2024

The document will be reviewed for compliance to California Department of Transportation, Local Assistance Procedures Manual Section 16.11 (Jan. 2024 Revision) and Federal Highway Administration, 23 CFR 637.

B. Document Reviewed

ITEM NO. DESCRIPTION

1 The Quality Assurance Program (QAP) of City of Stockton dated 04/15/2024, approved on 04/15/2024 by Eric Alvarez, Deputy Public Works Director/City Engineer City of Stockton.

C. Notes

ITEM NO. DESCRIPTION

1 This Document Has Been Found to Be in Compliance With Caltrans Requirements.

2 Acceptance Testing: To be performed by contract with a material testing consultant.

3 Sampling and Testing Frequency: will be done per Attachment A of the Stockton QAP Manual.

4 Independent Assurance Program: will be done by personnel from CT, (for CTMs) and contract consultant laboratories.

4.1 Per section 16.11 of the LAPM, Caltrans assistance is required for IA function when using California Test

Methods.

5 Caltrans District 10, Local Assistance must be notified if there is any change or deviation from this QAP.

D. Reviewer

Name & Title: Darrell Valasek. / Caltrans, METS, IA - North

E-Mail: Darrell.valasek@dot.ca.gov Phone: 916-926-7453

04/16/2024

EXHIBIT A

CITY OF STOCKTON PUBLIC WORKS DEPARTMENT

QUALITY ASSURANCE PROGRAM

1. Purpose

The purpose of the City of Stockton Quality Assurance Program (QAP) is to provide an outline of procedures to assist in achieving quality performance for:

Planning;

Preparing contracts, plans, and specifications; and Assuring that acceptance and inspection sampling and testing meets City, State and Federal requirements.

The main elements addressed in this QAP are procedures for:

Materials Acceptance Program; and Independent Assurance Requirements

This QAP has been adopted by the City of Stockton as a guide for quality assurance for planning, design, and construction of public streets and state highway improvements within the City of Stockton.

This QAP has been written to conform with Section 16.11 - Quality Assurance Plan of the Caltrans Local Assistance Procedures Manual (LAPM). It is not intended to be a substitute for professional engineering knowledge, training, experience or judgment.

2. Definition of Terms

Acceptance Testing (AT) - Sampling and testing, or inspection, to determine the degree of compliance with contract requirements.

Independent Assurance Program (IAP) - Verification that AT is being performed correctly by qualified testers and laboratories.

Quality Assurance Program (QAP} - A sampling and testing program that will provide assurance that the materials and workmanship incorporated into the construction project are in conformance with the contract specifications. The main elements of a QAP are the AT, and IAP.

Source Inspection - AT of manufactured and prefabricated materials at locations other than the job site, generally at the manufactured location.

Certificate of Compliance - A signed document from the materials manufacturer committing that the delivered goods meet the contract specifications.

Material Acceptance Program - Sampling, testing, inspection, and certification of project materials to determine compliance with the contract specifications. Materials shall be accepted by one or more of the following methods, as allowed for in this document and the contract specifications: AT, Manufacturer’s Certificate of Compliance, Source Inspection, or field inspection.

3. Applicability

This QAP shall only apply to projects within the City of Stockton that are off the National Highway System (Off-NHS) or off the State Highway System (Off-SHS) and are financed wholly or in part by federal-aid funding. For such projects, the use of this QAP shall be mandatory. The provisions of this QAP may also be applied to street and utility facility projects within the City of Stockton that are Off- NHS or Off-SHS and are locally funded. For projects on the NHS or SHS, the Caltrans QAP shall be followed as detailed in the following manuals, guides and documents:

Caltrans Construction Manual Caltrans Construction Manual Supplement for Local Agency REs Caltrans Local Agency Structure Representative Guidelines Current edition of the Caltrans Standard Specifications (CTSS) and Plans at the time of construction funding authorization and project special provisions.

4. Authority

This QAP was prepared under the supervision of, and has been approved by, the City of Stockton Director of Public Works or his designee (City Engineer), who is an appropriately registered civil engineer. Copies of this QAP shall be kept on file in the office of the City Engineer and shall be available for review upon request.

5. Amendments

Amendments to this QAP will require approval by the City of Stockton Director of Public Works or his designee, the City Engineer. Amendments may be approved in either of the following forms:

By general amendment applicable to all applicable projects as described above; and By specific amendment included within the contract documents applicable to a specific project. In the event of a conflict between this QAP and the contract documents for a specific project, the contract documents shall prevail.

In the event of amendment(s), the applicable QAP shall be the latest edition in effect at the time the subject materials are actually incorporated into the project documents. The Director of Public Works or the City Engineer may also issue clarifications to this QAP as required.

6. Materials Acceptance Program

Materials shall be accepted by one or more of the following methods, as allowed for in this document and the contract specifications:

Acceptance Sampling and Testing Visual inspection (minor quantities) Source Inspection and Testing Manufacturer’s Certificate of Compliance Authorized Materials List

Acceptance Sampling and Testing - To be performed by contract with a material testing consultant. The contract with the materials testing consultant shall be arranged prior to advertising a project and addressed appropriately in the construction documents. The construction contractor shall not select or exercise any authority over the materials testing consultant or any of the sampling and testing unless specifically included in the contract documents for a specific project or otherwise approved by the City of Stockton Director of Public Works or the City Engineer in writing prior to the start of the actual sampling and testing work.

Start of Testing - Sampling and testing should begin as soon as materials are placed on a project and shall be performed by certified materials sampling and testing personnel. Testing should be performed promptly to enable data evaluation and necessary measures to be taken by the RE and contractor.

Testing Laboratory – AT will be performed by an accredited materials laboratory which is certified to perform the required tests utilizing properly calibrated equipment. The test results will be used to ensure that all materials incorporated into the project are in compliance with the contract specifications.

Test Methods – Verification and quality control testing must be performed using Caltrans Test Methods (CTM). The American Association of Highway and Transportation Officials (AASHTO) and American Society of Testing and Materials (ASTM) test methods may also be acceptable only if they are specified in the contract documents at the time of bid. Deviations from the CTMs or test methods indicated in the contract documents is not allowed unless a contract change order (CCO) is written and justification provided.

Tests to be Performed - Sampling and testing presented in Attachment A - Acceptance Sampling and Testing Frequencies of this QAP shall comprise the minimum scope of AT to be routinely completed for commonly used materials unless otherwise modified by the contract documents for a specific project, unless determined to be minor quantities as identified in this QAP, or as otherwise approved in writing by the Director of Public Works or the City Engineer.

Where additional sampling and testing not described in Attachment A of this QAP is required, it shall be in accordance with the Caltrans Standard Specifications, unless otherwise modified by the contract documents for a specific project or otherwise approved in writing by the Director of Public Works or the City Engineer.

Frequency - Sample locations and frequencies shall be in accordance with the contract specifications. If not so specified in the contract specifications, samples shall be taken at the locations and frequencies as shown in Attachment A. The tables are intended as a guide; the actual quality of materials tested may justify decreasing or increasing the frequency of subsequent similar samples and tests.

Test Result Reporting Guidelines - Results shall be submitted to the RE within three working days of sampling, or as dictated by the construction schedule, except as listed below:

Location of Sample Test Performed Submit Results to the RE

Within

Material Plant Sieve Analysis

24 hours Sand Equivalent (SE) Cleanness Value (CV)

Job Site

Compaction and/or maximum density 24 hours

Sieve Analysis 72 hours Sand Equivalent (SE)

Cleanness Value (CV) R value

96 hours Asphalt extraction

When sampling products such as Portland Cement Concrete (PCC), cement-treated base (CTB), hot mix asphalt (HMA), and other such materials the time of such sampling shall be varied with respect to the time of the day insofar as possible, to avoid a predictable sampling routine.

Summary Logs - Testing Summary Logs shall be maintained by the RE for each material requiring multiple sampling and testing using the form or following the format of LAPM Exhibit 16-Z2:

Acceptance Testing Results Summary Log, included as Attachment B of this QAP. Log data shall include station location, test sample depth, approximate quantity of sample material, test result, and tester identification.

Acceptance of Minor Quantities of Materials without Testing - Relatively minor quantities of materials may be accepted without testing if the following conditions are met:

Visual examination of the material is performed.

The manufacturer has recently (<=1 year) furnished similar materials found to be satisfactory using normal sampling and testing requirements.

The manufacturer (or supplier for HMA or concrete) provides certification that the material furnished complies with the project specifications.

Such records of acceptance shall be placed in the RE's project files with related inspection notes.

The following quantities are approximate amounts of maximum allowable minor quantities:

Material Maximum Allowable Minor Quantity Aggregates and Sub-Aggregates

(Other than use in Portland Cement Concrete) 100 tons per day or 500 tons per project

Portland Cement Concrete 9 cubic yards Bituminous Mixtures 50 tons per day Bituminous Materials 100 gallons per project Trench Compaction 100 linear feet of trench

Re-Testing – Actions taken regarding material with failing test results shall be fully documented, including details documenting remove/replace; rework/retest, and resulting Contract Change Orders (CCOs). Failing test results require re-testing to isolate the failed area. The Summary Log shall cross-reference the retest to the initial failed test. Cost for repeated tests may be charged to the construction contractor if this has been included in the specifications.

Source Inspection and Testing - Inspection, sampling and testing of manufactured and pre-fabricated materials will be required at the facility of the manufacturer to ensure contract requirements regarding raw materials, fabrication processes, personnel certification, and in-process quality control testing.

Refer to Table 6-2.1 - Inspection of Fabricated and Manufactured Materials of the Caltrans Construction Manual for a list of source inspected materials, included as Attachment C of this QAP. This is not an all-inclusive list and materials requiring source inspection and testing may also be required in the project specifications. Note, Caltrans will not provide source inspection services for projects off the SHS unless terms are detailed in a cooperative agreement or encroachment permit.

Manufacturer’s Certificates of Compliance - Various manufactured products, materials, or assemblies accompanied by a Certificate of Compliance (COC) may be accepted for incorporation into the work without sampling or testing. Contract specifications may require additional test data or other documentation along with the COC or if deemed necessary by the RE. COCs shall:

Be submitted by the contractor before the material is incorporated into the work;

Accompany the material to the job site;

Identify the lot (or heat) number for each lot delivered;

Include both city and federal project numbers;

Include test data and other documents when required;

Include a statement that the material complies with the specifications of the contract;

Be signed by the manufacturer

Refer to Table 6-2.3 - Materials Accepted by Certificate of Compliance of the Caltrans Construction Manual included as Attachment D of this QAP. Note, some materials listed in Table 6-2.3 may require additional documentation/samples/testing. Additionally, refer to LAPM Exhibit 16-T1: Materials Requiring a Certificate of Compliance per the Caltrans Standard Specifications also included in Attachment D.

Materials Accepted on the Basis of Authorized Materials List – Materials furnished for projects shall be listed on the Caltrans Authorized Materials List. Materials listed may also require a COC, sampling or testing.

Materials Requiring a Buy America Certification – Iron and steel, manufactured products, and construction materials permanently incorporated into the project with Federal funding must comply with the Buy America requirements per 23 CFR 635.410 and Section 70914 of the Build America, Buy America (BABA) Act.

7. Independent Assurance Program (IAP)

Definition – Independent Assurance Program (IAP) shall be defined as procedures to verify AT is being performed correctly and reliably, and to ensure that equipment is properly calibrated, and personnel are adequately trained on proper sampling and testing procedures.

Applicability - IAP procedures shall be required for federally funded projects on and off the NHS or SHS system. For On-NHS or SHS projects, IAP procedures shall be in accordance with the Caltrans Quality Assurance Program Manual and shall be completed by Caltrans personnel.

For Off-NHS or SHS project, IAP procedures shall be as specified herein and the contract documents for a specific project. IAP procedures may also be applied to other street, highway and utility facility projects, both public and private within the City of Stockton.

Independent Assurance (IA) shall be performed on every type of materials test required for the project.

IA shall ensure all AT performed on the project uses a qualified laboratory and certified testing personnel.

IAP Testing Options – IAP duties for City projects with Federal funding and off the NHS or SHS will be performed by Caltrans (for CTMs only) and contract consultant laboratory for other test methods. IAP is automatically satisfied by employing a current Caltrans accredited laboratory and tester. For IA of non- CTMs, the contract consultant laboratory performing IA must be more qualified and have more certifications from the nationally accepted accreditation body than the laboratory performing AT and shall provide LAPM Exhibit 16-H: Independent Assurance Sampling and Testing Log Summary, included as Attachment E of this QAP. IAP personnel shall be certified in all required sampling and testing procedures and shall not be involved in any aspect of AT. Proficiency tests shall be performed for testers to be certified on Sieve Analysis, Sand Equivalent, and Cleanness Value tests. All other types shall be witness tests. IA samples and tests shall not be used for determining compliance with contract requirements.

Poor correlation between acceptance tester's results and other test results may indicate probable deficiencies with the acceptance sampling and testing procedures. In cases of unresolved discrepancies, a complete review of AT shall be performed by IAP personnel, or an independent materials laboratory chosen by the Agency. IAP samples and tests are not to be used for determining compliance with contract requirements. Compliance with contract requirements is determined only by

AT.

Laboratory and Testing Equipment - The consultant's materials laboratory must:

Possess a current certification of qualification.

Be under the responsible management of a California Registered Engineer with experience in sampling, inspection and testing of construction materials. The Engineer shall certify the results of all tests performed by laboratory personnel under the Engineer's supervision.

Maintain their laboratory testing equipment in accordance with recognized national calibration standards.

Participate in one or all of the following Correlation Testing Programs:

o AASHTO Materials Reference Laboratory (AMRL) o Cement and Concrete Reference Laboratory (CCRL) inspection programs o Caltrans’ Reference Sample Program (RSP)

Copies of current AT laboratory certifications shall be kept in the project files.

The materials laboratory shall only use laboratory and…