2015-03-03 City Council Agenda PacketCalifornia Public Records Act ("PRA"): In compliance with the PRA, the documents pertaining to agenda
items, including attachments, which are presented to the City Council in open session are available for public
inspection. They may be inspected during regular business hours in the City Clerk's Office at Vernon City Hall,
4305 Santa Fe Avenue; Vernon, California 90058, no appointment necessary, and on the City’s website at
www.cityofvernon.org.
Americans with Disabilities Act (“ADA”): In compliance with the ADA, if you need special assistance to
participate in the meeting, please contact the City Clerk’s office at (323) 583-8811. Notification of at least 48
hours prior to the meeting or time when services are needed will assist the City staff in assuring that reasonable
arrangements can be made to provide accessibility to the meeting or service.
Agenda
City of Vernon
Regular City Council Meeting
Tuesday, March 3, 2015, 9:00 a.m.
Council Chamber
4305 Santa Fe Avenue
Vernon, California
W. Michael McCormick, Mayor
William J. Davis, Mayor Pro-Tem
Richard J. Maisano, Council Member
Luz Martinez, Council Member
Melissa Ybarra, Council Member-Elect
CALL TO ORDER & FLAG SALUTE
CHANGES TO THE AGENDA
PUBLIC COMMENT - At this time the public is encouraged to address the City Council on any matter that is
within the subject matter jurisdiction of the City Council. The public will also be given a chance to comment
on matters which are on the posted agenda during City Council deliberation on those specific matters.
ELECTION MATTERS
1. A Resolution of the City Council of the City of Vernon, California, reciting the fact of the Special
Municipal Election held on February 17, 2015, declaring the results and such other matters as
provided by law.
Recommendation:
(1) Find that approval of the Resolution is exempt under the California Environmental Quality Act
(“CEQA”) in accordance with Section 15061(b)(3), the general rule that CEQA only applies to
projects that may have an effect on the environment as this is merely an administrative item; and
Regular City Council Meeting Agenda
March 3, 2015
Page 2 of 7
(2) Adopt the attached Resolution declaring the results of the Special Municipal Election held
February 17, 2015, declaring that Melissa Ybarra is elected to the office of member of the City
Council; and
(3) Authorize the City Clerk to deliver the Certificate of Election and administer the Oath of Office
to Melissa Ybarra.
2. Oath (Affirmation) of Office.
PRESENTATIONS
3. Presentation by the Police Chief on Part 1 crime and arrest statistics for the period of 2010-2014.
CONSENT CALENDAR - All matters listed on the Consent Calendar are to be approved with one motion.
Items may be removed from the Consent Calendar by any member of the Council. Those items removed will be
considered immediately after the Consent Calendar.
Claims Against the City – Received and Filed
4. None
Warrant Registers
5. Approval of City Warrant Register No. 1419, totaling $1,656,237.00, which covers the period of
February 10, through February 23, 2015, and consists of the following:
a. Ratification of wire transfers totaling $1,368,751.46; and
b. Ratification of the issuance of early checks totaling $84,204.07; and
c. Authorization to issue pending checks totaling $203,281.47.
6. Approval of Light & Power Warrant Register No. 384, totaling $4,780,070.16, which covers the
period of February 10, through February 23, 2015, and consists of the following:
a. Ratification of wire transfers totaling $4,653,874.79; and
b. Ratification of the issuance of early checks totaling $26,983.60; and
c. Authorization to issue pending checks totaling $99,211.77.
7. Approval of Gas Warrant Register No. 172, totaling $16,848.66, which covers the period of
February 10, through February 23, 2015, and consists of the following:
a. Ratification of the issuance of early checks totaling $5,505.99; and
b. Authorization to issue pending checks totaling $11,342.67.
/ / /
/ / /
Regular City Council Meeting Agenda
March 3, 2015
Page 3 of 7
City Administration Department
8. Authorization to enter into a lease agreement, for approximately four months, for a section of
the city yard located at 2221 55th Street, Vernon, with NRC Environmental Services Inc.
Recommendation:
(1) It is recommended that the City Council find that approval of the proposed parking lot lease
agreement between the City of Vernon and NRC Environmental Services Inc. (NRC), is exempt
under the California Environmental Quality Act (“CEQA”) in accordance with Section
15061(b)(3), the general rule that CEQA only applies to projects that may have an effect on the
environment; and
(2) It is recommended that the City Council authorize the City Administrator to enter into a lot lease
agreement, for approximately four months, located at 2221 55th Street, Vernon, to NRC at the
determined market rate rent. The lease shall automatically, without further action by either
party, become a month to month lease that may be terminated by either party upon thirty (30)
days’ prior written notice to the other, with or without cause, and without penalty or termination
fee.
Fire Department
9. Activity Report for the period of January 16 through January 31, 2015, to be received and filed.
10. Activity Report for the period of February 1 through February 15, 2015, to be received and filed.
Health and Environmental Control Department
11. January 2015 Monthly Report, to be received and filed.
Police Department
12. Activity Log and Statistical Summary of Arrests and Activities for the period of February 1
through February 15, 2015, to be received and filed.
NEW BUSINESS
City Administration Department
13. Acceptance of Mayor McCormick’s resignation from the Vernon Housing Commission and
reassignment of Council member elect, Melissa Ybarra, to the Vernon Housing Commission
Resident (City Council member) Seat for the term ending August 10, 2017.
Recommendation:
(1) Find that the recommended actions are exempt from the California Environmental Quality Act
(“CEQA”) in accordance with Section 15061(b)(3), the general rule that CEQA only applies to
projects that may have an effect on the environment; and
Regular City Council Meeting Agenda
March 3, 2015
Page 4 of 7
(2) Accept Mayor McCormick’s resignation from the Resident (City Council member) seat on the
Vernon Housing Commission, effective March 3, 2015; and
(3) Reassign Council member elect Melissa Ybarra to the Resident (City Council member) seat on
the Vernon Housing Commission, effective March 3, 2015, thereby creating a vacant Resident
(non-City Council member) seat.
City Attorney Department
14. A Resolution of the City Council of the City of Vernon approving the notice inviting bids, bid
form and project specifications, instructions to bidders and specifications and contract.
Recommendation:
(1) Find that approval of the forms of documents is exempt under the California Environmental
Quality Act (“CEQA”), in accordance with Section 15061(b)(3), the general rule that CEQA
only applies to projects that may have an effect on the environment; and
(2) Adopt the Resolution approving the general form of bid specifications and competitive bidding
documents under the Competitive Bidding and Purchasing Ordinance.
Fire Department
15. A Resolution of the City Council of the City of Vernon approving and authorizing the City’s
participation in the 2014 Urban Areas Security Initiative Grant Program, approving and
authorizing the execution of an agreement by and between the City of Vernon and the City of
Los Angeles, and authorizing the execution of documents necessary to obtain the grant.
Recommendation:
(1) Find that approval of the proposed Agreement is exempt under the California Environmental
Quality Act (“CEQA”) in accordance with Section 15061(b)(3), the general rule that CEQA only
applies to projects that may have an effect on the environment; and
(2) Adopt the Resolution approving and authorizing the City’s participation in the 2014 Urban Areas
Security Initiative Grant Program, approving and authorizing the execution of an agreement by
and between the City of Vernon and the City of Los Angeles, and authorizing the execution of
documents necessary to obtain the grant. The City of Los Angeles has approved and awarded
2014 UASI grant funds in the amount of $898,507.00 to the City of Vernon’s Fire and Police
Departments.
Gas and Electric Department
16. Element Markets Renewable Energy, LLC Amendment, Security Agreements, and Waiver of the
Replacement Energy Supplier’s signature to the Security Agreement.
Recommendation:
(1) Find that approval of the proposed services agreement is exempt under the California
Environmental Quality Act (“CEQA”) in accordance with Section 15301(b), the general rule that
CEQA only applies to projects that may have an effect on the environment; and
(2) Authorize the Director of Gas and Electric to execute the following in substantially the same
form as attached to the staff report:
Regular City Council Meeting Agenda
March 3, 2015
Page 5 of 7
a. The March 3, 2015 Letter Agreement submitted by Element Markets Renewable Energy,
LLC (“Element”); and
b. The attached Amendment No. 1 to the Amended and Restated Biomethane Transaction
Confirmations; and
c. The Security Agreements.
17. Approve the Issuance of a Notice Inviting Bids for the Procurement and Installation of Allison
Turbine Control System Upgrade.
Recommendation:
(1) Find that approval of the proposed issuance of a Notice Inviting Bid is exempt under the
California Environmental Quality Act (“CEQA”) in accordance with CEQA Guidelines Section
15061(b)(3), the general rule that CEQA only applies to projects that may have an effect on the
environment, because the system upgrade referenced in the staff report merely augments the
existing control system and improves efficiency and reliability of energy produced in Vernon;
and
(2) Approve the issuance of a Notice Inviting bids entitled “Turnkey Design, Equipment,
Fabrication, Testing, Operational and Ready-in-Service control System Upgrade for Two
Existing Aero-Derivative Gas Turbines Used for Power Generation” in substantially the same
form as attached to the staff report. Staff estimates that the total purchase price will be between
$400,000 and $500,000, as the exact price will not be determined until the bids have been
received and reviewed.
18. Approval of a Services Agreement with Power Engineers, Inc. (PEI) for the Grounding Study for
Eight distribution Stations, Switching Stations and Customer Substations.
Recommendation:
(1) Find that approval of the proposed services agreement is exempt under the California
Environmental Quality Act (“CEQA”) in accordance with Section 15302(C), because the
proposed contract consists of the replacement or reconstruction of existing utility systems and/or
facilities involving negligible or no expansion of capacity; and
(2) Approve the Services Agreement, in substantially the same form as submitted with the staff
report, with Power Engineers, Inc. (PEI) for the Substation Grounding Study for eight electric
distribution substations for an amount not-to-exceed $142,251 and authorize the City
Administrator to execute the services agreement on behalf of the City.
Public Works, Water and Development Services Department
19. Approval of a Program Supplement No. M002 Rev. 2 to Administering Agency-State Agreement
with Caltrans for Federal-Aid Project No. 07-5139, the Atlantic Blvd. Bridge Rehabilitation and
Widening Project.
Recommendation:
(1) Find that the work associated with the proposed agreement is within the Initial Study/Mitigated
Negative Declaration prepared for this project pursuant to the provisions under the California
Environmental Quality Act (“CEQA”) in accordance with Section 15063; and
Regular City Council Meeting Agenda
March 3, 2015
Page 6 of 7
(2) Approve the Program Supplement No. M002 Rev. 2 to Administering Agency-State Agreement
(the “Agreement”) for Federal-Aid Project No. 07-5139, the Atlantic Blvd. Bridge Rehabilitation
and Widening Project (the "Project"), Federal Project No. DBPL02-5139(010),with Caltrans, in
substantially the same form as submitted with the staff report, to provide $1,163,018.61 in
federal funds for the engineering design, right way acquisition support and coordination services
as described below, and authorize the Mayor and City Clerk to execute the agreement on behalf
of the City.
20. Approval to Advertise a Notice Inviting Bids for Citywide Traffic Signal Maintenance Contract
No. CS-0541.
Recommendation:
(1) Find the approval of the notice inviting bids is categorically exempt under the California
Environmental Quality Act (“CEQA”) in accordance with CEQA Guidelines Section 15301,
Existing Facilities Class 1, maintenance, because this project only consists of maintenance and
repair of the City’s traffic signals; and
(2) Approve and authorize the advertisement of a Notice Inviting Bids for Citywide Traffic Signal
Maintenance, Contract No. CS-0541, in substantially the same form as submitted with the staff
report.
ORAL REPORTS
21. City Administrator Reports – brief reports on activities and other brief announcements by the City
Administrator and Department Heads.
22. City Council Reports – brief report on activities, announcements, or directives to staff.
CLOSED SESSION
23. PUBLIC EMPLOYEE PERFORMANCE EVALUATION (2)
Government Code § 54957(b)(1)
Titles: City Attorney and Deputy City Attorney
24. CONFERENCE WITH LEGAL COUNSEL - EXISTING LITIGATION (6)
Government Code Section 54956.9(d)(1)
(a) Jurupa Avenue Limited Partnership v. City of Vernon, et al.
Los Angeles Superior Court Case No. BC516913
(b) Mirage Bottling Group, Inc. (U.S. Bankruptcy Court, Central District of California Case Nos.
2:12-bk-35770-ER; 2:14-ap-01806-ER.
Regular City Council Meeting Agenda
March 3, 2015
Page 7 of 7
(c) In the Matter of the Calculation of Final Compensation of Bruce Malkenhorst, Sr. CalPERS Case
No. 2012-0671
(d) Bruce Malkenhorst, Sr. v. City of Vernon, et al.
Los Angeles Superior Court Case No. BC516321
Court of Appeal of California Case No. B258793
(e) Bruce Malkenhorst, Sr. v. State of California, et al.
United States District Court Case No. SACV14-00269
(f) Los Angeles Unified School District v. County of Los Angeles, et al.
Los Angeles Superior Court Case No. BS 108180
ADJOURNMENT
I hereby certify under penalty of perjury under the laws of the State of California, that the foregoing agenda was
posted on the bulletin board at the main entrance of the City of Vernon City Hall, located at 4305 Santa Fe
Avenue, Vernon, California, and on the City’s website, not less than 72 hours prior to the meeting set forth on
this agenda. Dated this 26th day of February 2015.
By: ________________________________
Maria E. Ayala
City Clerk
RECEIVED
FEB 2 4 2015
CITY CLERKS OTFICE
RECEIVED
FEB 2 ,t 20t5
CITY ADMINISIRATION
City Clerk Department
DATE:March 3,2015
STAFF REPORT
Honorable Mayor and City Council
Maria E. Ayala, CiW Ct".r*\rlp '
A Resolution of the City Council of the City of Vernon, California, Reciting the
Fact of the Special Municipal Election held on February 17,2015, Declaring
the Result and Such Other Matters as Provided by Law
Recommendation
It is recommended that the City Council:
1. Find that the approval proposed in this staff report is exempt under the California
Environmental Quality Act ("CEQA") in accordance with Section 15061(b)(3), the
general rule that CEQA only applies to projects that may have an effect on the
environment as this is merely an administrative item; and
2. Adopt the attached Resolution declaring the results of the Special Municipal Election held
February 17,2015, declaring that Melissa Ybarra is elected to the office of member of the
City Council; and
3. Authorize the City Clerk to deliver the Certificate of Election and administer the oath of
office to Melissa Ybarra.
Background
On February 17, 2015, a Special Municipal Election was held for the purpose of electing one
member to the City Council for the unexpired term of former City Councilmember Michael A.
Ybarra; said unexpired term to end on April 2017. As of the closing of the nomination period on
November 24,2014, at 5:30 p.m., Melissa Ybarra was the only official candidate. As of February
3,2015, the City Clerk's offrce had not received any requests for a write-in candidate.
On January 21,2015, the City Clerk's office mailed sixty-three (63) vote-by-mail ballots. No
additional ballots or provisional ballots were issued.
FROM:
RE:
There were a total of sixty-three (63) individuals registered to vote in this election. The City
Clerk's office received twenty-five (25) ballots. All received ballots were substantiated for
signature verification. Canvassing of twenty-four (24) ballots was conducted on February 17,
2015; with a second canvassing on February 23 , 2015 being required for one ( I ) ballot that had
not been processed for signature verification in time for the first canvassing. No additional
postmarked ballots were received by the City Clerk's Office three (3) days after the election,
pursuant to California Elections Code Section 4103.
The results of said canvassing are summarizedinthe City Clerk's Certification of Canvass, and
are to be incorporated as part of the proposed Resolution.
Fiscal Impact
There is no fiscal impact.
RESOIJUTION NO.
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
VERNON, CALIFORNIA, RECTTTNG THE FACT OF THE
SPECIAL MUNTCIPAL ELECTION HELD ON FEBRUARY 17,
2015, DECI.ARING THE RESULTS AND SUCH OTHER MATTERS
AS PROVIDED BY LAW
WHEREAS, a special municipal elecEion $ras held and conducEed
in t.he Cit.y of Vernon. California, on Tuesday, February ]-7, 2015, for
t.he election of a Municipal- Officer; and
WHEREAS, pursuant to Ordinance No. l-201, the efectsion was
conducEed entirely by vote-by-mai1 ba1lot pursuant to Section 4000, et
seq., of the ELections Code of t.he Stsate of California; and
WHEREAS. notice of t.he election was given in time, form and
manner as provided by Iaw; and
WHEREAS, an election officer was appointed, vote-by-mail-
balloEs were properly sent to al-I registered voters, and in aII
respects the efecEion was held and conducted. the vot.es were cast,
received and canvassed, and Ehe returns were made and declared in the
time, form and manner required by tshe City Charter and tshe Elect.ions
Code of the State of California; and
WHEREAS, the City Clerk canvassed Ehe reEurns of the
el-ection and has certified the resul-ts to Ehe City Council, which
certificaEion and results are received, attached and made part hereof
as Exhibit A.
NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE
CITY OF VERNON AS FOLLOWS:
SECTION 1: The City Councif of the City of Vernon hereby
finds and determines that the above recitals are Erue and correct.
SECTTON 2: One (1) voting precinct was established for the
purpose of hofding said elect.ion, consisting of Ehe regular election
precinct in the Citsy as estsablished for the holding of SEate and
County elections.
SECTION 3: The whole number of vote-by-mail voter ballots
lega1Iy cast in the City for the Special Municipal Efectsion held on
February L7, 2075, was 25, with no provisional baLl-ots cast.
SECTIoN 4: The following be declared tso be the resultss of
said Special Municipal Election for the office of member of the City
Council:
Mefissa Ybarra 25 votes
SecEion 5: The City Council of t,he City of Vernon hereby
declares that Melissa Ybarra, being the only official- candidate, was
elected as member of the city Council for the unexpired term of two
(2) years to end on Aprif 2017.
SECTIoN 6: The City C1erk, or Deputy City C1erk, shalI
immediately make and deliver Eo the person so elected a CertificaEe of
El-ection signed by Ehe City Clerk, or Deputy City Clerk, and
authenticated.
SECTIoN 7: The Cit.y Cl-erk, or Deputy City Clerk, shaLl also
administer to the person elected the oath of Office prescribed in the
Constitution of the state of California and sha1I have them subscribe
to it and file it in the office of Ehe City C1erk. The person so
elected sha11 then be inducted into the respective office to which she
has been elected.
2
SECTION 8: The City Clerk, ot Deputy City C1erk, shal1
enter on the records of the City Council of the City, a statement of
the result of the election, showing:
(1) The number of bal-1ots cast in the City;
(2) The names of the person voted for;
(3) For what offj-ce the person was voted for; and
(4) The number of votes given to the person.
SECTION 9: The City Clerk, ot Deputy City C1erk, of the
City of Vernon shal1 certify to the passdg€, approval and adoption of
this resolutj-on, and the City Clerk, or Deputy City Clerk, of the City
of Vernon shal1 cause this resolution and the City Clerk's, or Deputy
City Clerk's, certification to be entered in the File of Resolutions
of the Council- of this City.
APPROVED AI{D ADOPTED this 3'd day of March , 20L5.
Name:
Titl-e:Mayor / vtayor Pro-Tem
ATTEST:
City Cl-erk / oeputy City Clerk
APPROVED FORM:
-3
STATE OF CALIFORNIA
COUNTY OF LOS ANGELES
, City Clerk / Deputy City Clerk of the
Cit,y of Vernon, do hereby certify that the foregoing Resol-ution, being
Resolut,ion No. , was duly passed, approved and adopted by the
City Council of the City of Vernon at a regular meeting of the City
Council duly held on Tuesday, March 3, 2075, and thereaf t.er was duly
signed by the Mayor or Mayor Pro-Tem of the City of Vernon.
Executed Ehis day of March, 2015, at Vernon, California.
City Cl-erk / Deputy City Clerk
(SEAL)
ss
I,
4
EXHIBIT A
EXHIBIT A
CITY OF VERNON - SPECIAL MUNICIPAL ELECTION HELD FEBRUARY 17,2015
CITY CLERK'S CERTIFICATION OF CANVASS
l, Maria E. Ayala, City Clerk of the City of Vernon, County of Los Angeles, State of California,do hereby certify that ! have canvassed the returnr bt tne speclal Municipal Electi6n held on February 17,2015, and findthat the number of votes cast were as follows:
Councilmember
Melissa Ybarra
February 17,2015 Canvassing Date 24
February 23,2015 Canvassing Date 1
Total Votes Cast 25
Dated: February 7,2 ,2O15
REGEIVED
FEB 2 4 2015
CITY CLERK'S OFFICE
TO:
FROM:
RE:
RECEIVED
FEB 2 q 2015
CITY ADMINIS ATIONSTAFF REPORT
VERNON POLICE DEPARTMENT
March 3,2015
Honorable Mayor and City Council Dc
Daniel Calleros, Police Chief
Police Department Grirne and Arrest Statistics 201O-2014
Recommendation
The Police Department will conduct a presentation on Part 1 crime and arrest statistics
for the period of 2010-2014.
Backqround
The crime and arrest statistics presentation will cover a review of reported crimes in the
City of Vernon known as Paft 1 offenses and include: murder, forcible rape, robbery,
aggravated assault, burglary, larceny-theft, motor vehicle theft and arson. Part 1 crimes
are reported to the Federal Bureau lnvestigation Uniform Crime Reporting Statistics
Center which collects this information from all law enforcement agencies in the nation.
Crime and arrest statistics are used in many ways and serve many purposes. They
provide law enforcement with data for use in budget formulation, planning, resource
allocation, and assessment of police operations. ln addition, the data collected is used
by the Police Department Patrol Operations section and management staff to evaluate
the fluctuations in the level of crime throughout the City and to address areas of high
incidents of crime.
Fiscal lmpact
There is no fiscal impact to ihe City.
REcF-.E\/ED
TO:
FROM:
RE:
RECEBVED
FEB 2 5 2015
CITY ADMINISTRATION
FEB 2 4 2015
CIY CLERKS OITICE STAFF REPORT
FI NANCE/TREASU RY DEPARTM ENT
February 24,2015
Honorable Mayor and Gity Council
William Fox, Finance Direc torfrf
City Warrant Register for City Gouncil Agenda of March 3, 2015
It is recommended thatthe attached CityWarrant Register No. 1419 be approved atthe City Council meeting of
March 3,2015.
City Warrant Register No. 1419 totals $1,656,237.00, and covers claims and demands presented during the
period of February 10 through February 23,2015, drawn, or to be drawn, from East West Bank.
The following list details the components of City Warrant Register No. 1419:
1 . Ratification of wire transfers totaling $1,368,751.46;
2. Ratification of the issuance of early checks totaling $84,204.07; and
3. Authorization to issue pending checks totaling $203,281.47.
CITY OF VERNON
WARRANT REGISTER NO. 1419
MARCH 3,2015
I hereby certify that claims and/or demands included in above listed warrant
register have been audited for accuracy and availability of funds for
payments and that said claims and/or demands are accurate and that the
funds are available for payments thereof.
This is to certify that the claims or demands covered by the above listed
warrants have been audited by the City Council of the City of Vernon and
that all of said warrants are approved for payments except Warrant
Numbers:
William Fox
Finance Director
Date:
P (i^led: 21241201 5 3: 58: 1 3PM Page 2 ol 25
CITY OF VERNON
WARRANT REGISTER NO. 14,I9
MARCH 3,2015
WIRES
VENDOR DISPLAY
ACCOUNT
NUMBER AMOUNT DESCRIPTION INVOICE P.O.#
DATE wlRE
ISSUED NUMBER AMOUNT
CENTRAL BASIN MWD
PARS
ANTHEM BLUE CROSS
020.'1084.500130
020.'1085.500130
011 .'1003.502020
011.1016.502020
011.103'l 502020
011.1033 502020
011 1041 502020
01'1 1043.502020
0't1.'to46.502020
020.1084.502020
011.150199
o11j024.502020
011 .1026 502031
011.1026.502031
011.'1026.502031
01'1.1026.502031
011 210221
Capacity Charges 12l14
Capacity Charges'12/'14
Supplementary Retirement Plan
Supplementary Retirement Plan
Supplementary Retirement Plan
Supplementary Retirement Plan
Supplementary Retirement Plan
Supplementary Retirement Plan
Supplementary Retirement Plan
Supplementary Retirement Plan
Supplementary Retirement Plan
Supplementary Retirement Plan
Coverage Period: 0'l/15
Coverage Period: 0'l/1 5
Coverage Period: 01/15
Coverage Period: 0'1/'15
Coverage Period: 01/15
1128
1128
107 ,2A1.O1
1129
1129
't129
't't29
1',t29
1129
1129
1129
1129
456,963.93
1130
94,072.O3
'l'131
113'l
10,366 58
1't32
1',t32
't't32
94,736.85
12,5/,4.16
14,110.59
43,718.19
76,822.95
55.766.05
28,127 50
40,991.04
40,700.4'l
87,612.78
69,114.42
94,O72.O3
7,OO7 .76
3,358.82
2,679.31
39,266.03
256.624.48
VERDECl4
VERDECl4
F,ISRP12A
F1SRP12A
F1SRP12A
F1SRP12A
F1SRP12A
F,1SRP12A
F1SRP,12A
F1SRP12A
F1SRP12A
FlsRPl2A(B)
30970695
3097'1826
14720264
426460C
480138B
o21o9t2015
o2to9t20't5
0210912015
PARS
AETNA HEALTH OF CALIFORNIA
Pnnled 22412015 3 58:13P1,,
o2t'tot2015
Page 3 of 25
CITY OF VERNON
WARRANT REGISTER NO. 1419
MARCH 3, 2015
WIRES
VENDOR OISPLAY
AGCOUNT
NUMBER AMOUNT DESCRIPTION INVOICE P.O.#
OATE WRE
ISSUED NUMBER AMOUNT
MAYER BROWN LLP
ICIVA RETIREIVIENT TRUST 457
CALPERS
CITY OF VERNON, FSAACCOUNT
011.1002 596200
011.210220
ol't.210240
o11.210240
011.2'.to240
011 .'1002.502020
011.1004.502020
01'l .10001 3
011.100013
011.210260
011.1033.596600
011.1033 520000
011.1033.596500
011.1033.520000
011 .1033.520000
't2,632.05
26,OO4.47
340,477.10
232.50
1,608.48
7,397.93
-0.09
497.68
3'l'l.93
3,438.51
97.58
326.99
20.00
43 58
1,199.60
34917487
8en179359
Ben'17936'l
Ben17936'l
Ben'17936'l
8en17936'l
8en17936'l
8en179363
Ben'179363
8en179365
012115(8)
012115(B)
012115(B)
012115(C)
012115(C)
o211012015
o211212015
o2t19t2015
298,569.82
'1 133
12,632.O5
1134
26,OO4.87
1135
1135
1135
1135
'1135
349,715.92
1136
1136
809.61
1137
3,438.51
't 138
1138
1'138
'1138
1138
lndependent Reform Monitor
Deferred Compensation: Payment
PERS Conlribuiions: Payment
PERS Survivor's Beneflt: Payment
PERS Buy-back: Payment
PERS Adjustment: M. Whitworth
PERS Contributions: Adjustment
FSA - Dependent: Payment
FSA - Medical: Payment
Child Support: Payment
Book & Publications
Supplies
Taxis & Parking
Supplies
Supplies
0212312015
o2119t2015
o2123t2015
STATE DISBURSEMENT UNIT
EAST WEST BANK
Pnnled 2/2412015 3:58:13PIV|Page 4 ol25
CITY OF VERNON
WARRANT REGISTER NO. 1419
MARCH 3, 2015
WIRES
VENOOR DISPLAY
ACCOUNT
NUMBER AMOUNT OESCRIPTION INVOICE P.O.#
OATE WRE
ISSUED NUMBER AMOUNT
EAST WEST BANK 8.00 Taxis & Parking
35.00 Membership Fees
126.54 Services
125.00 Member Dues
400.00 Supplies
63.99 ComputerSupplies
'11 2.87 Supplies
50.00 Member Dues
-525.00 Refund: Registration
725.00 Registration
549.00 Training: Staff
498.09 Uniforms
201.57 Supplies
64.98 Subscription
43.59 Supplies
98.52 Supplies
50.00 Member Renewal
99.00 Registration
225.00 Training
40.00 Training
50.00 Services
'1,059.48 Supplies
27 10 Supplies
011.'t 033.596500
01'l.1001.596500
011 9019.560010
011 1041.596550
01'1.'1041 .596700
01'1.9019.520010
011.9019.520010
0'11 '1031 .596550
011 .1031 .596700
01't 1031.596700
011.'1031.596700
011 .1031.540000
011 .1033.520000
011.1033.560000
011 1033 520000
011 1033 520000
011.1060 596550
060 6060.596700
011 .1060.596700
060.6060.596700
01'1.1048.520000
011.'1048.520000
011 .1004 520000
012115(C)
012115(D)
012115(D)
012115(E)
012115(E)
012115(F)
012115(F)
012115(G)
012115(G)
012115(G)
012115(G)
012115(G)
012115(H)
012115(D
012115(D
012115(r)
012115(J)
0121 15(J)
012115(J)
012115(J\
o12',t'15(K)
01211 5(K)
012115(K)
1138
'1138
1'138
't 't 38
1138
1'138
1138
1138
1138
1138
1138
1138
'l'138
1138
'1138
1138
'1138
1'138
'l'138
1138
'l'138
1138
Printed: 2/2412015 3 58r13PM Page 5 of25
CITY OF VERNON
WARRANT REGISTER NO. 1419
MARCH 3,2015
WIRES
VENDOR DISPLAY
ACCOUNT
NUMBER AMOUNT OESCRIPTION tNvolcE P.O.#
DATE WIRE
ISSUED NUMBER AMOUNT
EAST WEST BANK 011.1004.596600
011.1024.596700
011.1031.570000
011 .1 03't .596700
011.1026.520000
011.1026.520000
011.1026.596200
011.1026.596200
011.1026.520000
011 .1016.596500
011.1016 596500
011.1016.596500
011.'1031.520010
011 .103'l .596500
011.1031 .596550
0'11.1031.596700
011 .103'1.596700
Training
Registration: Staff
Auto Parts
Refund
Foreign Transfer Fee
Fradulent Charges
Luncheon / lnterviews
Supplies
Supplies
Lodging: Staff
Lunch
Taxis & Parking
Computer Supplies
Lodging: Staff
Membership
Registration: Staff
Training: Staff
1'138
1138
1138
1138
1138
'1138
'l'138
1'138
I tJO
1138
1138
1138
1138
1138
1138
1138
1'138
8,897.13
$ 'r,368,75'r.46
85.00
300.00
169.00
-395.00
8.67
1.57
82.85
150.40
34.86
1,286.64
33.31
189.00
'108.99
31'1.36
20 00
250.00
445.OO
012115(K)
012115(L',)
012115(M)
01211s(lvl)
012115(N)
012115(N)
012115(N)
012115(N)
012115(N)
012115(O)
012115(O)
012115(O)
012115(P)
01211s(P)
012115(P)
o'tz't't5(P)
012115(P)
o2117120'15
TOTAL WRES
Pnntedr 22412015 3 58113PM Page 6 ot 25
CITY OF VERNON
ITVARRANT REGISTER NO. 1419
MARCH 3, 2015
VENDOR DISPLAY
ACCOUNT
NUMBER AMOUNT DESCRIPTION INVOICE P.O.#
DATE CHECK
ISSUEO NUMBER AMOUNT
CURRENT WHOLESALE ELECTRIC 011.1049 52OOOO 493.'15 Electrical Supplies
1,639.00
'175.00
175.00
19,500.00
10,000.00
78.75
48.83
4.39
'15.62
2.51
4,090.00
232977
013115
INV141M
tNVl4168
DECl4
JAN15
50362
3254987597
3254987597
021115
021115(B)
't1
011.0009961
011.0010356
02112t2015
o2112t2015
6644
493.15
346645
1,639.00
346646
346646
350.00
u6u7
346647
29,500.00
346648
78.75
346649
346649
53.22
346650
346650
18.1 3
346651
4,090.00
DAI LY JOU RNAL CORPORATION
GOVERNMENTJOBS COM, INC.,
JEIVIMOTT ROLLINS GROUP, INC
POSITIVE LAB SERVICE
STAPLES ADVANTAGE
VERONICAAVENDANO
WEBIPLEX INC
011.1026.550000
011.1026.550000
011.1026.550000
011.1021.596200
0'11 .1021.596200
01'l .1049.596200
011.1004.520000
011.1004.520000
011.1026.596700
011 .1026.596500
0'11 4031.860000
Job Posting
Job Posting
Job Posting
Professional Services
Professional Services
Asbestos Analysis
Office Supplies-
Sales Tax
Mileage Riembursement
Mileage Reimbursement
ANNUAL SUBSCRIPTION RENEWAL-
o2t12t2015
0211212015
02112t2015
o2t12no15
o2t12t2015
o2t12t2015
Printed 2/2412015 3 58:13PM
0 1 1 .001 041 1
Page 7 ol25
CITY OF VERNON
WARRANT REGISTER NO. 14,I9
MARCH 3,201s
VENDOR DISPLAY
ACCOUNT
NUMBER AMOUNT DESCRIPTION INVOICE P.O.#
DATE CHECK
ISSUED NUMBER AMOUNT
AT CONFERENCE
CALOLYMPIC SAFETY
CDW GOVERNMENT, INC
011.9019.560010
011 .1060.520000
011.1060.520000
011.1060.520000
01'1 .9019.520010
011.9019.520010
011.90'19.520010
o11.1002.502070
011.1031.502070
057.1057.500173
057.1057.5s0000
057.1057.550000
057.1057.550000
72.20 PhoneConferencing 7636880115
336040
336040
336040
RH61550
RH61550
RH61550
L0167610560
10167610560
38056275
o21715
021715
021715
346652
72.20
346653
346653
346653
285.99
346654
346654
346654
89.87
346655
346655
4,978.00
346656
4,515.45
346657
121.95
346658
121.95
346659
253.00
10.22
22.77
50.61
3'l.84
7 .42
392.00
4,586.00
4,5'15.45
121.95
'12't.95
121.95
805773-82-
Freight
Sales Tax
Item Number: 3048982-
Item Number: 582052-
Sales Tax
F. Taylor : Ul Reimbursement-
R. Hill : Ul Reimbursement-
Fiber Optic lntemet Access Contract
Reimburse lnternet Charges-
Reimburse lnternet Charges-
Reimburse lnternet Charges-
0'l'l.0010309
011 .0010309
011 .0010264
0't1.00'10264
o2t17t2015
ozt1712015
02117t2015
EMPLOYMENT DEVELOPMENT
DEPT.
LEVEL 3 COMMUNICATIONS, LLC
LUZ A, MARTINEZ
MELISSA YBARRA
RICHARD MAISANO
Prinied: 2/2412015 3:58:1 3Ptt
057 0000051
02,17t2015
o211712015
o2t1712015
o2t17t2015
Page I ot 25
CITY OF VERNON
WARRANT REGISTER NO. 1419
MARCH 3, 2O{5
VENOOR OISPLAY
ACCOUNT
NUMBER AMOUNT DESCRIPTION INVOICE P.O.f
DATE CHECK
ISSUED NUMBER AMOUNT
WILLIAM J, DAVIS
WILLIAM M. McCORMICK
ANDREA NEGRETE
ANTHONY ZARATE
CALIFORNIA WATER SERVICE CO 011,'I033 560000
Reimburse lnternet Charges-
Reimburse lnternet Charges-
Employee Computer Loan
ICC Permit Tech lnstitute
Service Period: 12123 - 01123
Renewal Application
Helmet decal w/drop Shadow & Script
Helmet decal Mdrop Shadow & Script
Helmet decal w/drop Shadow & Script
Helmet decal Mdrop Shadow & Script
Helmet decal ddrop Shadow & Script
Helmet decal Wdrop Shadow & Script
Helmet decal ddrop Shadow & Script
Freight
057 1057.550000
057.1057.550000
o1't.110021
011.1041.596500
011.1003.596550
011.1033.520000
0'11.'1033.520000
011 1033 520000
011 1033.520000
01'1.1033.520000
011.1033.520000
0'11 .1033.520000
011'1033.520000
021715
021715
021015
o21215
012615(B)
878
1290
1290
't290
1290
1290
1290
1290
1290
02t17t2015
02,17120'15
o2117t2015
ozt't912015
o2t1912015
o2119t2015
ozt1912015
121.95
346660
121.95
346661
12't.95
346662
1,218.91
346663
63.25
346664
107 .7',!
346665
130.00
346666
346666
346666
346666
346666
346666
346666
346666
121.95
121.95
't,218.91
63.25
107 .71
130.00
75.00
75.00
75.00
75.00
45.00
45.00
75 00
12.OO
0'11.0009881
011 .0009881
01'1.0009881
0'11.0009881
0'l'l 0009881
01'1.0009881
011.0009881
011.0009881
CCAC - CITY CLERKS ASSOC
CODERDECALS&GRAPHICS
Ptinted 212412015 3:58 13PM Page 9 of 25
CITY OF VERNON
WARRANT REGISTER NO. 1419
MARCH 3,2015
EARLY CHECKS
ACCOUNT DATE CHECK
VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUEO NUMBER AMOUNT
CODERDECALS&GRAPHICS 011 1033.520000 41.85 Sales Tax
FEDEX 011 1003.520000 55.54 Service Period: 01/15
FIREFIGHTERS' SAFEry CENTER 011.1033.540000 220.00 9 Hole Zippers
011.1033.540000 220.00 10 Hole zippers
01'l.1033.540000 12.23 Freight
011.1033.540000 39.60 Sales Tax
FRANCHISETAx BOARD o1'1.210260 1,006.51 Garnishment; Payment
180.00 Garnishment: Payment
840.32 Garnishment:Payment
1290
292364949
24943
24943
24943
24943
8en179353
Ben179353
8en179353
011.0010273
o11.OO10273
011.0010273
02t1912015
ozt1912015
346666
5'18.85
346667
55.54
346668
346668
346668
346668
49'l.83
346669
346669
346669
2,026.83
346670
158.44
346671
51.00
346672
157.50
346673
o2t19t2015
ol't 210260
o11.210260
KEITH WHITWORTH
MARIA E, AYALA
SANDRA D. BINGMAN
Printed: 22412015 3:58:13PM
011.1048.530015 '158.44 Reimb. Possessory lnteresl Tax- 021715
011 1003.520000 51.00 Food delivered during Election Day 021815
020115
Ben179349
oz19no15
o2l't9120't5
o2t19t2015
02t1912015
|\4AYWOOD MUTUAL WATER CO 011 '1033.560000 157.50 Service Period: 01/15
NO3
011 210260 2,000 00 GARNISHMENTS: Paymenl
Page 10 of 25
CITY OF VERNON
WARRANT REGISTER NO. 1419
MARCH 3,2015
VENOOR DISPLAY
ACCOUNT
NUMBER AMOUNT OESCRIPTION rNvotcE P.O.#
DATE CHECK
ISSUED NUMBER AMOUNT
SOUTHERN CALIFORNIA EDISON
STANCIL SOLUTIONS INC,
TEAMSTERS LOCAL 911
THE GAS COMPANY
UPS
SCOTT CAMPBELL CO,
SILVA'S PRINTING NETWORK
VERNON FIREMEN'S
ASSOCIATION
Printed: 2/2412015 3 58:13PM
545.00 AnnualTesting
280 45 No. I Envelopes - SeltAddressed
25 24 Sales Tax
36.76 Service Period: 12130 - 01129
608.00 Maintenance & Repairs
2,265.00 Teamsters Local 91'l Dues: Payment
25.46 Service Petiodt 01112 - O2l'11
11.79 Service Period: 0'l/15
71.24 Service Period; 01/15
26.91 Service Period: 01/15
3,215.00 Fire House Fund: Paymenl
011.1049.590000
011.1004.520000
011.1004.520000
011.1043.560000
011.9019.590110
011.210250
011.1048 560000
011 1033.520000
011.1041 .520000
01'r.1M3.520000
o't1.210250
2't't06
25645
25645
013015(B)
47251M
8en179343
o21315
933312055(B)
933312055(B)
933312055(B)
Ben179351
o211912015
o2t19t2015
2,000.00
346674
545.00
346675
346675
305.69
346676
36.76
346677
608.00
346678
2,265.00
346679
25.46
346680
346680
346680
o11.OO10277
02119t2015
o2119t2015
o2t1912015
o2l't9t2015
o2t1912015
109.94
346681
o2119t2015
Page 11 ot 25
CITY OF VERNON
WARRANT REGISTER NO. 1419
MARCH 3, 2015
VENDOR DISPLAY
ACCOUNTNUMBER AMOUNT DESCRIPTION
OATE CHECK
INVOICE P.O.# ISSUEO NUMBER AMOUNT
ASSOCTATION VERNON POLICE O11.21O25O 1,887.60 Police Association Member Dues; 8en179347
OFFI Payment
82804 011.0009945
3,215.00
346642
1,887.60
346683
346683
667.55
346684
I .000.00
346685
31.61
346686
2,285.OO
ozt19t2015
o2t't9t2015
WHITE CAP CONST SUPPLY 011 1049.520000 218.25 Hadwate Supplies-
01'1 120010 449 30 Hardware Supplies-
W|SE ENTERTATNNIENT 011.'1004431000 1,000.00 Refund Deposit on Rental Vacant lot @ 021715
't 00028106'11 011.0009933
10002810611 01'l 0009933
25TH STREET RECYCLING. lNC. 020.1084.520000 31.61 Crush Base Materials-
COUNTY CLERK, COUNTYOF L.A. 011.1041.550000 2,285.00 Notice of Determination: Vacation of 021915
LAAFCA
MAUREEN KANE &
ASSOCIATES,INC
011.1033.596700 700.00 Bear Paw Registration: M. Wilson 022315
o211912015
ozt19t2015
o2t24D115
o2124t2015
o2t24nol5
02t24t2015
01'l.'1003.596700 1,500.00 TTCRegistration
PROFORMA EXPRESS GRAPHICS 01'1.1060.520000 89 71 City of Vernon-
0'11.1060.520000 499.82 City of Vernon-
011 1060.520000 293 52 City ofvernon-
Printed: 22412015 3 58 13PM
346687
700.00
346688021915
0121'lsVRS 011.0010291
012'l'lsvRS 011.0010291
012115VRS 0'l'l 0010291
'1,500.00
346689
346689
346689
Page 12 ol 25
CITY OF VERNON
WARRANT REGISTER NO. 1419
MARCH 3, 2015
VENOOR DISPLAY
PROFORI/IA EXPRESS GRAPHICS 011.1060.520000 79.47 Sales Tax
ACCOUNTNUMBER AMOUNT DESCRIPTION
DATE CHECKINVOICE P.O.# ISSUED NUMBER AMOUNT
346689
962.52
346690
346690
346690
346690
504.25
346691
346691
346691
13,650.00
346692
110.00
346693
346693
STAPLES ADVANTAGE
TEXAS A|\4ER|CA SAFETY 011.2033.850000 4,750.00 Saranex size 2x Cove'alls 44428-2x 36153/36041/3638 0'l'l 0010239
COIVIPANY 0
011.2033.850000 4,450.00 Saranex size X-Large Coveralls 44428 36153/36041/3638 011.0010239
0
011 2033 850000 4,450.00 Saranex size Large Coveralls 44428 36153/36041/3638 011.0010239
0
01'l.1060.596700 110.00VectorControlTechnicianCerlification O21O15
011.1033.520000 416 07 Ofiice Supplies-
011.'1033.520000 37.45 Sales Tax
011.1026.520000 46.54OfiiceSupplies-
011.1026.520000 4.19 Sales Tax
011.1033.520000 11.01 Service Petiod: 02114
011.1041.520000 30.31 Service Periodt 02114
01211sVRS
01241sVRS(B) 011.00'r0353
01241sVRS(B)
32U987592 011.0010355
325,/987592
o2t2412015
o2t24t2015
02t24t20'15
0212412015
UC REGENTS
UPS 9333't 2065
9333'12065
02t24t20'15 41 32
TOTAL EARLY CHECKS $ 84,204.07
Pnnted 22412015 3158 13Pl','l Page 13 ol25
EARLY CHECKS
CITY OF VERNON
WARRANT REGISTER NO. 1419
MARCH 3, 2015
PRINTED CHECKS
ACCOUNT CHECK
VENOOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# NUMBER AMOUNT
ALAMEDA INDUSTRIAL MEDICAL 011.1026.597000 450.00 Respirator Testing 121114 346694
450.00
ARAMARK UNIFORM SERVICES, 011j060I10240 570.00 Refund on Overpayment Health Fees 0209'15 346695
tNc
570.00
A-THRONE CO., lNC. 011.1043.520000 'l'18.71 Portable Restroom Rental 4442'19 346696
1't8.71
AUTO ZONE 01'1.1046.520000 49.49 Front brake pads 2893940847 0'l'l 0010349 346697
0'11.1046.520000 4.45 Sales Tax 2893940847 346697
53.94
BATTERY SYSTEMS INC 011.1046 520000 625.29 Vehicle batteries-01051sVRS 011.0009955 346698
625.29
BENNETT WEINER, O.D. 011 1047.502030 223.00 Vision Beneflts: M. Cervantes 020215 346699
VEHICLES BLACK & WHITE 0'l'1.1031.570000 543 40 Repairs & Maintenance
EMERGEN
BRYAN DOME
592
020415
374671
346700
34670't
223.00
543.40
225.O0
303..14
Page 14 of 25
011.1033.502030 225.00 Vrsion Beneflts: E Dome
CAINE & WEINER COMPANY, lNC. 011.1033467100 303.44 Collection Fee
Pnnted 22412015 3 58 13PM
346702
CITY OF VERNON
WARRANT REGISTER NO. 1419
MARCH 3,2015
PRINTED CHECKS
VENDOR DISPLAY
ACCOUNTNUMBER AMOUNT DESCRIPTION rNvorcE P.o.#
CHECK
NUMBER AMOUNT
CALIFORNIA FRAlvlE & AXLE 01'1.1046 520000 242.50 Frontend repair-32329132336 011 0009956 346703
242.50
CAMTNO REAL CHEVROLET 011.1046.520000 287.14 Auto parts ror cars and trucks.- 010815VRS 011.00099'14 346704
287 14
CALPORTLAND COMPANY 020.1084.520000 2,586.28 Concrete 92323586/36190/3 346705
6189
2,586.28
CDW GOVERNMENT, lNC. 011.9019.520010 816.60 ltem No. '1824113- SF741A2 011 0010380 346706
011.9019.5200'10 257.57 ltem No.2683253- 5F74182 011 0010380 346706
011.9019.520010 257.57 ltem No.2683253- 5F74182 011.0010380 346706
011.9019.520010 73 50 Sales Tax SF74'182 346706
011.9019.520010 23.18 Sales Tax SF74182 346706
011.90'19.520010 23.18 Sales Tax 5F74182 346706
1,451.60
DEPT OF TMNSPORTATION 011.1043.590000 1,776.53 Traffic Signal Maintenance 98360 U67O7
1,776.53
C|TYOFSIGNALH|LL 011.1043.596200 59,135.59 lntegrated Monitoring Program LARUR220147 346708
59.135.59
CLEANSTREET, lNC. 011.1043.590000 9,199.72 Sweeper Service 76776 346709
9,199 72
CRAIG WELOING SUPPLY CO. 011.1047.520000 130.15 Welding Supplies- 605284 011 0009929 U671O
Prinled 2/2412015 3 58113PM Page 15 of 25
CITY OF VERNON
WARRANT REGISTER NO. 1419
MARCH 3, 2015
PRINTED CHECKS
VENDOR DISPLAY
ACCOUNTNUMBER AMOUNT DESCRIPTION tNvotcE P.o.#
CHECK
NUMBER AMOUNT
DANGELO CO.
011 1200't 0 713.34 Sales Tax
DAPPERTIRE COMPANY 011.1046520000 585.00 Goodyear wrangler tires
01'1.1046.590000 10.50 State tire fee
011.1046 520000 52.65 Sales Tax
DAVID KAWASAKI
DR JB, LLC
DTSC
s1238736001
41525059 011.0010389
41525059 01'l.0010389
41525059
020215
021715
130.15
346711
3/,67'11
346711
3/.6711
'to,o44.32
346712
346712
346712
648.15
3467',t3
950.00
346714
1,213.31
346715
3,O52.75
3/,6716
3/,6716
3/.67'16
2,742.50
346717
011.120010 1,404.98 Water parts-s1237602001 01'1.0009962
011.120010 7,470.00 Mueller Gate Valve, 14", M.J., item 51238736001 011.0010368
011.120010 456.00 Wedge Action Retarner Kit, item # 14", 51238736001 01'1.0010368
011.1026 596800 950.00 Tuition Reimbursemenl
095.5095.400900'1.2'13.31 RefundParcelTax-
01'1.'123100 3,052.75 Former Thermador lndustrial Site 145M1822
EL |\4ONTE TRANSMISSION 011.1046.520000 1,500.00 Parts cosl to rebuild transmission 12148
011.1046 590000 1,100.00 tolal labor cost to rebuild transmission 12144
011.1046.520000 '142.50 Sales Tax 9.5%
EMPIRE WEST CORPORATION 0'11.1046.520000 49.00 filter 60 mesh (sPKG)
Pnnbd: 2/2412015 3:58:13PM
011.001038s
011.0010385
12148
41813 0'11.0010348
Page 16 ot 25
CITY OF VERNON
WARRANT REGISTER NO. 1419
MARCH 3,2015
PRINTED CHECKS
ACCOUNT CHECK
VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE NUMBER AMOUNT
El\,tPl RE WEST CORPORATI ON
EQUIPI\4ENT PRO, LLC
ERIK CHENG
F, GAVINA & SONS INC,
FRUITLANO BOYLE INVESTMENTS
GARVEY EOUIPMENT COMPANY
GRAINGER CO.
HAUL.AWAY RUBBISH SERVICE
co.
Pdnted: 22412015 3.58:13PM
01 '1 . 't 046.590000
01't.1046.520000
020.1084.520000
020.1084.520000
020 1084.520000
020.1084.520000
020.1084.520000
060.6060.596500
011.120010
095.5095.400900
011.1046.520000
020.1084.520000
011.'1033.520000
I95 Freight
4 41 Sales Tax
1,399.11 3" Trash Pump, 369 gpm. 95" head,
Honda
'165.00 Hose Suction, 3" x 25', Quick Coupler,
150.00 Hose Discharge, 3" X 50', Quick
65.00 Freight
154.27 Sales Tax
202A0 HAZWOPER Training
1 ,152.00 Regular Collee, 42 - 'l .5 oz. pouches
12,630.66 Refund Parcel Tax-
395.90 Lawn equipment parts & service -
288.52 Building hardware-
244.00 Disposal Services
41813
4',t8',t3
34486
34486
34486
34486
34486
o21715
3309622
o21715
79124179282
9649472900
't23',t14
P.O.#
011 .0010348
011 .0010341
011 .001034'l
011.00'10341
011.00'10341
3467',t7
3467',t7
62.36
346718
3/.6718
346718
346714
346718
'1,933.38
3467',tg
202.40
346720
'1,'152.00
346721
12,630.66
3/16722
01'1.0010392
011.0009915
011 0009946 346723
395 90
284.52
346724
Page 17 of 25
CITY OF VERNON
WARRANT REGISTER NO, 1419
MARCH 3,2015
PRINTED CHECKS
VENDOR DISPLAY
ACCOUNTNUMBER AMOUNT DESCRIPTION |NVO|CE P.O.#
CHECK
NUMBER AMOUNT
HAUL-AWAY RUBBISH SERVICE 011 '1043.596200 390.44 Disposal Services 123114 346724
co.011.1048.596200 61.00 Disposal Services 123114 U6724
011.1049.596200 132.00 Disposal Services 123114 U6724
827 .44
HD SUPPLY WATERWORKS, LTO., 011.120010 1,830.41 Water Distribution Products- 0484628 0'11.0009931 346725
1,830.41
HEMA PATEL 011.1024.596500 52.87 Lunch Meeling 021215 346726
52.87
HOME DEPOT CREDIT SERVICES 011.1043520000 31'1.09 Tools and plumbing hardware- 0105'I5VRS 011.0009920 346727
01'1.1047.520000 62.03 Tools and plumbing hardware- 010515VRS 011.0009920 346727
011.1048.520000 1,373.21 Tools and plumbing hardware- 0'1051sVRS 011.0009920 346727
011.1049.520000 '1,004.84 Tools and plumbing hardware- 0'I0515VRS 011.0009920 346727
011.120010 782.97 Tools and plumbing hardware- 010515VRS 011.0009920 346727
020.1084.520000 207.44 Tools and plumbing hardware- 010515VRS 011.0009920 U6727
3,741.58
HUNTTNGTON PARK RUBBER 011.1002.520000 26.40 S|GN16020A- 219013 011.0010376 3/,6724
STAMP 011.1002.520000 2.38 Sales Tax 219013 346728
28.78
lNSlcHT PUBLIC SECTOR, INC 011.9019.590110 2jM.78 lYR Dell Sonicvttall Comp '1100400380 011.0010279 U6729
Gatewaylicssec
Printed: 2/24 /201 5 3 58:13P1\,1 Page 18 of 25
CITY OF VERNON
WARRANT REGISTER NO. 1419
MARCH 3, 2015
PRINTED CHECKS
VENDOR DISPLAY
ACCOUNT
NUMBER
INVESTIGATIVE POLYGRAPH
SERV
JACKSON, JACKSON &
ASSOCIATES
JERRY'S AUTO BODY INC
JSB FIRE PROTECTION, LLC
KAFCO SALES CO.
011 1031.596200
011.103't.596200
011.1046.520000
01'l .1046 520000
011 1046.590000
0'tl 1046.520000
011.1046.520000
01't 1046.590000
01'1.1046.520000
01 'l .'l 046 . 520000
011 .'1046.590000
011 .1046 520000
011 1033.595200
011.1200'10
18
28729
28729
28729
28729
28734
28734
28734
28735
28735
28735
15201
391379t3915r'.1t24
679
CHECK
NUMBER AMOUNT
2,104.78
346730
600.00
346731
1,725.OO
3/;6732
346732
3/,6732
3r',6732
3/,6732
3/,6732
346732
3/.6732
3/.6732
3/,6732
2,386.71
346733
'1,320.00
346734
AMOUNT DESCRIPTION INVOICE P.O.#
600.00 Polygraph Test
1,725.00 Background Check Fee
597.19 parts
280.50 paint and material
830.40 Labor to repair rear bumper and tailgale
78.99 Sales Tax 9%
'105.60 Paint & material
294.40 Labor to repair left rear door
9.50 Sales Tax
22.50 door bushings
'165.60 labor to replace bushins and align door
2.03 Sales Tax 9%
1,320.00 Permit Fees
214.70 0515-480 Kresto hand cleaner,2000 mL,
139
011.0010350
011.0010350
01't.0010350
011.0010386
011.0010386
0'l'1.0010384
011.0010384
Pnnred 2/2412015 3:58r13PL
0'11.0010363
Page 19 ot25
CITY OF VERNON
WARRANT REGISTER NO, 1419
MARCH 3, 20,I5
PRINTED CHECKS
VENOOR OISPLAY
ACCOUNT
NUMBER AMOUNT DESCRIPTION INVOICE P.O.#
CHECK
NUMBER AMOUNT
KAFCO SALES CO.
KOH'S INVESTMENT PROPERTIES
L N, CURTIS & SONS
LIEBERT CASSIDY WHITMORE
011 120010
011.120010
01'1.1200'10
011 '120010
011.120010
011 1200'10
095 5095.400900
0'11 .1033.520000
011 1033.520000
011.1033.520000
011 1033.520000
011 .1024.593200
011.1024 593200
0'11.1024.593200
011.1024.593200
391379t39't541 124
679
391379t391541124
679
3913791391 541 t24
679
3913791391541 t24
679
391379139',t 1124
679
391379t391 1t24
679
0217',!5
134230000
134230000
134230000
134230000
1398514
1398515
1398516
1398517
011.0010363
011.0010363
011.0010363
011.00'10363
011.0010363
011.00'10335
011.0010335
011 .0010335
522.OO
261.00
84.00
168.00
84.00
120.03
1,213.3',1
319.50
660.00
36.50
88.16
'l ,136.00
32.50
790.50
't,424.05
0624-250 Atlas glove (large), 12 doz.
0624-251 Atlas glove (X-large), 12
0650-100 Lined Bomber jacket (large),
0650-110 Lined Bomber jacket
0650-130 Lined Bomber jacket
Sales Tax
Refund Parcel Tax-
6'1403 Waterous 6" Suction Screen
61740 Waterous 4" Suciion Screen
Freight
Sales Tax
General Matters
Malkenhorst Breach of Contract
Complaint
Hill NOI for Termination
Francesco Pirello IDR
u67U
u67U
346734
34673/.
346734
346734
1,453.73
346735
1 ,213.31
346736
346736
346736
346736
1,'104.16
3/,6737
3/,6737
346737
3/.6737
Pnnled 2/2412015 3 58:13PM Page 20 of 25
CITY OF VERNON
WARRANT REGISTER NO, 1419
MARCH 3, 2015
PRINTEO CHECKS
VENDOR DISPLAY
ACCOUNT
NUMBER AMOUNT DESCRIPTION |NVO|CE P.O.#
CHECK
NUMBER AMOUNT
LIEBERT CASSIDY WHITMORE 011.1024.593200 25.50 J. Chavez Complainl for Harrassment 1398518 346737
01'1.'1024.593200 331.50 Malkenhorst Breach of Contract 1398519 346737
3,740.05
LIFELOC TECHNOLOGIES 011.1031.590000 700.00 One-Year Extended Service Planlorfour 020115VRS 011.0010419 346738
700.00
LINDAJOHNSON 011.'1061.596500 69.00 Roundtable Meeting 0'12215 346739
69.00
LOPEZE LOPEZTIRE SERVICE 011.1046.520000 395.88 lires and repairs- 11966 011.0009959 346740
395.88
MARX BROS. FIRE EXTINGUISHER 0'11.1049.590000 4,900.00 Annual Fire Extinguisher Service 66634 U6741
4,900.00
MSW CONSULTANTS 011.1061 595200 9,581.34 Susrainability Services vRN1502 346742
011.1061.595200 5,932.50 Professional Services VRN1503 346742
15,5.13.84
NEWBASIS 011.120010 2,110.00 Fiberglass / Polymer Concrete Assembly, 453606 0'11.0010361 U6743
011.120010 135.88 Freight 453606 011.001036'1 346743
0'11.120010 184.63 SalesTax8.7s 453606 346743
2,430.5',1
NORTH STAR GRAPHICS 011.'103'1.570000 310.65 Graphics Replacement 8332 346744
310.65
Pnnted: 2/241201 5 3 5813PM Page 21 ol25
CITY OF VERNON
WARRANT REGISTER NO. 1419
MARCH 3,2015
PRINTED CHECKS
VENDOR DISPLAY
ACCOUNTNUMBER AMOUNT DESCRIPTION |NVOTCE P.O.#
CHECK
NUMBER AMOUNT
PLURALSIGHT. LLC 011 9019 596700 1,497.00 License Renewal-
PROFORMAEXPRESS GRAPHICS 0'11.1004.520000 71.32 Laze( W2 4UP Envelopes, -
011 1004.520000 6.42 Sales Tax
PURE WATER SCIENCE, LLC 011.1049.520000 1,617.56 Water System Rental
RICHARDS, WATSON & GERSHON 011.1024.593200 798.13 LAMS4 Permit Petition
ROBERTO SOUSA
SANTA FE BUILDING
MAINTENANCE
SCHLOBOHM LAND &
DEVELOPMENT
SLA CORPORATION
SNAP-ON INDUSTRIAL
30036 011.0010383
9015600535 011.0010339
90'15600535
23582
200007
020415
13506
021715
120201522 011.0010369
346745
1,497.OO
3/.6746
3/.6746
77.74
3r',6747
'I ,617.56
346748
798.13
346749
237.97
346750
6,59'l.07
346751
2,5U.72
3/,6752
3,893.64
346753
297.OO
Page 22 d 25
O11 1031.502030 237.97 Vision Benefits: M. Sousa
011.'1049.590000 6,591.07 JanitorialServices
095.5095.400900 2,534.72 RefundParcelTax-
011.9019.590110 3,893.64 ESChat GSA Annual License
Pfinted: 2/2412015 3 58:13PM
011 1046.590000 297.00 Labor only to diagnose and repair shop ARV24773950 011.0010346
CITY OF VERNON
WARRANT REGISTER NO. 1419
MARCH 3, 2015
PRINTEO CHECKS
VENDOR DISPLAY
ACCOUNT
NUMBER AMOUNT DESCRIPTION |NVO|CE P.O.#
CHECK
NUMBER AMOUNT
SO CAL LAND MAINTENANCE, 011.1049.590000 2,501.80 Monthly Nlaintenance
tNc.
SPECTRUM VISION CENTER 011.1033.502030 75.00 Msion Benefits: N. Dome
011.1033.502030 75.00 Vision Benefits: L. Dome
3846
020215
02021s(B)
011.0010387
346754
2,501 80
346755
346755
150.00
346756
346756
272.50
346757
33.99
SPEEDO ELECTRIC CO. 011 1046.520000 250.00 Parts and laborto repair complete 10747
SUPER FORD
011.1046.520000 22.50 Sales Tax
011.'1046.520000 33.99 Auto parts for cars & trucks.-
10747
5223721 011 0009916
SUPERIORCTOFCAL OFLA 011.'1031.594200 237.50 Parking Citation Revenue 012315 346758
237.50
THE DATALOK COMPANY 011.9019.560010 169 16 During the period of July 1,2014 thtu 6090975900 011.0009984 346759
169.16
THE LIGHTHOUSE INC 011.1046.520000 24017 Auto parts & electrical supplies- 010515VRS 011.0009917 346760
240.17
THOMSON REUTERS 011.1031.596600 59.16 Subscription Fees 831157564 34,6761
554.'16
THOMSON REUTERS/BARCLAYS 011.1060.596600 175.00 Subscription Charges O2O515 346762
Pinled 212412015 3 5813PM Paqe 23 ol 25
CITY OF VERNON
WARRANT REGISTER NO. 1419
MARCH 3,2015
PRINTED CHECKS
ACCOUNT
NUMBER AMOUNT DESCRIPTION INVOICE P.O.#
CHECK
NUMBER AMOUNTVENOOR DISPLAY
TLC PET MEDICAL CENTER
TRANSCORE ITS, LLC
U,S. HEALTHWORKS MEDICAL
GROUP
VERIZON WIRELESS
VULCAN MATERIALS COIVIPANY
01'l.'1031.594200
011.3043.900000
011 .'1026.597000
011 .9019.520010
011 .9019.520010
011.9019.520010
011.9019.520010
011.9019.520010
011.9019.520010
020 1084.520000
1,243.17 Canine medical services and medications 280270
18,575.40 Traffic Control System Pro.iect
826.00 DOT/Hep B/ Pre-Employment
749,99 IPHONE 6 PLUS 16GB-
-450.00 Discount
67.49 Sales Tax
649.99 TPHONE 6 'l6GB-
-450.00 Discount
58.49 Sales Tax
444.59 Asphalt
011.0009940 346763
346764
'175.00
1,243.17
18,575.40
826.00
1500137
2639026CA
tNV8230308
tNV8230308
rNV8230308
rNV8230309
rNV8230309
rNV8230309
706457 13n 418t54
715
011.0010269
011.0010269
01'1.0010270
01'l 0010270
3/,6765
346766
346766
346766
346766
346766
346766
3r',6767
625.96
444.59
$ 20t,281.47
P nted 2/2412015 3 58r13PM
TOTAL PRINTED CHECKS
Page 24 ol 25
CITY OF VERNON
WARRANT REGISTER NO. 1419
MARCH 3, 201s
RECAP BY FUND
FUND WIRE TOTAL
EARLY
CHECK TOTAL
PRINTED
CHECK TOTAL TOTAL
011 - GENERAL
O2O - WATER
057 . FIBER OPTIC
060 - HAZARDOUS WASTE
095 - PARCEL TAx
GRAND TOTAL
TOTAL CHECKS TO BE PRINTED 74
s 1,173,718.67 $
194.893.79
0.00
139.00
0.00
79,047.26 $
31 .61
5,125.20
0.00
0.00
5,460.21
0.00
202.40
'17,592.00
'180,026.86 $ 1,432.792.79
200,385.61
5.125.20
u1.40
'17,592.00
$ 1,368,751.46 s 84,204.07 $203,281.47 $ 1,656,237.00
Ptinled: i,2412015 3 58:13PM Paqe 25 ol 25
RECEI\/ED
FEB 2 4 7O1R
REGEIVED
FEB 2 5 2CI15
CITY ADMINISTRATI()Nilffi;; srAFF REPoRT
ANCE/TREAS U RY DEPARTM ENT
TO:
FROM:
RE:
Honorable Mayor and City Council
William Fox, Finance Direc rorNT
Light & Power Warrant Register for City Council Agenda of March 3,2015
It is recommended that the attached Light & Power Warrant Register No. 384 be approved at the City Council
meeting of March 3,2015.
Light & Power Warrant Register No. 384 totals $4,780,070.16, and covers claims and demands presented during
the period of February 10 through February 23,2015, drawn, or to be drawn, from East West Bank.
The following list details the components of Light & Power Warrant Register No. 384:
1. Ratification of wire transfers totaling $4,653,874.79;
2. Ratification of the issuance of early checks totaling $26,983.60; and
3. Authorization to issue pending checks totaling $99,211.77.
February 24,2015
LIGHT & POWER
WARRANT REGISTER NO. 384
MARCH 3,2015
I hereby certify that claims and/or demands included in above listed warrant
register have been audited for accuracy and availability of funds for
payments and that said claims and/or demands are accurate and that the
funds are available for payments thereof.
This is to certify that the claims or demands covered by the above listed
warrants have been audited by the City Council of the City of Vernon and
that all of said warrants are approved for payments except Warrant
Numbers:
William Fox
Finance Director
Date:
P tinled: 21241201 5 4:'l 5: 1 7PM Page 2 oI 12
LIGHT & POWER
WARRANT REGISTER NO. 384
MARCH 3,2015
WIRES
VENDOR DISPLAY
ACCOUNT
NUMBER AMOUNT OESCRIPTION
DATE WRE
INVOICE P.O.# ISSUED NUMBER AMOUNT
CALIFORNIA ISO 201502033129176
'104
201502033129176
104
201502033129176
104
20't502033129176
104
20'1502033129176
104
201502033',t29176
104
201502033129176
104
201502033129',t76
't04
201502033129176
104
201502033129176
104
201502033129176
104
201502033129176
104
201502033129176
104
201502033',t29176
104
5780
5780
5780
5780
5780
5780
5780
5780
5780
5780
5780
5780
5780
5780
o2109t20't5 988,344.50
055.9200.500170 -564.3'l lnitialCharges02/'15
055.9200.500190 -63.30 lnitial Charges 02115
055.9200.500'150 4,785.83 lniiialCharges02/15
055.9200.500210 1,722.11 lnilialCharges02/15
055.9200.500170 -33,495.10 RevisedCharges02/12
055.9200.500190 -3,715.95 lnitialCharges0l/15
055.9200.500150 114,4a3.41 lnitialCharges0'l/15
055.9200.500170 895,336.91 lnilialCharges0l/15
055.9200.500210 15,839.51 lnitialCharges0l/15
055.9200.500240 966.08lnitialCharges0'1/'15
055.9200.500150 -5,750.97 RevisedCharges0l/'15
055.9200.500'170 -1,094.78 RevisedCharges01/15
055.9200.500190 -lM.02RevisedCharges0't/15
055.9200.5002'10 -0.92RevisedCharges01/'15
Pn ed 212412015 4 1511PM Page 3 ot 12
LIGHT & POWER
WARRANT REGISTER NO. 384
MARCH 3, 2015
WIRES
VENDOR DISPLAY
ACCOUNTNUMBER AMOUNT DESCRIPTION
EAST WEST BANK 055.9000 596500 1,028 40 Airfare
055.9'100.596550 165 00 Membership; A. Nour
055.9000 520000 101.11 Supplies
055.8100.520000 30 00 Supplies
055.9000.596500 'l'10.00 Training: L. Umeda
EDF TRADING NORTH AMERICA, 055,9200.500150 39,820.00 PURCH 1,520 MWH
LLC
EXELON GENERATION COMPANY 055 92OO.5OO150 16,420.00 PURCH 64OMWH
LLC
BICENT (CALIFORNIA) I\iIALBURG 055.9200.500150 355,912.17 Energy & Capacity Payments
055.9200.5001 80 2,049,208.4O Energy & Capacity Payments
055.9200.500150 -4,251.85 FuelBurden
TRANS ALTA ENERGY MARKETING 055,9200,500150 11,5OO.OO PURCH4OOMWH
PETRELLI ELECTRIC lNC. 055.200400 518,887.09 Electric Service Maintenance
055.200400 598.2'13.9TElectricServiceMainlance
DATE WIRE
INVOICE P.O.# ISSUEO NUMBER AMOUNT
o12't't5
o12't15
012115
o12',1'15
0'12115
154207
VERNON00063A
1201501
1201501
120'1501
9500050368
150073
150074
ozt17t2015
578',1
578'l
5781
5781
5781
1,434.51
5782
o2t20t2015 39.820 00
5783
o2t2012015 16,420.00
5784
5784
5784
POWEREX CORP,
Pinred 212412015 4 ',15 17PM
0212012015 2,400,868.72
o2t20t2015
5785
11 ,500.00
5786
5786
02DOt2015 1,117,10'1.06
5787055.9200.500154 78,386.00 Renewable Energy Purchase:- 50598092
Page 4 ol 12
LIGHT & POWER
WARRANT REGISTER NO. 384
MARCH 3,2015
ACCOUNT
VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION
DATE WIRE
INVOICE P.O.# ISSUED NUMBER AMOUNT
02t20t2015 78,386.00
TOTAL WIRES $ 4,653,874.79
tuinled. 21241201 5 4: 1 5: 1 7PM Page 5 of 12
LIGHT & POWER
WARRANT REGISTER NO. 384
MARCH 3,2015
EARLY CHECKS
VENDOR OISPLAY
ACCOUNT
NUMBER AMOUNT DESCRIPTION
DATE CHECKINVOICE P.O.# ISSUED NUMBER AMOUNT
CHRISTOPHER DELGADO 055 8000 596700 33 25 Business Writing Seminar
ETHOSENERGY FIELD
SERVICES,LLC
055 8200 590000 13,866 61 Turbine lnspection
012615
tN45014
10020178 055.0002243
10020178 055.0002243
t0020178 055.0002243
t0020178
o2t12t2015
o211212015
0211212015
o2112t2015
o2t 't2t20'15
51',t241
33.25
5',t't242
13,866.61
511243
511243
5'11243
511243
51'1243
511243
511243
8,280 13
511244
511244
792.O1
511245
509.14
511246
511246
POWER MONITORS, lNC. 055.9100.590110 5,940.00 Revolution PO Recorder - 1024M8, 10020178 055.0002243
055.9100.590110 1,500.00 Ultra Slim Flexible CT, 4 CHANNEL, 10020178 055.0002243
055 9100.590110 45.00 Clip, Revolution Mounting Clip 10020178 O55.OOO2243
055.9100.590110 37.43 Packaging and Handling
055.9100.590'110 67.37 lnsurance
055.9100.590110 13.31 Freight
055.9100.590110 677.02 Sales Tax
SOUTHERN CALIFORNIA EDISON 055.8100.560010 43.37 Service Period. 12130 - 01129 013015
055.9200.560010 748.64 ServicePetiod:O110'l-O2lO'l
JOINT POLE COMMITTEE 055.9'100.596200 509.14 Operating Expenses
SOUTHERN
HAUL-AWAY RUBBISH SERVICE 055.8400.596200 157.00 Disposal Services
co.
055.8400.596200 6l.00DisposalService
P nnlej: 2l21n11 5 4:1 5 17 PM
020315
't8473
51X00027
51X00028
Page 6 of 12
LIGHT & POWER
WARRANT REGISTER NO, 384
MARCH 3, 2015
EARLY CHECKS
ACCOUNT
NUMBER AMOUNT DESCRIPTION INVOICE P.O.#
DATE CHECK
ISSUEO NUMBER AMOUNTVENOOR OISPLAY
FEDEX
UPS
A.THRONE CO., INC.
IVAYWOOD CAR WASH
SILVA'S PRINTING NETWORK
STAPLES ADVANTAGE
055.9000 520000
055.9000.520000
055.8000.590000
055.8100.596200
055.8100.570000
055.7100 520000
055.7100 520000
055.8000.520000
055 8100.520000
055 7100.520000
055.9000.520000
055.9100.520000
055.9200.520000
055.8000.520000
055.8100.520000
136.13 Service Petiod 02115
76.09 Service Period: 02/'15
293085211
293810358
933312055
444801
593
25646
25646
01241sVRS
0124't sVRS
012415VRS
0124'lsVRS
01241sVRS
0't24'lsvRs
0'l241sVRS
01241sVRS
o2t17120't5
02124t2015
o2t1912015
o2l'19t2015
o2t24t2015
o2t2412015
218.00
511247
511247
212.22
511248
9.29
511249
95.06
51',t250
49.00
5'11251
511251
'l,5'14.21
511252
511252
5',t't252
511252
511252
511252
511252
511252
95 06
49.00
1,389.18
125.03
98.62
20.76
278.58
8.26
160.69
58 7't
1.47
055.0002191
055.0002237
055.0002245
055.0002245
055.0002245
055.0002245
055 0002245
055 0002245
929 Service Period 01/15
Portable Reslroom Rental
Car Wash -
Utilities Statement Window Envelopes
Sales Tax
Office Supplies-
Office Supplies-
Office Supplies-
Office Supplies-
Office Supplies-
Office Supplies-
Sales Tax
Sales Tax
Pnnled: 224 l2O1 5 4 t1 5:17 PM Page 7 ol 12
LIGHT & POWER
WARRANT REGISTER NO. 384
MARCH 3, 2015
EARLY CHECKS
VENDOR DISPLAY
ACCOUNT
NUMBER AMOUNT DESCRIPTION INVOICE P.O.#
DATE CHECK
ISSUED NUMBER AMOUNT
WALTERS WHOLESALE ELECTRIC
co.
STAPLES ADVANTAGE 055.7100.520000
055.9000.520000
055.9100.520000
055.9200.520000
055 9000.520000
055.9100.520000
055.9200.520000
055.9000.520000
055.9100.520000
055.9200.520000
055.8000.590000
25.07 Sales Tax
0.74 Sales Tax
14.46 Sales Tax
5 29 Sales Tax
223.22 Office Supplies, -
300.10 Office Supplies, -
22.74 Otfice Supplies, '
20.08 Sales Tax
27.00 Sales Tax
2.05 Sales Tax
127.56 Electrical Parts-
01241sVRS
0124'lsVRS
0124'lsVRS
01241sVRS
122014VRS(D)
122014VRS(D)
122014VRS(D)
122014VRS(D)
122014VRS(D)
1220'l4VRS(D)
055.0002240
055.0002240
055.0002240
5',1',!252
5',11252
5',1',!252
511252
511252
511252
511252
5',|1252
511252
511252
1,277.12
511253
o2t2412015
2089000t2088277 055.0002184
o2t24t2015
TOTAL EARLY CHECKS
127.56
$ 26,983.60
P inled: 2124 I2o1 5 4 1 5:17 PM Page I ol 12
LIGHT & POWER
WARRANT REGISTER NO. 384
MARCH 3,2015
PRINTED CHECKS
VENDOR DISPLAY
ACCOUNT
NUMBER AMOUNT DESCRIPTION rNvotcE P.o.#
CHECK
NUMBER AMOUNT
ADHESION INC.
BLX GROUP LLC
055 11001'1 229.87 Refund on Closed Acct #1532 012915
055.9000.595200 9,000 00 Electric System Revenue Bonds 4199457121614
5',t't254
229.47
5',t't255
9,000 00
511256
41,857.57
511257
1 ,518.0'l
51'1258
511254
511254
511258
511258
807.69
511259
CH2IV HILLENGINEERS, lNC. 055.9000.596200 4'1,857 57 Environmenlal Support Services 38101701l
EARTHTEK ENGINEERING CORP 055 110011 1,518.01 Refund on Closed Acct #58'18 012915
EXTREME SAFEW. lNC., 055.8000.590000 65.00 Calibration-RKl Eagle-
055.8000.590000 160.00 Orygen Sensor for Eagle-
055.8000.590000 20.25 Sales Tax
055.8300.520000 516.00 FirstAid Kit, -
055.8300.520000 46.44 Sales Tax
G & J COLLECTION 055 110011 305.69 Refund on Closed Acct #651
75943
75943
75943
76170
76',t70
012915
055.0002246
055.0002246
o55.OOO2244
305.69
JIMENEZ DEMOLITION INC 055'110011 640.74 Refund on Closed Acct #5834 0'12915 511260
640.74
LEWIS BRISBOIS BISGMRD & 055.9000.593200 I ,232.00 Utility Operations 1442190 511261
't,232.OO
P tinled 2124 1201 5 4:1 5 17 PM Page 9 of '12
LIGHT & POWER
WARRANT REGISTER NO. 384
MARCH 3,2015
PRINTED CHECKS
VENDOR DISPLAY
ACCOUNT
NUMBER AMOUNT DESCRIPTION tNvotcE P.o.#
CHECK
NUMBER AMOUNT
MHL31, lNC. 055.'l'loo11 '166.84 Refund on Closed Acct #1249 012915 511262
166.84
POWER CONSULTANTS lNC. PORT 055.9000.900000 10,920.00 Consulting Services VERNPVHJAN15 511263
CA
055.9000.596200 3,360.00 Consulting Services VERNPVHJAN15 511263
055.9000.596200 10,320.33 Consulting Services VERNPVHJANI5 511263
24,600.33
ROBERTS BROVEST PARTNERS 055.110011 567.98 Refund on Closed Acct #241 O12A15 511264
567.98
S&S PAVING 055.110011 769.63 Refund on Closed Acct #5823 012915 5'11265
769.63
SANTA'S TOYS CORP. 055.110011 367.86 Refund on Closed Acct #1092 012915 511266
367.86
SOUTHERN STATES, LLC 055.8000.590000 336.22 Freight for Swiich 86494F 511267
336.22
SPIEGEL& MCDIARMID, LLP. 055.9000.593200 4,424.75 Tariff Provisions 210207507 511268
4,424.75
SToRAGE BATTERY SYSTEMS. 055.8000.590000 5,750.00 Tubular Plate - 54U77 055.0002239 511269
rNc.
055.8000.590000 580.00 Freight 546477 055.0002239 511269
055.8000.590000 517.50 Sales Tax 546477 51'1269
Ptinted 212412015 4 15t17 PM Pege 10 ol 12
LIGHT & POWER
WARRANT REGISTER NO. 384
MARCH 3, 2015
PRINTED CHECKS
VENDOR DISPLAY
ACCOUNTNUMBER AMOUNT DESCRIPTION tNvotcE P.o.#
CHECK
NUMBER AMOUNT
6,847.50
SULLY-MILLER CONTRACTING CO. 055.110011 770.'15 Refund on Closed Accl # 5790 012915 511270
770.',t5
THE CONSERWECH GROUP 055.110011 768 12 Refund on Closed Acct #5821 0129'15 511271
768.12
TOTAL LOGISTICS AND FINISHING 055.1100'11 144.36 Refund on ClosedAcct#8z1 0129'15 511272
144.36
V-BAR, LLC 055.9000.900000 2,870.00 Meteorological Data Collection '1501 511273
2,870.00
VIKING DEMOLITION 055.110011 742.46 Refund on Closed Acct #58'13 012915 511274
742.46
WEIDMANN ELECTRICAL 055.8000 590000 244.00 During the period of July 1,2014- 5900085544 055.0002186 511275
TECHNOLOGY
244.OO
TOTAL PRINTED CHECKS $ 99,211.77
P nnlec: 2124 l2O1 5 4 1 5 1 7 PM Page 11 of 12
LIGHT & POWER
WARRANT REGISTER NO. 384
MARCH 3,2015
RECAP BY FUND
EARLY PRINTED
WIRE TOTAL CHECK TOTAL CHECK TOTAL
oss-LIGHT&POWER$4,653,874.79$26,983.60$99,211.77$4,780,070.16
GRAND TOTAL
TOTAL CHECKS TO BE PRINTED 22
$ +,653,874.79 $ 26,983.60 $ 99,211.77 $ +,780,070.16
P(inled. 212412015 4: 1 5:1 7PM Page 12 ot 12
RECtril\;'F=D
FE3 ? d :"i5
ctri (]LtR('s t)ttloE
TO:
FROM:
RE:
RECEIVED
FEB 2 s 20t5
CITY ADMINISTRATIONSTAFF REPORT
FI NAN C E/TREAS U RY D E PARTM E NT
February 24,2015
Honorable Mayor and Gity Council
William Fox, Finance Direc torW
Gas Warrant Register for City Gouncil Agenda of March 3, 2015
It is recommended that the attached Gas Warrant Register No. 172 be approved at the City Council meeting of
March 3,2015.
Gas Warrant Register No. l72totals $16,848.66, and covers claims and demands presented during the period of
February 10 through February 23,2015, drawn, or to be drawn, from East West Bank.
The following list details the components of Gas Warrant Register No. 172:
1. Ratification of the issuance of early checks totaling $5,505.99; and
2. Authorization to issue pending checks totaling $11,342.67.
CITY OF VERNON
GAS DEPARTMENT
WARRANT REGISTER NO. I72
MARCH 3,2015
I hereby certify that claims and/or demands included in above listed warrant
register have been audited for accuracy and availability of funds for
payments and that said claims and/or demands are accurate and that the
funds are available for payments thereof.
This is to certify that the claims or demands covered by the above listed
warrants have been audited by the City Council of the City of Vernon and
that all of said warrants are approved for payments except Warrant
Numbers:
William Fox
Finance Director
Date:
P tinled 21 24 I 20 1 5 4.27 : 53PM Page 2 of 5
GITY OF VERNON
GAS DEPARTMENT
WARRANT REGISTER NO. 172
MARCH 3,2015
EARLY CHECKS
VENDOR DISPLAY
ACCOUNTNUMBER AMOUNT DESCRIPTION
DATE CHECK
INVOICE P.O.# ISSUED NUMBER AMOUNT
ENERGY WORLDNET, lNC. 056.5600.596700 1,125.00 OQ Compliance Courses
HOME DEPOT CREDIT SERVICES 056.5600.520000 161.66 Small tools and plumbing hardware- 01081SVRS 056.0000276
739124
ozt1212015
ozt1212015
1250
1,125.00
1251
161.66
1252
1252
1252
4,219.33
R.W. LYALL& COMPANY, rNC. 056.120010 1,928.43 SPL0000-
056.120010 1,942.52 24190190-
056.120010 348.38 Sales Tax
106488 056.0000309
106488 056.0000309
1 06488
o2t1212015
TOTAL EARLY CHECKS $ 5,505.99
Ptinled. 21241201 5 4:27:53PM Page 3 of 5
CITY OF VERNON
GAS DEPARTMENT
WARRANT REGISTER NO. 172
MARCH 3,2015
PRINTED CHECKS
ACCOUNT
VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION tNvotcE P.o.#
CHECK
NUMBER AMOUNT
INTERSTATE GAS SERVICES, lNC. 056.5600.596200 11,342.67 NaturalGas Consulting 7021222
11,342.67
TOTAL PRINTED CHECKS $ 11,342.67
P tinled: 21 24 I 20 1 5 4 :27 : 53PM Page 4 of 5
CITY OF VERNON
GAS DEPARTMENT
WARRANT REGISTER NO. 172
MARCH 3,2015
RECAP BY FUND
EARLY PRINTED
WIRE TOTAL CHECK TOTAL CHECK TOTAL
056 - NATURAL GAS
GRAND TOTAL
TOTAL CHECKS TO BE PRINTED 1
0.00 $ s,505.99 $ 11 ,342.67 $ 16,848.66
0.00 $ s,505.99 $ t1,342.67 $ t6,848.66
Ptinled: 2124 l2O1 5 4:27: 53PM Page 5 of 5
RECEIVE
FEB26zot5 TAFF REPORT
ClIyCtERt(,S6F./CE CITY ADMINISTRATION
DATE:
TO:
FROM:
RE:
March 3,2015
Honorable Mayor and City Council
Mark C. Whitworth, City Admin
Authorization to enter into a lease
months, for a section of the city yard located at 2221
NRC Environmental Services Inc.
Recommendation
It is recommended that the City Council find that approval of the proposed parking lot lease
agreement between the City of Vernon and NRC Environmental Services Inc. (NRC), in this
staff report is exempt under the California Environmental Quality Act (CEQA) in accordance
with Section 15061(b)(3), the general rule that CEQA only applies to projects that may have an
effect on the environment.
It is recommended that the City Council authorize the City Administrator to enter into a lot lease
agreement, for approximately four months, located at 2221 55th Street, Vernon, to NRC at the
determined market rate rent. The lease shall automatically, without further action by either
party, become a month to month lease that may be terminated by either party upon thirty (30)
days' prior written notice to the other, with or without cause, and without penalty or termination
fee.
Backeround
The City was contacted by NRC Environmental Services Inc., regarding an interest in leasing a
portion of the city yard located at 2221 55th Street to store certified clean dirt material for a
project in the City. The section of the lot is approximately 4,000 square feet. The City will
require NRC to construct a fence around the perimeter of the section to be leased.
Based on previous negotiated lot lease agreements staff estimates the current market price to
lease the City yard is approximately $.20 per square feet. In addition, the lease will have
standard insurance and indemnity provisions running in favor of the City of Vernon, as well as
maintenance obligations.
for approximately four
55th Street, Vernon, with
Fiscal Impact
For fiscal year 201412015 the City estimates it would generate $3,200 in rental income.
LEASE OF CITY LOT LOCATED AT
2221 55'h Street Vernon CA
This Lease of Parking Lot ("Lease") is made this 3rd day of March, 2015 (the "Effective Date")
by and between the City of Vemon ("Landlord") and NRC Environmental Services Inc., a Washington
Corporation ("Tenant"). Landlord and Tenant (the "Parties") hereby agree as follows:
L PREMISES: The Parties agree that Landlord hereby leases to Tenant, the real property
commonly known as the rear portion of the fenced parking area located at 2221,55th Street, Vemon,
Califomia consisting of approximately 4,000 square feet (approximately 80 feet by 50 feet) and which
property is precisely described on Exhibit A attached hereto and incorporated herein by this reference
(the "Premises"). In the event of any discrepancy between the legal description shown in Exhibit A and
the depiction shown in Exhibit A, the legal description shall control. Tenant, at its own cost, shall
construct a fence around the perimeter of the Premises as described on Exhibit A.
2. TERM: The Lease begins on the Effective Date, and terminates on June 30, 2015. On
July 1, 2015, this Lease shall automatically, without further action by either party, become a month to
month lease that may be terminated by either party upon thirty (30) days'prior written notice to the other,
with or without cause, and without penalty or termination fee.
3. RENT:
a. Required Rent. The required rent is due on the first day of each month, except
that the first month's rent is due upon execution of this Lease, as is the refundable deposit described in
section 15. Tenant shall make all checks for sums owed to Landlord payable to the City of Vernon, at
4305 Santa Fe Avenue, Vernon, California 90058 unless otherwise notified in writing by the City, in
which case the checks shall be handled in the manner requested. Rent due for any period of less than one
month shall be a pro-rata portion of the monthly installment.
b. Rent With Annual lncreases. Starting on March 3rd,2015, the required rent shall
be $800.00/month.
c. Failure to timelv pay. If Tenant does not timely pay the monthly rent, Tenant
shall be required to pay an additional $70.00 of rent for the applicable month.
4. STORING DIRT MATERIAL USE ONLY. Tenant shall cause the Premises to be used
solely for storing certified clean dirt material for Tenant. Proper dust control measures shall be
implemented at all times to ensure that the dirt does not cause a dust nuisance. Minimum erosion and
sediment control best management practices shall be implemented to prevent any sediment from
migrating or transferring off the site. An executed statement to comply with minimum requirements of the
stormwater permit form shall be executed and delivered to the City of Vernon Public Works Department
prior to the delivery of any dirt to the site. Tenant covenants and agrees that it will not use or permit the
Premises or any part thereof, to be used for any disorderly, unlawful or illegal purposes and warrants that
it will comply with all applicable laws and regulations, including, without limitation, all environmental
laws. Vehicles cannot be repaired or fueled while on the Premises.
Page 1 of 8
5. TINLAWFUL USES PROHIBITED. Tenant covenants and agrees that it will not use or
permit the Premises, or any part thereof, to be used for any disorderly, unlawful or illegal purposes and
warrants that it will comply with all applicable laws and regulations, including, without limitation, all
environmental laws.
6. INSURANCE: At all times during the duration of this Agreement, Lessor shall procure
and maintain insurance in full compliance with the requirements set forth in Exhibit B to this Agreement.
7. MAINTENANCE.REPAIRS.ALTERATIONS:
a. lnspection and Assumption of Risk. Tenant has completed a diligent inspection
of the Premises. Tenant warrants that it thoroughly inspected the property, accepts the Premises "as is",
with all faults, assumes all risks, known and unknown relating to the Premises, acknowledges that
Landlord provides no warranties as to the condition of the Premises, and confirms Landlord has no
obligation to improve, maintain, or repair the Premises.
b. Duty to Maintain Premises. Tenant, at Tenant's expense, shall keep the Premises
in good order, clean and free of debris and hazardous materials. Tenant shall not cause or allow the
Premises to be used if the Premises are or become in any way dangerous. If Tenant determines that the
Premises may include a dangerous condition, Tenant shall immediately notifu Landlord in writing of such
condition and shall request in writing authority from Landlord to complete any work necessary to remove
such dangerous condition at Tenant's expense.
c. No Improvements. In no event shall Tenant install or construct or maintain any
improvements on the Premises without first: (1) obtaining the prior written consent of Landlord, and (2)
obtaining any required permits. All such improvements shall be made and maintained in accordance with
all applicable laws. Any improvements that are fixtures shall become the property of the Landlord at the
termination of the Lease.
d. No installations without approval. Tenant shall not place, use, or keep any
building, shed, office, awning, projection, sign, device, or notice on the Premises without Landlord's prior
written approval.
8. UTILITIES: Tenant shall be responsible for procuring service and paying for any and all
utilities to be used by Tenant on the Premises.
g. HOLD HARMLESS: Tenant shall, to the maximum extent permitted by law, indemniff,
protect, defend, and hold harmless Landlord and Landlord's employees, elected officials, agents and
assigns from and against any and all liabilities, claims, obligations, damages, expenses (including,
without limitation, reasonable attomeys' fees and costs), causes of action, suits, claims and judgments
arising out of or resulting from (a) injury or damage to persons or property on the Premises; (b) the use of
the Premises by Tenant and its employees, officers, directors, agents, representatives, invitees, and
strangers; (c) damage caused to the Premises, including, without limitation, causing or permitting
hazardous materials to be placed, stored, spilled, or left on the Premises; (d) Tenant's breach of its
obligations under this Lease, and (e) Tenant's actions.
Page 2 of 8
10. PERSONAL PROPERTY: Landlord shall not be liable for any damage to or theft or loss
of any personal property located on the Premises. Landlord shall not be liable for any injury to Tenant or
any other person in or about the Premises. Tenant shall pay all possessory interest taxes, ifany, for any
property related to the subject of this Agreement.
ll. COMPLIANCE WITH LAWS AND REOUIREMENTS: Tenant shall at all times
comply with all federal, state, and local laws applicable to the use and occupancy of the Premises,
including, without limitation, laws related to environmental matters, health and safety matters, the
Americans with Disabilities Act (ADA) and the National Pollution Discharge Elimination System
(NPDES).
12. SECURITY: Tenant is solely responsible for the maintenance of safety, order, and
security on the Premises, and acknowledges that Landlord shall not monitor, patrol, or secure the
Premises, shall not prevent unauthorized persons from entering onto the Premises, and shall not ensure
that unauthorized persons do not park in or loiter by the Premises. Tenant, at Tenant's expense, shall
install two separate padlocks and a common chain for the gate. Tenant shall link the two padlocks
together and between the ends of the chain so that opening either padlock opens the chain. The gate shall
be left locked at any time when there are not people actively working on the Premises.
13. ASSIGNMENT SUBLETTING: Tenant shall not transfer or assign this Lease or sublet
the whole or any part of the Premises without the prior written consent of Landlord, which consent may
be denied in the sole and absolute discretion of the Landlord.
14. NOTICES: Whenever a party to this Lease is required or permitted to give or serve
notice, request or demand to or on the other, such notice, request or demand shall be given or served upon
the party to whom it is directed in writing and shall be delivered by ovemight courier or forwarded by
United States registered or certified mail, postage prepaid, posted in Los Angeles County, California,
return receipt requested, and addressed as follows:
If to Landlord:
City of Vernon
Attn: Alex Kung
4305 Santa Fe Ave.
Vemon, California 90058
If to Tenant:
NRC Environmental Services [nc.
Attn: Frank Garrett
3777 Long Beach Boulevard, Suite 100
Long Beach CA, 90807
Notices delivered in such manner shall be deemed received upon actual receipt or refusal to accept
delivery. Notice addresses may be changed by sending notice in accordance with the terms of this
paragraph.
15. DEPOSIT AND TERMINATION OF LEASE. Tenant shall provide Lessor a refundable
deposit of $ I ,600.00. At the termination of this Lease, Tenant shall sunender and deliver up the Premises
Page 3 of 8
to Landlord in the same condition as received, less normal wear and tear, free of debris and Tenant's
personal items and equipment. If Tenant fails to retum the Premises in such condition, then Lessor shall
have the option of either (a) withholding all of the deposit until the Premises are retumed to such
condition, or (b) withholding a portion of the deposit to offset the damage suffered by Landlord, and
retuming the rest of the deposit. The right to withhold any portion of the deposit shall be in addition to all
other remedies authorized by law.
16. LIENS PROHIBITED. Tenant shall not cause or permit any liens to be filed against the
Premises, and shall cause any such lien that may be filed to be removed within l0 days after it has been
filed.
17. BREACH OF AGREEMENT. Notwithstanding any other provision of this Agreement to
the contrary, in addition to any other remedies that Landlord may have, if Tenant violates any of the terms
of this Agreement, and Landlord provides 15 days written notice to Tenant to cure all violations of this
Agreement (including having paid any required additional rent), and Tenant fails to cure the violations of
that 15 day period, Landlord shall have the option to require Tenant to immediately quit the property.
18. MISCELLANEOUSPROVISIONS:
18.1 Entire Agreement. This Lease represents the entire agreement between the parties as to
the matters contained herein, and supersedes all prior and contemporaneous discussions, negotiations, and
writings. This Lease may be modified only by an agreement in writing signed by all the parties to this
Lease or their respective successors in interest.
18.2 Attorney Fees to Prevailine Partv. If either party to this Lease brings an action to enforce
the terms hereof, or declare rights hereunder, the prevailing party in any such action, on trial or appeal,
shall be entitled to its reasonable attomey's fees to be paid by the losing party as fixed by the court.
18.3 California Law. This Lease shall be governed by and construed under the internal laws
of the State of California, without regard to conflicts of laws principles.
18.4 Waiver. No waiver by Landlord of any provision hereof shall be deemed a waiver of any
other provision. Landlord's consent to or approval ofany act shall not be deemed to render unnecessary
the obtaining oflandlord's consent to or approval ofany subsequent acts by Tenant.
Page 4 of 8
Executed and effective as of the date first above written.
LAI\DLORI)
City of Vemon
By:By:
Name: Mark C. Whitworth
Title: CityAdministrator
ATTEST:
Maria Ayala, City Clerk
APPROVED AS TO FORM
Hema Patel, City Attorney
TENANT
NRC Environmental Services Inc.
Frank Garrett
Business Manager So. Cal. Region
Name: Patricia Bristow
Title: NRC Regional Accounting Manager
Name:
Title:
By:
-
Page 5 of 8
EXHIBIT A
LEGAL DESCRIPTION AND PICTURE OF PREMISES
Page 6 of 8
:tr;r
'is
ar
1.,
l.J
.I
tPr lr r, 1{
EXHIBIT B
TNSURANCE REQUTREMENTS
This Exhibit B is part of the Agreement entitled as the "" and all defined in the
Agreement have the same meaning as in this Exhibit B and vice versa.
Insurance Requirements for Property Leases
Tenant shall procure and maintain, for the duration of the Agreement, insurance against claims for
injuries to persons or damages to property which may arise from or in connection with the Tenant's
operation and use of the Premises.
MINIMT'M SCOPE AIID LIMITS OF INST]RANCE
Coverage shall be at least as broad as:
l. Commercial General Liability (CGL): Insurance Services Office Form CG 00-01
covering CGL on an "occurrence" basis, including property damage, bodily injury
and personal injury with limits no less than $1,000,000 per occurrence, with a
general or annual aggregate of$2,0001000.
2. Auto Liability: ISO Form Number CA 00 01 covering any auto (Code l), or if
Contractor has no owned autos, hire, (Code 8) and non-owned autos (Code 9), with a
limit no less than 1,000,000 per accident for bodily injury and property damage, with a
general or annual aggregate of $1,000,000.
3. Workers' Compensation: as required by the State of Califomia, with Statutory Limits,
and Employer's Liability lnsurance with limits of no less than $1,000,000 per accident
for bodily injury and disease.
If the Tenant maintains higher limits than the minimums shown above, the Lessor requires and shall
be entitled to coverage for the higher limits maintained.
Other Insurance Provisions:
The policies are to contain, or be endorsed to contain, the following provisions:
1. Additional Insureds. For General Liability, the Lessor, its officers, officials, employees,
and volunteers are to be covered as additional insured's with respect to liability arising
out of ownership, maintenance, or use of that part of the premises leased to the Tenant.
2. Insurance is Primary. The Tenant's insurance coverage shall be primary insurance as
respects the Lessor, its officers, officials, employees and volunteers. Any insurance or
self-insurance maintained by the Lessor, its officers, officials, employees, or volunteers
shall be excess of the Tenant's insurance and shall not contribute with it.
3. No subroeation. Each insurance policy required above shall contain, or be endorsed to
contain, a waiver of all rights of subrogation against the Lessor.
Page 7 of 8
City of Vernon
Risk Management
lnsurance Requirements for
Property Leases
Notice of Cancellation. Each insurance policy shall be endorsed to state that coverage
shall not be canceled except after thirty (30) days' prior written notice (10 days for non-
payment) has been given to the Lessor.
Lessor is Loss Payee. The Property insurance shall name the Lessor as Loss Payee as its
interests may appear.
Acceptability of Insurers:
lnsurance is to be placed with insurers with a current A.M. Best's rating of no less than A: VII, unless
otherwise acceptable to the Lessor.
Deductibles and Self-Insured Retentions
Any deductibles or self-insured retentions must be declared to and approved by the Lessor. At the option
of the Lessor, either: the Tenant shall obtain coverage to reduce or eliminate such deductibles or self-
insured retentions as respects the Lessor, its officers, officials, employees, and volunteers; or the Tenant
shall provide a financial guarantee satisfactory to the Lessor guaranteeing payment of losses and related
investigations, claim administration, and defense expenses.
Verifi cation of Coverage:
Tenant shall furnish the Lessor with original certificates and amendatory endorsements or copies of the
applicable policy language providing the insurance coverage required above. All certificates and
endorsements are to be received and approved by the Lessor before Tenant occupies the premises.
However, failure to obtain the required documents prior to utilizing the premises shall not waive the
Tenant's obligation to provide them. The Lessor shall retain the right to require complete, certified copies
of all required insurance policies, including endorsements, required by these specifications, at any time.
Waiver of Subrogation:
Tenant hereby grants to the Lessor a waiver of any right to subrogation which any insurer of said Tenant
may acquire against the Lessor by virtue of the payment of any loss under such insurance. This provision
applies regardless of whether or not the Lessor has received a waiver of subrogation endorsement
from the insurer.
Special Risks or Circumstances:
The Lessor reserves the right to modifu these requirements at any time, including limits, based on the
nature ofthe risk, prior experience, insurer, coverage, or other special circumstances.
4.
5.
Page 8 of 8
REEElVED
FEB 2 4 2015
CITY CLERl('S OFFICE
FIRE DEPARTMENT
Michael A. Wilson, Fire Chief
4305 Santa Fe Avenue, Vemon, California 90058
Telephone (323) 583-8811 Fax (323\ 826-1407
February I 1, 2015
Honorable Mayor and City Council
City of Vernon
Honorable Members:
Attached is a copy of the Vernon Fire Department Activity Report which covers the period of
January 16,2015 through January 31,2015.
Michael A. Wilson
Fire Chief
MAW:ar
RECEIVED
FEB I t 20t5
CITY ADMINISTRATION
Respectfully Subr:qitted,
: Fireletnow
E4chuioe$ Intustriaf
ACTTVITY TYPE
FIRE PREVENTION:
Regular Inspections (#):
Re-Inspections (#):
Spec. Haz. Inspections (#):
Total Inspections:
Total Man Hours:
TRAINING (HOURS):
Firefighting
Hazardous Materials
Safety
Apparatus Operations
Equipment Operations
CPR
FirstAid
Total Hours:
PRE.INCIDENT (HOURS):
Plannfu:g
District Farniliarization
Total Hours:
PERIODIC TEST GOURS):
Hose Testing
Pump Testing
VERNON FIRE DEPARTMENT
COMPAIYY ACTTVITIES
January 16,2015 to January 31, 2015
This Period Last Year
Last Year To Date
tt2
2l
0
127
31
148
148
148
1
32
635 1152
lll
32
t7
38
4
0
133
202
This
Period
70
6
t4
90
171
87
104
l9l
10
0
l0
This Year
To Date
160
256
1143
160
183
343
26
10
36
42
99
91
98
6
0
2
0
185
92
262
271
272
13
48
100
27
126
133
133
6
33
558
220
65
273
272
270
2
50
189
167
178
345
Total Hours:
Page I
PT.JBLTC SERVTCE PROGRAMS (HOURS)
School Programs
Fire Brigades
Emergency Preparedness
Total Hours:
ROUTINE MAINTENANCE fiOURS):
Station
Apparatus
Equipment
Total Hours:
Grand Total Hours:
: F ireactivity
4
0
25
29
0
0
l2
t2
126
129
129
384
1325
260
258
264
782
2516
132
133
134
399
1336
0
0
1l
l1
5
5
3l
4t
256
271
26'7
794
2613
Page 2
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lncident Type
321 EMS call, excluding vehicle accident with inju
321 EMS call, excluding vehicle accident with inju
7 45 Alarm system activation, no fire,unintentional
745 Alarm system activation,no fire,unintentional
321 EMS call, excluding vehicle accident with inju
31 1 Medical assist, assist EMS crew
61 I Dispatched & canceled en route
31'l Medical assist, assist EMS crew
700 False alarm or false call, other
321 EMS call, excluding vehicle accident with inju
322 Motor vehicle accident with injuries
31'l Medical assist, assist EMS crew
520 Water problem, other
322 Motor vehicle accident with injuries
745 Alarm system activalion,no fire,unintentional
321 EMS call, excluding vehicle accident with inju
324 Motor vehicle accident with no injuries
611 Dispatched & canceled en route
741 Sprinkler activation, no fire - unintentional
321 EMS call, excluding vehicle accident with inju
61 1 Dispatched & canceled en route
611 Dispatched & canceled en route
611 Dispatched & canceled en route
31 1 Medical assist, assist EMS crew
321 EMS call, excluding vehicle accident with inju
520 Water problem, other
732 Extinguishing s)6tem activation due to malfunc
733 Smoke detector activation due to malfunction
745 Alarm system activation,no fire,unintentional
321 EMS call, excluding vehicle accident with iniu
324 Motor vehicle accident with no injuries
324 Motor vehicle accident with no injuries
61 1 Dispatched & canceled en route
322 Motor vehicle accident with injuries
611 Dispatched & canceled en route
745 Alarm system activation,no fire,unintentional
321 EMS call, excluding vehicle accident with iniu
321 EMS call, excluding vehicle accident with inju
321 EMS call, excluding vehicle accident with inju
321 EMS call, excluding vehicle accident with inju
700 False alarm or false call, other
321 EMS call, excluding vehicle accident with iniu
651 Smoke scare, odor of smoke
322 Motor vehicle accident with injuries
Incident Date
01/16/201510:09:30
0111712015 14:19:54
0111812015 22i16i38
01/19/2015 01:52:56
01/19i201510:33:01
0111912015 11:29:12
0li l9/201513:30:48
0111912015 19:il:25
0112012015 O7:23:44
0112012015 09:57:44
01l2Ol2O15 1 1:55:46
0112012015 17:30:21
0112112015 11:06:37
0112112015 14:30:02
0112i,2015 10:42:19
0112i,2015 10:57:58
0112312015 17:21'.24
0112312015 17:49i44
0112312015 18:05:32
0112412015 01:52:57
0112412015 08:49:37
0112412015 19:18:45
0112412015 22:56:08
0112512015 19:05:M
0112512015 22:2'l:OO
0112612015 06:16:31
0112612015 14:26:25
0112712015 03:45:20
01n7l2O15 06:36:26
0112712015 10:12:11
0112712015 10:19:54
0112712015 10:27:28
011271201511:13:59
0112812015 06:22:00
0112812015 09:29:41
0112812015 10:14:20
0112812015 11:18:07
0112812015 12:20:42
0112812015 12:44i25
0112912015 06:22i29
01/29i2015 08:45:08
0112912015 11:31:50
0112912015 12:45:12
0112912015 16:08:53
PREVENTTON FOLLOW.TJP?
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
shift
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
iSS etai, system sounded due to malfunction
611 Dispatched & canceled en route
324 Motor vehicle accident with no injuries
700 False alarm or false call, other
652 Steam, vapor, fog or dust thought to be smoke
700 False alarm or false call, other
324 Motor vehicle accident with no injudes
700 False alarm or false call, other
381 Rescue or EMS standby
611 Dispatched & canceled en route
400 H2?.rdous condition, other
500 Seruice Call, other
311 Medical assist, assist EMS crew
0112912015 17:O2i5O
0112912015 21:31:19
01/30/2015 01:06:03
O1l3Ol2O15 11:02:42
0113012015 12:27:08
01/30/201515:30:53
01l3Ol2O15 16:27:13
01 131 l2O1 5 06:21 :43
0113112015 10:41:41
0113112015 12:42:42
0113112015 13:M:42
0113112015 13:05:42
0113112015 19:53:23
No
No
No
No
No
No
No
No
No
No
No
No
No
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RECEIVED
FEB 2 { 20t5
CITY NISTRATION
4305 Santa Fe Avenue, Vernon, California 90058
IITY ILERK'S QFFICE relephone (323)583-8811 Fax (323) 826-1.407
February 24,2015
Honorable Mayor and City Council
City of Vernon
Honorable Members:
Attached is a copy of the Vernon Fire Department Activity Report which covers the period of
February 1,2015 through February 15,2015.
Respectfully Submitted,
REGEIVED
FEB 2 4 2015
Michael A. Wilson
Fire Chief
MAW:ar
FIRE DEPARTMENT
Michael A. Wilson, Fire Chief
: Fireletnow
lE 4c fus iv e $ I nfus tria I
VERNON FIRE DEPARTMENT
COMPAI\-Y ACTIVITIES
February 1,2015 to February 15,2015
ACTTVITY TYPE
FIRE PREVENTION:
Regular Inspections (#):
Re-Inspections (#):
Spec. Haz. Inspections (#):
Total Inspections:
Total Man Hours:
TRAINING (HOURS):
Firefighting
Hazardous Materials
Safety
Apparatus Operations
Equipment Operations
CPR
First Aid
Total Hours:
PRE-rNCrpENT (HOURS):
Planning
District Familiarization
Total Hours:
PERTODIC TEST (HOURS):
Hose Testing
Pump Testing
This Period
Last Year
72
79
151
Last Year
To Date
r67
26
0
1648
496
This
Period
545
87
94
l8l
This Year
To Date
1688
247
277
524
t76
39
t7
232
354
282
t28
393
396
397
l3
79
65
7
0
72
98
97
36
131
r25
t25
0
31
193
271
306
93
392
389
390
10
68
55
5
0
60
69
86
28
119
tt7
t20
8
18
2
0
239
257
8
0
26
10
36
0
0
Total Hours:
Page 1
PUBLIC SERVICE PROGRAMS (HOURS)
School Programs
Fire Brigades
Emergency Preparedness
Total Hours:
ROUTINE MAINTENANCE (HOURS):
Station
Apparatus
Equipment
Total Hours:
Grand Total Hours:
:Fireactivity
8
8
36
52
J
3
5
11
4
0
35
0
0
10
l0
374
388
38s
tt47
38011188
375
375
382
3594
1078
115
rt7
ll8
350
ll8
tt7
118
3s3
Page2
VERNON FIRE DEPARTMENT
Type of Incident Report
Total lncidents: 2015 =72
February 1,2015 - February 11 2lJ15
ou24t2015
INCIDENT WPE
E ABDOft1INAL PAIN.D"'
E CHEST PAIN.D-'
E DIFFICULTY BREATHING.D"'
E FALL VICTIi -D"'
E HAZ}1AT/CHEMICAL.D'"
E HAZITAT/UNKNOWN.D"'
E HEART ATTACK.O"'
E SICK PERSON.D"'
E TC B||(E/I'iOTORCYCLE- 0"'
E TRAFFIC COLL6ION.D'"
E TMUTilATIC INJURIES.D"'
E UNC PER/FA|NT|NG (NEAR)-D-'
E UNKNOWN PROBLEIA.D"'
F Commerciat Flre
F Flre Alarm No Reset
F Flre Alarm With Reset
F lnvestlgation
F Rubblsh Flre
F Vehlcle Fire
F Water flow Atarm No Reset
F Water Flow Atarm With Reset
S lloveup
S Water Probtem
1
3
3
t
1
I
1
3
1
10
2
4
7
2
4
3
5
1
1
8
6
2
2
lncident Type
324 Motor vehicle accrdent with no injuries
321 EMS call, excluding vehicle accident with inju
321 EMS call, excluding vehicle accident with inju
151 Outside rubbish, trash or waste fire
321 EMS call, excluding vehicle accident with inju
322 Motor vehicle accident with injuries
321 EMS call, excluding vehicle accident with inju
571 Cover assignment, standby, moveup
700 False alarm or false call, other
322 Motor vehicle accident with injuries
321 EMS call, excluding vehicle accident with inju
611 Dispatched & canceled en roule
251 Excessive heat, scorch burns with no ignition
321 EMS call, excluding vehicle accident with inju
700 False alarm or false call, other
321 EMS call, excluding vehicle accident with inju
700 False alarm or false call, other
321 EMS call, excluding vehicle accident with inju
735 Alarm system sounded due to malfunction
11 1 Building Rre
321 EMS call, excluding vehicle accident with inju
700 False alarm or false call, other
700 False alarm or false call, other
31 1 Medical assist, assist EMS crew
321 EMS call, excluding vehicle accident with inju
700 False alarm or false call, other
700 False alarm or false call, other
311 Medical assist, assist EMS crew
735 Alarm system sounded due to malfunction
700 False alarm or false call, other
700 False alarm or false call, other
31 1 Medical assist, assist EMS crew
700 False alarm or false call, other
311 Medical assist, assist EMS crew
6'1 1 Dispatched I canceled en route
740 Unintentional transmission of alarm, other
520 Water problem, other
700 False alarm or false call, other
740 Unintentional transmission of alarm, other
700 False alarm or false call, other
700 False alarm or false call, other
321 EMS call, excluding vehicle accident with inju
PREVENTION FOLLOW-UP?
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
lncident Date
021022015 O6:04:36
02|OZ2O15 07:48:14
021022015 19:45:27
0210312015 07:48:37
02103/201 5 10:35:35
0210312015 17i36:19
0210412015 03:23:36
0210412015 06:12:43
0210412015 Ogi10:46
0210412015 11i24:51
0210412015 13:58:00
0210412015 14:02:02
020512015 07:20:22
0210512015 11:52:29
0210512015 13:15:46
020512015 14:32:13
0210512015 17:35:07
020512015 19:15:06
0210512015 21:44:10
0210512015 22:49:50
0210612015 02:26:56
0210612015 O6:20:47
0210612015 09:34:28
0210612015 12iOOi45
0210O12015 13:03:31
0ZOO|2O15 16i10i52
0210612015 16:18i45
0210612015 17:25:59
0210812015 15:22:38
0210812015 17:23:28
0210912015 00:46:43
0210912015 O2:27:10
0210912015 05:28:38
0210912015 05:57:06
0210912015 09:47:21
0210912015 14:10:43
0210912015 15:53:51
0211012015 16:55:16
O2l1Ol2O15 17:01:20
0211012015 't7:03:39
0211O12O15 17:27:44
0211012015 17:31:39
0211012015 17:36:33
0211012015 20:59:42
shift
324 Motor vehicle accident with no injuries
423 Refrigeration leak
324 Motor vehicle accident with no injuries
300 Rescue, EMS incident, other
321 EMS call, excluding vehicle accident with inju
741 Sprinkler activation, no fire - unintentional
520 Water problem, other
321 EMS call, excluding vehlcle accident with inju
700 False alarm or false call, other
500 Service Call, other
322 Motor vehicle accident with injuries
322 Motor vehicle accident with injuries
300 Rescue, EMS incident, other
700 False alarm or false call, other
322 Motor vehicle accident with injuries
571 Cover assignment, standby, moveup
31 1 Medical assist, assist EMS crew
31 1 Medical assist, assist EMS crew
521 Water evacuation
671 Hazmal release investigation w/ no hazmat
324 Motor vehicle accident with no injuries
31 1 Medical assist, assist EMS crew
422 Chemical spitl or leak
322 Motor vehicle accident with injuries
741 Sprinkler activation, no fire - unintentional
300 Rescue, EMS incident, other
321 EMS call, excluding vehicle accident with inju
321 EMS call, excluding vehicle accident with inju
0211112015 01:43i58
0211112015 05:04:29
0211112015 07:15:56
0211112015 07:24:27
0211112015 11:30:38
0211112015 14:33:33
0211112015 19:43:41
02112,2015 OOi16:44
0211212015 12:09:49
0211212015 13:52:22
021122015 14:38:u
021122015 15:27:17
0211212015 16:05:41
0i,1212015 18:53i37
02j122015 20:06:52
O21122015 21:10:09
0?j122015 22:09:57
02J1312015 1O:13:19
0211312015 10:16:46
O211312015 13:07:56
0211312015 17:30:29
0211412015 01:10:14
0211412015 06:18:22
0211412015 O9:45:10
0?J1412015 09:57:30
0211512015 01:21120
0211512015 05:18:25
0211512015 10:43:01
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
VEnruoN FIne DepIRTMENT
Type of lncident Report
Total lncidents: 2015 =176
January l, 2Ol5 - February 15, 2OtE
INCIDENT TYPE
ou74tzot5
INCIDENT TYPE
E ABDOATIML PAIN.D-
E Auto v5 Ped
E BACK PAIN.D'"
E CHEST PAIN.D'-
E DIFF BREATHING /ASIHMA-D-'
E DIFFICULTY BREATHING.T-
E FAlt VTCTU -D'"
E HAZfiAT/CHE r'llCAL-D-'
E HAZhIIAT/ UNKNOWN.D-'
E HEART ATTACK.D'"
E HEI,PRRHAGE/CUT-D-'
E PSYCH/EEIIAVE/SUI ATT.D-'
E SEZURE/EPLEMC/HIST.D''
E SBZURE.D-'
E SlCl( PER9oN-D"'
E TC 8[G/fiIOTORCYCLE.D."
E TC with Trapped Peopte
E TRAFFIC COI.IISION.D'-
E TRAUIT,IATIC INJURIES-D-'
E UNC PER/FAINTING (NEIR}.D"'
E UNKN(MN PROBLE,t.D-'
F Apartment Fire
F Archlng Wircs
F Commerclal Flre
F Fire Alarm No R€set
F Fire Alarm With R6et
F lnvestlgatlon
F Residentlat Flre
F Rubblsh Flre
F Structure Flre
1
1
3
7
2
7
3
1
1
I
1
1
1
2
14
1
I
t6
3
7
14
1
I
2
10
4
10
1
1
2
F Vehicle Fire
F Vehicle Overtumed
F Water Flow Atarm No R6et
F Water Row Alarm Mth Reset
F Wres Down
S iloveup
S PlStic Assist
5 Water Problem
3
1
18
12
1
3
1
7
VERNON FINE DTEAPAMENT
Type of lncident Report
Total lncidents: 2014 =55
Fobruary l,20{4 - February 15,2Ol4
oa2uzotS
INCIDENTTYPE
E AEDOAAINAL PAIN.D''
E DIABETIC.D*
E FAtl VrCTti[-D".
E SEIZURE.D''
E SICK PERSON-D'..
E TC BlrE/lrioTORCYCt.E.D'"
E TRAFFIC COLLISION.D''
E Traumatlc ln url$.E
E TRAUAiATE INJUR]6.D"'
E UNC PER/FANNNG (NEAR}.D"'
F Auto v3 Structwe
F Flre Alarm No Reset
F Flre Abrm With Rcs€t
F lnv$tigatlon
F Vehlcte Flre
F Vehlcte Oveytumed
F Water Row Atarm No R6et
F Water Flow Atarm With Reset
U USAR.A
U USAR.BELOW GROUND.D-'
3
1
1
I
6
z
13
1
1
3
1
E
z
1
1
1
4
3
I
1
VEnNoN FIne DEPARTMENT
Type of Incident Report
Total lncidents: 2014 = 15E
January l,2O14. Feb.uary l5r 2Ol4
INCIDENT TYPE
ou24t20t5
INCIDENT TYPE
E Abdominal Pain-A
E ABDOMINAI. PAIN.D'"
E ASSAULT VICTI'A.D-'
E CHEST PAIN.D''
E DIABEnC-D-'
E DIFF BREATH]NG/ASI}|,r^A.D"'
E DIFFICULTY EREATHING.D''
E FALI VlCTUrl-D-'
E HAZJr^AT/CHEiillCAl--D-'
E HEAOACHE.C''
E HEART ATTACK.D''
E Hemonha8e/Cut-B
E HEMORRHAGE/CUT.D'"
E SE]ZURE.D"'
E SICK PERSON.D-'
E TC BIKE/IAOTORCYCLE.D'-
E TC UECTION.D"'
E TC with Trapped People
E TRAFFIC COLLISION.D''
E Traumatic lniurles-B
E TRAUIIATIC INJURIB.D-'
E UNC PER/FAINTING (NEAR).D-'
E UNKNOWN PK)BLET,I.D-'
F Apartment Flre
F Auto vs Structure
F Auto vs Traln
F Commerciat Fire
F Aectrlcat Short
F Flre Atarm No Resct
F Flre Alam lvlth Reset
1
6
1
5
F lnvGtigatlon
F Natural Gas Leak . Outside
F Odor lnvestlgatlon
F Rubblsh Fire
F Strlke Team
F Structure Flre
F Vehlcle Flre
F Vehicte overtumcd
F Water Flow Alarm No R6et
F Water Flow Alarm wlth Reset
S A'IONIEBEI"LO REQUEST
S Water Problem
U USAR.A
U USAR.BELOW GROUND-D''
3
I
z
1
2
1
3
'I
1E
8
z
2
1
1
1
I
3
2
1
1
I
1
1
z
8
3
I
2
29
1
3
4
3
I
1
t
4
1
21
2
hEa-,.,-,
t-,
Ctiy uumr,:uFF/CE H..33,ft1S
Memo
Enwironrnenta!Departrnent
RECEIVED
FEB I I 2015
CITY ADMINISTRATION
To: Mark WhitwortlL City Administraor
From: lronard Grossbeqg, Dr€ctor/Heafth Otrcer
Date: February 11,2015
Re: Trarsmittal of Health & Environmental Control Departrnent Monthly Report
I am forwarding the attached subject report for January 2015 for submission to the City Council. I am
requesing that the report be placed on the norma.l City Council agenda.
Please let me know ifyou need additional information.
Attachment
gcLZllnydo.JZJHAno hly rcporlycity Admin Transmiflal Monrhly Repon Dec 2014
HEALTH & ENVIRONMEiITAL GONTROL DEPARTII'IENT
.tiltryZJlls
MONTHLY REPORT
City of Vemon
Leonard Grossberg, Director/ Health fficer
MONTHLY REPORT
January 2015
HAZARDOUS MATERIALS CONTROL
Staff monitored ongoing environmental assessments and remediation at several businesses which
are going through the closure/demolilion process. These included the former sites of: Kop-Coat on
District Boulevard; Pechiney on Fruilland Ave.; Exide Technologies on lndiana Street; and the
Thermador site at Distric{ Blvd.
Senior Environmental Specialist Jenick Tones investigated several incidents in January, including a
diesel spill attheBNSFRail Yard,andacausticliquidspill atExideTechnologies. All ofthespills
were monitored for proper removal and clean-up in order to prevent exposure to the environment
and the public.
UNDERGROUND TANKS
No underground storage tanks vvere removed in January. We received work plans for the removal
and closure of underground storage tjanks at two locations in Vemon, and expect to schedule the
work in February. Several annual tank monitoring tests were witnessed by our staff.
FOOD PROGRAM
Annual Mobile Food Vehicle lnspections were conducted at Fire Station #1 during the last week in
January. All of the catering trucks undergo a thorough inspection by the Heatth and Fire Depts. in
order to be permitted to operate during the year. The rigorous inspection includes verifoing that all of
the equipment is operatonal, safe and provides a sanitiary environment in which all employees are
trained in safe food handling practices to prevent food bome contamination. ln addition, inspectors
assure that food is being properly stored. Approximately 100 vehicles were inspected in January,
with an additional 10 to 20 vehicles still needing inspection and certification for heir 2015 stickers.
ENVIRONMENTAL PROTECTION
The annual "Used Oil Calendar'' presentation was held at the January 20s City Council meeting for
the Fifth Grade Vemon Elementary School. The annual presentation and awards promotes the
rerycling and reuse of used oil and filters, by educating students on the virtues of proper disposal
versus illegal disposal. The program is administered by our environmental consultant Kevin Sales of
KJServices.
2
Fifteen water samples were collected by Senior Environmental Specialist Linda Johnson from the
three potable water supply systems. All of the ffieen samples were negative for E-coli / total
coliforms. All samples met State standards for potability.
*fir
Senior Environmental Specialist Linda Johnson attended the Local Enforcement Agency (LEA)
Roundtable meeting in San Bemardino, which discusses solid waste issues with localjurisdictions
and CalRecycle. ln meeting with others, uniformity of enforcement and coordination with regulators
reinforces our ability to meet our obligations as an LEA.
Chief Deputy Director David LeDufiattended the CUPA Forum meeting in Santa Fe Springs and
provided an update on CUPA activities for the past few months. Discussion of CUPA activities with
localjurisdictions assures that everyone is applying the laws and regulations equally and uniformly.
*s
Senior Environmental Health Specialist Jenick Tones conducted reviews/audits of RMP updates for
\Mole Foods, J & J Snack, and Neptune Foods. Comments and conections will be issued
accordingly.
Director Leonard Grossberg coordinated the submittal of documents needed for closure
consideration for the Thermador property on District Blvd., including the O & M Plan, Financial
Assurance, and Final Pilot Study Submittal. The Documents are expected to be reviewed and
accepted by DTSC for closure within the next feur weeks.
+*t
And finally, Chief Deputy Director David LeDufi continues to work on implementing the Califomia
Environmental Reporting System (CERS) project by advising Vemon businesses on holrrto use tre
CERS urebsite and providing information and training as needed. lnspection and enforcement data
is being uploaded into the system, and reviews of hazardous materials inventories and business
plans are being conduc{ed.
3
Measles Historv:
Pre-vaccine Era
ln the 9th century, a Persian doctor published one of the first written accounts of measles
disease.
Francis Home, a Scottish physician, demonstrated in 1757 that measles is caused by an
infectious agent in the blood of patients.
In 1912, measles became a nationally notifiable disease in the United states, requiring
U.s. heahhcare providers and laboratories to report all diagnosed cases. ln the first
decade of reporting, an average of 6,000 measles+elated deaths were reported each
year.
ln the decade before 1963 when a vaccine became available, nearly all children got
measles by the time they were 15 years of age. lt is estimated 3 to 4 million people in the
United states were infected each year. Also each year an estimated 400 to 500 people
died, 48,000 were hospitalized, and 4,000 suffered encephalitis (swelling of the brain)
from measles.
Vaccine Development
ln 1954, John F. Enders and Dr. Thomas C. Peebles collected blood samples ftom
several ill students during a measles outbreak in Boston, Massachusetts. They wanted to
isolate the measles virus in the student's blood and create a measles vaccine. They
succeeded in isolating measles in 13-yearold David Edmonston,s blood.
ln 1963, John Enders and colleagues transformed their Edmonston-B strain of measles
virus into a vaccine and licensed it in the United states. ln 1968, an improved and even
weaker measles vaccine, developed by Maurice Hilleman and colleagues, began to be
distributed. This vaccine, called the Edmonston-Enders (formerly "Moraten,') strain has
been the only measles vaccine used in the United states since 1g68. Measles vaccine is
usually combined with mumps and rubella (MMR), or combined with mumps, rubella and
varicella ffMRV). Leam more about measles
Koplik Spots
4
Signs and Symptoms:
Mouth of a patient with Koplik spots, an early sign of measles infection.
The symptoms of measles generally appear about seven to 14 days after a person is infected.
Measles typically begins with
. high fever,
cough,
runny nose (coryza), and
rcd, watery eyes (coniunctivitis).
Measles Rash
Skin of a patient after 3 days of measles infection.
Two or three days after symptoms begin, tiny white spots (Koplik spots) may appear inside the
mouth.
Three to five days after symptoms begin, a rashbreaks out. lt usually begins as flat red spots
that appear on the face at the hairline and spread downward to the neck, trunk, arms, legs, and
feet. Small raised bumps may also appear on top of the flat red spots. The spots may become
joined together as they spread from the head to the rest ofthe body. When the rash appears, a
person's fever may spike to more than 104' Fahrenheit.
After a few days, the fever subsides and the rash fades.
5
Transmission of Measles:
Measles is a highly contagious virus that lives in the nose and throat mucus of an infected
person. lt can spread to others through coughing and sneezing. Also, measles virus can live for
up to two hours on a surface or in an airspace where the infected person coughed or sneezed. lf
other people breathe the contaminated air or touch the infected surface, then touch their eyes,
noses, or mouths, they can become infected. Measles is so contagious that if one person has it,
90% of the people close to that person who are not immune will also become infected.
lnfected people can spread measles to others from four days before to four days after the rash
appears.
Measles is a disease of humans; measles virus is not spread by any other animal species.
Measles Vaccination:
Measles can be prevented with the MMR (measles, mumps, and rubella) vaccine. ln the United
States, widespread use of measles vaccine has led to a greater than 99% reduction in measles
cases compared with the pre-vaccine era. From 2000 to 2013, a range of 37 to 220 measles
cases per year were reported in the United States, and most of these originated outside the
country.
Measles is still common in other countries. The virus is highly contagious and can spread rapidly
in areas where people are not vaccinated. Worldwide, an estimated 20 million people get
measles and 122,000 people die from the disease each year-that equals about 330 deaths
every day or about 14 deaths every hour.
Vaccine Recornmeldations
6
Children
CDC recommends all children get two doses of MMR vaccine, starting with the first dose at 12
through 15 months of age, and the second dose at 4 through 6 years of age. Children can
receive the second dose earlier as long as it is at least 28 days after the first dose.
Students at post-high school educational institutions
Students at post-high school educational institutions who do not have evidence of immunity
against measles need two doses of MMR vaccine, separated by at least 28 days.
Adults
Adults who do not have evidence of immunity against measles should get at least one dose of
MMR vaccine.
International travelers
People 6 months of age and older who will be traveling internationally should be protected
against measles. Before any intemational travel-
. lnfants 6 through 1 1 months of age should receive one dose of MMR vaccine. lnfants who get
one dose of MMR vaccine before their first birthday should get two more doses (one dose at 12
through 15 months of age and another dose at least 28 days later).
. Children 12 months of age and oHer should receive two doses of MMR vaccine, separated
by at least 28 days.
. T@nagers and adults who do not have evidence of immunity against measles should get tvro
doses of MMR vaccine separated by at least 28 days.
9dc:iryoGz/tle.h H fonthv Repo.tszol t t\ronthty Jan doc
7
RECEI\ ED
FEB 2 4 2015
CITY CLERK'S OFFICE
RECEIVED
FEB l7 mls
CITY ADMINISTRATION
m
POLICE DEPARTMENT
Daniel Calleros, Chief of Police
4305 Santa Fe Avenue, Vemoo Calilomia 9C[58
Telephone (323) 587-5171 Fax (323) 8261481
February 17,2015
Honorable City Council
City of Vernon
Vernon, California
Honorable Members:
Attached are copies of the Vernon Police Department Activity Log and Statistical
Summary of Arrest and Activities which cover the period from 12:01 a-m.,
February 1,2015 up to and including midnight of February 15, 2015.
Respectfully submifted,
YERNON POLICE DEPARTMENT
/ -^ ^
,L' ^.J C:^-L/, -.-
DAi\IIEL CALLEROS
CHIEF OF POLICE
DC/dr
Eachtsivety ldustrizt
VERNON POLICE DEPARTMENT
D epartment Activily Report
Jurisdiction: vERNoN
Firct Dale: o2Jo1t2o15
LLsl Dale: 0211512015
Depa rnent Complaint
Type Description
All UniB Primary Unit
\?D
10-6
1G96H
1G96M
20001
20002
20002R
211R
23'1108
212
245
273 5R
415
4t5R
417
422
422R
4594
459R
il59S
45gVR
476R
1U
484R
487R
586
594R
602
9017
9027
9O2TR
9097
911
91'rA
9t 7A
92OPR
925
927
AB109
ASTVFD
BOSIG
BOVEH
CITCK
CIVIL
CODE5
coP
OET
DETAIL
DPTAST
108
2
4
4
7
9
2
b
15
4
5
17
, " t 5: i,'t
4
2
96-'
6,6
2
1
10
3
7
17
6
b
13
46
2
1
'7"1.
8
2
-1
30
11
3
31I
19
15
8
2
1
11
J
10
l0l
2
4
I
3
6
I
I
4
I
2
6-l
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48
2
2
2
I
3
2
4
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5
2
3
24
I
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3
6
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7
oFFtcER ts 't0{ c7.961,962.1G10. WASH, EOUIPI\
PICK UP THE JAIL PAPER WORK FROM HP JAIL
1G95 MARY (MAIL OETAIL)
INJURY HIT ANO RUN
NON.INJURY HIT ANO RUN
NON]NJURY HIT ANO RUN REPORT
ROBBERY REPORT
FELONY MISSILE THROWING AT A VEHICLE
BATTERY
ASSAULT WITH A DEADLY WEAPON
DOMESTICVIOLENCE REPORT
DISTURBING THE PEACE
DISTURBING THE PEACE REPORT
BRANDISHING A WEAPON
TERRORIST THREATS
TERRORIST THREATS REPORT
AUDIBLE BURGLARY ALARM
BURGLARY REPORT
SILENT BURGLARY ALARM
BURGLARY TO A VEHICLE REPORT
FMUD REPORT
PETW THEFT
PETTY THEFT REPORT
GRAND THEFT REPORT
PARKING PROBLEM
VANDALISM REPORT
TRESPASS
INJURY TRAFFIC COLLISION
NON-INJURY TRAFFIC COLLISION
NON.lNJURY TRAFFIC COLLISION REPORT
TRAFFIC FIAZARD
91 ,I MISUSE / HANGUP
CONTACT THE REPORTING PARTY
ABANDONED VEHICLE
LOST PROPERTY REPORT
SUSPICIOUS CIRCUMSTANCES
UNKNOWN TROUBLE
PROBATION / PAROLE COMPLIANCE CHECKS
ASSIST VERNON FIRE DEPARTMENT
BROKEN SIGNAL OR LIGHT
BROKEN DOWN VEHICLE
CITATION CHECK
CIVIL MATTER
SURVEILLANCE,/STAKE-oUT
COP OETAIL
DETECTIVE INVESTIGATION
DETAIL
DE PARTMENIAL ASSIST
02./17/2015 06:00:18 Page of
VERNON POLICE DEPARTMENT
D ep artment Activity Report
Jurisdiction: VERNoN
Fbst Dale: oao1t2o15
Lasl Dale: o2[sl2o15
Depa menl Complaint
Tlpe Descfiption
All Units Primary Unit
!?D
2
28
11
2
4
2
2
2
6
A
36
32
11
7
J
1'
5
238
48
13
1
|)
DUI DRIVING UNDER THE INFLUENCE
FILING OFFICER IS 106 REPORT WRITING
FU FOLLOW UP
HBC HAILED BYA CITIZEN
ILLDPG ILLEGAL DUMPING
TLLDPG RPT ILLEGAL DUMPING REPORT
JAILPANIC TESTTHE JAIL PANIC ALARM BUTTON
K9 TRAINING K9 TRAINING REMINOER. OBTAIN LOCATION
PANIC ALARM PANIC ALARM/DURESS ALARM
PAPD PUBLIC ASSIST-POLICE
PATCK PATROL CHECK
PEDCK PEDESTRIAN CHECK
PRSTMN PRISONERTMNSPORTED
REC RECOVERED STOLEN VEHICLE
RECKLESS OF RECKLESS DRIVING (23'I03)
REPO REPOSSESSION
RR RAIL ROAD PROBLEM
SUICIDE SUICIDE ATTEMPT
TMFFIC STOI TRAFFIC STOP
VCK VEHICLE CHECK
VEH RELEASE VEHICLE RELEASE
WARMNT WARMNT ARREST
I
27
8
,,
2
2
2
I
3
.,
25
20
6
4
2
3
I
I
t79
34
t2
I
WELCK WELFARE CHECK
Deparlmenl:1063 6t9
Overall:1063 690
02,/17/2015 06:00:48 Poge oI
VERITON POLICE DEPARTMENT
Police Activity Report
Period Ending: 0ll3lll5
TRAFFIC COLLNIONS
TOTAL
NON.INruRY
INruRY
Pedestrian
Fatalities
City Property Damage
Hit & Run (Misdemeanor)
Hit & Run (Felony)
Persons Injured
YEHICLES STORED
Unlicensed Driver
Abandoned/Stored Vehicle
Traffic Hazard
CITATIONS
Citations Iss (Prisoner Release)
Citations Iss (Moving)
Citations Iss (Parking)
Citations Iss (Total)
Hazardous
Non-Hazardous
Other Violations
CASES CLEARED BY ARREST
ARl5-032 CR150205 11377 HS
ARl5-034 CR150207 594(AX1)PC
ARl5-036 CRl502t2 273.5 PC
AR15-037 CR150244 11377 HS
ARl5-038 CRl50250 10851VC
AR15-039 CR150256 273.5 PC
AR15-040 CR142265 487 PC
ARl5-042 CR150302 23152 A&B
PROPERTY RECOVERED
VEHICLES: 50.00
PROPERTY RECOVER.ED FOR
OTHER DEPARTMENTS
VEHICLES: $0.00
NO.
l3
9
4
I
5
46
t6
J
6
121
20
147
56
65
VERNON POUCE DEPARTMENT
REPORT FOR PERSONS ARRESTED
PERIOD ENDING O2l15/15
ADU
MALE FEMALE TOTAL
ASSAULT WTTH A DEADLY WEAPON
BURGLARY
CRIMINAL THREATS
DOMESNC VIOLENCE 2 2
GMND THEFT 1 1
IDENTITT THEFT
POSS. CONTROLLED SUBS.2 2
POSS. STOLEN PROPERTY
RAPE
ROBBERY
VEHICULAR MANSLAUGHTER
VEHICLE THEFT 1 1
TOTAL FELONY ARRESTS 3 3 6
MALE FEMALE TOTAL
BATTERY
CRIMINAL THREATS
DRIVING UNDER THE INFLUENCE 1 1
FALSE INFO TO PEACE OFFICER
PETTY THEFT
POSS. NARC. PARAPHERNAL]A
RESISIING ARREST
TRESPASSING
VANDALISM 2 z
WARRANTS (BENCHTTRrc)1 I
WARRANTS (FOREIGN)1 1
TOTAL MISD. ARRESTS 4 1 5
DETAINED...
MALE FEMALE TOTAL
BURGLARY
PETry THEFT
POSS. STOLEN PROPERTY
VANDAUSM
VEHICLE THEFT
TOTAT JUVENITES DET.0 0 0
TOTAL FELONY ARRESTS (ADULT) TO DATE:
TOTAL MISDEMEANOR ARRESTS (ADULT) TO DATE:
TOTAL JUVENILES DETAINED (FELONY AND MISDEMEANOR) TO DATE:
TOTAL ARRESTS AND DETAINED ]UVENILES (FELONY AND MISDEMEANOR) TO DATE:
18
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RECEIVED
FEB 2 5 20t5
CITY ADMINISTRATION
FEB 2 4 2015
CITY CLERK'S OFRCE
DATE:
TO:
FROM:
RE:
Mark C. Whitworth, City Administrator
Acceptance of Mayor's Resignation from the Vernon Housing Commission
and Reassignment of Council member elect Melissa Ybarra to the Vernon
Housing Commission Resident (City Council member) Seat for the Term
Ending August 10,2017
Recommendations
Staff recommends the City Council:
l. Find that the actions recommended in this staff report are exempt from the California
Environmental Quality Act (CEQA) in accordance with Section 15061(bX3), the general
rule that CEQA only applies to projects that may have an effect on the environment.
2. Accept the Mayor's resignation from the Resident (City Council member) seat on the
Vemon Housing Commission, effective March 3, 2015.
3. Reassign Council member elect Melissa Ybarra to the Resident (City Council member)
seat on the Vernon Housing Commission, effective March 3, 2015, thereby creating a
vacant Resident (non-City Council member) seat.
Backsround
-
On August I l, 2013, new four-year terms commenced for the following members of the Vernon
Housing Commission:
Michael McCormick
Melissa Ybarra (lncumbent)
Michael Hughes (lncumbent)
Resident (City Council member)
Resident (non-City Council member)
Business Representative
STAFF REPORT
GITY ADMINISTRATION
March 3, 2015
Honorable Mayor and City Council
On February 17,2015, a Special Municipal Election was held for the election of one member to
the City Council to fill the unexpired term of Michael A. Ybarra. Melissa Ybarra ran unopposed
in said election and received a total of 25 votes as of the completion of the City Clerk's canvass
on February 23,2015.
The City Council is expected to declare/certify the results of the February 17, 2015 election at
the March 3,2015 City Council meeting. A resolution effectuating this is included on the March
3, 2015 agenda.
Section 2.122 (d) limits the number of active City Council members serving on the Housing
Commission to one. As a result of Ms. Ybarra's recent election to the City Council, Mayor
McCormick submitted a letter to the City Clerk resigning from the Vemon Housing Commission
effective March 3, 20 I 5.
Mayor McCormick recommends the City Council reassign Melissa Ybarra to the Resident (City
Council member) seat on the Housing Commission for the term ending August 10,2017. The
term of this seat is the same as the Resident (non-City Council member) seat she currently holds.
The proposed reassignment, if approved, will create a vacant Resident (non-City Council
member) seat on the Vernon Housing Commission for the term ending August 10, 2017. Said
vacancy will be noticed by the City Clerk in accordance with the requirements of the Maddy Act.
The Mayor's appointment to fill the vacant seat would be presented at the March 17,2015 City
Council meeting, or as soon thereafter as permitted by law.
Fiscal Impact
None.
FEB 2 4 2015
CITY CLERKS OFTICE
CITY ATTORNEY'S OFFICE
DATE:March 3,2015
Honorable Mayor and City Council
Hema Patel, City Attorney
Approval of the Form of Notice Inviting Bids, Bid Form and Project
Specifications, Instructions to Bidders and Specifrcations and Contract under
the Competitive Bidding and Purchasing Ordinance.
Recommendation
It is recommended that the City Council:
l. Find that approval of the forms of documents in this staff report is exempt under the
Califomia Environmental Quality Act (CEQA), in accordance with Section
15061(b)(3), the general rule that CEQA only applies to projects that may have an
effect on the environment.
2. Adopt the attached Resolution approving the general form of bid specifications and
competitive bidding documents under the Competitive Bidding and Purchasing
Ordinance.
Support the Recommendations of the Good Govemance Efforts
Senator Kevin De Leon's Critical Path Reforms and lndependent Reform Monitor, John Van
De Kamp's Reports both made substantial and detailed recommendations for the City's procurement
practices. As the initial step in carrying out those recommendations, a Competitive Bidding and
Purchasing Ordinance, Ordinance No. 1221, amending Article IV of Chapter 2 was adopted to
make necessary changes to the City's purchasing system.
The Ordinance established, among other things, an open and competitive process for service
and personal services contacts. On February 5,2013,the City Courcil adopted and standardizeda
number of form contacts and other documents used by the City in an effort to furlher institutionalize
the recommendations of Senator De Leon and Reform Monitor Van De Karnp in the day to day work
of the City. The proposed form documents serve as the basis for various types of contracting activity
REGEIVED
FEB 2 4 20t5
CIIY ADMINISTRATIONSTAFF REPORT
RE
within the city that require either approval by Crty Council or the City Administator in adherence to
the dollar thresholds established in the Competitive Bidding and Purchasing Ordinance. The proposed
form documents will provide a core of intelligible and commercially reasonable documents for the
City. The attached Resolution approves the standard form documents used in the Competitive
Bidding process, which is the "default" procurement process meant to award confacts to the most
responsive and responsible bidder in response to a published notice inviting bids.
Fiscal Impact
There is no direct fiscal impact resulting from the adoption of the proposed form documents.
Standardizing documents and processes will create efficiencies that will work to the financial
benefit of the City over time.
.,
RESOI,UTION NO.
A RESOLUTION OF THE CITY COI'NCIL OF THE CfTY OF
VERNON APPROVING THE NOTICE INVfTTNG BIDS, BTD FORM
AND PRO.JECT SPECIFICATIONS, INSTRUCTTONS TO BTDDERS
AND SPECIFICATIONS AND CONTRACT
WHEREAS, the CiEy of Vernon (the "City"), is a municipal
corporation and a chartered cit.y of t.he StaE.e of California organized
and exist.ing under its Charter and the Const.it.ution of the State of
Calif ornia,. and
WHEREAS, an open and transparent, competitive bidding and
purchasing process serves tshe interesEs of all of Vernon's stakehol-ders
and consEituencies, including its individual , corporate and business
residents, as well labor organizations and workers within vernon, all
of whom deserve the highest quality of municipal services; and
WHEREAS, on May 20, 201-4, the City Council of the City of
Vernon adopted Ordinance No. L22L, amending Article IV of Chapter 2.
to make necessary changes t,o the ClEy's purchasing system; and
WHEREAS, Article IV of Chapter, Section 2.17.34 provides
t.hat. t,he CiEy Council shaIl approve, by Resolution, Ehe general forms
of contract, purchase order contracts, notice inviting bids, and the
general provisions of bid specifications and request for proposals for
use in City purchasing; and
WHEREAS, the City Council of the Cit.y of Vernon desires to
approve the form of Notj-ce Inviting Bids, Bid Form and Project
Specifications, Inst,rucEions t.o Bidders and SpecificaEions and
Conlracc under the Competitive Bidding and Purchasing ordinance.
NOW, THEREFORE, BE IT RESOLVED BY THE C]TY COUNCIL OF THE
CTTY OF VERNON AS FOLLOWS:
SECTION 1: The Cit.y Council of Ehe CiEy of Vernon hereby
finds and determines Ehat
SECTTON 2: The
that this action is exempt
Act (CEQA) , in accordance
that CEQA onfy applies Eo
environment.
the above recitals are tsrue and correct,
City Council of the City of Vernon finds
under the California Environmental Quality
with Sectsion 15061(b) (3), the general rule
projects that may have an effect on che
SECTfON 3: The City Council of the City of Vernon hereby
approves and adopts the general forms of Notice Inviting Bids, Bid
Form and Projects Specifications, InstrucEions to Bidders and
SpecificaEions and Contsract under the Competsitive Bidding and
Purchasing ordinance, a copy which is aEtached hereto as Exhibit A.
SECTIoN 4: The City Council of t.he Cj-ty of Vernon hereby
authorizes and empowers Ehe City Attsorney Eo make whaEever
administrative and non-material changes tso the approved documents, as
are necessary from time-to-time in order to carry out Ehe intent of
this Resolution.
2
SECTfON 5: The City C1erk, ot Deputy City Cl-erk, of the
City of Vernon shall certify to the passage, approval and adoption of
this resolution, and the City Clerk, or Deputy City C1erk, of the City
of Vernon sha11 cause this resolution and the City Clerk's, or Deputy
City Clerk's, certification to be entered in the File of Resolutions
of the Councj-I of this City.
APPROVED AI{D ADOPTED this 3rd day of March, 20L5
Name:
Tltle:Mayor / vtayor Pro-Tem
ATTEST:
City Clerk / Deputy City Clerk
-3
STATE OF CALTFORNIA )
) ss
COUNTY OF LOS ANGELES )
T,, Cit,y Clerk / Deputy City Clerk of the City
of Vernon, do hereby certify that the foregoing Resolution, being
Resolut.ion No. , was duly passed, approved and adopted by the
city Council- of Ehe City of Vernon at a regular meeting of the City
Council- duly held on Tuesday, March 3 , 2015, and thereaf ter \^ras dul-y
signed by the Mayor or Mayor Pro-Tem of Ehe City of Vernon.
Executed this day of March. 20f5, aE Vernon, California.
City Clerk / Deputy City Clerk
(SEAT)
4
EXHIBIT A
City of Vernon
REQUEST FOR BIDS
{rNsERT PROJECT NAME}
FOR THE
DEPARTMENT OF {INSERT DEPARTMENT}
CITY OF VERNON, CALIFORNIA
4305 SANTA FE AVENUE
VERNON, CA 90058
NOTICE INVITING BIDS
For
(insert name of project)
in the
City of Vernon, California
Bids are to be signed and submitted in TRIPLICATE. ONE ORIGINAL AND TWO COPIES of
sealed bids must be received prior to P.m.,by the City
Clerk, City of Vernon, 4305 Santa Fe Avenue, Vemon, CA 90058, ("Bid Deadline").
All bids shall be enclosed in sealed envelopes, distinctly marked 66Bid" with the title of the
bid and the bidder's name address appearing on the outside.
Mail sufficiently early or deliver in person before p.m. on the day listed in
the Notice Inviting Bids. Bids must be received in the City Clerk's Office before that time.
At the bid opening, the City Clerk shall open bid packages and acknowledge the receipt of
Bids. Once all bid packages are opened and announced, the Bid Forms will be made
available for public review.
NO LATE BIDS WILL BE ACCEPTED
The bids shall be clearly titled. Copies of the Bid Documents, Plans and Specifications are
available at no charge (Optional: specify charge for plans and specifications here if desired) at
the (Insert Department) Counter, City of Vernon, 4305 Santa Fe Avenue, Vernon, between
7 a.m. and 5:30 p.m., Monday through Thursday. A non-refundable fee of $20.00 will be
charged if mailing is requested by callin g Q23) 583-881 I .
(If appropiate) Pre-Bid Meeting:
A pre-bid meeting to answer any questions regarding the project plans and specifications is
scheduled for at in the (Insert Department),4305 Santa Fe Avenue,
Vernon, California. This meeting is to answer any questions regarding the project plans and
specifications.
Attendance is/is not mandatory. (Select whether the meeting is or is not mandatory.)
City of Vernon Contact Person: (Insert Department)
Attention:
Phone: ( )
Facsimile: ( )
Email : _@ci.vernon.ca.us
2
NOTICE TNVITING BIDS (lf appropriate) CONTRACT NO. (Insert #)
Mandatory Qualifications for Bidder and Designated Subcontractors:
A Bid may be rejected as non-responsive if the Bidder fails to meet the essential requirements for
qualification.
General Scope of Work:
Contractor shall furnish labor, materials, equipment, services, and specialized skills to perform
work involved in the Project. The Work in the Bid is defined in the Project Drawings and
Specifications and will generally include the following:
Contractor shall fumish labor, materials, equipment, services, and specialized skills to perform
work involved in the Project. The Work in the Bid is defined in the Project Drawings and
Specifications and will generally include: (NSERT PROJECT SCOPE OF WORK)
(If appropriate) Tlte work shall be done in accordance with Specifications No. _ Plan No.
-,
Standard Plans for Public Works Construction
(SPPWC 2012Edition), and the "Greenbook" Standard Specifications for Public Works
Construction(2}L2 Edition), including all supplements thereto issued prior to bid opening date.
In the event of any conflicts, the Specifications No. , Plan No. shall prevail.
Mandatory Qualifications for Bidder and Designated Subcontractors:
A Bid may be rejected as non-responsive if the Bid fails to document that Bidder meets the
essential requiranents for qualification. As part of the Bidder's Statement of Qualifications,
each Bid must establish that:
Bidder satisfactorily completed at least (Insert # of projects) L-) prevailing wage public
contracts in California; each comparable in scope and scale to this Project, within (Insert # of
years) (_) years prior to the Bid Deadline and with a dollar value in excess of the Bid submitted
for this Project. (OPTIONAL) In addition, if the Bidder intends to self-perform the (insert
specialty sub-contract work), Bidder shall satisfu the mandatory qualifications described in the
Specialty Contractor Staternent of Qualifications applicable to such Work and submit the
completed forms with the Bid.
(OPTIONAL) Subcontractors listed for the (insert specialty sub-contract work) Work must
satisff the mandatory qualifications described in the Specialty Contractors' Statements of
Qualifications applicable to the Work to be performed by each Subcontractor and Bidder must
submit the completed forms with the Bid.
Other Bidding Information:
1. Number of Contract calendar days: calendar days
2. Amount of Liquidated Damages: $.per calendar day
3. Required Construction Staeing (Optional) _ Phases, See Construction Staging Plan
4. Intermediate Completion Milestones (Optional) Phase I must be completed by
Phase II must be completed by (add more as appropiate).
5. Bidding Documents. Bids must be made on the Proposal Form contained herein.
J
NOTICE INVITING BIDS (lf appropiate) CONTRACT NO. (Insert #)
6. Engineer's Estimate. An Engineer's Estimate of the cost of construction of this Work has
been prepared. Said estimate is in the range of $to$
7. Time of Completion. This Work must be completed within calendar days from
the date of commencement as established by the City's written Notice to Proceed.
8. Acceptance or Rejection of Bids. The City reserves the right to reject any and all bids, to
award all or any individual partlitern of the bid, and to waive any informalities, irregularities or
technical defects in such bids and determine the lowest responsible bidder, whichever may be in
the best interests of the City. No late bids will be accepted, nor will any oral, facsimile or
electronic bids be accepted by the City.
9. Contractor's License. At the time of the Bid Deadline and at all times during
performance of the Work, including full completion of all corrective work during the Correction
Period, Contractor must possess a California contractor's license or licenses, curent and active,
of the classification required for the Work, in accordance with the provisions of Chapter 9,
Division 3, Section 7000 et seq. of the Business and Professions Code. [n compliance with
Public Contract Code Section 3300, the City has determined that the Bidder must possess the
following license(s): "(insert tlpe of license required)." (OPTIONAL) In addition, if Bidder
intends to self-perform (insert specialty sub-contract work) Work, Bidder must possess the
following licenses: (insert tlpe of license(s) required) as applicable to such self-performed Work.
The Bidder will not receive a Contract award if at the time of submitting the bid, the Bidder is
unlicensed, does not have all of the required licenses, or one or more of the licenses are not
current and active. If the City discovers at the time of the Bid Deadline that Contractor is
unlicensed, does not have all of the required licenses, or one or more of the licenses are not
current and active, the City may reject the Bid, cancel the award, declare the Bid Bond as
forfeited, keep the Bid Bond's proceeds, and exercise any one or more of the remedies in the
Contract Documents in addition to those provided by law.
10. Subcontractors' Licenses and Listins. Bidders must list each Subcontractor whom the
Bidder must disclose under Public Contract Code Section 4104 (Subcontractor Listing Law), and
the Bidder must provide all of the Subcontractor information that Section 4104 requires (name,
address, license number, and portion of the Work). An inadvertent error in the license number
will not be considered nonresponsive if it is corrected within 24 hours after the bid opening. In
addition, the City requires the Bidder to list the dollar value of each Subcontractor's labor or
services. The City reseryes the right to review and disqualiff any proposed Subcontractor. The
City's disqualification of a Subcontractor does not disqualiff a Bidder. In such case, prior to and
as a condition to award of the Contract, the successful Bidder shall substitute a properly licensed
and qualified Subcontractor- without an adjustment of the Bid Amount. At the time of the Bid
Deadline and at all times during performance of the Work, each listed Subcontractor's license
must be current and active for the portion of the Work listed and shall hold all specialty
certifications required for such Work.
11.
Authorizations. (OPTIONAL) T\e City has applied and paid for the following Governmental
Approvals and Utility Fees): Building Permit, Trash/Electrical Transformer Enclosure Permit,
Mechanical Permit, Electrical Permit, Plumbing Permit, Fire Sprinkler Water Line Fee
(Contractor must submit shop drawings for permit to issue), Sewer Facility Fees.
Unless specified otherwise, all Governmental Approvals and Utility Fees shall be obtained and
NOTICE INVITING BIDS (lf appropriate) CONTRACT NO. (lnsert #)
paid for by Contractor and will be reimbursed based on Contractor's actual direct cost without
markup.
12. Bid Forms and Securitv: Each Bid must be made on the Bid Forms obtainable at the
Department of Public Works, Water and Development Service. Each Bid shall be accompanied
by a cashier's check or certified check drawn on a solvent bank, payable to "City of Vernon," for
an amount equal to five percent (5%) of the total maximum amount of the Bid. Alternatively, a
satisfactory corporate surety Bid Bond for an amount equal to five percent (5%) of the total
maximum amount of the Bid may accompany the Bid. Said security shall serve as a guarantee
that the successful Bidder will, within fifteen (15) calendar days after the date of the award of the
contract, enter into a valid contract with the City for said Work in accordance with the Contract
Documents.
13. Bid Irrevocability. Bids shall remain open and valid for ninety (90) calendar days after
the Bid Deadline.
14. Substitution of Securities. Pursuant to California Public Contract Code Section22300,
substitution of securities for withheld funds is permitted in accordance therewith.
15. Prevailing Waees. This Project is a "public work" as defined in California Labor Code
Section 1720. Contractor awarded this Contract and all Subcontractors of any tier shall not pay
less than the minimum prevailing rate of per diem wages for each craft, classification, or tlpe of
worker needed to perform the Work. The Director of Industrial Relations of the State of
California, pursuant to the California Labor Code, and the rates determined by the Califomia
Director of Industrial Relations are available online at www.dir.ca.gov/DlSR/PWD/.
16. Payroll Records. Pursuant to SB 854, Contractor and any Subcontractors shall fumish
electronic certified payroll records directly to the Labor Commissioner (aka Division of Labor
Standards Enforcanent).
17. Annual Fee to the Department of lndustrial Relations (DIR). Pursuant to Labor Code 1725.5,
Contractor and any Subcontractors who bid or work on this project with the City must register and
pay an annual fee to the DIR. This project is subject to compliance monitoring and enforcernent
by the DIR.
Mark Whitworth
City Administrator
(Authorized by City Attorney)Dated:
Published:
NOTICE INVITING BIDS (l"f appropriate) CONTRACT NO. (Insert #)
5
City of Vernon
Instructions for Bidders
Project:
For the Department (Insert Department)
City personnel with whom prospective bidders will deal with are:
(Insert Department), 4305 Santa Fe Avenue, Vernon, CA 90058
(323) 583-8811 Ext.
Bid opening date and time: (Insert date and time) ("Bid Deadline")
Bids will be received and opened at the Office of the City Clerk, 4305 Santa Fe Avenue, Vernon,
cA 90058
The bid must be received by the City Clerk prior to the time set for bid opening. A bid received
by the City Clerk after the time set for the bid opening is a non-responsive bid and shall not be
considered.
GENERAL BID REOUIREMENTS
To be considered, a bidder must strictly follow the format for bids in the specifications. Bids must
be binding and firm. Any bids may be withdrawn before bid opening, but bids shall remain open
and valid for ninety (90) calendar days after the Bid Deadline.
1. CONTRACTORS LICENSE
The Bidder must possess a valid State of California Contractors License in the
classification(s) specified in the Notice Inviting Bids at the time of the Bid Deadline and
at all times during the performance of the Work, except as otherwise provided in California
Business and Professions Code Section 7028.15.
2. INTERPRETATION OF BIDDING DOCUMENTS, SPECIFICATIONS A}[D
ADDENDA
A. If any Bidder contemplating submitting a Bid is in doubt as to the true meaning of
any part of the Bidding Documents, or who finds discrepancies, erors or omissions
therein or who finds variances in any of the Bidding Documents with applicable
law, such Bidder shall at once submit a written request for an interpretation or
correction thereof to the City's representative identified in the Notice Inviting Bids,
or other designated individual. All Bidders shall submit such written requests to
City not less than ten (10) calendar days prior to the Bid Deadline. The person or
entity submitting the request shall be responsible for its prompt delivery to City's
Contact Person identified in the Notice Inviting Bids.
INSTRUCTION TO BIDDERS (lf appropnate) CONTRACT NO. (Insert #)
J.
4.
Any interpretation or correction will be made only by Addendum issued by the City
and a copy of such Addendum will be delivered to all Interested Bidders of record.
Any Addenda so issued must be acknowledged in the Bid and the cost of
performing Work described in the Addenda shall be included in the Bid. Bidder's
failure to acknowledge receipt of all Addenda may result in rejection of the Bid as
nonresponsive. No person is authorized to render an oral interpretation or
correction of any Bidding Documents and no Bidder may rely on any such oral
interpretation or correction issued by the City. The City shall not be responsible
for any other explanation or interpretation of the Drawings or Specifications, or for
any oral instructions. City reserves the right to extend the Bid Deadline by issuing
an Addendum to Interested Bidders no later than 72 hours prior to the Bid Deadline.
Bidders shall use complete sets of Bidding Documents in preparing Bids; City shall
not assume responsibility for effors or misinterpretations resulting from the use of
incomplete sets of Bidding Documents.
B. Copies of Addenda will be made available for inspection wherever Bidding
Documents are on file for that purpose. Each Bidder shall ascertain prior to
submitting a Bid that the Bidder has received all Addenda issued and the Bidder
shall acknowledge their receipt in the Bid.
OBTAINING DRAWINGS AND DOCUMENTS
Bidder may secure Bidding Documents only from the location specified in the
Notice Inviting Bids. City will maintain a list of persons who obtained a copy of
these Specifications ("Interested Bidders"). Only lnterested Bidders will receive
Addenda, if so issued.
BID FORMS _ SUBMITTAL
A. The Bids shall be made on the forms provided herein with all blank spaces properly
filled in.
B. The phraseology shall not be changed, and no additions shall be made to the items
mentioned herein. Unauthorized conditions, exonptions, limitations, or provisions
attached to a Bid will render it informal and may cause its rejection. All forms
requiring specific information shall be completed with all applicable information
for a Bid to be considered responsive.
C. lnclude all Bid Forms, properly executed, and intact on forms provided. Enclose
the Bid Forms in a sealed envelope; tlpe or print on the envelope "BIDS for"
followed by the title and Specification Number and the date and time of the Bid
Deadline, and the Bidder's name and address. The envelope may be mailed, hand
delivered, or delivered by courier or package delivery service.
D. One Original Bid and two copies shall be hand delivered, delivered by courier or
package delivery service to the City Clerk, City of Vernon, 4305 Santa Fe Avenue,
Vernon, CA 90058.
INSTRUCTION TO BIDDERS (lf appropriate) CONTRACT NO. (Insert #)
E. Bids received after the Bid Deadline or at any place other than the Office of the
City Clerk will not be considered.
5. BID FORMS - AUTHORIZED SIGNATURES
C.
The full name, business address, zip code, and business telephone number, with
area code of the individual, partnership, joint venture, or corporation submitting the
Bid shall be typewritten or legiblyprinted on the Bid Forms. The Bidder shall sign
the form with hisftrer usual wet ink signature.
SoIe Proprietorship: An individual shall sign.
Partnership (General or Limited): A partner shall sign for a partnership; the
partner shall give the names and addresses of all partners.
Corporation: An officer shall sign for a corporation. The corporate name must be
attested by the corporate seal. The names and titles of the president and all officers
of the corporation who are authorized to sign the Bid Forms must be listed in an
authenticated Incumbency Certificate signed by the corporate secretary. A
signature other than a corporate officer's will be accepted only if an authenticated
Incumbency Certifi cate is attached.
Joint Venture: Bidders shall use the appropriate section(s) listed above in B-D,
based on their applicable situation.
6.BID FORMS - SCHEDULE OF BID PRICES
C.
The Bidder shall include in hisftrer Bid price(s) any and all expense or costs that
may be necessary to complete the project in accordance with the requirements of
the Contract. The cost of all mobilization, preparatory work and operations for the
multiple movements of personnel, equipment, supplies, and incidentals to the
various project sites must be included in the various bid iterns, and no extra
compensation will be paid to Contractor.
The Bidder shall state for each item on the Schedule of Bid Prices form, in clearly
legible figures, the Base Bid, the alternates, and the unit price and item total or lump
sum, as the case may be, for which he/she proposes to supply labor, materials, and
equipment and to perform the Work. Bids must not contain any erasures,
interlineations, strikethroughs or other corrections unless the same are suitably
authenticated by affixing in the margin immediately opposite such erasure or
correction the initials of the person(s) signing the Bid. If any Bid, or portion
thereof, is determined by the City to be illegible, ambiguous or inconsistent, City
may reject such a Bid as being non-responsive.
In the case of a unit price item, the amount set forth, as the item total shall be the
product of the estimated quantity times the unit price Bid. In the event of a
discrepancy between the unit price Bid and the item total, the unit price shall
prevail; however, if the unit price is ambiguous, unintelligible, or uncertain for any
A.
B.
D.
E.
A.
B.
TNSTRUCTION TO BIDDERS (lf appropriate) CONTRACT NO. (Insert #)
7.
cause, or is omitted, or is the same amount as the entry for the itern total, then the
itern total shall prevail and shall be divided by the estimated quantity for the item
and the price thus obtained shall be the unit price. Where so indicated by the
makeup of the Bid Form, sums shall be expressed in both words and figures, and in
case of discrepancy between the two, the amount written in words shall govem.
D. All requested Alternates, if any, shall be Bid. See the Schedule of Bid Prices for
more information and the list of Bid Alternates, if any. If no change in the Base
Bid is required, enter'No Change."
BID SECURITY
A. Each Bid shall be accompanied by cash or a cashier's check or a certified check,
drawn on a responsible bank doing business in the United States payable to the
City, or a satisfactory Bid Bond in favor of the City executed by the Bidder as a
principal and a California admitted surety company (as defined by California Code
of Civil Procedure $$995.120 and 995.31l) as surety ("Bid Security'').
B. All bonds must be issued by a California admitted surety insurer with the minimum
A.M Best Company Financial strength rating of "A:VII" or better. Bonds issued
by a California admitted surety not listed on Treasury Circular 570 will be deemed
accepted unless specifically rejected by the City. Bonds issued from admitted
surety insurers not listed in Treasury Circular 570 must be accompanied by all
documents enumerated in California Code of Civil Procedure Section 995.660. All
such bonds must be accompanied by a power of attorney from the surety company
authorizing the person executing the bond to sign on behalf of the company. If the
bonds are executed outside the State of Califomia, all copies of the bonds must be
countersigned by a California representative of the surety. The signature of the
person executing the bond on behalf of Surety must be acknowledged by a Notary
Public as the signature of the person designated in the power of attorney.
C. Bid Security shall
submitted without
an amount not less than 5Yo of the Base Bid. Any Bid
Security will be rejected as non-responsive. The Bid
be in
Bid
Security shall be given as a guarantee that the successful Bidder will execute the
Contract and will provide the insurance, bonds and other required forms within
fourteen (14) calendar days after award of the Contract. Bidders will be entitled to
return of Bid Security except when a successful Bidder forfeits its Bid Security. A
forfeit may occur, for example, if the successful Bidder withdraws its Bid prior to
the expiration of ninety (90) calendar days after award of the Contract; attempts to
withdraw its Bid when the requirements of Public Contract Code $ 5l0l et seq. are
not met; or refuses or fails to execute the Contract and provide the required bonds,
insurance or certificates within fourteen (14) calendar days after award of the
Contract. In any one or more of these events, if City awards the Contract for the
Work to the next lowest responsible Bidder, the amount of the original lowest
Bidder's security shall be applied to the Contract Price differential between the
lowest Bid and the second lowest Bid. Any surplus will be returned to the original
lowest Bidder. If the City rejects all other Bids presented and re-advertises, the
TNSTRUCTION TO BIDDERS (lf appropnate) CONTRACT NO. (lnsert #)
lowest Bidder's Bid Security may be used to offset the City's cost of re-advertising
and receiving new Bids. In that case, the surplus if any, will be returned to the
original lowest Bidder.
The Bid Security shall be held for ninety (90) calendar days after the award of the
Contract or until posting by the successful Bidder of the payment and performance
bonds, proofofinsurance, return ofexecuted copies ofthe Contract and necessary
certification(s), whichever first occurs, after which time the Bid Security will be
returned to all Bidders.
If a Bid Bond is to be submitted, Bidder shall use the form entitled "Bid Bond"
contained in the Bidding Documents, which Bid Bond shall be properly executed
and acknowledged by the Bidder and by a corporate surety authorized to transact
such business in the State of California.
Any alteration of said form of Bid Bond, or imperfection in the execution thereof,
as herein required, will render it informal and may, at the option of the City, result
in the rejection of the Bid under which the Bid Bond is submitted.
8. BIDDER'S AND SPECIALTY CONTRACTORS' STATEMENTS OF
QUALIFICATIONS
Each Bidder shall be required to complete, execute and submit with its Bid, the
form entitled "Bidder's Statement of Qualifications." (OPTIONAL) In addition, if
the Bidder intends to have (insert specialty sub-contract work) Work, Bidder shall
satisff the mandatory qualifications described in the Specialty Contractors'
Staternents of Qualifications applicable to such Work and submit the completed
forms with the Bid. Subcontractors listed for the (insert specialty sub-contract
work) Work must satisfu the mandatory qualifications described in the Specialty
Contractor or Subcontractor Staternent of Qualifications applicable to the Work to
be performed by each Subcontractor and Bidder must submit the completed forms
with the Bid. Notwithstanding the provisions of Paragraph22 herein, the Bidder's
Statement of Qualifications (OPTIONAL) and the Specialty Contractor or
Subcontractor Staternent of Qualifications) shall not be public records. All
information required by a Bidder's or Specialty Contractor Statement of
Qualifications shall be completely and fully provided. If no information is to be
filled in a blank space, then write "none." Any Bid not accompanied by a Bidder's
Statement of Qualifications (OPTIONAL) and Specialty Contractor or
Subcontractor Statsment of Qualifications) form completed with all information
required may render the Bid non-responsive. If the City determines that any
information provided by a Bidder in the Bidder's (OPTIONAL) or Specialty
Contractors') Statement of Qualifications is false or misleading, or is incomplete
so as to be false or misleading, the City may reject the Bid submitted by such Bidder
as being non-responsive.
A responsible Bidder is a Bidder who has dernonstrated the attribute of
trustworthiness, as well as quality, fitness, capacity and experience to satisfactorily
D.
E.
F.
A.
B.
INSTRUCTION TO BIDDERS (lf appropiate) CONTRACT NO. (Insert #)
9.
perfbrm fully the requirements of the contract documents. [n selecting the lowest
responsible Bidder, consideration will be given not only to the Bidder's financial
standing but also to the general competency of the Bidder for the performance of
the work covered by the Bid including, but not limited to, the experience of the
Bidder in construction of public buildings for public agencies. By submitting a
Bid, each Bidder agrees that the City, in determining the successful Bidder and its
eligibility for the award, may consider the Bidder's experience with similar tlpes
of construction projects and facilities, conduct and performance under other
contracts, financial condition, reputation in the industry, and other factors which
could affect the Bidder's performance of the work.
DESIGNATION OF SUBCONTRACTORS
A. Subcontractor Listing. On the Designation of Subcontractors form, the Bidder shall
list each Subcontractor whom the Bidder must disclose under the Subletting and
Subcontracting Fair Practice Act, Public Contract Code Section 4104. The Bidder
shall provide: each Subcontractor's name, the trade and tlpe of work that the
Subcontractor will perform, the location (address) of the Subcontractor's place of
business, each Subcontractor's license number, and the dollar value of each
Subcontractor's labor or services. If additive Alternate Bid Iterns are included in
the Bidding Documents, the Bidder shall identify each Subcontractor performing
additive Alternate Bid Itans, when such Work - or the combination of base
Contract Work and Alternate Work - exceeds one-half of one percent of the total
Bid Amount.
B. Subcontractors' Licenses. At the time of the Bid Deadline and at all times during
performance of the Work, each listed Subcontractor shall possess a current and
active California Contractor's license appropriate for the portion of the Work listed
for such Subcontractor, and hold all specialty certifications required for such Work.
C. Disqualification of a Subcontractor. The City has the right to review the suitability
and qualifications of any Subcontractor proposed by the Bidder. As part of this
review, the City may request a Bidder to submit additional information about one
or more of the listed Subcontractors-including, but not limited to-a statement
detailing the Subcontractor's experience with pertinent information as to similar
projects and other evidence of the Subcontractor's qualifications. If requested, the
Bidder shall provide the information to the City within the time specified in the
City's written request. After due investigation, if the City has a reasonable
objection to any proposed Subcontractor, the City may, before giving the notice of
award, require the apparent successful Bidder to submit an acceptable substitute.
The City's disqualification of a Subcontractor does not disqualifu a Bidder.
However, prior to and as a condition to award of the Contract, the successful Bidder
shall substitute a properly licensed and qualified Subcontractor without an
adjustment of the Bid Price.
D. Work of Subcontractors. The organization or arrangement of the Specifications
and Drawings do not limit the extent of the Work for the Contract Documents.
INSTRUCTION TO BIDDERS (lf appropnarc) CONTRACT NO. (Insert #)
10.
Accordingly, all Bidders are encouraged to disseminate all of the Specifications,
Drawings and other Contract Documents to all persons or entities submitting sub-
bids to the Bidder. The omission of any portion or itern of Work from the Bid or
from sub-bids, which is reasonably inferable from the Contract Documents, will
not be a basis for adjustment of the Contract Price or the Contract Time.
E. Ineligible Subcontractors. The successful Bidder is prohibited from performing
Work on the Project with any Subcontractor who is ineligible to perform work on
a public works project pursuant to Califomia Labor Code Sections 1777.1 or
1777 .7. In submitting its Bid, the Bidder certifies that it has investigated the
eligibility of each and every listed Subcontractor and has determined that none is
ineligible to perform work pursuant to the above code provisions.
CONTRACTOR'S NONCOLLUSION AFFIDAVIT
A Noncollusion Affidavit in the form provided by the City shall be signed under penalty
of perjury, certiffing that the Bid is not the result of and has not been influenced by
collusion. Bidder shall submit this form with its Bid. Any Bid made without such affidavit,
or believed to be made in violation of the requirements set forth in the affidavit form, may
be rejected.
INSURANCE REQUIREMENTS
The Bidder shall submit to its insurance company or insurance agent the lnsurance
Requiranents in this Specification and the Contract Documents. The insurance company's
underwriter or agent must complete the lnsurance Requirements documentation which
states that the insurer's underwriter or agent will furnish the City with the required
insurance documents within fourteen (14) days after the Bidder's having been notified of
the Contract's award. The Bidder shall submit this form with its Bid. Any Bid made
without this statement, or made with an incomplete staternent, may be rejected.
EXAMINATION OF DRAWINGS, SPECIFICATIONS, AIID SITE OF WORK
A. The Bidder shall examine carefully the site of the Work conternplated and the
Drawings and Specifications. The submission of a Bid will be conclusive evidence
that the Bidder has investigated and is satisfied as to the conditions to be
encountered, as to the character, quality, and quantities of Work to be performed
and materials to be furnished, the difficulties to be encountered, and to the
requirernents of the Drawings, Specifications, and other Contract Documents. The
Bidder shall ascertain the locations of the existing utility services, and other
underground facilities, and provide for carrying out its operations so as to cause the
minimum possible inconvenience to the occupants of properties along any streets
affected. All Work and costs involved in the safeguarding of the properties of
others shall be at the expense of the Bidder to whom the Contract may be awarded.
B. The Bidder hereby certifies that it has examined the local conditions, has read each
and every clause of the Contract Documents, and that it has included all costs
necessary to complete the specified Work in its Bid prices, and the Bidder agrees
7
11.
t2.
INSTRUCTION TO BIDDERS (lf appropriate) CONTRACT NO. (Insert #)
13.
that if it is awarded the Contract, it will make no claim against the Citybased upon
ignorance of local conditions or misunderstanding of any of the provisions of the
Contract. Should the conditions turn out otherwise than the Bidder anticipated, the
Bidder agrees to assume all risks incident thereto.
PRICES AND PAYMENTS
Approximate quantities listed in the Schedule of Bid Prices are estimates given for
comparing Bids, and no claim shall be made against the City for excess or deficiency
therein, actual or relative. Payment at the prices agreed upon will be in full for the
completed Work and will cover materials, supplies, labor, tools, equipment, and all other
expenditures incident to a satisfactory compliance with the Contract, unless otherwise
specifically provided.
PERMIT FEES
(Optional) If provided in the General Conditions, Contractor shall be reimbursed for the
actual direct cost of all Permit Fees, as defined in Paragraph l.0l and addressed in 1.03 of
the General Conditions. Bidder shall exclude the cost of Permit Fees from Bidder's Base
Bid sum; Base Bid sum shall include the cost of administration and coordination for all
Governmental Approvals and Utility Fees.
SUBSTITUTIONS
fSelect one of thefollowing alternatives:f
(Option 1) No requests for substitution of any material, device, product, equipment,
fixture, form, or tlpe of construction shall be considered by City prior to award of the
Contract. Bidders shall submit all requests for substitution and substantiating data, within
(insert # of days) (_) calendar days from the date of the Notice to Proceed. Bidder
shall refer to the appropriate provisions of the General Conditions for additional
information regarding substitutions. Authorization of a substitution is solely within the
discretion of the City.
(Option 2) Bidders wishing to obtain City's authorization for substitution of any material,
device, product, equipment, fixture, form, or type of construction shall submit all requests
for substitution, including all data necessary to demonstrate acceptability, a minimum of
(insert # of days) ( ) calendar days prior to the Bid Deadline. Approval of any
such substitution shall be made in writing by the City. Bidders shall refer to the appropriate
provisions in the General Conditions for additional requirements for substitutions. In the
absence of a written Addendum prior to the Bid Deadline or a Change Order approving the
request after Contract award, a request for substitution shall be deerned denied.
RETURN OF IMPROPER BIDS
Bids submitted after the Bid Deadline are non-responsive and shall be returned to the
Bidder unopened. Oral, telephonic, telegraphic, facsimile or electronically transmitted
Bids shall not be considered unless the Notice lnviting Bids expressly permits such means
14.
15.
16.
INSTRUCTION TO BIDDERS (lf appropnate) CONTRACT NO. (Insert #)
t7.
of transmittal.
WITHDRAWAL OF BIDS
Bidder may withdraw its Bid either personally or by written request any time prior to the
scheduled Bid Deadline by notice to the City's Contact Person designated in the Notice
Inviting Bids. If such notice is written, it shall be signed by the Bidder and shall be date-
stamped and time-stamped by the City upon receipt. Withdrawn Bids may be resubmitted
before the Bid Deadline provided that they are in full conformance with these Instructions
to Bidders. Once submitted, all Bids are irrevocable, except as otherwise provided by law.
Requests for withdrawal of Bids after the Bid Deadline shall be made only in accordance
with Califomia Public Contract Code $ 5100, et seq. Bidder agrees by submitting a Bid
that such Bid shall remain open, is irrevocable, and may not be modified, withdrawn, or
cancelled for a period of ninety (90) days after award of the Contract.
OPENING AI\D EVALUATION OF BIDS
A. Bid Opening and Tabulation. The Bids shall be opened and read in public after
the Bid Deadline has expired at the time and location listed in the Notice Inviting
Bids. A tabulation of all Bids received will be available for public inspection at the
Office of the Director of Community Service & Water, 4305 Santa Fe Avenue,
Vernon, CA during regular business hours for a period of not less than thirty (30)
calendar days following the Bid Deadline. The City reserves the right to accept or
reject any or all Bids and be the sole judge regarding the suitability of the products,
services or supplies offered; and/or to waive any irregularities or informalities in
any Bids or in the bidding process. The City further reseryes the right to purchase
all or fewer than all items or quantities of each item listed in the Bidding
Documents. The award of the Contract, if made by the City, shall be to the lowest
responsive and responsible Bidder. If Bid Altemate Items are called for, the lowest
Bid shall be determined according to Paragraph 20 below.
B. Evaluation of Bids.
1. Mandatory Qualifications. A Bid shall be rejected as non-responsive if the
Bidder fails to document in the Bid that Bidder meets the essential
requiranents for qualification described in the Notice Inviting Bids. As part
of the Bidder's Statement of Qualifications each Bidder must establish that
it, as the current entity: (l) has successfully completed at least (Insert # of
projects) u similar projects involving similar work within the last
(Insert # of years) (_-) years with a cost equal to or in excess of the
Bidder's Bid; and (2) has successfully completed at least (Insert # of public
works projects) (_) public works projects. (OPTIONAL) The City's
disqualification of a Subcontractor listed for the (insert specialty sub-
contract work) Work does not disqualiff a Bidder. However, prior to and
as a condition to award of the Contract, the successful Bidder shall
substitute a properly licensed and qualified Subcontractor - without an
adjustment of the Bid Price.
18.
INSTRUCTION TO BIDDERS (lf appropnab) CONTRACT NO. (Insert #)
t9.
2. Responsive Bid. A responsive Bid is a Bid which conforms, in all material
respects, to the Bidding Requirernents and Contract Documents.
3. Responsible Bidder. A responsible Bidder is a Bidder who has
dernonstrated the attribute of tnrst'arorthiness, as well as quality, fitness,
capacity and experience to satisfactorily perform fully the requirements of
the Contract Documents.
4. Competency of Bidders. In selecting the lowest responsible Bidder,
consideration will be given not only to the financial standing but also to the
general competency of the Bidder for the performance of the Work covered
by the Bid including, but not limited to, the experience of the Bidder in
construction ofpublic works forpublic agencies. By submitting a Bid, each
Bidder agrees that the City, in determining the successful Bidder and its
eligibility for the award, may consider the Bidder's experience with similar
tlpes of construction projects and facilities, conduct and performance under
other contracts, financial condition, reputation in the industry, safety record
and protocols and other factors which could affect the Bidder's performance
of the Work.
AWARD OF CONTRACT
The City reserves the right to reject any or all Bids and to waive any or all information or
technical defects, as the interest of the City may require. Award of Contract or rejection
of Bids will be made by the City within ninety (90) calendar days following the Bid
Opening.
BASIS OF AWARI)
A. A Contract will be awarded to the lowest responsive and responsible Bidder
meeting all requironents set forth in these Bidding Documents.
(If bidders are required to bidfor items that may be added to or deductedfrom the scope
of work, select one of thefollowing optional clauses. The choice of one of these methods
is required by Cal. PC 520103.8. If the City does not specify a method, the lowest bid will
be the lowest bid prices on the base contract without consideration of pices on the additive
or deductive items)
[Option l] The City will award the Contract based on the lowest Base Bid without
consideration of the prices on the additive or deductive items.
[Option 2] The City will award the Contract based on the lowest Base Bid including
all alternates.
[Option 3] The City will award the Contract based on the lowest total of the bid
prices on the base bid and those additive or deductive items that when taken in order
from a specifically identified list of those iterns in the Bid Form and added to, or
subtracted from, the base contract, are less than, or equal to, a funding amount
10
20.
TNSTRUCTION TO BIDDERS (lf appropna@ CONTRACT NO. (Insert #)
21.
publicly disclosed by the City before the first bid is opened.
[Option 4] The City will award the Contract based on the lowest bid in a manner
that prevents any information that would identify any of the bidders from being
revealed to the City before the ranking of all bidders from lowest to highest has
been determined.
B. City reserves the right in its sole discretion to select any, all, or none of the Bid
Alternates at the time of award of the Contract, regardless of whether such Bid
Alternates were used in the analysis to determine the lowest Bid.
EXECUTION OF CONTRACT
Within fourteen (14) calendar days after being notified by City that it has been awarded
the Contract, Contractor shall deliver to the City the following documents:
A. Three (3) copies of the Contract in the form included herein, properly executed by
Contractor and, if Contractor is a corporation, evidence of its corporate existence
and that the persons signing the Contract are authorized to do so. All signatures
must be notarized.
B. Properly executed copies of the (a) Performance Bond (b) Labor and Material
(Payment) Bond and (c) Maintenance Bond in accordance with the requirunents
set forth in Article l3 of the General Conditions and in the form shown on Exhibits
1,2 and 3 attached thereto. All signatures must be notarized.
C. Properly executed policies of all of the following: (a) the Commercial General
Liability Insurance, (b) the Automotive Liability fnsurance, and (c) Professional
Liability, if required, and (e) the corresponding endorsements for each policy in
accordance with the requirements set forth in Article 12 of the General Conditions.
In the event that the fourteenth calendar day falls on Saturday, Sunday, a legal holiday for
the State of California, or on days when City Hall is closed, the aforesaid documents shall
be delivered by the following Working Day.
After receipt of said documents within said time period or any extension thereof granted
by the City, the City shall execute the Contract and return one (1) of said three (3) copies
to Contractor for its files.
PUBLIC RECORDS
City seeks to conduct its business openly. Except as set forth in paragraph 8.A., upon
opening, all Bids shall become a matter of public record and shall be regarded as public,
with the exception of those elements of each Bid that are identified by the Bidder and
plainly marked as "trade secret," "confidential," or "proprietary," including any Staternent
of Qualifications and financial statements to be submitted by Bidders. Each element of a
Bid which a Bidder desires not to be considered a public record must be clearly marked as
set forth above, and any blanket statement (i.e. regarding entire pages, documents, or other,
22.
l1
TNSTRUCTION TO BIDDERS (lf appropriate) CONTRACT NO. (Insert #)
23.
non-specific designations) shall not be sufficient and shall not bind the City in any way
whatsoever. If City receives a request from a third party to make a Bid available for
inspection and copying, the City will notify the Bidder of the request. If a Bidder instructs
the City that the information is not to be released, City will withhold the information,
provided, the Bidder expeditiously seeks a protective order from a court of competent
jurisdiction to prevent such release. If disclosure is required under the California Public
Records Act or otherwise by law (despite the Bidder's request for confidentiality), the City
shall not in any way be liable or responsible for the disclosure of any such records or part
thereof.
Bidder shall indemnifu, defend (including Bidder's providing and payrng for legal counsel
for City), and hold harmless City, its officers, agents, ernployees, and representatives from
and against all liability, claims, suits, demands, damages, fines, penalties, costs, or expenses
arising out of or alleging City's refusal to publicly disclose one or more records that Bidder
identifies as protectable, or asserts is protectable.
PREVAILING WAGE RATES AND EMPLOYMENT OF APPRENTICES
A. Prevailing Wage Rates. The Bidder and all Subcontractors shall utilize the relevant
prevailing wage rate determinations in effect on the first advertisement date of the
Notice Calling for Bids in preparing the Bid Proposal and all component price
quotations, provided, however, that when Davis Bacon wage rates apply, such rates
are subject to increase by written notice, issued by Addendum not less than l0
calendar days before the Bid Deadline. Pursuant to California Labor Code Section
l77O et seq.,the Director of the Department of Industrial Relations of the State of
California and the United States Secretary of Labor have determined the general
prevailing wage rates in the locality in which the Work is to be performed. Said
rate schedules are available on the Internet at www.dir.ca.gov/DLSR/PWD/. The
wage rate for any classification not listed, but which may be required to execute the
Work, shall be commensurate and in accord with specified rates for similar or
comparable classifications for those performing similar or comparable duties. To
comply with California Labor Code Section 1773.2, Contractor shall post, at
appropriate and conspicuous locations on the job site, a schedule showing all
applicable prevailing wage rates and shall also comply with the requirernents of
California Labor Code Sections 1773 et seq.
B. Apprenticeship Committee Contract Award lnformation. Pursuant to California
Labor Code g 1777.5 and Title 8 of the California Code of Regulations $ 230,
Contractor and Subcontractors of any tier who are not already approved to train by
an apprenticeship program sponsor shall, within ten (10) calendar days of signing
the Contract or subcontract, as applicable, but in any event prior to the first day in
which Contractor or Subcontractor has workers employed on the Project, submit
the Public Works Contract Award Information form (DAS Form 140) to the
appropriate local apprenticeship committees whose geographic area of operation
include the area of the Project and who can supply apprentices to the Project. City
reserves the right to require Contractors and Subcontractors to submit a copy of
said forms to the City.
INSTRUCTION TO BIDDERS
t2
(lf appropna@ CONTRACT NO. (Insert #)
24.
C. Statement of Employer Fringe Benefit Payments. Within five (5) calendar days of
signing the Contract or subcontract, as applicable, the Staternent of Employer
Payments (DLSE Form PW 26) shall be completed for each Contractor and
Subcontractor of any tier who pays benefits to a third party trust, plan or fund for
health and welfare benefits, vacation funds or makes pension contributions. The
form must contain, for each worker classification, the fund, plan or trust name,
address, administrator, the amount per hour contributed and the frequency of
contributions. Training fund contributions shall also be reported in this form. City
reserves the right to require Contractors and Subcontractors to submit a copy of
said forms to the City.
D. Notice to Subcontractors. Bidders shall notiff all potential Subcontractors
submitting price quotations for portions of the Work of the requirements concerning
payment of prevailing wage rates, payroll records, hours of Work, and employment
of apprentices.
SPECIAL CITY REQUIREMENTS
Special City forms and their instructions are an integral part of these specifications and
failure to submit same may be grounds, in the sole discretion of the City, for rejection of
any Bidder.
A. Living Wage Ordinance and Prevailing Wage Where Applicable. Contractor, and
Subcontractors, if any, shall comply with the terms and conditions of Ordinance
No. 1187, the City's Living Wage Ordinance. Upon request, certified payroll
documents shall be provided to the City. If there is a difference between the Vernon
Living Wage rates and the California Prevailing wage rates for the same
classification of labor, Contractor and subcontractor shall not pay less than the
highest wage rate for that classification.
B. Equal Employment Opportunity in Contracting. The City of Vernon is committed
to a policy of equal opportunity in contracting. Qualified firms including small
businesses and businesses owned by women, minorities, and disabled persons are
encouraged to submit bids or proposals. Contractors expressly agree to comply
with the City's ordinances and regulations regarding Equal Opportunity
Employmant as well as regulations that may be mandated by the source of the funds
supporting the Contract. Contractor certifies and represents that during the
performance of this Contract, it and any other parties with whom it may subcontract
shall adhere to equal employment opportunity practices to assure that applicants,
ernployees and recipients of service are treated equally and are not discriminated
against because of their are not discriminated against because oftheir race, religion,
religious betee color, national origin, citizenship, ancestry, disability, sex, age,
medical condition, pregnancy, sexual orientation or marital stafus. Contractor
certifies that it will not maintain any segregated facilities.
Contractor shall comply with all applicable Federal and California laws including,
but not limited to, the California Fair Employment and Housing Act (California
INSTRUCTION TO BIDDERS
l3
(lf appropiate) CONTRACT NO. (Insert #)
25.
Govemment Code Section 12900, et seq.), California Labor Code Section 1735,
and The Americans with Disabilities Act of 1990 (42 U.S.C. I2l0l et seq.).
Contractor shall require like compliance by all Subcontractors employed on the
Work.
BID PROTEST PROCEDURES
A. Any Bidder submitting a Bid directly to the City and eligible for award of the
Contract may file a protest if the Bidder complies with all of the following
requiranents and conditions:
C.
1. The Bid protest is in writing;
2. A protest based upon alleged defects or improprieties in the Contract
Documents is filed with the City prior to the Bid Deadline;
3. All other protests are to be filed and received by the City no more than five (5)
calendar days following the City's notice of intent to award the Contract; and
4. The written Bid protest sets forth, in detail, all grounds for the Bid protest,
including without limitation: all facts, supporting documentation, legal
authorities, and argument in support of the grounds for the Bid protest. All
factual contentions must be supported by competent, admissible, and credible
evidence.
Any matters not set forth in the written Bid protest will be deerned waived. Any
Bid protest not conforming to the foregoing requirernents and conditions will be
rejected by the City as invalid.
Bid Dispute tndemnification. tn the event of a Bid dispute based upon the Bidder's
submission of this Bid and the City acceptance of same, the Bidder shall indernnifu,
defend (with counsel acceptable to City), and hold harmless the City, its City
Council mernbers, anployees, md agents from liability, claims, demands,
damages, and costs arising therefrom if such dispute or action arises solely upon
the award of a Contract in compliance with federal, state, and local laws.
IEND OF DOCUMENTI
B.
INSTRUCTION TO BIDDERS
t4
(lf appropnab) CONTRACT NO. (Insert #)
EXHIBIT A
GENERAL CONDlTIONS
ARTICLE 1 . PRELIMINARY PROVISIONS
I.()I DEFINITIONS
The following words shall have the following meanings:
A. Allowance. A line item costestimate established by the City to be caded in the Base Bid sum, Contract
Sum, and Schedule of Values for Payment for a particular item of Work, which cannot be suffciently
defined so as to allow the Contractor to adequately determine fair value before the Bid Deadline.
Allowances include eslimated amounts established by the City for certain construction elements that
have not yet been fully designed or authorized for inclusion in the Work or to permit defened approval
or selection of actual materials and equipment to a later date when additional information is available
for evaluation.
B. As.Builts. The documents prepared by Contractor showing the condition of the Work as actually
built, including, without limitation, all changes and the exact locations of all mechanical, electrical,
plumbing, HVAC or other portions of the Work that are shown diagrammatically in the Contract
Documents.
C. Base Bid. The totalsum stated in the Bid Form forwhichthe Bidderoffers to perform Work described
in the Contract Documents as the base Contract Work (e.9. not designated as part ofa Bid Altemate).
D. Bid. A complete and properly executed offer by the Bidder on City-prescribed forms to perform the
Work for the prices stated in response to the Notice lnviting Bids.
E. Bid Alternate. An item of Work described in the Contract Documents as an Altemate Bid that will
be added to ordeducted from the Base Bid and the Contractor's responsibility only ifthe City accepts
the Bid Altemate.
F. Bid Forms: The City-prescribed forms which the Bidder shall complete and use to submit a Bid.
The Bid Forms include: (1) BiddeCs Proposal; (2) Schedule of Bid Prices; (3) lncumbency Certificate;
(4) Bid Bond; (5) Bidde/s Statement of Qualifications; (6) Experience fs6; (7) Trades Experience
Form; (8) Contractor Safety Questionnaire; (9) Designation of Subcontractors; (10) Affidavit of Non-
Collusion; (11) lnsurance Requirements Affidavit; and (12) forms included in the Specification
required by the type of project funding (e.9. federal, ARM, HUD, etc.).
G. Bidder. The individual, partnership, firm, mrporation, joint venture orother legalentity submifing a bid
on these Contract Documents or any part thereof.
H. Bidding Documents. Bidding Documenb include the Bidding Requirements and fe proposed
Contract Documents. The Bidding Requirements consist ot (1) Notice lnviting Bids; (2) lnstructions to
Bidders; and (3) Bid Forms. The proposed Contract 0ocuments mnsist of: (1) the Bidding
REuirements; (2) the Consfuction Contract Between City and Contracto[ (3) the Conditions of the
Contract (General, Supplementary, and Special, if applicable); (4) all Exhibits to he Contract; (5) tE
Drawings; (6) the Specifcations; (7) all Addenda issued prior to the execution of the Construction
ARTICLE 1
GC-1
J.
Contract; (8) all Modifications issued after the execution of he Construction Contmct; and (9)
Govemmental Approvals, if any, including but not limited to, permits.
Change 0rder. A Change 0rder is a written document prepared by the City reflecting the agreement
between the City and Contractor for: a change in the terms or conditions of the Contract, if any; a
speciflc Scope Change in the Work; the amount of the adjustment, if any, in the Contract Sum; and
the extent of the adjushnent, if any, in the Contract Time.
Change Order Request (COR). A Change order Request is a wriften document originated by the
Contractor, which describes an instruction issued by the City after the effective date ofthe Contract,
which Contractor believes to be a scope change that may result in changes to the Contract Sum or
Contract Time or, which describes the need for or desirability of a change in the Work proposed by
Contractor.
City or Owner. The City of Vemon, Califomia, acting through its City Council or other City officials
authorized to act for the City, acting in its poprietary ratherthan regulatory capacity in mnnection with
the Proiect.
Construction Change Directive. A written order prepared and signed by the City directing a change
in Work prior to agreement on adjustment, if any, in the Contract Sum or Contract Time, or both.
Contract Documents. The Contract Documents are enumerated in the Construction Contract
between City and Contractor and consist of: (1) the Bidding Requirements; (2) the Construction
Contract; (3) the Conditions of the Contract (General, Supplementary, and Special, if applicable); (4)
all Exhibib to the Contract; (5) he Drawings; (6) the Specifications; (7) all Addenda issued prior to the
execution of tfre Contract; (8) all Modifications issued afler the execution of the Contact; and (9)
Govemmental Approvals, including, but not limited to, permib. The intent of the Contract Documents
is to include all items necessary for the ploper execution and completon of the Work by the
Contractor. The Contract Documents are complementary, and what is required by one shall be as
binding as if required by all; performance by the Contractor shall be required to the extent consistent
with the Contract Documents and reasonably inferable from them as being necessary to produce the
indicated results.
Contract. The Contract Documents form the Contract for Construction. The Contract Represents
the entire and integrated agreement between the parties hereto and supersedes prior negotiations,
representations, or agreements, either written or oral. The Contract may be amended or modilied
on by a Modification. The Contract Documents shall not be construed to create a contractual
relationship of any kind between any persons or entities other than the Owner and the Contractor.
There shall be no third party beneficiaries of the Contract Documents.
Contract Sum. The total amount ofcompensation stated in the Construction Contract that is payable
to Contractor forthe complete performance ofthe Work in accordance with the Contract Documents,
Contract Time. The total number of days set forth in the Construction Contact within which
Substantial Completion of the Work must be achieved beginning with the Date of Commencement
established in the Notice to Proceed, subject to ad.lustments in accordance with the terms of the
Contract Documents. The Contract Time for Contractor's performance of the Work is measured in
calendar days (not work days).
Contractor. The individual, partnership, firm, corporation,.ioint venture or other legal entity witt whom
the Contract is made by City, or the agent or legal representative who may be appointed to represent
ARTICLE 1
GC-2
N.
o
P
t.
M,
S,
such individual, partnership, firm, corporation, .loint venture or other legal entity in he execution of he
Contract as general confactor for construction of the Work.
Conection Period. Conection Period is synonymous with the lerms ofthe conection guarantee period
used in the Contract Documents.
Date of Commencement. The dale for commencement of the Work lixed by City in a Notice to
Proceed to Contractor,
Day. The terms 'day' or 'days' mean calendar days unless otheMise specifically designated in the
Contract Documents. The term "Work Day" or "Working Day" shall mean any calendar day except
Saturdays, Sundays and City-recognized legal holidays.
Director. The Director of the Community Service and Water Deparlment of he City of Vemon orhis/her
duly appointed representative.
Drawings. The Drawings are the graphic and pictorial portions of the Contract Documents showing
the design, location, and dimensions of the Work, generally including plans, elevations, sections,
details, schedules, and diagrams.
Extra Work. New or unforeseen work will be classified as Extra Work when determined by the City
that the work is not described in, or reasonably inferable from, the Contract Documents, the work is
not covered by any Bid line item or Allowance, and the work causes Contractor to incur additional
and unforeseen costs.
Field Directive. See, 'Work Directive.'
Final Completion. Final Completion is the stage of performance of the Work when (1) all Work
required by the Contract Documents has been fully completed in compliance with the Contract
Documents and all applicable laws including, but not limited to, corection or completion of all punch
list items noted by City upon Substantial Completion; (2) Conkactor has delivered to City an
Application for Final Payment and all closeout documentation required by the Contract Documents;
and (3) documentation of all final Govemmental Approvals has been submitted to City including, but
not limited to a final Certificate of Occupancy or equivalent Building Department sign-off has been
issued covering the entire Poect site without exception or conditions.
Force Majeure. "Force Majeure" includes but is not limited to declared or undeclared war, sabotage,
insunection, riot, or other acts of civil disobedience, labor disputes, fires, explosions, floods,
earthquakes or other acts of God.
Fragne( The sequence of new activities that are proposed to be added to an existing schedule,
Govemmenhl Approval. Any approval, authorization, inspection, certificatjon, consent, exemption,
filing, permit, registraton, plan check, ruling or similar authonzation required by any federal, state or
local law, regulatjon or procedures in order for Contractor to perform the Work.
Guarantee. Assurance to City by Contractor or product manufacturer or other specified party, as
guarantor, that the specified wananty will be fumlled by the guarantor in the event of default by the
wanantor.
ARTICLE 1
GC-3
T.
W.
X.
AA.
BB.
ll.
DD.
FF.
NN.
oo.
Modification. A Modification is: (1)a written amendment to Contract signed by both parties; (2) a
Change Order; or (3) a Construction Change Directive.
Notice to Proceed. The Notice to Proceed is a document issued by the City fixing the date for
Commencement for the Work,
Parties. The City and Contractor may be referred to in the Contract Documents from time to time as
the Parties.
Permit Fees. IOPTION #1] The actual direct cosb paid by Contractor for Govemmental Approvals
and Utility Fees. [OPTION #2] Govemmental Approvals and Utility Fees as required by any agency to
be paid by he City of Vemon.
{lf applicable} Permit Fees Reimbursement. A payment made to the Contractor by the City in addition
to the Contract Sum to mmpensate Contractor for the actual dircct cost of all Permit Fees.
Project. The Proiect is the total construction of which the Work performed under the Contract
Documents may be the whole or a part and which may include construction by the City or by separate
contractors.
Project Manual/Contract Package. The volumes of Contract Documents and reference documents
assembled for the Work made available to Bidders.
Record Documents. The Drawings, Specifications, addenda, requests for information, bulletins,
Change Orders and other modifications to the Contract Documents, approved shop drawings,
product data, samples, mock-ups, permits, inspection reports, test results, daily logs, schedules,
subcontracb, and purchase orders. Records Documenb shall include a set of "As-Built' Drawings
and Specifications, which shall be continuously updated during the prosecution of the Work.
The physical area designated in the Contract Documents for Contractot's performance of the
Specifications. The Specifications are the volume(s) assembled for the Work that includes, without
limitation, the Bidding Documents, the Construction Contract and Exhibits, the General Conditions,
Supplementary and/or Special Conditions, if any, the 'GREENBOOK' STANDARD
SPECIFICATIONS FOR PUBLIC WORKS CONSTRUCTION (2012 Edition), the Standard Plans for
Public Works Construction (2009 Edition), State of California, Department of Transportation
Standard Plans and Standard Specifrcations (2010 Edition), and the City ofVemon Standard Plans.
Specifications. The Specifications are that portion of the Contract Documents consisting of the
written requirements for materials, equipment, systems, standards, and workmanship for the Work
and performance of related services, including, but not limited to, the Project Technical
Specifications, Standard Speciflcations, if any, and any applicable Trade Association Specifications.
Substantial Completion. Substantial Completion is defined to mean the stage in the progress of
the Work when the Work is sufficiently complete in accordance with the Contract Documents as
determined by the City so that the City can occupy and utilize the Work for its intended use and as
further defined in the Contract Documents.
Unilateral Change Order. See 'Work Directive."
JJ.
LL. Site.
Work.
PP.
ARTICLE 1
GC4
1.02
OO. Utility Fees. The fees charged by any public, private, cooperatve, municipal and/or govemment line,
facility or system used for the caniage, transmission and/or distribution of cable television, electric
power, telephone, water, gas, oil, petoleum, steam, chemicals, sewage, storm water or similar
commodity including, but not limited to fees for temporary utilities and refuse hauling.
RR. Wananty. Assurance to City by contractor, installer, supplier, manufacturer or other party responsible
as wanantor, for the quantity, quality, performance and other representations of a prcduct, system
service of tp Work.
SS. Work. The term "Work" means the construction and other services required by, and reasonably
inferable from the Contract Documents, whether completed or partially completed, and includes all
other labor, materials, equipment, and services provided or to be provided by the Contractor to fulfill
the Contracto/s obligations. The Work may constitute the whole or a part ofthe Project.
TT. Work Directive. A Work Directive is a unilateral written order issued by the City directing Contractor
to continue performance ofthe Work or to perform a disputed change in the Work priorto agreement
or adjustment, if any, in the Contract Sum, Contract Time, or both.
REPRESENTATIVES
A. The Director shall be the represenlative of he City and, except as otherurise expessly provided
herein, shall make all decisions and interpretations to be made by the City under the provisions of the
Contract Documents.
B. The Contractor shall at all times be represented on the Work in person or by a duly designated agent.
lnstructions and information given by the Director to the Contracto/s agent on the Work shall be
considered as having been given to the Conlractor.
PERMITS, INSPECTIONS. PLAN CHECKS, AND SIMILAR GOVERNMENTAL APPROVALS AND
UTILITIES
A. [OPTION #1] Except as otheMise provided in the Notice lnviting Bids, the Contnactor shall apply for,
obtain, and pay for all permits including, but not limited to, building or structure permits, plumbing
system permits, mechanical system permits, electrical system permits, structural system permits,
demolition permits, excavation permits, street use permib, driveway permits, sidewalk, curb, sewer,
gutter, crosswalk, paving or other street work grading permits, streeUutility use permits, OSHA permits,
fire sprinkler permits, fence permits, blasting permits, landscaping/inigation permits, and pemits to
demolish, remove, or make major alterations to any designated historic resource; inspections; and plan
checks obtained after the Date of Commencement of the Work. The Notice lnvitjng Bids contains a list
of permits and other Govemmental Approvals and Utility Fees obtained and paid for by the City prior to
the Date of Commencement; Contractor is responsible for obtaining all Govemmental Approvals and
Utility Fees not listed in the Notice lnviting Bids.
IOPTION #2] City of Vemon shall obtain all Govemmental Approvals and Utllity Fees required for the
construction of the poject.
B. [OPTION #1] The City will rcimburse Contractor monthly for the documented actual direct cost paid to
govemmental agencies or utilities for all Permit Fees acmrding to the payment provisions of the
Contract Documents after submission to the City of the Contracto/s and/or Subcontractors' original
receipts from the govemmental entities or utilities ('Permit Fee Reimbursement'). Contractor shall
deliver the original receipt to the City's Project Manager with each permit. All Permit Fees shall be
ARTICLE,l
GC-5
r.03
separately itemized in each Application for Payment and copies ofthe receipt(s) and permit(s) must be
aftached. The Base Bid sum / Confact Sum shall include the cost of administration and coordination
for all Govemmental Approvals and Utility Fees.
IOPTION #2] {lf applicable) Contractor shall obtain a no-fee encroachment permit from the City of
Vemon's Public Work, Water and Development Services Department.
C. All documents evidencing Contracto/s satisfaction with all Govemmental Approvals and Utility Fees
must be submitted to the City prior to submission of the Application for Final Payment.
D. Where requirements of the Govemmental Approvals differ from those of the Drawings and
Specifications, the more stringent requirements shall apply.
E. [OPTION #1lUnless othenrise specilied in he Contract Documents, Contractor shall be responsible
for payments of all Utility Fees from the Date of Commencement until City's Final Acceptance of the
Work.
1.04 LICENSES
The Contractor shall apply for, obtain, and pay for all licenses equired by goveming authorities for he Work.
{lf qplrcaileJ Contsactor shall apply and pay for a City of Vernon business license.
1.05 ALLOWANCES
A. Contractorshall include in the Contract Sum and Schedule of Values for Payment, the City's estimated
cost established for each Work item covered by an Allowance stated in the Contracl Documents. See
Paragraph 1.01 for definition of Allowance.
B. The line item mst estimate established by the City for Work covered by an Allowance includes the mst
to Contractor of: all materials and equipment, preparation of submittals; labor; transportation; delivery;
handling; installation; supervision; overhead; profit; licenses; bonds; insurance; allsales, use and ofpr
taxes legally chargeable; and all other costs and expenses incidental to such Work.
C. Work items mvered by Allowances shall be supplied with such materials and equipment and for such
prices appoved in advance by City. Contractor shall notifo and request City's approval of material
equipment, and pricing information for Work covered by an Allowance before odering the matenal or
equipment and in sufficient trme to avoid delay to the Work. City shall povide approval of materials,
equipment, and prices with reasonable promptness. The material, equipment, and pricing information
submitted by the Contractor to he City's Project Manager shall, at a minimum, include product data
and detailed msts of material, equipment, and labor to mmplete such Work, itemized by costs incuned
by Contractor and each subcontractor associated with the performance of such Work. Contractor shall
not order materials or equipment or proceed with Work mvered by an Allowance until the material,
equipment, and pricing information for such Work items have been submifted to the City's Project
Representative for review and the Contractor has received City's approval to proceed with a Work item
covered by an Allowance.
D. All expenditures for Allowance Work shall be separately itemized in each Application for Payment.
E. To the extent that the cost of Work items covered by an Allowance is less than the Allowance cost
estimate established by the City, the Contact Sum shall be reduced by Change Order or Construction
Change oirective to reflect the actual cost of the Allowance item. Similarly, to the extent the cost of
ARTICLE 1
1.06
1.07
Work ltems covered by an Allowance is greater than the Allowance cost estmate, the Contract Sum
shall be increased by Change Order or ConsEuction Change Directive to reflect the actual mst of the
Allowance item. lf Work items covered by an Allowance are not performed or the City deletes such
items from the Smpe of Work, the Contract Sum shall be reduced by Change Order or Construction
Change Directive to deduct the Cost of tre unused Allowance item.
WAIVER
A waiver by City of any breach of any term, covenant, or condition contained in the Contnct Documents shall
not be deemed to be a waiver of any subsequent breach of the same or any other term, covenant, or condition
contained therein, whether oflhe same or a different character.
DATA TO BE FURNISHED BY THE CONTRACTOR
The Contractor shall fumish he Director witr such information as tre Director may desire respecting the
character of the materials and the progress and manner of he Work, including all information necessary to
determine the Contracto/s costs, such as the number of persons employed, heir pay, the time during which
they worked on the various classes of construction, and other perttnent data.
CONTRACT DRAWNGS
The City will accept no responsibility for enors resulling from misinterpretation or scaling of he Drawings.
SPECIFICATIONS AND DMWNGS
A. The Contractor shall keep on the Work Site a copy of all Specifications, Drawings, and Change
Orders pertaining to the Work and shall at all times give he Director access thereto. Anything
mentioned in he Specifcations and not shown on the Drawings or shown on the Drawings and not
mentioned in the Specificatons shall be of like effect as though shown or mentioned in both.
B. ln genenl, the Drawings will show dimensions, psitions, and kind of construction; and he
Specifications will define materials, quality, and standards. Any Work not particularly detailed,
marked or specified, shall be the same as similar parts that are detailed, marked or specified.
C. The Drawings shall not be scaled to determine dimensions, and in all cases shall be calculated fom
figures shown on he Drawings. Any discrepancies between scale and figured dimensions, not
marked "not to scale," must be brought to the Directo/s attention before proceeding with the Work
afiected by the discrepancy.
D- Omissions from the Drawings and/or Specifications shall not relieve he Contractor ftom the
responsibility of fumishing, making, or installing all items required by law or code, or usually
fumished, made or installed in a project of the scope and generalcharacter indicated by he Drawings
and Specmcauons.
E. For convenience, the Drawings and Specifications may be ananged in various trade subparagraphs,
but such segregation shall not be considered as limiting the Work of any subcontract or trade. The
Contractor shall be solely responsible for all subcontract arangements of the Work regardless of tre
location or provision in he Dnwings and Specifications.
F. The City will fumish free of charge to the Contractor, a maximum of six (6) sets of Confact Drawings
ARTICLE,I
1.08
r.09
and Specifications. The Contractor shall pay for the costs of any additional sets or portions thereof.
The Contractor shall be responsible to see that all sets are the same as the up{o{ate approved set.
1.10 PRECEDENCE OF CONTRACT DOCUMENTS
A. ln the event of conflict between any of the Contract Documents, the provisions placing a more
stringent requirement on he Contractor shall prevail. The Contractor shall provide the better
quality or greater quantity of Work and/or materials unless othenrise directed by City in writing. ln
the event none of the Contract Documents place a more stringent requirement or greater burden
on the Contractor, the controlling provision shall be that which is found in the document with higher
precedence in accordance with the following order of precedence:
1. Govemmental Approvals including, but not limited to, permits required for the Work
2. Modifications issued after execution of the Contract (including modifications to Drawings
and Specifications)
3. The Contract, including all exhibits, attachments, appendices and Addenda, with later
Addenda having precedence over earlier Addenda
4. Special Conditions, if any
5. GeneralConditions
6. Specifications
7. Drawings
8. Bidding Requirements
B. With reference to the Drawings, the order of precedence is as follows:
1. Change Order Drawings
2. Addenda Drawings
3. Contract Drawings
4. Project Drawings
5. Standard Drawings
6, DetailDrawings
7. General Drawings
8. Figures
9. Scaled dimensions
ARTICLE ,1
GC{
C. Within the Specifications, the order of precedence is as follows:
1. Change Orders
2. Special Conditions
3. ProjectTechnicalSpecifications
4. Standard Specifications, if any
5. ApplicableTradeAssociationSpecifications
1.11 NOTICE OF CONFLICTS
lf the Contractor, in the course of the Work, becomes aware of any claimed conflicts, enors or omissions in
the Contract Documents or in the City's fieldwork or work of City's separate contractors, the Contractor shall
immediately notify the Director in writing. The Director shall promptly review the matter, and if the Director
finds a conflict, enororomission, the Directorshall determine the conective actions and advise the Contractor
accordingly. lfthe conection associated with a conflict, error or omission increases or decreases the amount
of Work called for in the Contract, the City shall issue an appopriate Change Order in acmrdance with the
Contract Documents. After discovery of an enor or omission by the Contractor, any related additional work
performed by he Contractor shall be done at the Contracto/s risk unless authorized by the Director.
1.12 REPORTS
A. Daily Construction Reports: The Contractor shall prepare a daily construction report recording the
following information conceming events at Project site:
1. List of Subcontractors at Project site.2. List of other contractors at Project site.3. Approximate count of personnel at Project site.4. Equipment at Proiect site.5. Material deliveries.6. High and low temperafures and general weather conditions, including presence of rain or
snow.7. Accidents.8. Meetings and significant decisions.9. Unusualevents.10. Stoppages, delays, shortages, and losses.11. Meter readings and similar recordings.12. Emergencyprocedures.13. Orders and requesb of authorities having jurisdiction.
14. Change orders received and implemented.'15. Construction Change Directives received and implemented.16. Services connected and disconnected.
17 . Equipment or system tesb and startups.'18. Partial mmpletions and occupancies.19. SubstantialCompletionsauthorized.20. List of visitors to Project Site.21. List of peconnel at P@ect Site including names and job classifications.22. Description of Work for the day including locations, quantities and related bid items.
ART CLE 1
GC-9
lmmediately upon discovery of a difference between field conditions and the Contract Documents, the
Conkactor shall prepare and submit a detailed report through a Request for lnformation (RFl). lnclude a
detailed description of the differing conditions, together with recommendations for a remedy.
The Daily Construction Report must be: signed by Contractods Superintendent, submitted within 24 hours
(next Working Day) to the Director, and shall be made available to othe6 as directed by City.
1,I3 LINES. GMDES, AND MEASUREMENTS
A. All lines and grades will be established by the Contractor. The Contractors shallcarefully preserve all
survey stakes and reference points as far as possible. Should any stakes or points be removed or
destroyed unnecessarily by any act of the Contractor or his/her employees, they must be reset to the
satisfaction of the Director, at the Contracto/s expense.
B. The Contractor shall inform the Director 48 hours (two Work Days) in advance of the times and places
at which he/she intends to Work in order that inspection may be provided, and that necessary
measuremenls for records and payments may be made with minimum inconvenience.
C. No direct payment will be made for the cost to the Contractor of any of the Work or delay occasioned
by giving lines and gndes, by making other necessary measurements, or by inspection.
1.14 RIGHT OF WAY
A. The site for the installation of equipment or the right of way for the Work to be constructed under this
Contract will be provided by the City.
B. The City will provide the appropriate rights of way and property tor pipelines and structures. Upon
approval by the Director, the Contractor may, without cost, use portions of any of the City's rights of
way or property which may be suitable for working space and for storage of equipment and
materials. The Contractor will be held responsible for any damage to structures, streets, and roads,
trees and landscaping, and for any damage that may result fiom his/her use of City property.
C. ln case areas additional to those available on the City's righb of way or propery are required by the
Contractor for his/her operations, he/she shall make anangements with he property owners for the use
of such additional aeas at his/her own expense.
I.15 CONTRACTOR'SOPERATIONS/STORAGEYARD
ln the event the Contractor requires space for the storage and/or staging of construction materials, supplies,
equipment, stockpiling ofdebris, or any other needs required forconstruction opeEtions, he/she shall acquire at
his/her own expense such areas as he/she may desire. For propertes within he City of Vemon, he staging
area must be enclosed at Contracto/s expense with construction fencing mvered with a mesh screen to limit
visibility to the site. Private property used for storage ofconstruction materialor debris shall be restored to a legal
condition with regard to appearance and maintenance upon conclusion ofthe project. Property should be graded
and free of weeds and debris when project is completed.
ARTICLE 1
GC-10
[END OF ARTICLE]
ARTICLE 2.PERFORMANCE OF THE WORK
PERFORMANCE OF WORK. GENEML
Contractor shall, at its own mst and expense, fumish all necessary materials, labor, transportation, and
equipment fordoing and performing said Work and the materials used shallmmply with the requiremenb of the
Contract Documents. All Work shall be performed and mmpleted as required in the Contract Documents, and
subject to the approval of the Director, or his/her designated assistant.
NO ASSIGNMENT OR DELEGATION
Contraclor shall nol assign or delegate he duties or obligations under this Contract or his/her interest therein in
whole or in part without the prior written consent of the City which may be withheld at the Cig's sole discretion.
STANDARD OF PERFORMANCE
Contractor agrees that all services performed hereunder shall be provided in a manner commensurate with the
highest professional standards and shall be performed by qualified and experienced peconnel; hat any Work
performed by Contractor under the Contract will be performed in the best manneq that any material fumished
shall be subject to $e approval of the Director; and that both Work and materials will meet fully the requirements
of the Contract Documents. Any work deemed unacceptable by the Director, whether a cause is determined or
not shall be repaired or replaced by Contractor at Contracto/s expense,
The Contractor shall be responsible for the final product and shall make any quality control, adjustrnents and
conections necessary to obtain the final product accepted by the City Engineer. The Contractor shall perform
process and quality control sampling and testing and exercise management control the work of his/her
subcontractors, technicians and workers to ensure that the milling, transporting, recycling, spreading,
compaction, and finishing processes conform to these Specifications. The proficiency of testing laboratories
and sampling and testing personnel shall be reviewed and approved by the City Engineer prior to providing
services to the project. The City Engineer shall have unrestricted access to the laboratory, sampling, testng
sites, and all information resulting from mix design and quality control activities. All Quality Control testing
results shall be submitted to the Cig Engineer on a daily basis.
DEFECTIVE WORK
Within the time periods that the City specifies, the Contractor shall conect all defrcient, improperly executed, or
unsatisfactory Work determined by the City.
The Contractor shall remove and shall repair or replace, at his/her own expense any part of the Work that is
deficient, improperly executed, or unsatisfactorily executed, even though it has been included in the monthly
estimates. lf he/she refuses or neglecb to remove, repair, or replace such defective Work, prior to the City's
acceptance of the Work, it may be replaced by the City at the expense of he Contractor, plus 15% for overhead
expenses, and his/her sureties shallbe liable therefor. (See Paragraph 2.15 for curing defects afier acceptance
of the Work.)
ARTICLE 2
GC-11
2.05 CIW'S RIGHT TO CARRY OUT THE WORK
Notwithstanding other remedies available to the City, if the Contractor defaults, fails to perform Work
required by the Contract Documents, or otherwise neglects to carry out the Work in accordance with
the Contract Documents and fails within a 48 hour period after receipt of written notice from the City to
commence and conect such default, failure to perform, or neglect with diligence and promptness, the
City, at its sole discretion and without obligation, may, with its own or outside forces, perform the Work
Contractor has failed to perform and/or replace or conect deficiencies in the Work. ln such case, a
Change Order or Construction Change Directive shall be issued deducting from payments then or
thereafter due to the Contractor the cost of completion, replacement or conection of such deficiencies,
including compensation for additional services by the City's project management staff, the Architect,
and their respective consultants made necessary by such default, failure to perform, or neglect, plus
15% for City's overhead expenses. lf payments then or thereafter due the Contractor are not sufficient
to cover such amounts, the Contractor shall pay the difference to the City immediately. This remedy is
cumulative.
The City also has the right, but not the obligation, to self-perform or have outside forces perform portions
of the Work previously assigned to Contractor. ln such case a Change Order or Construction Change
Directive shall be issued, reducing the Contract Sum by the Unit Price(s) applicable to such deleted
Work or, in the absence of Unit Prices, an amount that reflects the reasonable cost of performing such
deleted Work and the Allowable Mark-Up applicable to such deleted Work.
2.06 COMMUNICATIONS AND NOTICES REGARDING THE WORK
Notices under the Contract Documents shall be in writing and (a) delivered personally, (b) sent by
certified mail, retum receipt requested, (c) sent by a recognized ovemight mail or courier service,
with delivery receipt requested, or (d) sent by facsimile communication followed by a hard copy and
with receipt confirmed by telephone, to the following addresses (or to such other address as may
from time to time be specified in writing by such Person):
All correspondence with Contractor shall be sent to the following address:
Attention:
Phone:
Facsimile:
All communications shall be copied to City and shall be delivered to City's Director at the address
set forth below, with copies to such additional persons as may be directed by City's Director.
Community Service and Water Department
4305 Santa Fe Avenue
Vemon, CA 90058
Attention:
Phone:
ARTICLE 2
GC-12
{INSERT PROJECT MANGER'S NAME}
Facsimile:
E-mail:
Notices shall be deemed received when actually received in the office of the addressee (or by the
addressee if personally delivered) or when delivery is refused, as shown on the receipt of the U. S.
Postal Service, private canier or other Person making the delivery. Notwithstanding the foregoing,
notices sent by facsimile after 4:00 p.m. Pacific Standard or Daylight Time (as applicable) and all
other notices received afier 5:00 p.m. shall be deemed received on lhe first business day following
delivery (that is, in order for a fax to be deemed received on the same day, at least the first page of
lhe fax must have been received before 4:00 p.m.). Any technical or other communications
pertaining to the Work shall be conducted by Contracto/s Project Manager and technical
representatives designated by City. Contracto/s representatives shall be available at all
reasonable times for consultation, and shall be authorized to act on behalf of Contractor in matters
conceming lhe Work.
Contractor shall copy City on all writlen conespondence pertaining to the Contract between
Contractor and any Person other than Contracto/s SubcontractoB, consultants and attomeys.
Notification of Affected Residents/Businesses - The Contractor shall be responsible fordistribution of
the general information letter of the project to all affected residents and businesses. A project general
information letter and sufficient copies thereof will be prepared by City staff for Contractor distribution
to all residents, business establishments, and institutions fronting on or directly affected by the p@ect.
The Contractor shall be responsible for distribution of said lefter in handout form to all the appropriate
residences and buildings in the subject area. Distribution shall be accomplished in a manner
acceptable to the City Engineer and shall be fve (5) working days prior to the beginning ofconstruction
operations in the immediate vicinity. ln addition to the above, the Conlractor shall be fully Esponsible
for such other notifications as may be required related to necessary closures of streets, alleys,
driveways, etc., or to unavoidable access or parking restrictions. These notifications shall apply where
the closures and access or parking restrictions required in the performance of any work under this
conkact preclude any resident, tenant, or property owner from utilizing the premises or conducting
business thereon rn a reasonable and customary manner.
Additional notification to the affected businesses and residents shall be prepared by the City and
distributed by the Contractor for roadway and driveway closures five (5) working days in advance of
any construction work. No removal or excavation work is allowed until the additional notification has
been distributed to the affected residents and businesses.
lf a Contractor is unable to adhere to his schedule as indicated on his written notification, then all the
affected residents and places of business shall be re-notified of the revised schedule, in writing, as
indicated above.
Contractor costs for all of the above notifications shall be considered as included in the appropriate
items of the Bid Proposal.
Notilication of Utilities - The provisions of Section 5 entitled "Utilities" of the 'Greenbook' Standard
Specifications shall apply. The Contractor shall contact the Underground Service Alert of Southem
Califomia (U.S.A.) at least two working days in advance of the construction work
ARTICLE 2
GC.13
D
B
INDEPENDENT CONTRACTOR
The Contractor in the performance of the Work hereunder will be acting in an independent capacity and not
as an agent, employee, partner, or joint venfure of the City.
EMERGENCYWORK
A. During Working Hours:
ln case of an emergency which threatens loss or injury of property, and/or safety of life during working
hours, the Contractor shall act, without previous instructions from the City, as the situation may
wanant. He/she shall notify the Director of the emergency and the action taken immediately
thereafter. Any compensation claimed by the Contractor, together with substantiating documents in
regard to expense, shall be submitted to the Director within 15 calendar days after the emergency.
Compensation, if allowed, will be paid for as Extra Work.
B. Outside of Working Hours:
Whenever, in the opinion of the City, there shall arise outside of the regular Working hours on the
Contract Work of an emergency nature which threatens loss or injury of property, or danger to public
safety, the Contractor shall act, without previous instructions from the City as the situation may
wanant. He/she shall notify the Director of the emergency and the action taken immediately
thereafter. Any compensation claimed by the Contractor, together with substantiating documents in
regard to expense, shall be submitted to he Director w'thin 15 calendar days afier the emergency.
Compensation, if allowed, will be paid for as Extra Work. ln the event the Conhactor is not able to
respond to an emergency outside of regular working hours, the City's forces will handle such
emergency Work. lf such emergency arises out of or is the result of oprations by he Contractor, the
cost of the conective measures will be billed to the Contractor and deducted from his/her payment as
provided in the Contract Documents. The performance of emergency Work by City forces will not
relieve the Contractor of any of his/her responsibilities, obligations, or liabilrties under the Contract.
SUBCONTMCTORS
A. Each subcontract shall mntain a reference to the Contract between the City and the principal
Contractor, and he terms of the Contract and all parb thereof shall be made part of each subcontract
insofar as applicable to he Work covered thereby. ll in the Director's opinion, the Subcont"ctor fails
to comply with the requiremenb ofthe principal Contmct insofar as the same may be applicable to the
Subcontractor's Work, the Director may disqualify the Subcontractor.
B. Nothing contained in these Contract Documents shall be construed as creating any contractual
relationship between any Subcontractor and the City.
C. The Contractor shall be considered the employer of the Submntractors and shall be fully responsible
to the City for the acb and omissions of Subcontractors and of persons employed by them as the
Contractor is for the acts and omissions of persons direcfly employed by him/her.
D. The Contractor shall be responsible for the coordination of the tndes, Subcontractos, and material
suppliers engaged upon the Work. lt shall be the Contracto/s duty to see that all of his/her
Subcontractos commence their Work at the proper time and carry it on with due diligence so that
they do not delay or injure either the Work or materials; and that all damage caused by them or their
workers is made good at his/her expense.
ARTICLE 2
GC-14
2.07
E. The City will not undertake to settle differences between the Contractor and his/her Subcontractors or
between subcontractors.
F. The Contractor shall utilize the services of specialty SubcontractoB, without additjonal expense to the
City, on those parts of the Work which are specified to be performed by specialty contractors.
2.10 USE OF FACILITIES PRIOR TO COMPLETION OF CONTRACT
A. Whenever in the opinion of the Director any Work under the Contract, or any portion(s) thereol is in a
condition suitable for use by the City, the City may, after written notice and designation from the
Director to the Contractor, use (t/vhich includes, but is not limited to, taking over or placing into
service) any portion(s) designated by the Director.
B. The use of any portion(s) by the Cig shall not be constued as, and will not constitute acceptance in
any sense, of any portion(s) of the Work of the Contractor nor will such use trigger the running of any
wananty and/or guarantee periods,
C. All necessary repairs, renewals, changes, or modifications in fte Work or any portion thereof so used,
not due to ordinary wear and tear, but due to defective materials or workmanship, the operations of
the Contractor, or any other cause, shall be made at the expense ofthe Contractor.
D. The use of any portion(s) by the City shall not relieve the Contractor of any of his/her responsibilities
or liabilities under the Contract nor constitute a waiver by the City of any of he conditions thereof.
Said use shall not cancel liquidated damages as of the first date of use, or any continuance thereof,
nor impair, reduce, or change the amount of liquidated damages.
2.11 COOPEMTION WTH OTHERWORK FORCES
A. The City reserves the right to perform other Work at or near the site at any time by the use of ib own
forces or other contactors.
B. Other contractors, other utililies and public agencies or their contactors, other City contractors, and
City personnel may be working in the vicinity during the proiect mnstruction period, There may be
some interference between these activities and the Work under the Contract Documents. The
Contractor shall cooperate and coordinate his/her Work with hat of other Work forces to assure
timely Contract completion.
2.12 AGREEMENTS WITH PROPERTY OWNERS
Agreements with property owners for storing excavated material, storing any other materials, or for any other
purpose related to the Work shall be made in writing and a copy submitted to the Director for his/her
information. All storage charges shall be at the Contractois sole expense.
213 PROTECTION OF PROPERTY
All public and private property, pavement or improvement, shall be safely guarded ftom damage or loss in
connection with this Contract by the Contractor at alltimes. Should anyfacility, structure, or poperty be damaged
during operations of the Contractor, he/she shall immediately notiry the property owters or auhorities. All
damages and losses incuned shall be paid by the Contractor.
ARIICLE 2
GC.15
2.14 CONTRACTOR'S RESPONSIBILITIES FOR LOSSES OR LIABILITIES
A Risk of Loss
Except as othenrise provided in the Contract Documents and except as to the cost of repair or
restoration of damage to the Work caused by force majeure, the Contractor shall bear all losses
resulting to him/her on account of the amount or character of the Work, or from any unforeseen
obstructions or difficulties which may be encountered, or from any encumbnnces on the line of the
Work, or because the nafure of the ground in or on t/vtlich the Work is done is different from what is
assumed. The Contractor shall bear the risk for any Crty equipment, material, or supplies with which
he/she has been enkusted.
B. Materials and Faciliti6
The Contractor shall be responsible for malerials and facilities as hereinaffer provided and in the
event of his/her failure to carry out said responsibilities, the same may be canied out by the City at the
expense of the Contmctor:
1 . The Contractor shall be responsible for any materials so fumished and for the care of all
Work until ib completion and final acceptance, and he/she shall at his/her own expense
replace damaged or lost materials and repair damaged parts of the Work.
2. The Contractor shall protect City facilities from damage resulting from his/her Wo*. City
facilities damaged by, or as a result of, the Contractor's Work under his Contract shall be
repaired or replaced, as directed by the Director, at tE Contracto/s expense.
3. The Confactor shall remove from the vicinity of he completed Work all buildings, rubbish,
unused material, mncrete forms, and other materials belonging or used under his/her
direction during mnstruction. lf Contractor fails to completely remove such items within a
reasonable time the City may do so at the Contracto/s expense.
C. Laws and Regulations
1. The Contractor shall obey all laws, ordinances, and regulations in any manner affecting hose
engaged or employed on the Work, or the materials used in the Work, or in any way afiecting
the conduct of the Work, and of all court orders and decrees having any jurisdiction or authority
over the same. lf any discrepancy or inconsistency should be discovered in this Contract, or in
the Drawings or Specifications herein refened to, in relation to any such law, ordinance,
regulation, order, or decree, he/she shall immediately report the same in wnting to the Director.
2. Contractor shall, at all times, cause all his/her agents and employees to observe and comply with
all such applicable laws, ordinances, regulations, orders, and decrees in efiect or which may
become effective before Final Completion of this Contract.
3. Nothing in he Contract Documenb shall be construed to permit Work not conforming to such laws,
ordinances, and regulations. lf the Contractor ascertains at any time that any requirement of this
Contract is at variance wth such applicable law requirement, he/she shall immediately notry the
Director.
4. lf such applicable law requirement was not in effect on he date of submission of bids, any
necessary adiustrnent of the Confact price shall be made as provided in Article 6 herein. lf such
ARTICLE 2
applicable law requirementwas in effect on said date of bid submission, no adjustment of Contract
price will be considered.
5. The Contractor, at his/her own expense, shall pay all taxes properly assessed against his/her
equipment, materials, or property used or required in connection with the Work.
2.15 WARMNTY ANO CORRECTIONS
A. Wananty1. Wanantv. The Contractor wanants to he City that: (i) materials and equipment fumished
under the Contract will be of good quality and new unless olhemise required or permifted by
the Contract Documents; (ii) the Work will be of good quality and free fom defecb; (iii) he
Work will conform to the requiremenb of the Contract Documents; and (iv) Contractor will
deliver the Project free of stop notce claims. Work not mnforming to these requirements,
including substitutions not accepted by the City, will be deemed defective. The Contractor's
wananty excludes improper or insufiicient maintenance, improper operation, or normal wear
and lear and normal usage. lf required by he City, the Contractor shall fumish satisfactory
evidence as to the kind and quality of materials and equipment. This wananty is not limited
by the conection obligation of Paragraph 2.04 herein.
2. Overlap. Where any wananties provided under the Contract Documents overiap, conflict, or
are duplicative, Contractor will be bound by the more stringent requirements.
3. Procurement and Assiqnment of Wafianties: Contractor shall obtain in the name of City, or
transfer or assign to City or City's designee prior to tE tjme of Final Completion of the Work,
any and all wananties or guarantees wlrich Contractor is required to obtain pursuant to the
contract Documenb and which Contnctor obtained ftom any other person or entity other than
Contractor including, but not limited to, Subcontracto6 and manufacturers, and furtheragrees
to perform tp Work in such a manner so as to preserve any and all such wananties.
Contractor shall secure written wananlies from all Subcontractors, Contractor and its
Subcontractors shall offer any wananty upgrades or extensions that are offered by
manulacfurers of any equipment or system installed in the Work to the City. Contractor shall
deliverto City all wananty and guarantee documents and policies.
4. Suruival of Wananties: The provisions of this paragraph 2.15 will survive Contmcto/s
completion of the Work or termination of Contractois performance of he Work.
B. Conection of Work
1. Before or After Final Completion The Contractor shall promptly conect Work rejected by
the City or City's designee, as failing to conform to the requirements of the Contract
Documents, whether discovered before or afler Final Completion and wheher or not
fabricated, installed, or completed. Costs of conecting such rejected Work, including
additional testing, inspections, and compensation for the City's services and expenses
made necessary thereby, will be at the Contracto/s expense within the Contract Price.
2. Afier Final Completion.
(a) ln addition to the Contractor's wananty obligations under Paragraph 2.15-4, rt,
within one ('l) year after the date of Final Completion of the Work or within the time
period established by any applicable special warranty required by the Contract
ARTICLE 2
GC-17
Documents, any of the Work is found to be not in accordance with the
requirements of the Contract Documents, the Contractor shall commence
conection or replacement of such Work within forty+ight (48) hours after receipt
of written notice from the City to do so. The Contractor shall perform such
conective work without charge or cost to the City after Final Completion of the
Work. The City shall give such notice promptly after discovery of the condition.
(b) lf the Contractor fails to commence correction or replacement of non-conforming
Work within forty-eight (48) hours after receipt of written notice, the City will
proceed to have defects repaired or replaced at he expense ofthe Contractor and
its Performance Bond surety, plus fifieen percent (15%) for the City's overhead
and administrative expense. The City may charge such cosb against any
payment due Contractor. lf, in the opinion of the City, defective work creates a
dangerous or hazardous condition or requires immediate conection or aftention to
prevent further loss to the City or to prevent intenuption of operations of the City,
the City may take immediate action, give notice, make such conection, or provide
such attention and the cost of such mnection or attention will be charged against
the Contractor. Such action by the City will not relieve the Contractor of the
wananties provided in this Article or elsewhere in the Contract Documents.
3. Reolacement or Removal of Defedive or Unauthoized Wolk. The Contractor shall remove
from the Site and replace those portions of the Work which are not in accordance with the
requirements of the Contract Documenb in a manner acceptable to and as ordered by the
Director. No compensation shall be allowed for such removal or replacement. Director
shall have authority to cause defective work to be remedied, removed or replaced and to
deduct he costs from monies due or to become due to the Contractor.
4. Destruction or Danaqe. ln the eventthe Contractor destroys ordamages any construction
of the City or another contractor while conecting or emoving Work which is not in
accordance with the requirements of these Contract Documents, the Conlractor shall bear
the cost of repairing or reconstructing that other construction as well.
5. No Limitation Nothing contained in Paragraph 2.15-8 will be construed to establish a
period of limitation with respect to other obligations which the Contractor might have under
the Contract Documenb. Establishment of the one-year period for conection of Work as
described in Paragraph 2.15-8 relates only to the specific obligation of the Contractor to
conect the Work, and has no relationship to he limitations periods established by statute
for any construction defect or other causes of action.
2.16 CLEANING AND ENVIRONMENTAL CONTROLS
The Contractor, Subcontractors and employees shall mmply with all litter and pllution laws and it shall be he
responsibility of the Contractor to ensure @mpliance. The Contractor shall do all of the following:
A. Maintain the Site tee of waste materials, debris, and rubbish and in a clean and orderly condition;
and Remove waste materials, debris and rubbish from site and dispose ofi-site legally.
B. The Contractor shall maintain at his/her disposal any and all equipment necessary to prcvent and
remediate any sanitary seweroverflow arising out ofthe Work. The Contractorshallfumish and operate
a self-loading motor sweepr wh spray nozzles, as directed by the Director, to maintain the affected
areas in a condition of cleanliness acceptable to he City at all locations affected by he Conractor's
ARTICLE 2
GC-18
operations. For purposes of fris Paragraph, the affected arcas include the project Srte as well as all
haul routes to and from he project Site and all aeas of construction and restoration which have not
been mmpleted.
C. The Contractor shall take appropriate action to ensure that no dust originates from the project Site.
D. Any equipment or vehicles driven and/or operated within or adjacent to a sfeet gutter, storm drain,
runoff conveyance or ocean shall be checked and maintained daily to prcvent leaks of materials that
if introduced to water could be deleterious to aquatic life.
E. No debris, soil, silt, sand, bark, trash, sawdust, rubbish, cement or concrete or washings thereol oil or
petroleum products orotherorganic or earthen materialfncm any construction, or associated activity or
whatever nature shall be allowed to enter into or placed where same may be washed by rainfall or
runoff into waters of the State. When operations ae completed, any excess materials or debris shall
be removed from the Work area.
2.17 WATER POLLUTION CONTROL
A. The Contractor shall comply with the requirements of Vemon Municipal Code Chapter 21, Article
5 regarding Storm Water controls.
B. Water Quality Protection Requirements for Construction Projects with Less than One (1) Acre of
Disturbed Soil.
All construction projects, regardless of size, will be required to implement best management
practices (BMPS) necessary to reduce pollutanb to the Maximum Extent Practicable (MEP) to
meet the minimum water quality protection requirements as defined in Table 2-1.
ARTICLE 2
GC-19
Table 2-'t
Minimum Water Quality Protection Requirements for Construction Projects
Category Minimum Requirements BMPs
1. Sediment Control Sediments generated on the project site shall be retained
using adequate Treatment Control or Structural BMPs.
Sediment Control
2. Construction Materials
Control
Construction-related materials, wastes, spills or residues
shalt be retained at the project site to avoid discharge to
streets, drainage facilities, receiving waters, or adjacent
properties by wind or runoff,
Non-storm water runoff from equipment and vehicle washing
and anv other activity shall be contained at the Droiect sites.
Site Management;
Material and Waste
Management
3. Erosion Conkol Erosion from slopes and channels shall be controlled by
implementrng an effective combination of BMPs, such as the
limiting of grading scheduled during the wet season;
inspecting graded areas during rain events; planting and
maintenance of vegetation on slopes; and covering erosion
susceptible slopes.
Erosion Control
Please refer to the Califomia Stormwater Qualig Association's Construction Handbook (available on their website:
www.cabmphandbooks.com) for further information regarding the BMPs listed in Table 2-1.
C. Water Quality Protection Requirements for Construction Projects with One (1)Acre (or greater)
of Disturbed Soil, ln addition to the minimum BMPs required in Paragraph A, all construction projects
where at least one (1) acre of soil will be disturbed, construction activity that results in land surface
disturbances of less than one acre if the activity is part of a larger common plan ofdevelopment, or the
sale of one or more acres of disturbed land surface requires a Construction Activities Storm Water
General Permit (2009-0009-DWQ Permit).
Prior to commencement of construction activities, the Permit Registration Documents (PRDs) must be
submifted electronically in the Storm Water Multi-Application Report Tracking System (SMARTS)(ntto:lsmarts.waterO ). PRDs consist of the Notice of
lntent, Risk Assessment, Post-Construction Calculations, a Site Map, the Storm Water Pollution
Prevention Plan (SWPPP), a signed certification statement by the Legally Responsible Person (LRP),
and the first annual fee.See: r more
information. A Waste Discharger ldentification (WDID) will be emailed to the LRP after the PRDs have
been submitted and are deemed complete. Construction activities cannot begin until a WDID is issued
by the State Water Resources Control Board. Contractor shall bear the costs of any delays to the
Proiect caused by a delay in obtaining its WDID.
The SWPPP shall include:
1 . The name, location, period of construction, and a brief description of the poect;
2. Contact information for the owner and contractor;
3. The building permit number for the project;
4. The grading permit numberforthe project (where applicable);
5. A list of major construction materials, wastes, and activities at the poect site;
6. A list of best management practices to be used to control pollutant discharges from major
construction matenals, wastes, and activities;
ARTICLE 2
GC-20
D.
7. A site plan (construction plans may be used) indicating the selection of BMPs and their
location where appropriate;
8. Non-storm water discharges, their locations, and the BMPS necessary to prevent the
discharge;
9. A maintenance and self-inspection schedule of the BMPS to determine the effectiveness
and necessary repairs of the EMPS; and
10. A certification statement that all required and selected BMPs will be effectively
implemented.
Within seven (7) days after the City awards the Contract, the Contractor shall submit seven fl) copies
of the proposed SWPPP to the City. The City shall review the SWPPP within 1 4 days of receipt of the
plan. lf revisions are required, the Contractor shall revise and re-submit the document within seven (7)
days of its receipt of the City's commenb. The City shall then have seven (7) days to consider the
revisions made by the Contractor and approve the SWPPP.
The Contractor shall maintain a minimum of two (2) readily accessible copies of the SWPPP at the
Project site. The SWPPP shall be made available upon request of a representative of the Los
Angeles Regional Water Quality Control Board (LARWQCB) or the U.S. Environmental Protection
Agency (U.S. EPA). Requesb by environmental groups and the public shall be directed to the City.
Best Management Practices
The objective of the SWPPP is to identify potential sources of pollution that may reasonably affect
the quality of storm water discharge associated with construction activities. The plan will describe
and ensure the implementation of Best Management Practices (BMPs) which will be used to
reduce pollutants in the storm water discharges from the construction site. A Best Management
Practice is detined as any program, technology, process, operating method, measure, or device
that controls, prevents, removes, or reduces pollution. The Contractor shall select appropriate
BMPs from the Califomia Stormwater BMP Handbook, Municipal, lnduslrial, New Development,
and Construction Volumes (www.cabmohandbooks.com) in conjunction with all activities and
construction operations. Copies of the California Stormwater BMP Handbooks may be obtained
from:
CalifomiaStormwaterOualityAssociation Cashier
P.0. Box 2313
Livermore, CA 94551
www.cabmohandbooks.com
Los Angeles County DPW
900 South Fremont Avenue
Alhambra, CA 91803
Tel. No. (626) 458-6959
lmplementation
The Conkactor will be responsible throughout the duration of the Proiect for the installation,
monitoring, inspection and maintenance ofthe BMPs included in the SWPPP and for removing and
disposing of temporary BMPs. The Contractor may be required to implement additional BMPs as a
result of changes in actual field conditions, contracto/s activities, or construction operations.
The Contractor shall demonstrate the ability and preparedness to fully deploy these SWPPP
control measures to potect soil-disturbed areas of the project site before the onset of precipitation
and shall maintain a detailed plan for the mobilization of sufficient labor and equipment to fully
deploy these control measures.
ARTICLE 2
GC-21
F.
Throughout the winter season, active soil-disturbed areas of the project site shall be fully protected
at the end of each day with these control measures unless fair weather is predicted through the
following day. The Contractor shall monitor daily weather forecasts. lf precipitation is predicted
prior to the end of the following workday, construction scheduling shall be modified, as required,
and the Contractor shall deploy functioning control measures prior to the onset of the precipitation.
The City may order the suspension of conslruction operations which are creating water pollution if
the Contractorfails to conform to the requirements ofthis Paragraph2.1l . Unless otherwise directed
by the City, the Contractor's responsibility for SWPPP implementation shallcontinue throughout any
temporary suspension of the Work.
Sewage Spill Prevention. The Conkactor's attention is directed to the sewer bypass operation
required during any sewer construction pursuant to he 2012 edition of the 'Greenbook" Standard
Specifications for Public Works Construction, Section 500.1.2.4 or as that section is subsequently
amended.
The Contractor shall exercise extraordinary care to prevent the cause of events that may lead to a
sewage spill. ln the event of a sewage spill, the Contractor shall make anangements for an
emergency response unit comprised of emergency response equipment and trained personnel to
be immediately dispatched to the project site.
The Contractor shall be fully responsible for preventing and containing sewage spills as well as
recovering and propedy disposing of raw sewage. ln addition, the Contractor is responsible for any
fines, penalties and liabilities arising from negligently causing a sewage spill. Any utility that is
damaged by the contractor shall be immediately repaired at the Contractois expense. The
Contractor shall take all measures necessary to prevent furher damage or service intenuption and
to contain and clean up the sewage spills.
Sewage Spill Telephone Notifi cation
Should a sewage spill occur, the Contractor shall immediately report the incident to either one of
these two City Departments:
Sewer Maintenance Services
Fire Department Dispatch Center 911
The Contractor is encouraged to obtain telephone numbers, pager numbers and cellular telephone
numbers of City representatives such as Proiect Managers and lnspectors. However, ifthese City
representatives are not available, then the Contractor shall immediately call:
Sewage Spill Written Notification
The Contractor shall prepare and submit a written report to the Director within three (3) Working
Days from the occunence of a spillto the City. This report shalldescribe all of tlre following:
1. The exact location on the Thomas Guide map
2. The nature and volume
3. The date, time and duration
ARTICLE 2
GC-22
(J.
4. The cause
5. The type of remedial and/or cleanup measures taken and date and time implemented
6. The corrective and preventive action taken, and
7. The water body impacted and results of necessary monitoring
l. Enforcement
The City is subject to enforcement actions by the LARWQCB, U.S. EPA, environmental groups and
private citizens. The Contractor shall indemnify, defend and hold City, its officers, agents and
employees harmless from Contractor's failure to comply and/or fulfill the requiremenls set forth in
this Paragraph 2.17. Contractor shall be responsible for all costs and liabilities imposed by law as
result of Contracto/s failure to comply and/or futlill the requirements set forth in this Paragraph 2.'17.
The costs and liabilities include, but are not limited to fines, penalties and damages whether
assessed against the City or the Contractor.
ln addition to any remedy authorized by law, any money due to the Contractor under this contract
shall be retained by the City until all cosb and liabilities imposed by law against the City or Contractor
have been satisfied.
J. Maintenance
The Contractor shall ensure the proper implementation and functioning of BMP control measures
and shall regularly inspect and maintain the conslruction site for the BMPs identified in the
SWPPP. The Contractor shall identif, conective actions and time frames in order to properly
address any damaged measure, or reinitiate any BMPs that have been discontinued.
lf the City identifies a deficiency in the deployment or functioning of identified control measures, the
deficiency shall be conected by the Contractor immediately or by a later date and time if agreed to
by Director and if requested in writing, but not later than the onset of tre subsequent precipitation
events. The conection of deficiencies shall be at no additional cost to the City.
K. Payment
All costs involved in the implementation of the SWPPP, including fumishing all labor, materials,
tools, equipment and all incidentals; and for doing all the work involved in installing, constructing,
maintaining, removing, and disposing of conlrol measures, except those that were installed as a
part of another structure, shall be included in the unit prices bid for the various related items of
work and no additional compensation will be made therefor.
2,18 SOLID WASTE DISPOSAL AND DIVERSION
The Contractor shall submit to the Director the following summary of solid waste generated by the Work,
disposed in Class lll landlills, or diverted fom disposal through recycling. Report disposal in inert fill
separately. This form must be accompanied by legible copies of weight tickets, receipts, or invoices that
specilically identify the project generating the material. Said documenb must be from recyclec and/or
disposal site operators that are acceptable to the Director. Further, the documents must be submitted to the
Director with each application for progress payment. Failure to submit the form and its supporting
documentation will render the application for progress payment incomplete and delay progress payments.
ARTICLE 2
Project Title:
SUMMARY OF SOLID WASTE DISPOSAL AND DIVERSION
Specification No.
Type of Material (a)
Disposed in Clas lll Landfills
(b)
Diverted from Class lll
Landfills by Recycling
(c)
[Leave This Column Blank]
(d)
Disposed in lnert Fills
Tons/CY Tons/CY Tons/CY Tons/CY
Asphalt
Concrete
Metal
0her Segregated Materials
(Describe):
Miscellaneous Constuction
Waste
Tota
Form to be submitted to the City
SIGNATURE:
TITLE:
DATE:
2.19 RECYCLED.REUSABLEANDRECYCLABLEPRODUCTS
The Conkactor is encouraged to propose recycled, reusable and recyclable products for use by the City.
Those items should be clearly identified. The City may require fufter information or documentation to
ascertain the suitability/appropriateness of a proposed product.
IEND OF ARTTCLEI
ARTICLE 2
GC-24
3.01
ARTICLE 3. TIME OF COMMENCEMENT AND COMPLETION
COMMENCEMENT, PROSECUTION. AND COMPLETION OF WORK
A Notice to Proceed
The Contractor is not authorized to perform any Work the Contract Documents until heishe has
received from the City an official notification to commence Work. The date on which the notification is
received by the Contractor is herein refened to as the Notice to Proceed. The Contractor shall
commence Work on the Date of Commencement established in the Notice to Proceed is issued. The
Notice to Proceed shall be issued affer the Contract is proper{y executed, bonds are fumished and
approved, and insurance has been submitted and approved.
B. Prosecution of the Work
Work shall be continued at all times with such force and equipment as will be sufficient to complete it
within the specified time. The Contractor expressly proposes hat he/she has taken into mnsideration
and made allowances for all ordinary delays and hindrances to the Work to be performed and that
he/she will complete tp Work within the specified time.
C. Required Contract Completion
Time is of the essence in the completion of this Contract. The Work shall be completed in its entirety
and made ready for service within ( ) calendar days following the Date of
Commencement established in the Notjce to Proceed ("Conbact Time"). By executing the Contract,
Conlractor confirms that the Contract Time is a reasonable period for performing the Work.
CITS DECRETION TO EXTENO CONTRACT TIME
ln the event the Work required hereunder is not satisfactorily mmpleted in all parts and in compliance with the
Conlract Documents, Crty shall have fie right, in its sole discretion, to increase the number of Working Days or
not, as may seem best to serve the interest of City. A change order extending the Contract Time only will be
issued by the City should the City decide to increase the number of Working Days.
SUBSIANTIAL COMPLETION
A. Contractor Request for lnspection and Punch List
When the Contractor considers that it has achieved Substantial Completion of the Work, or
designated portion thereof, Contractor shall prepare and submit to the Director a request for
inspection and a comprehensive punch list of items to be completed or conected prior to Final
Payment. Failure to include an item on such punch list does not alter the responsibility of the
Contractor to complete all Work in accordance with the Contract Documents.
B. Cig lnspection
Upon receipt ofthe Contractor's punch list, the Directorwill make an inspection to determine whether
the Work or designated portion thereof is Substantially Complete. lf the inspection discloses any
item, whether or not included on the Contractor's punch list, which is not sufficiently complete in
accordance with the Contract Documents so that the City can occupy or utilize the Work or
ARTICLE 3
l'lu-z)
3.02
3.03
designated portion thereof for its intended use, the Contractor shall, before City's issuance of the
Certificate of Substantial Completion, complete or conect such item upon notification by City. The
Conkactor shall then submit a request for another inspection by City to determine Substantial
Completion.
C. Certificate of Substantial Completion
When the Work or designated portion thereof is substantially complete, the Director will prepare a
Certificate of Substantial Completion which shall establish the date of Substantial Completion, shall
establish responsibilities ofthe City and Contactor for security, maintenance, utilities, damage to the
Work, and insurance, and shall fix he time within which the Contractor shall linish all items on the
Contractois punch list accompanying the Certificate. Wananties required by the Contract
Documents shall commence on the date of Substantial Completion of the Work. Contractor shall
deliver to City all wananty and guarantee documents and policies.
DELAYS AND EXTENSIONS OF TIME FOR CONTRACTOR
A. The Contractor shall take reasonable precautions to foresee and prevent delays to the Work. ln the
event of any delay to the Work, the Contractor shall revise his/her sequence of operations, to the
extent possible under the terms of the Contract, to offset the delay.
B. lfany delay to the Work is caused by circumstances within the Conkacto/s control, it is not excusable
and not compensable, and the Contractor will not be entitled to any extension of time orto any other
compensation for damages resulting directly or indirectly therefrom.
C. lf any delay having a direct effect on the Work is caused by circumstances beyond the control of the
Contractor except for causes ofdelay specified in Paragraph 3.04-D., such delay may be excusable
and may entitle the Contractor to an equivalent extension of time, but not to any other compensation.
Excusable but not compensable causes include but are not limited to labor disputes, weather
conditions unfavorable for prosecution ofthe Work, and force majeure.
D. lf any delay having a direct effect on the Work is caused by failure of the City to provide information
as specified, or necessary instructions for carrying on the Work, or to provide the necessary right of
way or site for installation, or failure of a utility to remove or relocate an existing facility such delay
may be compensable and may entitle the Contractor to an equivalent extension of time, and to
compensation for damages resulting directly from any of the causes of delay specifed in this
paragraph.
E. The Contractor shall notiff the Director in writing of any delay having a direct effect on the Work and
the causes thereof within 15 days from the beginning of such delay.
F. Any claim for an extension of time or for compensation for damages resulting from delay shall be
made in writing to the Director not more than 30 days after the ending of such delay. The Contractor
shall pDvide a written report evaluating the impact of the delay which shall include, at a minimum,
all of he following:
1. a nanative description of the delay and ib impact on the critical path to Substantial Completion ot
the Work or a portion of the Work designated by City;
2. a detailed breakdot/vn of the Allowable Costs, if any, sought by Contractor due to the delay;
ARTICLE 3
GC-26
3. the number of days of extension sought by Conhactor as an adjustment to the Contract time;
4. a statement that Contractor has complied with the requirements of the General Conditions for
written notice of delays, along with the dates and copies of such notices;
5. the measures taken by Contractor and Submntractors to prevent or minimize the delay; and
6. the Contacto/s recommendations for reordering or re-sequencing he Work to avoid or minimize
fufier delay.
No extension of time or compensation for damages resulting from delay will be granted unless the
delay affects the timely completion of the overall Work under the Contract or the timely completion
of a portion of the Work for which a Ume of completion is specified.
G. The Director will investigate the facts and ascertain the extent of the delay, and his/her findings
thereon shall be final and mnclusive.
H. Failure of the Conkactor to give written notice of a delay, or to submit or document a claim for an
extension of time or for damages resulting from delay in the manner and within the times stated
above shall constitute a waiver of all claims thereto.
l. When a Contractor experiences two concunent delays, one compensable and the other excusable,
no compensation other than an extension of time will be allowed,
J. An extension of time must be approved by the Director to be effective, but an exlension of time
whether with or without consent of the sureties, shall not release the sureties from their obligations,
which shall remain in full force until the discharge of tre Contract.
3.05 CLTMATTCCOND|T|ONS
A. The Director may suspend the Work whenever weather conditions or conditions resulting from
inclement weather are unfavorable for the prosecution of he Work. The delay caused by such
suspension may entitle the Contractor to an extension of time but not to any other compensation.
B. lf the Contractor believes that Work should be suspended under this Paragraph 3.05, he/she may
request such suspension. The delay caused by such suspension may entite the Contractor to an
extension of time but not to any other compensation.
C. No extension oftime will be granted lor suspension of Work unless the suspension affects the timely
completion of all Work under the Contract or the timely completion of a portion of the Work for which
a time of completion is specified. Determination that the suspension for inclement weather mnditions
or conditions resulting from inclement weather affecb timely completion and entites the Contractor
to an extension of time shall be made and agreed to in writing by the Diector and the Contractor on
each day that Work is suspended. ln the event of failure to agree, the Contractor may protest under
the provisions of Paragraph 7.07.
D. lf Work is suspended and an extension of time is granted under this Paragraph 3.05 the Contractor
will be entitled to a one day extension of time for each day that he/she is unable to Work at least
one-halfof his/her cunent normal Work day; and ifthe Work is suspended at the regularstarling time
on any Work day and the Contractor's Workforce is dismissed as a result thereof, then he/she will
ARTICLE 3
be entitled to a one day extension of time whether or not conditions change thereafter and the major
portion of the day is suitable for Work.
COMPLETION AND ACCEPTANCE
Upn request by the Contractor, the Director shall conduct a final inspection of the Work. lf, in the
Directods opinion, Final Completion has been achieved, the Director will accept the Work by issuing a
"Notice of Completion" of the Work to the Contractor. Upon the issuance of the Notice of Completion
the Contractor will be relieved from responsibility to protect the Work.
Wrthin 15 calendar days after issuing the Notice of Completion, the Director will record the Notrce of
Completron wrth the County Remrder.
3.07 LIQUIDATEDDAMAGES
Contractor and City agree to liquidate damages in the amount of _ dollars ($_) per day,
wift respect to Contracto/s failure to achieve Substantial Completion of the Work within the Contract
Time. The Parties intend for he liquidated damages set forth herein to apply to this Contract as set
forth in Govemment Code Section 53069.85. The Contractor acknowledges and agrees that the
liquidated damages are intended to compensate City solely for the Contractor's failure to meet the
deadline for Substantial Completlon and shall not excuse Contactor from liability from any other
breach, including any failure ofthe Work to mnform to the requirements ofthe Contract Documents.
ln the event that Contractor fails to achieve Substantial Completion of the Work within the Contract
Time, Contractor agrees to pay City the amount specilied in the Contract form for each calendar day
that Substantial Completion is delayed.
Contractor and City acknowledge and agree that the foregoing liquidated damages have been set
based on an evaluation of damages that the City will incur in the event of late completion of he Work.
Contractor and City acknowledge and agree that the amount of such damages arc impossible to
ascertain as of the effective date hereof and have agreed to such liquidated damages to fix City's
damages and to avoid later disputes. lt is undeBtood and agrced by Contractor hat liquidated
damages payable pursuant to this Agreement are not a penalty and that such amountare not manifestly
unreasonable under the circumstances existing as of the effective date of this Agreement.
It is further mutually agreed that City shall have the right to deduct liquidated damages against progress
payments or retainage and that the City will issue a Consuuction Change Directive and rcduce the
Contract Sum accordingly. ln the event the remaining unpaid Contract Sum is insufficient to mver the
full amount of liquidated damages. Contractor shall pay the difference to City.
[END OF ARTICLE]
ARTICLE 3
GC.28
B
3.06
D.
ARTICLE 4 - CONSTRUCTION SCHEDULES
BASELINE PROJECT SCHEDULE
The Contractor shall submit his/her work Baseline Project Schedule, in electronic as well as hard+opy format,
to the Director at the pre{onstruction meeting showing in detail how the Contractor plans to execute and
coordinate the Work. The construction schedule shall show the sequence of work, critical path and estimated
time for completion of each segment of work. This schedule must be reviewed and accepted by the Director
before the Contractor will be permitted to begin work. ln addition, the Contractor shall submit a detailed schedule
forecasting two (2) weeks of work describing each day's work. This schedule shall be updated and submitted to
the City every other Monday during the construction period. The Contractor shall give 48 hours notice to the City
Engineer prior to the start of the work.
Format
1.At a minimum, the Baseline Project Schedule activities shall be mded on a work discipline basis
and by geographic area or location on the Project. The Baseline Project Schedule shall include a
detailed description ofeach activity code. The Baseline Project Schedule shall be based on and
incorporate conlract milestone and completion dates specified in the Contract Documents. lt shall
depict evenb, jobs, and their intenelalionships and shall recognize the progress that must be made
on one task before subsequent tasks can begin. The schedule shall be comprehensive and shall
include all logical interdependencies and interactions rEuired to perform the WoIk of the Project.
Overalltime of completion and time of completion foreach milestone shown on the Schedule shall
adhere to the specified Contract Time, unless an earlier (advanced) time of completion is
rEuested by Contractor, agreed to by the Crty and formalized by Change Order.
Contractor shall use the latest version of Microsoft Project or equivalent software agreed to by
the parties.
The City will review the submitted Baseline Project Schedule for mnformance with these
scheduling requirements. Within fourteen (14) calendar days afrer receipt, the City will accept the
proposed Baseline Project Schedule or will retum it with comments. lf the proposed Baseline
Project Schedule is accepted by the City, it shall be deemed part of the Contract Documents. lf
the Baseline Project Schedule is not accepted by City, Contractor shall revise the Easeline Project
Schedule, in accordance with the recommendatrons of tE City, and re-submit same for
acceptance, no later than seven (7) calendar days afrer receipt ofsaid recommendation.
Acceptance of Baseline Project &hedule by City, failure to include an element of work, or
inaccuracy in Baseline Project Schedule shall not relieve Contmctor from the responsibility for
accomplishing the Work in accordance with the ContEct Documents.
Float
1. Critical Work activities are delined as Work activities which, if delayed or extended, will delay the
scheduled mmpletron of the milestones and/or time of completion. All other Work activities are
defined as non{ritical Work activities and are considered to have float. Float is defined as he
time that a non-critical Work activity can be delayed or extended without delaying the scheduled
completion of the milestones and/or time of completion. Float is considered a Proiect resource
available to either party or both parties as needed. Once identified, Contractor shall monitor,
account for, and maintain float in accordance with Critical Path Methodology.
ARTICLE 4
GC-29
3.
4
2. Delays of any non-critical Work shall not be the basis for an extension of Contract Time until the
delays consume all float associated with that non+ritical Work activity and cause the Work activity
to become critrcal.
3. lt is acknowledged that City-caused time savings (i.e., critical path submittal reviews retumed in
less time than allowed by the Confact Documents, approval of substlution requesb which result
in a savings of trme for Contractor, etc.) create shared float. Accordingly, City-caused delays may
be offset by City-caused time savings.
Weather (This section applies only to projects of one (1) year duration or longer)
The completion time contemplated by this Contract anticipates lost days (Work Days)
duetonormalweatherconditonsannuallyandproratedforanydurationlesshantwelvemonths.only
unusual or exteme weather mnditions, as determined by the National Oceanic and Atrnospheric
Administration, for the time of year will be considered asiustilication for an extension of timeto complele
the Proiect, and only after the weather days have been utilized. Annual weather days
are not cumulalive, and unus€d days shall become 'floaf forthe benefit of the project, and the schedule
adjusted accordingly. The use of weather days by the Contractor shall be sub.lect to all the conditions
of claim for an extension of time. The Contractor shall notify the City in writing within ten (10) days of
the commencement of each rain event.
D. Early Completion
While the Contractor may schedule completion of the Project earlier than the date established by the
Contract Documents, no additional compensation shall become due the Contractor for the use of float
time between the Contractods projected early completion date and the date for Substantial Completion
established by the Contact Documenb, unless an earlier (advanced) time of mmpletion is requested
by Contractor, agreed to by the City, and formalized by Change Order.
4.02 SCHEDULEUPDATES
A. With each Applicatlon for Payment submifted by Contractor (other than the final Applicatron for
Payment), the Contractor shall submit to the City an updated POect Schedule revised to indicate the
Work completed, status of Work in progress, all progress slippages, corective actions taken, or
slippage carryover, for all anticipated delays or dfficulties, and all other information required to
accurately present the actual status of the progress of the Work as of the date of the Application for
Payment. lf the Contractor does not submit an updated Project Schedule with an Applicaton for
Payment, City may withhold payment, in whole or in part, untll the updated Poject Schedule is
submifted. ln the event that an update to the Project Schedule indicates a delay to the Contract Time
the Contractor shall propose an affirmative plan to corect each such delay, including overtrme and/or
additional labor, if necessary. ln no event shall any Project Schedule update constitute an adjustment
in the Contract Time, any deadline, or the Contract Sum unless any such ad.lustment is agreed to by
the City and autl'lorized pursuant to Change Order or Work Directive.
B. At no time shall historical data contained within he updated Project Schedule (i.e. completed activities)
be removed and/oraltered in any way. This historicaldata isto be preserved within eachofthe updated
Project Schedules and submitted with the final schedule update to reflect the actual start and finish
dates for each activity within the &hedule.
C. Any work stoppages within individual work activrties that exceed seven (7) calendar days in duration
shall be cleady indicated within the updated Project &hedule. ln cases where unplanned activity work
ARTICLE 4
GC.3O
stoppages exceed seven (7) calendar days activities shall be added to the Proiect Schedule to clearly
indicate the work stoppage period and identifi/ forecasted resumption and mmpletion of he activity
where work has stopped. Contractor shall clearly note all schedule revisions when Project Schedule
updates are submitted, as required in this Paragraph 4.02 above.
NONCOMPENSABLE EXTMORDINARY MEASURES
A. Should the City determine, in ib sole judgment, that the performance of the Work has not progressed
to the level of completion required by he Contract Documents, City shall have the right to order the
Contractor to take conective measures to expedite the progress of construction, at no additional cost
to the City, including, without limitation, the following:
1. Working additional shifts of overtime.
2. Supplying additional manpower, equipment, and/or facilities.
3. Reschedule activities to maximize practical mncunence of accomplishment of activities.
4. Submitting a Recovery Schedule discussed above, for resequencing performance of the Work or
oher similar measures.
5. Any other actions that may be necessary to mitigate delays-
B. Such Extraordinary Measures shallcontinue untilthe progress ofthe Work is no longerbehind schedule
and/or reaches the stage of completion required by the Contract Documents. Contractor shall not be
entitled to an adiustrnent in the Contract Sum in connection with the performance of any such
Extraordinary Measures required by the City under this Paragraph. The City may exercise the rights
fumished the City pursuant to this Paragraph as frequently as he City deems necessary to ensure that
the Contracto/s performance of the Work will comply with the Contract Time or interim completion
dates set forth in the Confact Documents. lf Contractor or its Subcontractors fail to implement or
commence Extraordinary Measures within ten ('10) calendar days of City's written demand, City may,
without prejudice to other remedies, take conective action at the expense of the Contractor which shall
reduce the Contract Sum accordingly.
CONDITION OF PAYMENT
Compliance by Contractor with the requirements of the Contract Documenb pertaining to preparation,
submission, evising and updating of the Schedule is a condition precedent to City's obligation to make payment
to Contractor of any or all sums that might otherwise be due to Contractor in the absence ofsuch noncompliance.
Payment by City undercircumshnces in which City, for any reason, fails or elects not to assert its right to withhold
payment for noncompliance with this Paragraph shall not be const ued as a waiver ofthe right to withhold future
payments on account of such noncompliance or any other noncompliance.
[END OF ARTICLE]
ARTICLE 4
GC-31
ARTICLE 5. SUSPENSION OR TERMINATION OF CONTRACT
TERMINATION BY THE CONTRACTOR
Contactor shall have the right to terminate its performance of the Contract only upon the occunence
of one of the following:
'1, The Work is stopped for a period of ninety (90) consecutive days through no act or fault of the
Contractor, any Subcontractor, Sub-subconfactor, their agents or employees, or any other
peEons or entities performing portions of the Work under direct or indirect contract with the
Contnactor, due to:
a. the issuance of an order of a cou( or other public authority having jurisdiclion; or
b. an act ofgovemment, such as a declaration of national emergency making material
unavailable;
and Contractor has given City written notice within ten (10) days of the occunence ofsuch gound
fortermination, then the Contractor may, upon thirty (30) additional calendardays written notice to
City, unless the reason has theretofore been cured, terminate its performance of the Work,
2. The Work is stopped for a period of 120 consecutive days through no act or fault of Contractor,
any Subcontactor, Sub-subcontractor, theiragents oremployees, orany other persons orentities
performing podions ofthe Work under direct or indirect contract with the Contractor, because the
City has persistently failed to perform any material obligation under the Contract Documents and
fails to cure such default within ninety (90) days after the receipt of notice ftom Contractor stating
the nature of such defautt.
lf Contractor terminates its performance of the Contract in accordance with this Paragraph 5.01, the
City shall pay Contractor for the Wo* executed though the date of termination as set forth in Paragraph
5.04-C below.
TERMINATION BY THE CITY FOR CAUSE
Grounds
The City shall have the right to terminate the Contracto/s performance of the Contract, in lvhole or in
part, without liability to City if:
1. Contractor fails promptly to begin the Work under the Contract Documents; or
2. Contractor refuses or fails to supply enough properly skilled workers or proper materials; or
3. Contractor fails to perform the Work in accordance with the Contract Documenb, including
conforming to applicable standards set foffi therein in consbucting the Poject, or refuses to
remove and replace rejected materials or unacceptable Work; or
4. Contractor discontjnues the prosecution of the Work (exclusive of work stoppage: (a) due to
termination by City; or (b) due to and during the continuance of a Force Majeure event or
suspension by City); or
ARTICLE 5
GC.32
B.
5.0r
5.02
5. Contractor fails to resume performance of Work which has been suspended or stopped, w'hin a
reasonable time after receipt of notice from City to do so or (if applicable) after cessation of the
event prevenlrng performance; or
6. Any representation or wananty made by Contractor in the Contract Documenb or any certifcate,
schedule, instrument, or oher document delivered by Contractor pursuant to the Contract
Documents shall have been false or materially misleading when made; or
7. Contractor fails to make payment to Subcontractors or Material Suppliers for materials or labor in
accordance with the respective Conbact Documents and applicable law; or
8. Contractor disregards laws, ordinances, or rules, regulations, or orders ofa public authority having
jurisdiction; or
9. Contractor is guilty of breach of a provision of the Contact Documenb; or
10. Contractor becomes insolvent, is adiudicated bankrupt, or makes a general assignment for the
benefit of creditors and fails to provide City witr adequate assurances of Conbacto/s ability to
satisry ib contractual obligations.
A receiver, trustee, or otherjudicial offcer shall not have any right, title, or interest in or to the Contract.
Upon that peEon's appointment, City has, at its option and sole discretion, he right to immediately
cancel the Contract and declare it null and void.
B. City's Rights.
lthen any of the rcasons specified in Paragraph 5.02-A exist, the City may, in addition to and without
preiudice to any other righb or remedies of the City, and after giving the Contractor five (5) calendar
days written notice, terminate Contracto/s performance of the Work, in whole or in part, and may:
1. Take possession of the site and all materials, equipment, tools, mnstruction equipment, and
machinery thereon owned by he Contractoc
2. Withhold from Contractor amounts unpaid hereunderand to offset such amounts againstdamages
or losses incuned by City;
3. Accept assignment of subcontracts from Conhactor, at the sole discretion of City, and
4. Finish the Work by whatever reasonable method the City may deem expedient.
Upon request of the Contractor, the City shall fumish to the Contractor a detailed accounting of the
costs incuned by the City in finishing the Work.
C. Costs
lf City's costs to complete and damages incuned due to Contractois default exceed he unpaid
Contract balance, the Contractor shall pay the difference to he City.
D. Wrongful Termination
lf it has been adiudicated or otheMise determined that City has wongfully terminated the Contractor
for cause, then said termination shall be deemed converted to a termination for convenience as set
ARTICLE 5
GC-33
forth in Paragraph 5.04 and Contractor's remedy for wrongful termination in such event shall be limited
to the recovery of the paymenb permitted for termination for convenience as set 1orth in Paragraph
5.04.
PARTIAL DELETION OR SUSPENSION OF WORK BY THE CITY
A. Contractor agrees that the City may determine whether any or all of the Work described in he Contnct
Documents shall be deleted or performance suspended without electing to terminate the Contracto/s
performance under the Contract and without any penalty being incured by the City.
B. Any such partial deletion or suspension of the Work shall in no way void or invalidate the Contract nor
shall it provide Contractor wth any basis for seeking payment tom City for Work deleted or suspended
except to the extent such Work has already been prformed and is othenrise compensable under the
Contract.
C. The City shall have the rightto later have any such suspended ordeleted Work performed by Contractor
or others without any penalty to the City.
D. ln the event of any pa al or complete deletion or suspension of Work, the City shall fumish Contractor
with prompt written nolice thereol and the City shall be entitled to take possession of and have as its
property all Record Documents, Accounting Recods, and other data prepared by Contractor or its
Subcontractors.
E. Suspension for Convenience.
1. The City may at any trme and fom time to time, without cause, order the Contractor, in writing, to
suspend, delay, or interupt the Work in whole or in part for such period of time as the City may
determine. Such oder shall be specilically identifed as a 'Work Suspension Directive' under his
Sectton.
2. Upon receipt of a Work Suspension Directive, Contractor shall, at the City's expense, comply with
its terms and take all reasonable steps to minimize costs allocable to the Work covered by the
Work Suspension Directive during the period of Work stoppage.
3. Within he period ofsuspension, or such extension to that period as is agreed upon by Contractor
and the City, the City shall either cancel the Work Suspension Directive or delete the Work covered
by such Work Suspension Directive by issuing a Change orderor Construction Change Directive.
4. lf a Work Suspension Directive is cancelled or expires, Contractor shall continue the Work. A
Change Order or Consbuction Change Directive will be issued to cover any adjustments of the
Contract Sum and Contract Time necessarily caused by such suspension. No adjusbnent shall be
made to he extent:
(a) That performance is, was, or would have been so suspended, delayed, or intenupted by
another cause for lvtrich the Contractor is responsible; or
(b) That an equitable adjustrnent is made or denied under anoher provision of tfre Conhact.
F. Suspensions for Cause
City has the auhority by Mitten order to suspend the Work, in whole or in part, without liability to City
for Contractods failure to:
ARTICLE 5
GC,34
'1. Conect mnditions unsafe for the Project personnel or general public, or
2. Carry out the Confact; or
3. Carry out orders of City.
G. Responsibilities of Contractor During Suspension Periods
During periods hat Work is suspended, Contactor shall mntlnue to be responsible for the Work and
shall preventdamage or injury to fie Project, provide fordrainage, and shallerect necessary temporary
structures, signs or other facilities required to maintain the Prolect and mntinue to perform acmrding
to the Contract Documents,
5.04 TERMINATION BY THE CITY FOR CONVENIENCE
A. Grounds
Without limiting any rights which City may have by reason of any default by Contractor hereunder, City
may terminate Contractor's performance of the Contract, in whole or in part, at any time, for
mnvenience upon fifteen (15) calendar days written notice to Contractor.
B. Contractor Actions
Upon receipt of such notice, Contractor shall perform the duties required by Paragraph 5.05 below.
At the election of and as directed by the City, any or all of the subcontmcts and purchase orders
entered in to by Contractor prior to the effective date of termination shall be terminated or shall be
assigned to City.
C. Compensation
1 . lf the Parties are unable to agree on the amount of a termination settlement, the Ci$ shall pay
the Contractor the following amounls:
a. For Work performed before the effective date of termination, the total (without duplication of
any items) of:
i. The cost of the Work; and
ii. A sum, as overhead and profit on the cost of the Work, determined by the City to be
fair and reasonable. ln no event shall Contractor be entifed to recover overhead or
proft on Work not performed.
b. The reasonable costs of settlement of he Work terminated, including:
i. Accounting, clerical, and other expenses reasonably necessary for fte ppparation
of termination settlement proposals and supporting data, if any; and
ii. Storage, transportation, and other costs reasonably necessary for the preservation,
protection, or disposition of inventory.
2. Such payrnent shall be Contractois exclusive remedy for termination for convenience and will be
due and payable on the same conditions as set forth for final payment to the extent applicable.
ARTICLE 5
GC-35
Upon receipt of such payment, the Contractor and City shall have no further obligations to each
other except for Contractor's obligations with respect to wananties, represenlations, indemnity,
maintenance of insurance, and other obligations that survive termination or Final Completion as
provided for herein.
3. lt is understood and agreed hat no fee, anticipated pofit, compensation for lost opportunity costs,
or other compensation or payment ofany kind or character shallbe due or payable for unperformed
Work regadless of he basis of termination and the inclusion of this provision within this
subparagraph shall in no way limit ib application to termination under this Panagraph.
4. Contractor agrees that each of its subcontracts will reserve for the Contractor the same right of
termination for convenience provided by this Paragraph 5.04.
D. No Consequential Damages
Under no circumstances shall Contractor be entitled to anticipatory or uneamed profits or conseq uential
or other damages as a result of a termination or partial termination under this Aficle 5. The payment
to Contractor determined in accordance witir this Article constitutes Contractods exclusive remedy for
a termination hereunder.
5.05 CONTMCTOR'S DUTIES UPON TERMINATION FOR CAUSE OR CONVENIENCE
lf the City terminates Contractods performance of Work under the Contract, for cause or convenience or if
Contractor lerminates a Subcontractor wih the City's approval, Contractor shall:
(1) cease performance of the Work to tfre extent specified in he notice;
(2) take actions necessary or that the City may direct, for the pmtection and preservation of he Work;
(3) settle outstanding liabilities, as directed by City;
(4) transfer tifle and deliver to City Work in pmgress, specialized equipment necessary to perform the Work;
(5) submit all Record Documents, Accounting Records and other data prepared pursuant to the Contract by
Contractor and/or its Subcontractors, as applicable, to the City with fifteen (15) calendar days afier the City's
notice of terminaUon in an organized, usable form, in both hard copy and ebcfonic/digital form, with all items
properly labeled to the degree of detail specified by the City; and,
(6) except for Wo* directed by City to be performed prior to the effective date of termination stated in the notice,
incur no further costs or expenses and enter into no furlher subcontracb and purchase orders.
No compensation shall be due Contraclor, if any, until Contractor complies with he equirements of this
Paragraph.
[END OF ARTICLE]
ARTICLE 5
ARTICLE 6 - CHANGES
CITYS RIGHT TO ORDER CHANGES
The City, without invalidating the Contract, may authorize changes in the Work consisting of additions,
deletions, or other revisions, with the Contract Sum and Contract Time being adjusted accordingly, if
necessary. All such changes in the Work shall be authorized by Change Order or Construction Change
Directive and Contractor shall perform such changes in the Work according to the applicable requirements
of the Contract Documents.
APPLICABLE PROVISIONS
Changes in the Work shall be performed under applicable provisions of the Contract Documents. The
Contractor shall proceed promptly and diligently with the change, unless otheMise provided in the Change
Order or Construction Change Directive. lt is of the essence to this Contract that all scope changes in the
Work that form the basis of an adjustment of the Contract Sum or Contract Time must be authorized in
advance in writing through either a Change Order or Construction Change Directive. A change in the Contract
Sum or the Contract Time shall be accomplished only by Change Order or Construction Change Directive.
Accordingly, no verbal directions, course of conduct or dealings between the Partes, express or implied
acceptance ofalterations or additions to the Work, or claim that the Contract has been abandoned or the City
has been unjustly enriched by any alteration or addition to the Work shall be the basis of any claim for an
increase in any amounts due under the Contract Documents or a change in any time period provided in the
Contract Documenb.
NOTICE OF SCOPE CHANGE
Contractor shall submit written notice of any change in scope to the Director if, in the Contractor's opinion,
any instruction, request, Drawings, Specifications, action, condition, omission, default, or other situation
occuc that the Contractor believes constitutes a scope change or other matter resulting in Extra Work, for
which Contractor believes it is entitled to an ad.iustment of the Contract Sum or Contract Time. Such notice
shall be provided prior to performance of the Work affected by such occurrence and within seven (7) calendar
days after the discovery date of the circumstances of such scope change or other matters. The written notice
shall state the date, circumstances, extent of adiustrnent to the Contact Sum or the Contract Time, if any,
requested. The mere presentation of such notice shall not establish the existence of any right by Contractor
to adjustnent of the Contract Sum or Contract Time. Failure to provide such timely wntten notice described
herein shall constitute a waiver by Contractor of the right to any ad.iustment to the Contract Sum or Contract
Time on account thereof.
CHANGE ORDERS
A. Computation
Methods used in determining adjustments to the Contract Sum by Change order may include those
listed in Paragraph 6.06 below.
B. Accord and Satisfaction
Agreement on any Change Order shall be a full compromise and settlement of all adjustments to
Contract Time and Contract Sum, and compensation for any and all delay, extended or additional
field and home office overhead, disruption, acceleration, inefficiencies, lost labor or equipment
ARTiCLE 6
GC-37
6.01
productivity, differing Site conditions, construction interferences and other extraordinary or
consequential damages (hereinafter called "lmpacts"), including any ripple or cumulative effects of
said lmpacts on the overall Work under the Contract arising directly or indirectly from the
performance of Work described in the Change Order. By execution ofany Change Order, Contractor
agrees that the Change Order constitutes a complete accord and satisfaction with respect to all
claims for schedule extension, lmpacts, or any costs of whatever nature, character or kind arising
out of or incidental to the Change order. No action, conduct, omission, product failure or course of
dealing by the City shallactto waive, modiff, change, or alterthe requirement that (i) Change Orde/s
must be in writing, signed by the City and Contractor and; (ii) that such written Change Orders are
the exclusive method for effectuating any change to the Contract Sum and/or Contract Time.
CONSTRUCTION CHANGE DIRECTIVE ffi IELD DIRECTIVEI
A. A Construction Change Directive shall be used in the absence of total agreement on the terms of a
Change Order. The City may by Construction Change Directive, without invalidating the Contract,
order changes in the Work within the general scope of the Contract consisting of additions, deletion,
or other revisions, the Contract Sum and Contract Time being adjusted accordingly.
B. lfthe Construction Change Directive provides for an adjustment to the Contract Sum, the adjustment
shall be calculated in accordance with Paragraph 6.06 herein (Pncing Changes in the Work).
C. Upon receipt of the Construction Change Directive, the Conbactor shall promptly proceed with the
change in the Work involved and advise the City ofthe Contracto/s agreement or disagreement with
the method, if any, provided in the Construction Change Directive, for determining the proposed
adjustment in he Contract Sum or Contract Time.
D. lf Contractor believes a Construction Change Directive constitutes a basis for adjustment to the
Contract Sum or Contract Time, then Contractor shall give a Notlce of Scope Change provided in
Paragraph 6.03, followed by a submission of a Change Order Request as required by Paragraph
6.08. Contractor shall, if requested by City in such Construction Change Directive or in a subsequent
Construction Change Directive, proceed with the performance of the Work as described in the
Construction Change Directive. Failure of Contractor to proceed with the performance of Work, as
described in the Construction Change Directive shall give the City the right to carry out the Work, as
set forth in Paragnph 2.05.
E. A Construction Change Directive signed by the Contractor indicates the Contracto/s agreement
therewith, including adjustment in Contract Sum and Contract Time or the method for detemining
them. Such agreement shall be effective immediately and shall be recorded as a Change Order.
F. lf the Contractor does not respond promptly or disagrees with the method for adjustment in the
Contract Sum, the method and the adjustment shall be determined by the City on the basis of
reasonable expenditures and savings of those performing the Work attributable to the change,
including, in the case of an increase in the Contract Sum, Allowable Mark-Ups in accordance with
Paragraph 6.06(E) herein.
ARTICLE 6
GC-38
6.05
PRICING CHANGES IN THE WORK
A. Altemative Methods of Pricing
The amount of any adjustment by Change Order or Construction Change Directive increasing or
decreasing the Contract Sum shall be determined by the Director using one or a combination of the
following methods:
1. Lump Sum. By mutual acceptance of a lump sum proposal from Contractor properly itemized
and supported by sufficient substantiating data to permit evaluation. Such poposal shall be
based solely on Allowable Costs, as defined in Subparagraph 6.06-C, and Allowable Mark-Ups,
as defined in Subparagraph 6.06-E, and shall not include any costs or expense that is not
permitted by the terms of any provision of the Contract Documents.
2. Unit Prices. By unit prices contained in Contractor's original Bid and incorporated in the Contract
Documenb or fixed by subsequent agreement between City and Contractor Unless otherurise
stated in the Bidding Documents, unit prices stated in the Contract Documents or agreed upon
by the County and Contractor shallbe deemed to include and encompass allAllowable Markups.
3. Time and Materials. By calculating the actual Allowable Costs directly incuned, plus a sum for
Allowable Mark-Ups on such Allowable Costs.
4. Deletion of Work- By Unit Prices contained in Contracto/s original Bid and incorporated in the
Contract Documents, or by using the Schedule of Values to determine the value ofthe decrease
of the Contract Sum, less the value of any Work performed, plus a reasonable percentage of
the decrease for the Contracto/s saved overhead unless the Schedule of Values allocates
general conditions costs to individual line items, in which case no percentage of the decrease
shall be added. When a change consists of both addition and deletion of Work, the added costs
and deleted costs shall be calculated separately, and then added together, resulting in the net
cost for the change. The Allowable Mark-Up shall be applied to this net cost.
B. Contractor Maintenance of Daily Records for Changes
1. ln the event that Contractor is directed to perform any Extra Work, or should Contractor
encounter conditions which the Contractor believes would obligate the City to adjustthe Contract
Sum and/or the Contract Time, Contractor shall maintain detailed records of the cost of such
changes on a daily basis summarized in a daily report supplemented by back-up records, Such
records shall include without limitation:
a. Labor. At the close of each day on which such Extra Work is performed, Contractor
shall submit an Extra Work labor report, on forms provided by Director, to Director that
sets forth a list of the actual hours spent in performing the Extra Work, that clearly
differentiates between the labor expended on the Extra Work and other Work, and the
Allowable Costs for such Extra Work performed that day showing the names of
workers, their classifications, hours worked and hourly rates.
b. Materials, Eouioment. A list of Allowable Costs of materials and equipment consumed
in the performance of the Extra Work on the day on which such Extra Work is
performed, together with copies of applicable delivery tickets and unit prices for all
materials and for all equipment used the type of equipment, identificatlon number,
ARTICLE 6
GC-39
6.06
hourS ofoperation (including loading and transportation) and houdy/daily rates involved
for that day.
c. Other Services or Expenditures. A list of other services and expenditures constituting
Allowable Costs incuned in performance of the Extra Work on the day on which such
Extra Work is performed, along with documentation verifying the amounts thereof in
such detail as Director may require.
2. ln the event that more than one change to the Work is performed by the Contractor in a calendar
day, Contractor shall maintain separate records of labor, construction equipment, materials, and
equipment for each such change. ln the event that any Subcontractor of any tier shall provide
or perform any portion of any change to the Work, Contractor shall require that each such
Subcontractor maintain records in accordance with this Section.
3. Each daily record maintained hereunder shall be signed by Contractor; such signature shall be
deemed Contracto/s representation and wananty that all information contained therein is true,
accurate, complete, and relates only to the change referenced therein. All records maintained
by Subcontractors of any tier, relating to the costs of a change in the Work shall be signed by
such Subcontracto/s authorized project manager or superintendent.
All such records shall be forwarded to the Directoron the day the Work is performed (same day)
for independent veritication. The Director shall attempt to review and reconcile costs for
changes on a daily basis. Records not available on the day on which the Extra Work is
performed, such as, but not limited to, material invoices, shall be submitted as soon as they are
available but not later than five (5) calendar days after the earlier of the day of delivery or
incorporation of the particular item of Extra Work at the Site.
4. The Director may additionally require authentication ofall time and materialtickets and invoices
by persons designated by the Director for such purpose. ln the event that Contractor shall fail
or refuse, for any reason, to maintain or make available fof inspection, review, and/or
reproduction such records, adjustments to the Contract Sum orContract Time, if any, on account
of any change to the Work may be deemed waived for that day. Contracto/s obligation to
maintain back-up records hereunder is in addition to, and not in lieu of, any other Contractor
obligation under the Contract Documenb wilh respect to changes to the Work.
5. Waiver bv Contractor. Failure to submit such records as are required by this Paragraph daily
shall waive any rights for recovery of Allowable Cosb incuned for Extra Work performed that
day. The failure of the Contractor to secure any required authentication shall, if lhe City elects
in its sole discretion to keat it as such, constitule a waiver by the Contractor of any right to
adjustrnent of the Contract Sum for the Allowable Cost of all or that portion of the Extra Work
covered by such non-authenticated ticket or invoice.
Allowable Costs
The term'Allowable Costs" shall mean in the case of Extra Work actualcosts incuned by Contractor
and/or any Subcontractor, regardless of tier, and necessarily involved in direct performance of the
Extra Work, or in the case of deleted work the actual costs that would have been incuned in
performing deleted work by Contractor and/or any Subcontractor, regardless of tier, and shall be
limrted to the following costs:
ART CLE 6
GC-40
1.Labor. Straight-time wages or salaries, and overtime wages and salaries specifically authorized
by City in writing, for employees employed at the site, or at fabrication sites off the site, in the
direct performance ofthe Extra Work or that would have been incuned in the direct performance
of the deleted work, based on the actual cost for wages prevailing locally for each craft or type
of workers at the time the Extra Work is done or the deleted work is ordered eliminated. Labor
costs for equipment operators and helpers shall be reported only when such costs are not
included in the invoice for equipment rental. The use of labor classilication which would increase
the Allowable Cost for Efia Work will not be permitted unless Contractor establishes the
necessity for such additional costs.
Benefits. Payroll taxes, insurance, health and welfare, pension, vacation, apprenticeship funds
and benefits required by lawful collective bargaining agreements for employees on straight-time
wages or salaries, and on overtime wages and salaries specifically authorized by City in writing,
for employees employed at the site, or at fabrication sites off the site, in the direct performance
of the Extra Work or that would have been incurred in the direct performance of the deleted
work.
Materials. Consumables. Costs of materials and consumable items which are fumished and
incorporated into the Work, as approved by City, or that would have been incorporated into the
Work in the case of deleted work shall be at the lowest price available to Conkactor but in no
event shall such costs exceed competitive wholesale prices obtainable from other
Subcontractors, suppliers, manufaclurers and distributors in the general vicinity of the site. lf
City determines, in its discretion, that the cost of materials is excessive, or if Contractor fails to
furnish satisfactory evidence of the cost from the actual supplier thereof, then in either case the
cost of the matenals shall be deemed to be the lowest wholesale price at which similar materials
are available in the quantities required at the time they were needed. The City reserves the right
to furnish such materials as it deems advisable, and Contractor shall have no claim for costs or
profits on materials so fumished. Material invoices must be included with the extra work report
to obtain payment.
Taxes. Sales taxes on the costs of matenals and consumable items described in Paragraph
5.04-C.3 above.
Tool, Equioment Rental. Rental charges for necessary machinery and equipment, whether
owned or hired, as authorized in writing by City, exclusive of hand tools, used directly in the
performance of the Extra Work or that would have been used in the direct performance of the
deleted work. Regardless of ownership, such rental charges shall not exceed the hourly rate
derived from the most recently published "Rental Rate Blue Book for Construction Equipment"
or the "Rental Rate Blue Book for Older Constructlon Equipment," as published by K-1 11, San
Jose, Califomia, which is in effect at the time of commencement of the changed work. The
Contractor shall attach a copy of the rate schedule to the daily reports required by Paragraph
6.06-8, above. The charges for any machinery and equipment shall cease when the use thereof
is no longer necessary lor the Extra Work or deleted work. No charge shall be allowed for use
of equipment or tools which have a replacement value of $500 or less. The allowable rental
rates shall include the cost of fuel, power oil, lubrication, supplies, small tools, necessary
attachmenls, loading, transportation, repairs and maintenance of any kind, depreciation,
storage, insurance, and all incidentals. Notwithstanding the provisions of Paragraph 6.06-E
below, no mark-up shall be allowed for overhead, profit or bond premiums for use of equipment
if the equipment is supplied by an equipment rental firm. lf equipment is used intermittently and,
when not in use, could be retumed to its rental source al less expense to City than holding it at
the Site, it shall be returned, unless Contractor elects to keep it at the Site at no expense to City.
ARTICLE 6
GC41
4
6
Costs incuned while equipment is inoperative due to breakdowns, regular maintenance, or for
non-Working Days shall not be allowed. The rental time shall include the time required to move
the equipment to the Work from the nearest available source for rental of such equipment and
to retum it to the source. lf such equipment is not moved by its own power, then loading and
transportation will be allowed. Neither moving time nor loading and transportation cosb will be
paid if the equipment is for use on the Project unrelated to the Extra Work. All equipment shall
be acceptable to City, in good working conditjon, and suitable for he purpose for which it is to
be used.
6. Royalties. Additional or saved costs of royalties due to the performance of the Exka Work or
deleted work.
7. lnsurance. Bonds. Additional or saved costs of insurance and bonds, provided, however, that
for Extra Work such costs shall not exceed one percent (1%) of ltems 'l through 6 above.
D. Costs Not Allowed
Allowable Cosls shall not include any of the following:
1. Wages, salaries, fringe benefits and payroll taxes of Contracto/s and all Subcontractois non-
craft labor (above a Foreman level);
2. Overhead (including home office overhead), administrative or general expenses of any kind
including engineering, estimating, scheduling, dnfting, detailing, etc., incuned in connection
with Extra Work;
3. Vehicles not dedicated solely for the performance of the extra of deleted work;
4. Small tools (replacement value not exceeding $500);
5. Oflice expenses, including secretarialand administrative staff, materials and supplies;
6. On-site and off-site trailer and storage rental and expenses;
7. Site fencing;
8. Utilities, including gas, electric, sewer, water, telephone, telefax, mpier equipment;
9. Computer and data processing personnel, equipment and software;
10. Federal, state of local business income and franchise taxes;
11. Losses of efficiency or productivity; and
12. Costs and expenses of any kind or item not specifically and expressly included in Paragraph
6.06-C.
ARTICLE 6
E, Allowable Mark.Up (Stafi to Determine one of the following 2 options for Allowable Mark Up)
[oPTIoN #11
r. lfthe NetCostof Extra Work is less than or equal to $25,000, theAllowable Mark-Up shall be
computed as follows:
(a) For Extra Work performed directly by the Contractois forces, the added cost for all expenses
ofoverhead, profit, bond and insurance ("Allowable Mark-Up') shall not exceed fifteen percent
(15%)ofthe net cost of he Extra Work.
(b) For Extra Work performed by a Submnfactor, the added cost of combined expenses,
Allowable Mark-Up for Confactor and all Subcontracto(s) shall not exceed tweng (20%) of
the net cost of all Subcontracto(s)'s Exha Work.
2. lf the net cost of Extra Work is greater than $25,000 and less than or equal to $'100,000, the
Allowable Mark-up shall be computed as follows:
(a) For Exfa Work performed directy by the Conbactor's forces the added cost for Allowable
Mark-Up shall not exceed turelve (12%) of the net mst of the Extra Work.
(b) For Extra Work performed by a Subconhactor, the added cost of combined expenses for
Allowable Mark-Up for Contractor and all Subcontracto(s) shall not exceed seventeen (17%)
of the net mst of all Subcontracto(s)'s Extra Work.
3. lf the net cost of Extra Work is greater than $100,000, the Allowable Mark-up shall be computed
as follows:
(a) For Extn Work performed directly by the Contracto/s forces the added cost for Allowable
Mark-Up shall not exceed ten percent (10%) of the net cost of the Exba Work.
(b) For Extra Work performed by a Subcontractor, the added cost of mmbined expenses for
Allowable Mark-Up for Contractor and all Subcontracto(s) shall not exceed frfteen (15%) of
the net cost of all Subcont-acto(s)'s Exha Work.
loption # 2]
1. Extra Work by mntractor (Markuo): The following percentages shall be added to he Contacto/s
msts and shall constlute the markup for all overhead and profits:Labor 33YoMaterials 15Yo
Equipment Rental 15Yo
Other ltems and Expenditures 15Yo
2. Extra Work bv Subcontractor (Markuo): When all or any part of he exfa
'
ork is performed by a
Subcontractor, the markup provided for the Contractor in 6.06.E.1 shall apply to he
Subcontractor's acfual msts. A markup of 5% on fie submntracted portion of each extra work
may be added for he Contractor.
ARTICLE 6
GC43
F. Net Allowable Costs
lf anyone scope change involves both Extra Work and deleted work in the same portion of he Work
and the additive allowable costs exceed the deductive allowable cosb, the Allowable Markups on
the E(ra Work will be only the difference between the two amounts.
CITY ORIGINATED REQUEST FOR ITEMIZED CHANGE ORDER PROPOSAL REQUEST
City may issue a Construction Change Directive or other written request to Conkactor describing a proposed
change to the Work and requesting the Contractor submit an itemized change order proposal in a format
acceptable to City within ten ('10) calendar days after City issues the request. The Contractor's change order
proposal shall include an analysis of impacts to cost and time, if any, to perform additional work, change
Work or delete Work, as applicable, including the effects and impacts, if any, on unchanged Work, estimates
of costs (broken down by the cost categories listed in this Paragraph), and Contracto/s proposed methods
to minimize costs, delay, and disruption to the performance of the Work. lf Contractor fails to submit a written
change order proposal within such period of time, itshall be presumed that the change described in the City's
original proposal request will not result in an increase to the Contract Sum or Contract Time and the change
shall be performed by Contractor without additional compensation to Contractor. Cig's request for itemized
change order proposal request does not authorize the Contractor to commence performance ofthe change.
lf City desires that the proposed change be performed, the Work shall be authorized according to the Change
Order or Construclion Change Directive procedures set forth herein.
CONTRACTOR ORIGINATED CHANGE ORDER REQUEST (COR}
lf the Contnactor believes that instructions issued by the City after the effective date ofthe Contract will result
in changes to the Contract Sum or Contract Time or if the Contractor otherwise becomes aware of the need
for or desirability of a change in the Work, Contractor may submit a written Change 0rder Request ("COR')
to the City in writing, in a formal acceptable to City and in accordance with the notce provisions and other
requirements of Article 7 below for Claims. The CoR must specify the reasons for the proposed change, cost
impacts and relevant circumstances and impacb on the Construction Schedule. The document shall be
complete in its description of the Work, its material and labor quantities and detail, and must support and
iustify the msts and credits claimed by the Contractor. A Critical Pah Method schedule Fragnet is required
to support and justify any additional time of performance requested by the Contractor. The City will not review
any COR which is incomplete. The Contractor may request additlonal compensation and/or time through a
CoR but not for instances that occurred more than ten (10) calendar days prior to the notice date. Contacto/s
failure to initate a COR within this ten-day period or to provide detailed back-up documentation to
substantiate the COR within thirty (30) calendar days of the initial written notice shall be deemed a waiver of
the right to adjusbnent of the Contract Sum or the Contract Time for the alleged change. Any COR that is
approved by the City shall be incorpoiated in a Change Order or Construction Change Directive. lf the COR
is denied but the Contractor believes that it does have merit, the Contractor shall proceed with the disputed
Work and may submit a Claim in accordance with the procedures set forth herein.
ISSUANCE OF WORK DIRECTIVE ruNILATERAL}.
ln the event of a dispute as to whether or not Extn Work is required, City shall have the right to unilaterally
issue a Work Directive; Contractor shall continue performance ofdisputed Work pending resolution and shall
maintain and submit to City all accounting and cost data necessary to substantiate Contracto/s cost of such
disputed Work.
ARTICLE 6
GC-44
[END OF ARTICLE]
7.01
ARTICLE 7 . CONTRACT PAYMENTS AND CLAIMS
GENEML
A. Payment will be made at the pnce for each item listed on the bidding form or as Extra Work as pmvided
in the General Conditions.
B. lnitial progress payment will not be made prior to appmval by the Director of the Schedule of Values,
the Construction Progress Schedule, and he Schedule of Submittals.
C. No subsequent progress payment will be made pdor to receipt by the Dircctor of the mon$ly revision
of the Construclion Progress Schedule.
SCHEDULE OF VALUES FOR PAYMENTS
A. Submission
Upon City's request, the three (3) lowest bidders shall complete and submit a Preliminary Schedule
ofValues, within seven (7) calendar days.
ln addition, Contractor shall complete and fumish within seven (7) calendar days after receiving he
Notice of Award of the Construction Contract a Final Schedule of Values giving a complete
breakdown of the Contract Sum for each component of the Work.
Content
The Schedule of Values shall be in sufficient detail as the Director may, in its discretion, deem
necessary to evaluate progress at any point in the performance of the Work. Unless otheMise
specified in the Contract Documents, the Schedule of Values shall include, without limitation, a
breakdown of the general categories of Subcontractor work, direct overhead, profit and contingency,
and a fu(her breakdown of the general categories of Subcontractor work into separate tmde line
items ofcosts for Subcontractor services, labor and material, which is based on actual Subcontractor
contract, subcontract, purchase oder or vendor prices. lf requested by Director, Contractor shall
revise the Schedule of Values to allocate sums for Contractor overhead, prolit and/or contingency
among the individual line items for trade portions of the Work. No amounts shall be reflected in the
Schedule of Values or Application for Payment for Extra Work or Deleted Work for which a Change
Order has not been executed by Contractor and City or for which a Conskuction Change Directive
has not been issued by City. Amounts that have been mutually agreed to by Change order or
unilaterally determined by City pursuant to a Construction Change Directive shall be segregated from
the cost of the base Contract Work and separately listed by line item in the Schedule of Values. The
Schedule of Values must be prepared in sufficient detail and supported by sufficient data to
substantiate its accuracy as the Director may require.
Applications for Pavment
The Schedule of Values, when approved by the Director, shall be used as a basis for Contractods
Applications for Payment and may be considered as fixing a basis for adjustments to the Contract
Sum.
ARTICLE 7
(lu-4c
7.02
B.
C
D. Revisions
lf, at any time, it is determined that the Schedule of Values does not allocate the Contract Sum in a
manner that reasonably and fairly reflects the actual cosb anticipated to be progressively incuned
by Contractor, it shall be pvised and resubmitted for the Directo/s approval.
7.03 APPLICATIONS FOR PAYMENT
A. Marked Schedule of Values
Five (5) Days prior to the date set forth in Panagraph 7.03-8 below for the monthly progress payment
meeting, Contractor shall submit to Director a copy of the proposed Schedule of Values, marked to
show the percentage of completion certified by Contractor for each line item in the Schedule of
Values, including any stored materials approved for payment by City pursuant to Paragraph 7.03-D,
below and any withholdings from Contractor proposed by Director.
B. Monthly Review
For lhe purpose of expediting the progress payment procedure, Contractor shall meet with the
Director on or before the twentieth (20th) day of each month to review the Contracto/s marked
Schedule of Values pepared in accordance with Paragraph 7.03-A, above. The Director shall revise
as appropriate and sign the marked Schedule of Values to veriry such review. lf any item in the
marked Schedule ofValues submitted for payment is disputed during this review, Contractor agrees
to use its best efforts to resolve the disputed items with the Director before submitting its Application
for Payment. lf the Director and Contractor cannot agree, then the percentage completion shall be
established at such percentage as the Director, in good faith, determines is appropriate to the actual
progress of the Work. No inaccuracy or enor in he Directo/s good faith estimate shall operate to
release Contractoror Surety from any responsibility or liability arising from or related to performance
ofthe Work. The Director shall have the right subsequently to conect any enor and dispute any item
submitted in Contracto/s Application for Payment, regardless of whether an item was identified as
disputed in the review process provided for herein.
C. Certification
Each Application for Payment shall be signed and certified by Contractor under penalty of perjury to
City that:
1. the data comprising the Application for Payment is accurate and the Work has progressed to
the point indicated;
2. to the best of Contracto/s knowledge, information and beliel the Work is in accordance with the
Contract Documenb;
3. Contractor is entitled to payment in the amount certified; and
4. all sums previously applied for by Conkactor on account of Work performed by Subcontractors
and that have been paid by City have been paid to the Submntractors performing such Work,
without any retention, withholding or backcharge by Contractor.
ARTICLE 7
7.04
D. Stored Materials
Payments may be made by City, at its discretion, on account of materials or equipment not
incorporated into the Work but delivered on the ground at the Site and suitably stored by Contractor
or stored off-Site under the control of City. Such payments shall only be considered upon submission
by Contractor of satisfactory evidence that it has acquired title to same, that the material or equipment
will be utilized in the Work and that the material is satisfactorily stored, protected and insured, and
that such other procedures are in place satisfactory to City to protect City's interests. To be
considered for payment, materials or equipment stored ofi-Site shall, in addition to the above
requirements and unless otheMise specifically approved by City in writing, be stored in a bonded
warehouse, fully insured, and available to City for inspection. City shall have sole discretion to
determine the amount of material and equipment that may be stored on the Site at any given time.
PROGRESS PAYMENTS
A. Conditions to Progress Payments
Contractor shall submit its Application for Payment to the Director, using such forms as required by
City, once a month on or before the first (1st) Day of the month following the month in which the
Work that is the subject of such Application for Payment was performed. Without limitation to any
other provisions of the Contract Documents, the following shall be conditions precedent to a proper
submission and to the Director approval of each Application for Payment:
1 . submission of a Schedule of Values that reflects the percentages of completion either agreed to
or determined by Director in accordance with Paragraph 7.03-8, above;
2. submission of the Contracto/s certification required by Paragraph 7.03-C, above;
3. submission of conditional releases of stop notice, if any, and bond rights upon progress
payment, complying with Califomia Civil Code Section 8132, for all Work performed dunng the
time period covered by the current Application for Payment, signed by Contractor, its
Subcontractors of every tier, and all material suppliens to each, and (2) forms of unconditional
release of stop notice and bond rights upon pogress payment, complying with California Civil
Code Section 8'134 for all Work performed during the time period covered by the previous
Application for Payment, signed by Contractor, its Subcontractors of every tier and all material
suppliers to each;
4. compliance by Contractor with its obligation for maintenance of As-Builts as required by the
Contract Documents;
5. compliance by Contractor with its obligation for submission of monthly and daily reports as
required by the Contract Documents;
6. compliance by Contractor with its obligations for submission of scheduling information and
updating of the Construction Schedule as required by Article 4, above and other provisions of
the Contract Documents pertaining to preparation or updatrng of schedule information;
7. submission of certified payroll records as required by the Contract Documents;
ARTICLE 7
GC47
8. submission of certifications by Contractor and each Submntractor as required by applicable
collective bargaining agreements certifying that all employee benefit contributions due and
owing pursuant to any applicable collective bargaining agreement have been paid in full; and
9. compliance by Contractor with all of its other obligations for submission of documentation or
performance ofconditrons which, by the terms of the Contract Documents, constifute conditions
to Contracto/s right to receive payment for Work performed.
Payments by City
Pursuant to Califomia Public Contract Code Section 20104.50, City shall make progress payment of
undisputed sums due within thirty (30) Days after receipt by Director of an undisputed and properly
submitted Application for Payment, calculated on the basis of ninety-five percent (95%) of value
determined pursuant to Paragraph 7.03-B above of the following:
1. the portion of the Work permanently installed and in place;
2. plus, the value of materials delivered on the ground or in storage as approved by City pursuant
to Paragraph 7.03-D, above,
3. less, the aggregate of previous payments, and
4. less, any other withholdings authorized by the Contract Documents.
Rejection by City
Any Application for Payment determined not to be undisputed, proper and suitable for payment shall
be retumed to Contractor as soon as practicable, but not later than seven (7) Days, after receipt by
City accompanied by an written explanation of the reasons why the payment request was rejected.
Failure by City or Director to either tlmely reject an Application for Payment or specify any grounds
for rejectron shall not constitute a waiver of any rights by City. Applications for Payment lhat are
rejected shall be corrected and resubmitted within seven (7) Days after receipt by Contractor.
lnterest
lf City fails to make a progress payment to Contractor as required by Paragraph 7.04-8, above, City
shall pay interest to Contractor equivalent to the legal rate set forth in subdivision (a) of Califomia
Code of Civil Procedure Section 685.010. The number of Days available to City to make payment
pursuant to Paragraph 7.04-8, above without incuning interest pursuant to this Paragraph shall be
reduced by the number of Days by which City exceeds the seven (7) Day retum requirement
applicable to City as set forth in Paragraph 7.04-C, above.
FINAL PAYMENT
A. Retention
ln addition to withholdings permitted by Paragraph 7.09 below, a sum equal to five percent (5%) of
all sums otheMise due to Contractor as progress paymenb shall be withheld by city pursuant to
Paragraph 7.04-B fom each progress payment ("Retention') and retained until such time as it is due
as described herein. A higher Retention amount may be approved by the City Council where project
is deemed 'substantially mmplex" by Cig Council. (Note to Staff: Public Contrac{ Code
S7201(bXl), 9203:To qualify for higher retention than 5%, the Council must determine the
ARTICLE 7
GC48
7.05
project to be substantially complex, when the project goes before the City Council to approve
the plans and specifications, and authorizes the City Clerk to advertise for bids. The City
Council resolution will need to include "findings" (factual statements) that (1)the project is
"substantially complex," and (2) the reasons why it is "substantially complex." The bid
documents must also contain the Council findings)
Conditions to Final Payment
Contractor shall submit its Application for Final Payment, using such forms as required by Director,
pnor to requesting a final inspection of the Work in accordance with Paragraph 3.06 above. Such
Application for Final Payment shall be accompanied by all the following:
1. an affidavit that payrolls, bills for materials and equipment, and other indebtedness connected
with the Project for which City or City's property or funds might be liable have been paid or
otherwise satisfied;
2. Contractods certification as required by Paragraph 7.03-C, above;
3. consent of surety, if any, to Final Payment;
4. a cefffcate evidencing that the insurance required by the Contract Documents is in force;
5. Conditional Waiver and Release Upon Final Payment in the form required by Califomia Civil
Code Section 8136 executed by Contractor, all Subcontractors of every tier and by all material
suppliers of each, covering the final payment period;
6. Unconditional Waiver and Release Upon Progress Payment in the form required by Califomia
Civil Code Section 8'136 executed by Contractor, all Subcontractors of every tier and by all
material suppliers of each, covering the previous payment period;
7. all Record Documents (including, without limitation, complete and accurate As-Built drawings
which shall be kept up to date during lhe performance of the Work);
8. documentation that Contractor has inspected, tested, and adjusted performance if every system
or facility of the Work to ensure that overall performance is in compliance with the terms of the
Contract Documents;
9. four (4) copies of all wananties from vendors and Subcontractors, operation and maintenance
manuals, instructions and related agreements, and equipment certifications and similar
documents;
10. certilications by Contractor and each Subcontractor as required by applicable collective
bargaining agreements that all employee benefit contributions due and owing pursuant to any
applicable collective bargaining agreement have been paid in full;
'1 1. releases of rights and claims relating to patents and trademarks, as required by the Contract
Documents; and
12. any other documents or information required by the Contract Documents as a condition of Final
Payment or Final Completion.
ARTICLE 7
C. Final Payment
Pursuant to the Public Contract Code Section 7107, within sixty (60) Days after City issues the Notice
of Completion to Contractor, the Final Payment, including Retention, shall be released to Contractor,
subject to the City's right to withhold 150% of any disputed amounts.
D. Disputed Amounts
Pursuant to Califomia Public Contract Code 7107, Ci[t may deduct and withhold from the Final
Payment due under Paragraph 7.05-C, above, an amount up to 1500/o of any disputed amounts,
including, without limitation, amounts to protect City against any loss caused orthreatened as a result
of Contracto/s failing to fully perform all of those obligations that are required to be fulfilled by
Contractor as a condition to Final Completion and Final Payment. Altematively, City may elect, in its
sole discretion, to accept the Work without conection or completion and adjust the Contract Sum
pursuant to the Contract Documents.
E. Acceptance of Final Payment
Acceptance of Final Payment by Contractor shall constitute a waiver of all righb by Contractor
against City for recovery of any loss, excepting only those Claims hat have been submitted by
Contractor in the manner required by the Contract Documents prior to or at the time of the Final
Payment.
7.06 MISCELLANEOUS
A. Joint Payment
City shall have the right, if deemed necessary in its sole discretion, to issue joint checks made
payable to Contractor and any Subcontracto(s) of any Tier. The ioint check payees shall be solely
responsible for the allocation and disbursement of funds included as part of any such.loint payment.
Endorsement on such check by a payee shall be conclusively presumed to constitute receipt of
payment by such payee. ln no event shall any joint check payment be construed to create any
contract between City and a Subcontractor ofany Tier, any obligation from City to such Subcontractor
or any third party rights against City or Director.
B. Withholding/Dug to Proceed
The payment, withholding or retention of all or any portion of any payment claimed to be due and
owing to Contractor shall not operate in any way to relieve Contractor from its obligations under the
Contract Documents. Contractor shall continue diligently to prosecute the Work without reference
to the payment, withholding or retention of any payment. The partial payment, withholding or
retention by City in good .faith of any disputed portion of a payment, whether ultimately determined
to be conectly or inconectly asserted, shall not constitute a breach by City of the Construction
Contract and shall not be grounds for an adiustment of the Contract Sum or Contract Time.
C. No Acceptance
No payment by City or partial or entire use of the Work by City shall be construed as approval or
acceptance of the Work, or any portion thereof.
ARTICLE 7
GC-50
7.07
D. Contractor Payment Warranty
Submission of an Application for Payment shall constitute a representation and wananty by
Contractor that:
1. Title to Work covered by an Application for Payment will pass to City either by incorporation into
the construction or upon receipt of payment by Contractor, whichever occurs first; and
2. Work covered by previous Applicatrons for Payment are free and clear of liens, stop notices,
claims, security interests or encumbrances imposed by the Contractor or any other person.
E. Conections
No inaccuracy orenor in any Application for Payment provided by Contractor shalloperate to release
Contractor from the enor, or from losses arising from the Work, or from any obligation imposed by
the Contract Documents. City retains the right to subsequently corect any enor made in any
previously approved Application for Payment, or progress payment issued, by adjustnents to
subsequent payments.
PAYMENTS BY CONTRACTOR
Contractor shall not include in its Applications for Payment sums on account of any Subcontractot's portion
of the Work that it does not intend to pay to such Subcontractor. Upon receipt ofpaymentfrom City, Conlractor
shall pay the Subcontractor performing Work on the Proiect, out ofthe amount paid to Contractor on account
of such Subcontractor's portion ofthe Work, the amount to which said Subcontractor is entitled in accordance
with the terms of its contract with Contractorand applicable laws, including, without limitation, Califomia Public
Contract Code Section 7107. Contractor shall remain responsible notwithstanding a withholding by City
purcuant to the terms of these Contract Documents, to promptly satisfy from its own funds sums due to all
Subcontractors who have performed Work that is included in Contractor's Application for Payment. Contractor
shall, by appropriate agreement, require each Subcontractor to make payments to its subcontractors and
material suppliers in similar manner. City shall have no obligation to pay or be responsible in any way for
payment to a Subcontractor of any tier or material supplier.
PAYMENTS WTHHELD
A. Withholding by City
ln addition to any other amounts which City may have the right to retain under the Contract
Documents, City may withhold a sufficient amount of any payment otheruise due to Contractor as
City, in its sole discrelion, may deem necessary to cover actual or threatened loss due to any of the
following:
1. Third Party Claims. Third-party claims or stop notices filed or reasonable evidence indicating
probable filing of such claims or stop notices. City shall promptly inform Contractor of any third
party claims related to this Contract; [NOTE: PUBLIC ENTITES ARE REQUIRED TO INCLUDE
PROVISIONS IN PUBLIC WORKS CONTMCTS FOR TIMELY NOTIFICATION TO THE
CONTRACTOR OF THE RECEIPT OF ANY THIRD PARTY CLAIM REI.ATED TO THE
GoNTRACT, PC C S920r0).
2. Defective Work. Defective Work not remedied;
ARTICLE 7
UU-5I
7.08
3. Nonpayment. Failure of Contractor to make proper payments to its Subcontractors for services,
labor, materials or equipment;
4. lnability to Complete. Reasonable doubt that the Work can be completed for the then unpaid
balance of the Contract Sum or within the Contract Time;
5. Violation of Applicable Laws. Failure of Contractor or its Subcontractors to comply with
applicable laws or lawful orders of govemmental authorities;
6. Penalty. Any claim or penalty asserted against City by virtue of Contractor's failure to comply
with applicable laws or lawful orders of govemmental authorities (including, without limitation
labor laws);
7. Failure to Meet Contract Time. Any damages which may accrue as a result of Contractor failing
to meet the Construction Schedule orfailing to perform within the Contract Time;
8. Setoff. Any reason specified elsewhere in the Contract Documents as grounds for a withholding
offset or set ofi or that would legally entitle City to a set-off or recoupment;
9. Consultant Services. Additional professional, mnsultant or inspection services required due to
Contractods failure to comply with the Contract Documents.
10. Liquidated Damages. Liquidated damages assessed against Contractor
I '1. Materials. Materials ordered by City pursuant to the Contract Documents.
12. Damages. Loss caused by Contractor or Subcontractor to City, Separate Contractors or any
other person or entity under contract to City.
13. Clean Up. Clean up performed by City and chargeable to Contractor puGuant lo the Contract
Documents.
14. Employee Benelits. Failure of Contraclor to pay contributions due and owing to employee
benefits funds pursuant to any applicable collective bargaining agreement or trust agreement.
15. Required Documents. Failure of Contractor to submit on a timely basis, proper and sufficient
documentation required by the Contract Documents, including, without limitation, Construction
Schedule updates, 'look ahead' schedules, Submittals, Schedules of Values, information on
Subcontractors, Change Orders, certifications and other required reports or documentation.
16. other Breach. A breach of any obligation or provision of the C,ontract Documents.
Release of Withholding
lf and when City determines, in ib sole discrctron, that the above grounds for withholding have been
removed and that all losses incuned or threatened have been paid, credited oI othenivise satisfied, then
payment shall be made for amounts wrhheld because ofthem.
Application of Withholding
City may apply sums withheld pursuant to Paragraph 7.08-A above, in payment of any loss or
threatened loss as City determines, in its sole discretion, to be appropriate. Such payments may be
ARTICLE 7
GC-52
madewithouta prior judicialdetermination of City's actual rights with respect to such loss. Contractor
agrees and hereby designates City as its agent for such purposes, and agrees that such payments
shall be considered as payments made under Construction Contract by City to Contractor. City shall
not be liable to Contractor for such payments made in good faith. City shall submit to Contractor an
accounting of such funds disbursed on behalf of Contractor. As an altematjve to such payment, city
may, in its sole discretion, elect to exercise ib right to ad.lust the Contract Sum as provided in the
Contract Documents.
D. Continuous Performance
Provided City pays the undisputed podon, if any, of funds withheld in good faith, Contractor shall
maintain continuous and unintenupled performance of the Work during the pendency of any disputes
or disagreemenb witfr City.
7.09 SUBSTITUTION OF SECURITIES
A. Public Contract Code
Pursuant to the requirements of Califomia Public Contract Code Section 22300, upon Contractois
request, City will make payment to Contractor of any funds wihheld ftom paymenb to ensure
performance under the Contract Documents if Contractor deposib wih City, or in escrow with a
Califomia or federally cha(ered bank in Califomia acceptable to City ('Escrow Agent"), securities
eligible for the investrnent of Shte Funds under Govemment Code Section 16430, or bank or savings
and loan certificates ofdeposit, intereslbearing demand deposit accounts, standby leftec of credit, or
any other security mutually agreed to by the Contractor and the City, upon the following conditions:
1. Contractor shall be the beneficial owner or any securities substituted for monies wilhheld for the
purpose of receiving any interest thereon.
2. All expenses relating to the substitution of securities under Public Contract Code Section 22300
and under this Paragraph 7.04, including, but not limited to City's overhead and administrative
expenses, and expenses of Escrow Agent shall be the responsibility of Contractor.
3. Securities or certiflcates ofdeposit substituted for monies withheld shall be of a value ofat least
equivalent to the amounts of retention to be paid to Contractor pursuant to the Contract
Documents.
4. lf Contractor chooses to deposit securities in lieu of monies withheld with an Escmw Agent,
Contractor, City and Escrow Agent shall, as a prerequisile to such deposit, enter into an escrow
agreement, using the City's form, 'Escrow Agreement for Deposit of Secudties in Lieu of
Retention.'
5. Contactor shall obtain the written consent of Surety to such agreement.
6. Securities, if any, shall be retumed to Contractor only upon satisfactory Final Completion of the
Work.
B. Substitute Security
To minimize the expense caused by such substitution of securities, Contractor shall, prior to or at the
time Contractor requests to substitute security, deposit sufficient security to cover the entire amount to
ARTICLE 7
GC-53
c.
be withheld. Should the curTent market value of such substjtuted security fall below the amount for
which it was substituted, or any other amounts which the City withholds pursuant to the Contract
Documents, Contractor shall immediately and at Contractods expense and at no cost to City deposit
additional security qualifying under Public Contract Code Section 22300 until the curent market value
of the total security deposited is no less than the amount subject to withholding under the Contract
Documents. Securities shall be valued as often as conditions of the securities market wanant, but in
no case less frequently than once per month.
Deposit of Retentions
Altematively, sub.iect to the conditions set forth in Paragraph 7.04-A above, upon request of
Contractor, City shall make payment of retentions directly to Escrow Agent at the expense of
Contractor, provided that Contractor, City and Escrow Agent shall, as a prerequisite such payment,
enter into an escrow agreement in the same form as prescribed in Part 4 of Paragraph A, above. At
the expense of Contractor and at no cost to City, Contractor may direct the investment of the
payments into securities and interest bearing accounts, and Contractor shall receive the interest
earned on the investrnents. Escrow Agent shall hold such direct payments by City under the same
terms provided herein for securities deposited by Contractor. Upon satisfactory Final Completion of
the Work, Contractor shall receive from Escrow Agent all securities, interest and payments received
by Escrow Agent from City, less escrow fees and charges of the Escrow Account, according to the
terms of Public Contract Code Section 22300 and the Contract Documents.
Time for Election of Substitution of Securities
Notwithstanding the provision of 7.04 A, B, and C above and Califomia Public Contract Code Section
22300, the failure of Contractor to request the Substltution ofeligible securities for monies to be withheld
by City within ten (10) days of the award of Confact to Contractor shall be deemed to be a waiver of
all such rights.
CLAIMS
A. Arising of Claim.
1 . Scope Change. When Contractor has a claim for an increase in the Contract Sum or Contract
Time due to a scope change which has not yet become final, a'claim" will be deemed to arise
once the Director has issued a decision denying, in whole or in part, the Contractor's Change
0rder Request.
2. Other Claims. ln the case of a Claim by Contractor that does not involve an adjustment to the
Contract Sum or Contract Time due to a scope change and which has not become final, the
Claim may be asserted il and only if, Contractor gives written notice to City of intent to file the
Claim within three (3) days of the date of discovery relative to such circumstances (even if
Contractor has not yet been damaged or delayed). Such written notice of intent to file a Claim
shall be valid if, and only if, it identifies the event or condition giving rise to the Claim, states its
probable effect, if any with respect to Contracto/s entitlement to an adjustment of the Contract
Sum or Contract Time and complies with the requirements of Paragraph 7.'l'l-B, below. For
purposes of this Paragraph 7.'11, a Claim for which such written notice is required and has been
given by Contractor shall be deemed to anse on the date that such wriften notice is received by
City
ARTICLE 7
GC,54
D.
7.10
B. Content of Claim
A Claim by Contractor must include all of the following:
'1. A statement that it is a Claim and a request for a decision on the Claim;
2. A detailed description of the act, erTor, omission, unforeseen condition, event or other
circumstance giving rise to the Claim.
3. lf the Claim involves an adjustment to the Contracl Sum or Contract Time due to a change in
scope, a statement demonstrating that all requisite notices \,vere provided, including, without
limitation, timely written notice and a Change Order Request as required by Article 6 of these
General Conditions and timely notice of delay and request for extension ol time in accordance
with Article 3. lf the Claim does not involve an adjustment to the Contract Sum or Contract Time
due to a change in scope, a statement demonstrating that a notice of intent to tile the Claim was
timely submitted as required by Paragraph 7.10-A.2, above;
4. A detailed justification for any remedy or relief sought by the Claim including without limitation,
a detailed cost breakdown in the form' required for submittal of Change Order Requests and
actualjob cost records demonstrating that the costs have been incuned;
5. lf the Claim involves a request for adiustment of the Contract Time, written documentation
demonstrating that Confactor has complied with the requirements of the Contract Documents
and written substantiation (including, without limitation, a Time lmpact Analysis) demonstrating
that Contractor is entitled to an extension of time under the Contract Documenb; and
6. A wriften certification signed by a managing officer of Contracto/s organization, who has the
authority to sign contracts and purchase orders on behalf of Contractor and who has personally
investigated and confirmed the truth and accuracy of the matters set forth in such certification,
in the 'following form:
"l hereby certify under penalty of perjury that I am a managing officer of (Contracto/s name) and
that I have reviewed the Claim presented herewith on Contractor's behalf and/or on behalf of
(Subcontracto/s name) and that, to the best of my knowledge afler conducting a diligent inquiry
into the facts of the Claim, the following statements are true and conect:
The facts alleged in or that form the basis for the Claim are, to the best of my knowledge
following diligent inquiry, true and accurate; and,
(a) I do not know of any facts or circumstances, not alleged in the Claim, that by
reason oftheir not being alleged render any fact or statement alleged in the Claim
materially misleading; and,
(b) I have, with respect to any request for money or damages alleged in or that forms
the basis for the Claim, reviewed the job cost records (including those maintained
by Contractor and by any Subcontractor, of any tiel that is asserting all or any
portion of the Claim) and confirmed with reasonable certainty that the losses or
damages suffered by Contractor and/or such Subcontractor were in fact suffered
in the amounts and for the reasons alleged in the Claim; and,
ARTICLE 7
GC-55
I have, with respect to any request for extension of time or claim of delay,
disruption, hindrance or interference alleged in or that forms the basis for the
Claim, reviewed the job schedules (including those maintained by Contractor and
the Subcontractor, of any tier, that is asserting all or any portion of the Claim) and
confirmed on an event-by-event basis that the delays or disruption suffered by
Contractor andior such Subcontractor were in fact experienced for the durations,
in the manner, and with the consequent effects on the time and/or sequence of
performance of the Work, as alleged in the Claim; and,
I have not received payment from City for, nor has Contractor previously released
City from, any portion of the Claim."
Signature:
Name:
Title:
Company
Noncompliance
Failure to submit any of the information, documentation or certifications required by Paragraph 7.10-
B, above, shall result in the Claim being retumed to Contractor without any decision.
Submission of Claims
1. Director. Claims shall be first submitted to the City for decision by the Director.
2. Continuous Work. Notwithstanding the making of any Claim or the existence of any dispute
regarding any Claim, unless otherwise directed by City, Contractor shall not delay, slow or stop
performance of the Work, but shall diligently proceed with performance in accordance with the
Contract Documents and City will continue, to make undisputed payments as by the Contract
Documents.
3. Time for Filinq. All Claims and supporting documentation and certifications must be filed within
thirty (30) days after the Claim arises. No Claims shall be filed after Final Payment.
4. Conditions Precedent. No Claim may be asserted unless Contractor has strictly complied with
the requirements of this Paragraph 7.10-D, which shall be considered conditions precedent to
Contracto/s right to assert the Claim and to initiate the Dispute Resolution Process with respect
to such Claim.
Response to Claims, Meet and Confer
1. Claims less than $50,000. Claims less than $50,000 shall be responded to by City in writing
within forty-five (45) days of receipt of the Claim, unless City requests additional information or
documentation of the Claim within thirty (30) days of receipt of the Claim, in which case City
shall respond to the Claim within fifteen (15) days after receipt of the further information or
documentation or within a period of time no greater than that taken by Contractor in producing
the additional information or documentation, whichever is greater.
ARTICLE 7
GC-56
(c)
(d)
D.
E.
F.
2. Claims $50,000 or more. Claims $50,000 or more shall be responded to by City in writing within
(60) days of receipt of the Claim, unless City requests additional information or documentation
of the Claim within thirty (30) days of receipt of the Claim, in which case City shall respond to
the Claim within thirty (30)days after receipt ofthe further information ordocumentation or within
a period of time no greater than that taken by Contractor in producing the additional information
or documentation, whichever is greater.
3. Meet and Confer. lf Contractor disputes City's response, or if City fails to respond within the
prescribed time set forth in Paragraph 7.10-E.1 and 7.10-E.2, above, Contractor may so notify
City, in writing, within fifteen (15) days of City's response, or within fifteen (15) days of City's
response due date in the event of a failure to respond, and demand an informal mnference to
meet and confer for settlement of the issues in dispute. Upon such demand, City shall schedule
a meet and confer conference within thirty (30) days of such demand, for discussion of
settlement of the dispute.
Finality of Decision
lf Contractor disputes the Director's decision under this Article, it shall commence the Dispute
Resolution Process as set forth in Article '15 of these General Conditions by filing a Statement of
Dispute within seven (7) days after receipt of the Directo/s response.
Continuing Contract Performance/Duty to Proceed with Disputed Wo*
Contractor shall not delay or pospone any Work pending resolution of any claims, disputes or
disagreements. Pending final resolution of a claim, the Contactor shall proceed diligently with
performance of the Contract and the City shall continue to make payments for undisputed Work in
accordance with the Confact Documents. ln the event of disputed Work, City shall have the right to
unilaterally issue a Wo* Directive and Contractor shall continue performance pending resolution ofthe
dispute and shall maintain the accountng and cost data to substantiate the cost ofsuch disputed work.
[END OF ARTICLE]
ARTICLE 7
GC-57
ARTICLE 8. MATERIALS AND EQUIPMENT
GENERAL
A. The Contractor shall fumish all materials and Euipment needed to complete the Work and installations
required under the terms of this Contract, except those materials and equipment specified to be
tumished by the City.
B. The Contractorshall submit satisfactory evidence that the materials and equipment to be fumished and
used in the work are in compliance with he Specifications. Materials and equipment incorporated in
the Work and not specilically covered in the Specifications shall be the best of their kind. Unless
othemrise specified, all materials and equipment incorporated in the Wo* under the Contract shall be
new.
QUALITY AND WORKMANSHIP
All material and equipment fumished by the Contractor shall be new, high grade, and free from defecb and
imperfections, unless otherwise hereinafter specified. Workmanship shall be in accordance with the best
standard practices. All materials and equipment must be of the specified quality and Eual to approved samples,
if samples have been required. All Work shall be done and completed in a thorough, workmanlike manner,
notwithstanding any omission ftom the Specifications or Drawings, and it shall be the duty of the Contractor to
call attention to apparent erors or omissions and request instructions before proceeding with he Work. The
Director may, by appropriate instructjons, conect enors and supply omissions, which instructions shall be binding
upon the Contractor as though mntained in the original Specilications or Dawings. All Work performed under
the Specifications will be inspected by the Director as povided in Paragraph 8.04. All materials and equipment
fumished and all Work done must be satisfactory to the Director. Work, material, or Euipment not in accordance
with the Specmcations, in the opinion of the Director shall be made to conform thereto. Unsatisfactory materials
and Euipment will be rejected, and if so ordered by the Director, shall, at the Contractor's expense, be
immediately removed from the vicinity of the Work.
TRADE NAMES AND "OR APPROVED EQUAL" PROVISION
Whenever in the Specifcations or Drawings the name or brand of a manufactued article is used it is intended
to indicate a measure of quality and utility or a standard. Except in those instances whele the product is
designated to match others in use on a particular improvement either completed or in the course of completion,
lhe Contractor may substitute any other brand or manufacture of equal appearance, quality, and utility on
approval ofthe Director, provided the use ofsuch brand or manufacture involves no additional cost to the Crty.
APPROVAL OF MATERIALS
A. The Contractorshall fumish without additional cost to the City such quantities of construction materials
as may be required by the Director for test purposes. He/she shall place at the Directo/s disposal all
available facilities for and cooperate with him in the sampling and testjng of all materials and
workmanship. The Contractor shall prepay all shipping charges on samples. No samples are to be
submitted with the bids unless othenvise specified.
B. Each sample submitted shall be labeled. A letter, in duplicate, submitting each shipment of samples
shall be mailed to the Director by the Contractor. Both the label on the sample and the letter of
transmittal shall indicate the matenal represented, its place of origin, the names of the prcducer and
ARTICLE 8
GC-58
the Contractor, the Specifications number and tifle, and a reference to the applicable Drawings and
Specifi cations paragraphs.
C. Materials or equipment ofwhich samples are required shall not be used on the Work until approval has
been given by the Director in writng. Approvalof any sample shall be only for the characteristics ofthe
uses named in such approval and no other. No appoval of a sample shall be taken in ibelf to change
or modify any Contract requirement.
D. Failure of any material to pass the specified tests, including life cycle maintenance data may be
sufficient cause for refusal to consider under this Contract, any further sample of the same brand or
make of that material.
ORDERING MATERIALS AND EQUIPMENT
One copy of each of the Contractor's purchase orders for materials and equipment forming a portion of the Work
must be fumished to the Director, if requested, Each such purchase order shall contain a statement hat the
materials and equipment included in the order are subject to inspection by he City. Materials and equipment
purchased locally will, at the City's discretion, be inspected at the point of manufacture or supply, and materials
and equipment supplied from points outside the Los Angeles area will be inspected upon anival at thejob, except
when other inspection requirements are povided for specific materials in other sections of the Contract
Documents.
AUTHORITY OF THE DIRECTOR
A. 0n all questions conceming the acceptability of materials or machinery, the classification of materials,
the execution oflhe Work, and conflicting interests of Contractors performing related work, the decision
of the Director shall be finaland binding.
B. The Director will make periodic observations of materials and completed work to observe their
mmpliance with Drawings, Specifications, and design and planning concepb, but he/she is not
responsible for the superintendence ofconstruction processes, site mnditions, operations, equipment,
personnel, or the maintenance of a safe place to work or any safety in, on, or about the site of work,
INSPECTION
All materials fumished and work done underthis Contract will be subject to rigid inspection. The Contractorshall
fumish, without extra charge, the necessary test pieces and samples, including facilities and labor for obtaining
them, as requested by the Director. The Director, or his/her authorized agent or agents, at all times shall have
access to all parts of the shop and the works where such materials under his/her inspection is being
manufactured or he work performed. Work or material that does not conform to the Specifications, although
accepted through oversight, may be rejected at any stage of the Work. Whenever the Contractor is permitted or
directed to do night work or to vary the period during which work is canied on each day, he/she shall give the
Director due notice, so that inspection may be provided. Such work shall be done under regulations to be
tumished in writing by the Director.
INFRINGEMENT OF PATENTS
The Contractor shall hold and save the City, its officers, agents, servanls, and employees harmless from and
against all and every demand or demands, of any nature or kind, for or on account of the use of any patented
invention, process, equipment, article, or appliance employed in the execution of the Work or included in he
materials or supplies agreed to be fumished under his Contract, and should the Contractor, his/her agents,
ARTICLE 8
GC-59
8.06
servants, or employees, or any ofthem, be enjoined ftom fumishing or using any invention, process, equipment,
article, materials, supplies or appliance supplied or required to be supplied or used under this Contract, the
Contractor shall promptly substitute other inventions, processes, equipment, articles, materials, supplies, or
appliances in lieu thereof, of Eual efficiency, quality, finish, suitability, and market value, and satisfactory in all
respects to the Director. Or in the event that the Director elects, in lieu of such substitution, to have, supplied,
and to retain and use, any such invention, process, equipment, artrcle, materials, supplies, or appliances, as may
by this Contract be required to be supplied and used, in tirat event the Contractor shall at his/her expense pay
such royalties and secure such valid licenses as may be requisite and necessary to enable the Crty, its officers,
agents, servants, and employees, or any of them, to use such invention, process, Euipment, article, malerials,
supplies, or appliances without being disturbed or in way interfered with by any proceeding in law or equig on
accou nt thereol Should the Contractor nElect or refuse promptly to make the substitution hereinbefore rEuircd,
orto pay such royalties and secure such licenses as may be necessary and requisite for the purpose aforesaid,
then in that event the Director shall have the right to make such substitution, or the City may pay such royaltres
and secure such licenses and charge the cost thereof against any money due the Contractor from he City, or
recover the amount thereof from him/her and his/her surety, notwithstanding final payment under this Contract
may have been made.
[END OF ARTICLE]
ARTICLE 8
GC40
ARTICLE 9 - SUBMITTALS
9.(lI GENERAL
l The Contractor shallsubmit samples, drawings, and data for the Directo/s approval which demonstrate
fully that the construction, and the materials and equipment to be fumished will comply with the
provisions and intent of the Drawings and Specifications.
Specific items to be covered by he submittals shall include, as a minimum, the following:
'1. For structures, submit all shop, setting, Euipment, miscellaneous ion and reinforcement
drawings and schedules necesary.
2. For conduits, submit a detailed layout of the conduit with details of bends and fabricated
specials and fumish any other details necessary. Show location of shop and fleld welds.
3. For equipment which requires electrical service, submit detailed information to show power
supply requirements, wiring diagrams, mntrol and protection schematics, shop test data,
operation and maintenance procedures, outine drawings, and manufacfure/s
recommendation of the interface/interlock among the equipment.
4. For mechanical equipment submit all data pertinent to lhe installation and maintenance of
the equipment including shop drawings, manufacture/s recommended installation
procedure, detailed installation drawings, test data and curves, maintenance manuals, and
other details necessary.
Samples
Colors
Substitutrons
Manuals
9. As-built drawings
10. Safety plans required by Article 10
PRODUCT HANDLING
A. Submittals shall be accompanied by a lefter of transmittal and shall be in strict accordance wih the
provisions of tris Article.
B. Submit priority of processing when appropriate.
SCHEDULE OF SUBMITTALS
A. The Contmctor shall pepare and submit a schedule of submittals. The schedule of submithls shall be
in tp form of a submittal log. Refer to Paragraph 9.12.
ARTICLE 9
5.
b.
7.
9.05
SHOP DRAWNGS
A. All shop drawings shall be produced to a scale suffcienfy large to show all pertinent features ofthe
item and ib method of connection to the Work.
B. All shop drawing prints shall be made in blue or black line on white background. Reprcductions of
City/Contract Drawings are not acceptable.
C. The overall dimensions of each drawing submitted to the Director shall be equal to one of the Cit/s
standard sheet sizes as listed below. The title block shall be located in the lower right hand comer of
each drawing and shall be dear of all line Work, dimensions, details, and notes.
Sheet Sizes
Heioht X Widtr
11'X81t2"
1l',X17"
24" X 36'
30x42
COLORS
Unless the precise color and pattem are specified elsewhere, submit accurate color charts and pattem charb to
the Director for his/her review and selecton lvhenever a choice of color or pattem is available in a specified
product. Label each chart naming the source, the proposed location of use on the pmject, and the project.
MANUFACTURERS' LITERATURE
Where mntents of submined literature from manufactuErs includes data not pertinent to he submittal, clearly
show which portions ofthe contenb are being submitted for review.
SUBSTITUTIONS
A. The Contract is based on the materials, equipment and methods described in the Contract Documents.
Any Contractor proposed substitutions are subject to the Directo/s approval.
The Director will consider proposals for substitution of materials, equipment, and methods only when
such proposals are accompanied by full and mmplete technical data, and all other information,
including life cycle maintenance data, required by he Director to evaluate the proposed substitution.
B. Any pquests for substitutions by the Contractor must be made within forty-five (45)calendar days from
the lssuance Date on he Nolice to Proceed. OheMise, such requests will not be considered.
C. Tnde names and "or apprcved equal" provision as set forth in Paragraph 8.03.
MANUALS
A. When manuals are required to be submifted covering items included in this Work, prepare and submrt
such manuals in approximately 8-112' X 11" format in durable plastic bindeIs. ln addition, manuals
shall be submitted in electonic format. Manuals shall contain at least the following:
1. ldentification on, or readable through, he font cover stating general nature of tle manual.
ARTICLE 9
GC62
2. Neatly typewritten index near lhe front of the manual, fumishing immediate information as to
location in the manual of all emergency data regarding the inshllation.
3. Complete instructions regarding operation and maintenance of all Euipment involved.
4. Complete nomenclature of all replaceable parts, their part numbers, curent cost, and name
and ddress of nearest vendor of pans.
5. Copy of all guarantees and wananties issued.
6. Copy ofdrawings with all data conceming changes made during construclion.
B. Where mntents of manuals include manufacfurers' catalog pages, clearly indicate the precise items
included in this installation and delete, or otherwise clearly indicate, all manufacturers' data with which
this installation is not concemed.
9.09 A$BUILT DRAWNGS
A. When equired to be submitted covering items included in this Work, the Conlractor shall deliver to the
City one complete set offinal As-Built hard copy drawings together with a set ofAutoCAD drawing files
in elecbonic format showing completed building, "as-buitt'for City records before he Contract will be
accepted by the City.
B. The drawings shall be duplicates and at the same size and dimensional scale as the originals. They
shallbe on a polyester translucent base materialwith a minimum sheetthickness of .003 inch (.08mm).
C. The legibility and contrast of each drawing submitted to the City shall be such hat every line, number,
letter, and character is clearly readable in a full size blow back from a 35 mm microfilm negative ofthe
drawing.
9.10 SUBMITTATSQUANTITIES
A. Submit seven (7) copies of all data and drawings unless specilied othemise.
B. Submit all samples, unless specified oherwise, in the quantity to be retumed, plus two, which will be
retained by the Director
9.11 IDENTIFICATION OF SUBMITTALS
Completely identry each submittal and resubmittal by showing at least the following information:
A. Name and address of submifter, plus name and telephone number of lhe individual who may be
mntacted for further information.
B. Name of project as it appears in the Contract Documenb and Specification No.
C. Drawing number and Specifications section number other than this section to which the submittal
applies.
D. Whetherthis is an original submittal or r+submittal.
E. For samples, indicate the source of he sample.
ARTICLE 9
GC-63
9.12 SCHEDULE OF SUBMITTALS
A. Submit initial schedule of submithls within fve (5) Working Days afrer te lssuance Date on Notice to
Proceed.
B. Submit revised schedule of submittals within five (5) Wo*ing Days after date of request from the
Director.
C. The Director will review schedule of submittals and will notify Contractor that schedule is acceptable
or not acceptable within five (5) Working Days after receipt.
9.I3 COORDINATION OF SUBMITTATS
A. Prior to submitral for the Directods review, use all means necessary to fully coordinate all material,
including the following procedures:
L Determine and verifi all field dimensions and conditions, materials, catalog numbers, and similar
data.
2. Coordinate as required with all trades and with all public agencies involved.
3. Secure all necessary approvals fom public agencies and othec and signiry by stamp, or other
means, that they have been secured.
4. Cleady indicate all deviations from the Specifications.
B. Unless othenrvise specifrcally permitted by the Director, make all submittals in groups mntaining all
asociated items; he Director may reject partjal submittals as not complying with the pmvisions of the
Specifications.
9,14 TIMING FOR SUBMITTATS
A. Make all submitals farenough in advance of scheduled dates of installation to pmvide all required time
for reviews, for securing necessary approvals, for possible revision and re-submittal, and for placing
orders and securing delivery.
B. ln scheduling, allow at least 15 Working Days for tre Director's review, plus the transit time to and from
he City office.
C. Manuals shall be submitted prior to performing functional tests.
9.15 APPROVALBYCIIY
A. Up to three (3) copies of each submittal, except manuals, schedule of cosb for progress payments,
and as-buitt drawings will be refumed to the Contractor marked 'No Exceptons Taken," 'Make
Conections Noted - Do Not Resubmit," or"Make Conectlons Noted - Resubmit.' Manuals, schedule of
costs, and as-built drawings will be retumed for resubmittal if incomplete or unacceptable.
B. Submittals marked'Approved as Noted'need not be resubmitted, butthe notes shall be followed.
C. lf submittal is retumed for conection, it will be marked to indicate what is unsatisfactory.
ARTICLE 9
D. Resubmit revised drawings or data as indicated, in five (5) copies.
E. Approval of each submittal by the Director will be general only and shall not be consrued as:
1. Permitting any departures from lhe Specifications requiremenb.
2. Relieving the Contractor of the responsibility for any enors and omissions in delails, dimensions,
or of other nature hat may exist.
3. Approving depa(ures tom additionaldetalls or instructions previously fumished by the Director.
9.16 CHANGES TO APPROVED SUBMITTALS
A. A re-submittal is required for any proposed change to an appoved submittal. Changes which require
re-submittal include, but are not necessarily limited to, drawing revisions, changes in materials and
equipment, installation procedures and test data. All resubmittals shall include an explanation of the
necessity for the change.
B. Minor conections to an appoved submittal may be accomplished by submitting a "Conected Copy".
IEND OF ART|CLEI
ARTICLE 9
GC65
ARTICLE 10 - SAFETY
I(}.OI PROTECTION OF PERSONSAND PROPERTY
Contracto/s Responsibility: Notwithstanding any other provision of the Contract Documents, the
Contractor shall be solely and completely responsible for conditions of the iob site, including safety of
all persons and property, during performance ofthe Work. This requirement will apply continuously and
will not be limited to normal working hours. Safety and sanitary provisions shallconform to all applicable
Federal, State, County, and local laws, regulatrons, ordinances, standards, and codes. Where any of
hese are in conflict, the more stingent requirement shall be followed.
Sanitary Facilities. The Contractor shall fumish and maintain sanitary facilities by the worksites for the
entire construction period.
Protection of the Public. The Contractor shall take such steps and precautions as his/her operations
wanant to potect the public from danger, Ioss of life, loss of property or intenuption of public services.
Unforeseen conditions may arise which will require that immediate provisions be made to protect the
public from danger or loss, or damage to life and property, due direcdy or indirectly to prosecution of
work under this contract. Whenever, in the opinion of the Director, a condition exists which the
Contractor has not taken sufiicient precaution of public safety, protection of utilities and/or protection of
adiacent structures or property, the Director will oder the Contractor to provide a remedy for the
condition. lf the Contractor fails to act on he situation within a reasonable time period as determined
by the Director, or in the event of an emergency situation, the Director may povide suitable protectjon
by causing such work to be done and material to be fumished as, in the opinion of the Director, may
seem reasonable and necessary. The cost and expense of all repairs (including labor and materials)
as are deemed necessary, shall be bome by the Contractor All expenses incuned by the City for
emergency repairs will be deducted from the final payment due to the Contractor
10.02 PROTECTION FROM HAZARDS
Trench Excavation
Excavation for any trench four (4) feet or more in depth shall not begin until the Contractor has received
approval ftom the Director of the Contractods detailed plan for worker protection from the hazards of
caving ground during the excavation of such trench. Such plan shall show the details of the design of
shoring, bracing, sloping or other provisions to be made for worker protection during such excavation.
No such plan shallallowthe use ofshoring, sloping or protective system less effective than that required
by the Construction Safuty Orders of the Division of Occupational Safety and Health, and if such plan
varies from he shoring system standards established by the Construction Safety Orders, the plan shall
be prepared and signed by an engineer who is registered as a Civil or Structural Director in the State
of Califomia.
Confined Spaces
Contractor shall comply with all of the provisions of General lndustry Safety Orders of the Califomia
Code of Regulations. Entry of a confined space shall not be allowed untll the Contractor has received
approval from the Director of the Contractor's program for confined space entry. Confined space means
a space that (1) ls large enough and so configured that an employee can bodily enter and perform
assigned Work; and (2) Has limited or restricted means for entry or exit (for example, tanks, vessels,
silos, storage bins, hoppers, vaults, and pits are spaces that may have limited means ofenfy); and (3)
ARTICLE 1O
ls not designed for continuous employee occupancy, Failure to submit a confined space entry program
may result in actrons as provided in Article 5: 'Suspension or Termination of Contract.'
C. Material SafEty Data Sheet
Contractor shall comply with all of the povisions of General lndustry Safety orders of the Califomia
Adminishative Code. The Contmctor shallsubmit to the Director a Material Safety Data Sheet (MSDS)
for each hazardous substance proposed to be used, ten (10) days prior to the delivery of such materials
to the job site or use of such materials at a manufacfuring plant where the Director is to perform an
inspection. For materials which are to be tested in City laboratories, the MSDS shall be submitted with
the sample(s). Hazardous subslance is defined as any substance included in the list (Directo/s List)
of hazardous substances prepared by the Director, California Department of lndustrial Relations,
pursuant to Labor Code Section 6382. Failure to submit an MSDS for any hazardous substance may
result in actions as provided in Article 5, "Suspension or Termination of Contract".
I().()3 DIFFERING SITE CONDITIONS
A. Differinq Site Conditions Delined. The Contractor shall pncmptly, and before such conditions are
disturbed, notify the Director in writing of any Differing Site Conditions. Differing Site Conditions are
those conditions, located at the project site or in existing improvemenb and not otheruise ascertainable
by Contractor hrough the exercise of due diligence in the performance of its inspection obligations in
the Contract Documents, encountered by Contractor in digging trenches or other excavations(s) that
extend deeperthan four feet below the surface ofthe ground that constjtute:
1. Material thatlhe Contractor believes may be materialthat is hazardous waste as defined in Section
25117 of the Health and Safety Code, which is required to be removed to a Class l, Class ll, or
Class lll disposal site in accordance with provisions of existing law.
2. Subsurface or latent physical conditions at the site differing materially from those indicated in hese
Contract Documents.
3. Unknown physical conditions at the site, of any unusual nature, different materially ftom those
ordinarily encountered and generally recognized as inherent in Work of the character provided for
in these Contract Documents.
B. Notice by Contractor. lf the Contractor encounters conditions it believes constitute Differing Site
Conditions, then notice of such conditions shall, before such conditions are disturbed, be promptly
repo(ed to the Director followed within twentyJour (24) hours by a fufter Mitten notice stating a
detailed description of the conditions encountered.
C. The Director will promptly investigate the conditions and lf he/she finds that such conditions do
materially differ, or do involve hazardous waste, and do cause an increase or decrease in the
Contracto/s cost ol or time required for, performance of any part of the Work under this Contract, an
equitable adjustrnent will be made, as determined by the Director.
D. Chanoe Order Reouest. lf Contractor intends to seek an adjustment to the Contract Sum or Contract
Time based upon Differing Site Conditions, it must, within len (10) Days afrerthe Discovery Date relative
to such conditions, submit a Change Order Request setting forth a detailed cost breakdown and Time
lmpact Analysis, in the form required by Article 6 of these General Conditions, of the additional
Allowable Costs and Excusable Delay resulting from such Differing Site Conditions.
ARTICLE 1O
GC$7
E. Failure to Comply. Failure by Contractor to stictly comply with the requirements of this Paragraph
'10.03 conceming the timing and content of any notce of Differing Site Conditions or request for
adjustment in Contract Sum or Contract Time based on Differing Site Conditions shall be deemed
waiverofany right by the Contractor for an adjustment in the Contnact Sum or Contract Time by rcason
of such conditions.
F. Final Comoletion. No claim by the Cont?ctor for additional compensation for Differing Site Conditions
shall be allowed if asse(ed after Final Payment.
G. ln the event of disagreement between the Contractor and he Director whetrer the conditions do
materially differor whether a hazardous waste is involved or whether he conditlons cause an increase
or decrease in the Contracto/s cost of, or time required fo1 performance of any part of the Work, the
Contractor shall not be excused from any completion date required by the Contract, but shall proceed
with all Work to be performed under the Contract Documents.
H. The Conhactor shall retain all rights provided by, and shall be subiect to all equircmenb ol this
Contract which pertain to the resolution of disputes and protests.
l. Contractor Resoonsibility. Except as othenrrise provided in this PaBgraph 10.03 for Differing Site
Conditions, Contractor agrees to solely bear the risk of additional cost and Delay due to concealed or
unknown conditions, surface or subsurface, atthe Site or in Existing lmprovements, without adjustrnent
to the Contract Sum or Contract Time.
TRAFFIC REGULATION
A. During the performance of the Work the Contractor shall erect and maintain necessary temporary
fences, bridges, railings, lights, signals, baniers, or otrer safeguards as shall be appropriate under the
circumstance in his/her judgment for he prevention of accidents; and he/she shall take other
precautions as necessary for public safety including, but not limited to, traffic control. Traffic control
shall be conducted in accodance with the latest edition of the Work Area Traffic Control ('WATCH')
handbook, published by BNi Books, and as directed and approved by the City Traffic and
Transportation Administrator.
B. Contractor shall submit at least ten ('10) Wo*ing Days prior to Work a detailed traffic control plan, that
is approved by all agencies having jurisdiction and that conforms to all requirements of the
Specifications.
C. No changes or deviations ftom the approved detailed traffic control plan shall be made, except
temporary changes in emergency situations, without prior approval of the City Traffc and
Transportation Administrator and all agencies having jurisdiction.
Contractor shall immediately notifo the Director, the City Traffic and Transportation Administrator and
the agencies having jurisdiction of occunences that necessitate modification of the approved tnaffic
control plan.
D. Contnctor's failure to comply with this provision may result in actons as povided in Article 5:
'Suspension or Termination of Contract' of these General Conditions.
ARTICLE 1O
GC-68
TRAFFIC CONTROL DEVICES
A. Taffic signs, flashing lighb, banicades and other traffc safety devices used to control traffc shall
conform to the requirements of the WATCH handbook or the manual of traffic conbol, whichever is
more stringent, and as approved by the City Traffc and Transportation Administrator.
1. Portable signals shall not be used unless permission is given in writing by the agency having
.lurisdiction.
2. Waming signs used for nighttime mnditions shall be reflectorized or illuminated. 'Reflectorized
signs" shall have a reflectorized backgiound and shall conform to he cunent State of Califomia
Departrnent of Transpofution specification for rellective sheeting on highway signs.
B. lf the Conbactor fails to provide and install any of the signs or traffic mntrol devices required herby or
ordered by the City staff, staff may cause such signs or traffic control devices to be placed by others,
charge the costs therefore against the Contractor, and deduct he same from the next progress
payment.
10.06 EXECUT|oN
A. The Contractor shall provide written notification to the Police Department, Traffic Bureau (323)
at least two (2) weeks prior to the beginning of construction at any padcular
location. Notification will include he specific location, project dates, what lanes of the roadway will be
closed and when. Also the construction project manage/s name and business phone number and the
mnstruction inspecto/s name and business phone number.
B. The Contractor shall notiry, by telephone, the Police Department, (323)at the
completion of any posting of temporary no parking signs. Notmcation will include the times, dates and
locatons of the posting. When vehicles must be towed for violation of temporary no parking signs, the
person who actually posted the signs, or on-view supervisor of that posting, will be present to answer
pertinent questions that may be asked by he parking enforcement officer or police oficer towing the
vehicles.
C. The Contractor shall notifo the Vemon Fire Department, on a daily basis during the entire period that
construction is in progress whenever roadways are reduced in width or blocked. Notifcation shall be
made to the Fire Dispatch (323)and the Contractorshall provide the informatron
required to identiff which roadways would have accessibility problems due to his/her operations. The
Contractor shall submit to Fire Department schedule of Work for their use and files.
Roads subject to interference from the Work covered by his Contract shall be kept open, and the
fences subject to interference shall be kept up by the Contactor until the Work is finished. Except
where public oads have been approved for closure, traffic shall be permitted to pass hrough
designated traffc lanes with as little inconvenience and delay as possible.
Where altemating on+way traffic has been authorized, the maximum time hat traffic will be delayed
shall be posted at each end of the one-way traffic section. The maximum delay time shall be approved
by the agency having .lurisdiction.
Contractor shall install temporary traffic markings lvhere required to direct the fow of traffc and shall
maintain the traffic markings for the duration of need. Contractor shall remove the markings by abrasive
blastrng when no longer requircd.
ARTICLE 1O
E.
F,
D.
G. Convenient access to driveways and buildings in the vicinig of Work shall be maintained as much as
possible. Temporary approaches to, and crossing ol intesecting faflic lanes shall be provided and
kept in good condition.
H. When leaving a Work area and entering a roadway carrying public faffic, the Contracto/s equipment,
whether empty or loaded, shall in all cases yield to public traffic.
10.07 FLAGGING
A. Contractor shall pmvide flaggers to control trafiic where required by the approved traffic conlrol plan.
1. Flaggers shall perform their duties and shall be provided with the necessary equipment in
accordance with the curcnt "lnstructions to Flaggers" of he Califomia Department of
Transportation.
2. Flaggers shall be employed full time on taffic control and shall have no other duties.
I(l.(,8 PEDESTRIAN CANOPIES OR BARRICADE IMPROVEMENTS
Refer to Crty of Vemon for requiremenb for building or access road safety improvements that the Contractor
shall construct during construction period. These devices or improvements, as the City deems necessary or
prudent, shall be at the expense of the Contractor.
[END OF ARTICLEI
ARTICLE 1O
GC-70
ARTICLE 11 .INDEMNITY
11.01 INDEMNITY
To lhe maximum extent permifted by law, the Contractor shall fully indemnify, hold harmless, protect, and defend
the City, its ofiicers, employees, agenb, representatives and their successors and assigns ("lndemnitees') from
and against any and all demands, liability, loss, suit, claim, aclion, cause of action, damage, mst, judgment,
seftlement, decree, arbitration award, stop notice, penalty, loss of revenue, and expense (including any fees of
accountants, aftomeys, experls orother professionals, and costs of investigation, mediation, arbibation, litigation
and appeal), in law or in equity, of every kind and nature wlraboever, arising out ofor in connection with, resultjng
from or related to, or claimed to be arising out of the Work performed by Contractor, or any of its offices, agenb,
employees, Subcontractors, SutrSubcontractors, design consuttanb or any person for whose acts any of hem
may be liable, regardless of whether such claim, sufl or demand is caused, or alleged to be caused, in part, by
an lndemnitee, including but not limited to:
A. Bodily injury, emotional iniury, sickness ordisease, or death to any persons;
B. lnfringement of any patent rights, licenses, copyrighb or intellectual property which may be brought
against the Contractor or City arising out of Contractor's Wo*, for which the Contractor is responsible;
C. Stop notices and claims for labor performed or materials used or fumished to be used in the Work,
including all incidental orconsequential damages resulting to City from such stop notices and claims;
D. Failure of Contractor or its Subcontractors to comply wi$ the provisions for insurance;
E. Failure to mmply wifi any Govemmental Approval or similar authorization or orde[
F. Misrepresentation, misslatement, or omission wih respect to any statement made in or any document
fumished by the Contractor in connection therewifi;
G. Breach of any duty, obligation, or requirement under the Contact Documents;
H. Failure to provide notice to any Party as required under tfie Contract Documents;
l. Failure to protect the property of any utility provider or adjacent property owneq or
J. Failure to make payment of all employee benefits.
This indemnity provision is effective regardless of any prior, concurent, or subsequent active or passive
negligence by lndemnitees, except that, to the limited extent mandated by Califomia Civil Code Section 2782,
the Contractor shall not be responsible for liabilities which arise ftom the sole negligence or willful misconduct of
lndemnitees or arise from the active negligence of City.
11.02 ENFORCEMENT
Contracto/s obligations under this Article e(end to claims occuning afrer termination of the Contracto/s
performance ofthe Contract or Final Payment to Contractor. The obligations apply regardless ofany actual or
alleged negligent act or omission of lndemnitees. Contractor, however, shall not be obligated under this
Agreement to indemniry an lndemnitee for claims arising from the sole active negligerrce or willful misconduct of
the lndemnitee or independent contmctors who are direcfly responsible to lndemnitees. Contracto/s obligations
under this Article are in addition to any oher righb or remedies which he lndemnitees may have under he law
ARTICLE 1,1
GC-71
or under the Contract Documents. ln the event of any claim, suit or demand made against any lndemnitees, the
City may in its sole discretion reserve, retain or apply any monies due to the Contractor under the Contract for
the purpose of resolving such claims; provided, however, that the City may release such funds if the Contractor
provides the City with reasonable assurance of protection of the City's interests. The City shall in its sole
discretion determine whether such assurances are reasonable.
11.03 NO LIMITATIONS
Contracto/s indemnification and defense obligations set forth in this Article are sepanate and independent from
the insurance provisions set forth in Article 12 herein; and do not limit, in any way, the applicability, scope, or
obligations set forth in those insurance provisions. ln claims, suits, or demands against any lndemnitee by an
employee of the Contractor, a Subcontractor, anyone directly or indirectly employed by them, or anyone for
whose acts they may be liable, the Contracto/s indemnification and defense obligations shall not be limited by
a limitation on amount or type of damages, compensation, or benefits payable by or for the Contractor or a
Subcontractor under workers' compensation acts, disability benefits acts, or other employee benefits acts.
IEND OF ARTTCLEI
ARTICLE 11
GC-72
ARTICLE 12 - INSURANCE
12,01 CONDITION TO COMMENCEMENT
Contractor shall not commence Work under this Contract until Contractor has obtained all insurance required
hereunder from a company or companies acceptable to City, nor shall he Contractor allow any Subconbactor
to commence Workon a subconfact untilall insurance required ofsaid Subcontractor has been obtained. Proof
of insurance including insurance certrficates and endoGemenb as set forth in Exhibit 4 must be submitted by
the Contractor prior to the City's execution of the Contract.
12.02 MINIMUM COVERAGE AND LIMITS
Confactor shall maintain the insurance coverage as set forth in Exhibit 4 throughout the term of the Contract.
12.03 CONDITIONS REGARDING INSURANCE COVERAGE AND LIMITS
City and Contractor agree as follows:
A. All insurance coverage and limits pnovided puGuant to the Contract Documents shall apply to the full
extent of the plicies involved, available or applicable. Nothing contained in the Contract Documenb
or any oher agreement relating to City or its operations limits the application of such insurance
coveErge.
B. None of the policies required by tiris Contract shall be in compliance with trese requirements if they
include any limiting endoBement that has not been first submitted to City and approved in writing by
he City Attomey or City's Risk Manager.
12.04 INSURANCE OBLIGATION IS SEPARATE FROM INDEMNITY OBLIGATION
This Agreement's insurance povisions:
A. Are separate and independent from the indemnification and defense provisions in Article 12 ofthe
Agreement; and
B. Do not limit, in any way, the applicability, scope, or obligations of the indemnification and defense
provisions in Article 12 of the Agreement.
IEND OF ARTTCLEI
ARTICLE 12
GC-73
ARTICLE 13 - BONDS
13.01 REQUIRED BONDS
A. Confactor shall fumish the following bonds:
1. A Performance Bond in an amount equalto one hundred percent (100%)ofthe total Contract price
in the form shown in Exhibit "1" attached hereto.
2. A Payment Bond (Labor and Material) in an amount equalto one hundrcd percent (100%) of the
total Contract price in he form shown in Exhibit "2" attached hereto.
3. A Maintenance Bond in an amount equal to ten percent (100/d of tre total Contract price in the
form shown in Exhibit "3' attached hereto,
13.02 POWER OF ATTORNEY
All bonds shall be accompanied by a power of attomey ftom the surety company authorizing the person
executing the bond to sign on behalf of the mmpany. lf fE bonds are executed outside the State of Califomia,
all copies of the bonds must be countesigned by a Califomia representative of the surety. The signature of the
pecon executing the bond on behalf of Surety shall be acknowledged by a Notary Public as the signature ofthe
person designated in the power of attomey.
13.03 APPROVEDSUREW
All bonds must be issued by a Califomia admitted surety insurer with he minimum A.M Best Company
Financial strength rating of 'A: Vll', or better. Bonds issued by a Califomia admitted surety not listed on
Treasury Circular 570 will be deemed accepted unless specifically rejected by the City, Bonds issued from
admitted surety insurers not listed in Treasury Circular 570 must be accompanied by all documents
enumerated in Califomia Code of Civil Procedure Section 995.660. All such bonds must be accompanied by
a power of aftomey from the surety company authorizing the person executing the bond to sign on behalf of
the company. lf the bonds are executed outside the State of Califomia, all copies of the bonds must be
countersigned by a Califomia representative of the surety. The signature of the person executrng the bond
on behalf of Surety must be acknowledged by a Notary Public as the signature of the person designated in
the power of aftomey.
,l3.04 RESUTREpPROV|STONS
Every bond must display the surety's bond number and incorporate the Contractfor cons[uction ofthe Work by
reference. The terms of the bonds shall provide that the surcty agrees that no change, extension of time,
alteraton, or modification of the Contract Documents or the Work to be performed thereunder shall in any way
affect ib obligations and shall waive notice oi any such change, extension of tme, afteration, or modification of
the Contract Documents.
13.05 NEW OR ADDITIONAL SURETIES
lf, during the continuance of the Contract, any of he sureties, in the opinion of the City, are or become non-
responsible or otheMise unacceptable to City, City may require other new or additional sureties, which the
Contractor shall fumish to the satisfaction of City within ten (10) days after notice, and in default thereof the
ARTICLE,I3
GC-74
Contract may be suspended and the materials may be purchased or the Work completed as provided in Article
5 herein.
13.06 WAIVER OF MODIFICATIONS AND ALTERATIONS
No modifications or alterations made in the Work to be performed under the Contract or the time of performance
shall operate to release any sureg from liability on any bond or bonds required to be given herein. Notice of
such evenb shall be waived by the surety.
13.07 APPROVAL OF BONDS
The Contract will not be executed by City nor the Notice to Proceed issued until tre required bonds have been
received and approved by City. City's decision as to the acceptability of all sureties and bonds is final. No
substitution ofthe form of the documents will be permitted without the prior written consent of City.
IEND OF ARTTCLEI
ARTICLE 13
ARTICLE 14. LABOR PROVISIONS
14.01 WORKING HOURS
Work or activity of any kind shall be limited to the hours from 7:00 a.m. to 7:00 p.m. No construction
noise shall be permitted between the hours of 7:00 p.m. and 7:00 a.m. of the next day.
Wo* in excess of eight (8) hours per day, on Saturdays, Sundays, or on City holidays requires prior
consent of the Director and is subject to Cost of overtime Constuction lnspection.
Night, Sunday and Holiday Work. No Work shall be performed at night, Sunday, orthe ten (10) legal
holidays to wit New Yea/s Day, Martin Luther King, Jr. Day, Washington's Birfiday, Memorial Day,
lndependence Day, Labor Day, Veteran's Day, Thanksgiving Day, Friday following Thanksgiving
Day, and Christmas Day, except Work pertaining to the public safety or with the permission of the
Director, and accordance with such regulations as he/she shall fumish in writing. Before performing
any Work at said times, except Work pertaining to the pubtic safety, the Contractor shall oive wntten
notice to the Director so that proper inspection may be provided. "Nighf as used in this paragraph
shall be deemed to include the houls ftom 7:00 P.M. to 7:00 A.M. of the next succeeding day.
14.02 COST OF OVERTIME CONSTRUCTION SERVICES AND INSPECTIONS
Overtime mnstruction Work performed at the option of, or for the convenience of, the Conbactor will
be inspected by the City at the expense of the Contractor. For any such overtime beyond the regular
8-hour day and for any time worked on Saturday, Sunday, or holidays he chaqes will be determined
by the City, and submitted to the Contractor for payment.
Equipment, materials, or services provided by the City, in connection with Contactor-initiated overtime
mnsbuction Work described in Paragraph 14.02(4), willalso be at the expense ofhe Conbactor. The
charges will be determined by he City, and submifted to the Contractor for payment.
There will be no charges to the Contractor for the inspection of overtrme Work ordered by the Director
or required by he Contract Documenb.
B.
B.
I4.03 COMPLIANCE WITH STATE LABOR CODE
Contractor shall comply with the provisions of the Labor Code of the State of Califomia and any
amendmenb thereol
1. The time of service of any worker employed upon the Work shall be limited and restricted to eight
(8) hours during any one+alendar day, and 40 hours during any one+alendar week.
2. Work performed by employees of the Contractor in excess ofeight (8) hours perday, and 40 hours
during any one calendar week, shall be permitted upon mmpensation for all hours worked in
excess ofeight (8) hours per day at not less than one and onehalf times the basic rate of pay.
3. The Contractor and every Subconbactor shall keep an accurate record showing the name of and
the actual hours worked each calendar day and each calendar week by each worker employed by
him/her in connection with the Work; the record shall be kept open at all reasonable hours to the
inspection of the City and to he Division of Labor Standards Enforcement of the State of Califomia.
4. ln the event City deems Contractor is in violation of this Paragraph 14.03, the Contractor shall, as
ARTICLE 14
GC-76
A.
a penalty, forfeit Fifty Dollars ($50.00) for each worker employed in the execution of tre Contract
by the Contractor or by any Subcontractor for each calendar day for which he employee was
underpaid in addition to an amount suffcient to recover underpaid wages. For each subsequent
violation, a (one hundred dollar) $100 penalty shall apply for each underpaid employee for each
pay period for which lhe employee was underpaid in addition to an amount sufficient to mver
underpaid wages. This subparagraph is effective to the extent it does not directly conflict with the
overtime penalty provision of Califomia Labor Code Section 558. ln the event of such conflict, the
Califomia Labor Code govems overthis Paragraph 14.03(AX4).
WAGE MTES
A. Prevailing Wages
1. Contractor shall comply with tre general prevailing rates of per diem wages and the general
prevailing rates for holiday and overtime Work in he locality in which the Work is to be performed,
for each cnft, classification, or type of worker needed to execute the Contract. The Director of
the Department of lndustrial Relations of the State of California (pursuant to Califomia Labor
Code) and the United States Secretary of Labor (pursuant to the Davis-Bacon Act) have
determined the general prevailing rates of wages in the locality in which the Work is to be
performed. The rates are available online at www.dirca.qov,DlsR/PwD/. To the extent that there
are any differences in the federal and state prevailing wage rates for similar classi{ications of
labor, the Contractor and its Subcontractors shall pay the highest wage rate.
2. The Contractor shall post a copy of he general prevailing rate of per diem wages at the job site.
3. The Contractor and any Subcontractor under him/her shall pay not less than the specified
prevailing rate of wages to all workers employed in the execution of tre Contract.
4. The holidays upon which such rates shall be paid shall be all holidays recognized in the mllective
bargaining Contract applicable to the particular craft, classification, or type of worker employed on
the project.
5. The Contractor shall, as a penalty to the State or the City, forfeit not more than Fifty Dollars
($50) for each calendar day, or po(ion thereof, for each worker paid less than he prevailing
rates forthe Work or craff in which the worker is employed under the Contract by the Contractor
or by any Subcontractor under him. The difference between the prevailing wage rates and the
amount paid to each worker for each calendar day or portion thereof for which such worker was
paid less than the stipulated prevailing wage nate shall be paid to such worker by the Contractor.
6. The specified wage rates are minimum rates only and the City will not consider and shall not be
liable for any claims for additional compensation made by the Contractor because of payment
by him/her of any wage rate in excess of the general prevailing rates. All disputes in regard to
the payment of wages in excess of those specifed herein shall be ad.lusted by the Contractor at
his/her own expense.
B. Payroll Records
'1. Pusuant to Califomia Labor Code Section 1776, the Contractor and each Subcontractor shall
keep an accurate payroll record, showing the name, address, social security number, Work
classification, straight time and overtime hours wo*ed each day and week, and the acfual per
diem wages paid to each joumeyman, apprentice, worker or other employee employed in
ARTICLE 14
GC-77
14.05
connection with the Work. The payroll records shall be certified and shall be available for
inspection.
2. The Contractor shall inform he City of the location of the payroll records, including the street
address, city and county, and shall, within five (5) Working Days, provide a notice of change in
location and address.
3. Upon request by the Dircctor, the Contmctor shall provide a copy of the certified payroll records
along with a statement of compliance.
APPRENTICESHIP STANDARDS
A. Compliance with Califomia Labor Code Section'1777.5 requires all public works contractoB and
subcontractors to:
1. Prior to commencing work on a public works contract, submit Contract Award information
to the applicable .ioint apprenticeship committee, including an estimate of the joumeyman
hours to be performed under the Contract, the number of apprentices to be employed, and
the approximate dates the apprentices will be employed. Use Form DAS-140 from the State
Department of lndustrial Relations. The City reserves the right to require Contractor and
Subcontractors to submit a copy of said forms to the City.
2. Employ apprentices for the public work at a ratio of no less than one (1) hour or apprentice
wo* for every five (5) hours or labor performed by a joumeyman. To request dispatch of
apprentices, use Form DAS-142 ftom the State Department of lndustrial Relations. The
City reserves the right to require Contractor and Subcontractors to submit a copy of said
forms to the City.
3. Pay the apprentice rate on public works projects only to those apprentices who are
registered, as defined in Labor Code Section 3077.
4. Contribute to the training fund in the amount identified in the Prevailing Wage Rate
publication for joumeyman and apprentices. Contractors who choose nol to contribute to
the local training trust fund must make their contributions to the Califomia Apprenticeship
Council, P.0. Box 420603, San Francisco, C494142.
B. Failing to comply with the provisions of Califomia Labor Code Section 1777.5 may result in the loss
of the right to bid on all public works projects for a penod of one to three years and the impsition of
a civil penalty of Fifty Thousand Dollars ($50,000) for each calendar day of noncompliance.
Contractor should make a separate copy of this material for each of his/her Subconlractors.
C. Payroll Records. The Contractor and each Subcontractor shall keep an accurate payroll record,
showing the name, address, social security number, work classification, straight time and overtime
hours worked each day and week, and the actual per diem wages paid to each joumeyman
apprentice, worker or other employee employed in connection wih the work. The payroll records
shall be certified and shall be submitted to the Poect Manager every two weeks.
D. Statement of Employer Fringe Benefit Paymenb. Within five (5) calendar days ofsigning the Contract
or Subcontract, as applicable, the Statement of Employer Payments (DLSE Form PW 26 from the
State Department of lndustrial Relations) shall be completed for each Contractor and Subcontractor
of any tier who pays benetts to a third party trust, plan or fund for health and welfare benefits,
ART CLE 14
GC-78
vacation funds or makes pension contributions. The form must contain, for each worker
classification, the fund, plan or trust name, address, administrator, the amount per hour contributed
and the frequency of contributions. Training fund contributions shall also be reported in this form.
City reserves the right to require Contractors and Subcontractors to submit a copy of said forms to
the City.
14.06 EMPLOYMENT OF APPRENTICES
A. ln the performance of this Conkact, the Contractor and any Subcontractor shall comply with the
provisions conceming the employment of apprentices in the Labor Code of the State of Califomia
and any amendments thereof.
B. ln the event the Contractor or any Subcontractor willfully fails to comply with the aforesaid provisions
of the Labor Code, such Contractor or Subcontractor shall be subject to the penalties for
noncompliance in the Labor Code of the State of Califomia and any amendments thereof.
14.07 CHARACTER OF WORKERS
The Contractor shall not allow his/her agents or employees, Subcontractors, or any agent or employee thereof,
to trespass on premises or lands in the vicinity of the Work. Only skilled foremen and workers shall be
employed on Work requiring special qualifications, and when required by the Director, the Contractor shall
discharge any person who commits trespass, or in the opinion of the Director, acts in a disorderly, dangerous,
insubordinate, incompetent, or otherwise objectionable manner. Any employee being intoxicated or bringing
or having intoxicating liquors or controlled substances on the Work shall be discharged. Such discharge shall
not be the basis of any claim for compensation of damages against the City or any of its officers, agents, and
employees.
14.08 NO SMOKING - STATE LABOR CODE SECTION 6404.5
The Contractor and its agents, employees, Subcontractors, representatives, and any person under
Contractods control, are prohibited from smoking in- or within a 20-foot distance from- the Site, which is a
"place of employment" under California Labor Code $ 6404.5.
IEND OF ARTTCLEI
ARTICLE 14
GC-79
ARTICLE 15. DISPUTE RESOLUTION
15.0,I SUBMISSION OFCLAIMS
A. By Contractor
Contracto/s right to commence the Claims Dispute Resolution Process shall arise upon the Director's
written response denying all or part of a Claim. Contractor shall submit a wriften Statement of Dispute
to the Director within seven (7) Days afler the Director rejecb all or a portion of Contractor's Claim.
Contracto/s Statement of Dispute shall b€ signed under penalty of perjury and shall state with
specilicity the events or circumstances giving rise to the Claim, the dates of their occunence and the
effect, ifany, on the compensation due orperformance obligatrons of Contractor underthe Construction
Contract. Such Statement of Dispute shall include adequate supporting data to substantiate the
disputed Claim. Adequate supporting data for a Claim relating to the adjustrnent of the Confacto/s
obligations relative to time of performance shall include a dehiled, event-by€vent description of the
impact of each delay on Conkacto/s time for performance. Adequate supporting data to a Statement
of Dispute submitted by Contractor involving Contracto/s mmpensation shall include a detailed cost
breakdown and supporting cost data in such form and including such detailed informatron and other
supporting data as required to demonstrate the grounds for, and precise amount of, the Claim.
B. By City
City's right to mmmence lhe Claims Dispute Resolution Process shall arise at any time following the
City's actual discovery of the circumstances giving rise to the Claim. Nothing contained herein shall
preclude City from asserting Claims in response to a Claim asserted by Contractor. A Statement of
Dispute submitted by City shall state the events or circumstances giving rise to the Claim, the dates of
their occunence and the damages or other relief claimed by City as a result of such events.
C. Claims Defined
The term "claims'as used herein shall be as delined in Califomia Public Contract Code g 2010a(b)(2).
15.02 CLAIMS DISPUTE RESOLUTION PROCESS
The parties shall ulilize each of the following steps in the Claims Dispute Resolution Process in the sequence
they appear below. Each party shall participate fully and in good faith in each step in the Claims Dispute
Resolution Process, which good faith effort shall be a condition precedent to the right of each pary to proceed
to the next step in the Claims Dispute Resolution Process.
A. Direct Negotiations
Designated representatives of City and Contractor shall meet as soon as possible (but not later than
ten (10) Days after receipt ol the Statement of Dispute) in a good faih effort to negotiate a resolution
to the Claim. Each party shall be represented in such negotrations by an authorized representative
with full knowledge of the details of the Claim or defenses being asserted by such party, and with full
authority to resolve such Claim then and there, subject only to City's right and obligation to obtain City
Council lor other City official]approvalof any agreed settlement or resolution, ln tre Claim involves the
assertton of a right or claim by a Subcontractor against Contractor that is in tum being asserted by
Contractor against City, then such Subcontractor shall also have a representative attend such
negottatons, with he same authori$ and knowledge as just described. Upon completion of the
meeting, if the Claim is not resolved, the parties may either continue the negotialions or eiher party
ARTICLE 15
GC-80
may declare negotiations ended. All discussions that occur during such negotiations and all documents
prepared solely for the purpose of such negotiations shall be confidential and privileged pursuant to
Califomia Evidence Code Sections 1119 and 1152.
B. Defenal of Claims
Following the completion of the negotiations required by Paragraph 15.02-A., all unresolved Claims,
except those that do not involve pades other than the Contractor and City, shall be defened pending
Final Completion of the Work, subject to City's right, in its sole and absolute discretion, to require that
the claims Dispute Resolution Process proceed prior to Final Completion. ln the event that City does
not elect to proceed with the Claims Dispute Resolution Process prior to Final Completion of the Work,
all Claims that have been defened until such Final Completion shall be consolidated within a
reasonabletime after such FinalCompletion and thereaffer pursued to resolution pucuantto the Claims
Dispute Resolution Process. Nothing contained in this Article 15 shall be interpreted as limiting the
parties' rights to mntinue informal negotiations of Claims that have been defened until such Final
Completion; provided, however, that such informal negotiations shall not be interpreted as altering the
provisions of this Article 15 defening final determination and resolution of unresolved Claims until afrer
FinalCompletron of the Work.
C. Legal Proceedings
lf the Claim is not resolved by direct negotiations then the party wishing to further pursue resolution or
determination of the Claim shall submit the Claim for determination by commencing legal proceedings
in a cou( of mmpetent jurisdiction.
15.03 NO WATVER
Participation in the Claims Dispute Resolution Process shall not constitute a waiver, release or compromise of
any defense of either party, including, without limitation, any defense based on the assertion that the rights of
Contmctor that are the basis of a Claim were previously waived by Contractor due to failure to comply with the
Contract Documents, including, without limitation, Contracto/s failure to comply with any time periods for
providing notices or for submission or suppo ng documentation of Claims.
IEND 0F ART|CLEI
ARTICLE 15
GC-81
ARTICLE 16 . ACCOUNTING RECORDS
16.01 MAINTENANCEOFRECOROS
Contractor shall keep, and shall include in its contracts with its Subcontractors, provisions requiring its
Subcontractors to keep full and detailed books and records in accordance with the requirements of the
Contract Documents, including the following: all information, matenals and data of every kind and characler
(hard copy, as well as computer readable data if it exists), that have any beanng on or pertain to any matters,
rights, duties or obligations relating to the Poect orthe performance of the Work, including, without limitation,
agreements, purchase orders, leases, contracts, commitments, anangements, notes, change orders, change
order requesb, estimates, field orders, schedules, diaries, logs, reports, shop drawings, samples, exemplars,
Drawings, Specifications, invoices, delivery tickets, receipts, voucheB, cancelled checks, memoranda;
accounting records; job cost reports; job cost files (including complete documentation covering negotiated
seftlements); backcharge; general ledgers; documentation ol cash and trade discounts eamed; insurance
rebales and dividends, and other documents relating in way to Claims or Change Orders, Construction
Change Directives, Work Directives, or other claims for payment related to the Project asserted by Contractor
or any Subcontractor ('Accounting Records"). Contractor shall exercise such contols as may be necessary
for proper financial management of the Work. Such accounting and control systems shall comply with
prevailing custom and practice for similar projects, be satisfactory to City and shall include preservation of
such records for a period of five (5) years after approval of the Notice of Completion and Acceptance by City,
or for such longer period as may be required by applicable laws.
16.02 ACCESSTORECORDS
Contractor shall allow, and shall include in its contracts with its Subcontractors provisions requiring its
SubcontractoG to allow, City and its authorized representative(s), auditors, attomeys and accountants, upon
twentyjour (24) hours notice to Contractor, full access to inspect and copy all books and records relating to
the Project that Contractor is required to maintain pusuant to Paragraph '16.01, above.
16,03 CONTMCTORNONCOMPLIANCE.WTHHOLDING
Contractor's compliance with Paragraphs 16.0'l and 16.02, above, shall be a condition precedent to
maintenance of any legal action or arbitration by Contractor against City. ln addition to and without limitation
upon City's other rights and remedies for breach, including any other provisions for withholding set forth in the
Contract Documents, City shall have the right, exercised in ib sole discretion, to withhold from any payment
to Contractor due under a cunent Application for Payment an additional sum of up to ten percent ('10%) of the
lotal amount sel forth in such Application for Payment, until Contractor and its Subcontractors have complied
with any outstanding and unsatisfied request by City under this Article 16. Upon such compliance with this
Article 16, any additional monies withheld pursuant to this Paragraph 16.03 shall be released to Contractor.
16.04 SPECIFIC ENFORCEMENT BY CITY
Contractor agrees that any failure by Contractor or any Subcontractor to provide access to its books and
records as required by this Article 16 shall be specifically enforceable, by issuance of a preliminary and/or
permanent mandatory injunction by a court of competent jurisdiction based on affidavits submitted to such
court and without the necessity of oral testimony, to compel Contractor to permit access, inspection, audits
and/or reproduction of such books and records or to require delivery of such books and records to City for
inspection, audit and/or reproduction.
ARTICLE 16
GC-82
[END OF ARTICLE]
ARTICLE 1 T.MISCELLANEOUS PROVISIONS
17,01 COMPLIANCE WTH APPLICABLE LAWS
A. Notices, Compliance
Contractor shall give all notices required by govemmental authorities and comply with all
applicable laws and lawful orders of govemmental authorities, including but not limited to the
provisions of he Califomia Code of Regulations applicable to conlractors performing
construclion and all laws, ordinances, rules, regulations and lawful orders relating to safety,
prevailing wage and Eual employment opportunities.
B. Taxes, Employee Benefits
Contractor shall pay at its own expense, at no cost to the City and without adjustrnent to the
Contract Sum, all local, state and federal taxes, including, without limitation all sales,
consumer, business license, use and similartaxes on materials, labor or other items fumished
for the Work or portions thereof povided by Contractor or Subcontractors, alltaxes arising out
of its operations under the Contract Documents and all benefits, insurance, taxes and
contributions for social security and unemployment insurance which are measured by wages,
salaries orother remuneralion paid to Contracto/s employees. lf under federal excise tax law
any transaction hereunder constitutes a sale on which a federal excise tax is imposed and the
sale is exempt from such excise tax because it is a sale to meat for its exclusive use, then
City, upon request, will execute documents necessary to show hat is a plitical subdivision of
the State for the purposes of such exemption and that the sale is for the exclusive use of he
City, in which case no excise tax for such materials shall be included in the Bid or Contract
Sum.
C. Notice ofViolations
Contractor shall immediately notry the City and Director in writing of any instruction received
from the City, Director, Architect or other person or entity that, if implemented, would cause a
violation of any applicable law or lawful order of a govemmental authonty. lf Contmctor fails
to provide such notice, then Director and Architect shall be entrtled to assume that such
insfuction is in compliance with applicable laws and laMul orders of govemmental authoritjes.
lf Contractor observes that any portion of the Drawings and Specifications or Work are at
variance with applicable laws or lawful orders of govemmental authorities, or should
Contnctor become aware of mnditions not covered by the Contract Documents which will
result in Work being at variance therewith, Contractor shall promptly notify Director in writing.
lf, without such notrce to Director, Contractor or any Subcontractor performs any Work rrvhich
it knew, orthrough the exercise of reasonable care should have known, was contrary to lawful
orders of govemmental authoritres or applicable laws, then Contnactor shall bear all resulting
losses at its own expense, at no cost to City and witrout adjustment to the Contract Sum.
17.02 OWNERSHIP OF DESIGN DOCUMENTS
A, PropertyofCig
All Design Documents, Contract Documents and Submittals (including, without limitation, all
copies thereof) and alldesigns and building designs depicted theEin are and shall remain the
sole and exclusive property of the City and the City shall solely and exclusively hold all
copyrights $ereto. Wffiout derogation the City's rights under his Paragraph, the Contractor
and Subcontractors are granted a limited, non-exclusive license, revocable at will of City, to
ARTICLE 17
use and reproduce applicable portions of the Contract Documents and Submittals as
appropriate to and for use in the execution ofthe Work and for no other purpose.
B. Documents on Site
Contractor shall keep on the Project site, at all tmes and for use by City, Director, lnspectors
of Record and City's Consultants, a complete set of the Contract Documents that have been
approved by applicable Govemmental Auhorities.
C. Delivery to City
All Design Documents, Contract Documents and Submittals in the possession of Contractor
or Subcontractors shall be Etumed to the City upon the earlier of Final Completion or
termination of the Construction Contract; provided, however, lhat Contractor and each
Subcontractor shall have the right to retain one (1) copy of the Contrdct Documents and
Submittals for its permanent records
D. Subcontractors
Contractor shall take all necessary steps to assure that a provision is included in all
subcontmcb with Submntractors, of every tier, rvho perform Work on the Project eslablishing,
protecting and preserving the, City's rights set forth in this Paragraph.
17.03 AMENDMENTS
The Contract Documents may be amended only by a written instrument duly executed by the parties
or their respective successors or assigns.
17.04 WATVER
Either party's waiver of any breach or failure to enforce any of the tetms, covenants, conditions or
other provisions ofthe Contract Documents at any time shall not in any way limit or waive that party's
right thereafter to enforce or compel strict comfliance wrth every term, covenant, condition or other
provision, any course of dealing or custom of the trade notwithstanding. Furthermore, if the parties
make and implement any interpretation of the Contract Documents without documenting such
interpretation by an instrument in writing signed by both parties, such interpretation and
implementation thereof will not be binding in the event of any future disputes.
17.05 INDEPENDENTCONTRACTOR
Conkactor is an independent contractor, and nothing contained in the Contract Documenb shall be
construed as constituting any relationship with City otherthan that of POect owner and independent
contractor. ln no event shall the relationship between City and Contractor be construed as creating
any relationship whatsoever belween Cig and Contractor's employees. Neither Contractor nor any
of its employees is or shall be deemed to be an employee of City. Except as otheMise specified in
the Contract Documents, Contractor has sole authority and responsibility to employ, discharge and
otherwise control its employees and has complete and sole responsibility as a principal for ib agents,
for all Subcontractors and for all other Persons that Contractor or any Subcontractor hires to perform
or assist in performing the Wo*.
I7.06 SUCCESSORSANDASSIGNS
The Contract Documents shall be binding upon and inure to the benefit of City and Contractor and
their permifted successors, assigns and legal representatives.
ART CLE 17
GC-84
A. City may assign all or part of ib right, title and interest in and to any Contract Documents
including rights with respect to the Payment and Performance Bonds, to (a) any othei
govemmental pecon as permitted by governmental rules, provided that the successor or
assignee has assumed all of City's obligations, duties and liabilities under the Contract
Document then in effect; and (b) any other Person with the prior wriften approval of
Contractor.
B, Contractor may collaterally assign ib rights to receive payment under the Contract
Documents. Contractor may not delegate any of its duties hereunder, except to
Subcontractors as expressly othen ise permitted in the Contract Documents. Contractot's
assignment or delegation of any of its Work under the Contract Documents shall be
ineffective to relieve Contractor of its responsibility for the Work assigned or delegated,
unless City, in its sole discrction, has approved such relief from responsibility.
Any assignment of money shall be subject to all proper set-offs and withholdings in favor of
City and to alldeductions provided for in the Contract. All money withheld, whetherassigned
or not, shall be subject to being used by City for completion of the Work, should Contractor
be in default.
C. Except for the limited circumstances set forth in Paragraph 17.06-8, above, Contractor may
not, without the prior written consent of City in its sole discretion, voluntarily or involuntarily
assign, convey, transfer, pledge, mortgage or otherwise encumber its rights or interests
under the Contract Documents. No partner, ioint venturer, member or shareholder of
Contractor may assign, convey, transfer, pledge, mortgage or othenrvise encumber its
ownership interest in Contractor without the prior written consent of City, in City's sole
discretion.
17.07 SURVIVAL
Contractor's representations and wananties, the dispute resolution provisions contained in Article
'15, and all other provisions which by their inherent character should survive termination of the
Contract and/or Final Acceptance, shall survive the termination of the Contract and the Final
Acceptance Date.
17.08 LIMITATION ON THIRD PARTY BENEFICIARIES
It is not intended by any of the provisions of the Contract Documents to create any third pary
beneficiary hereunder or to authorize anyone not a party hereto to maintain a suit for personal injury
or property damage pursuant to the terms or provisions hereof, except to the extent that specific
provisions (such as the warranty and indemnity provisions) identify third parties and state that they
are entitled to benelib hereunder. The duties, obligations and responsibilities of the parties to the
Contract oocuments with respect to such third parties shall remain as imposed by law. The Contract
Documents shall not be construed to create a contractual relationship of any kind between City and
a Subcontractor or any other Person except Contractor.
17.09 PERSONAL LIABILIW OF CITY EMPLOYEES
Ci$'s authorized representatives are acting solely as agents and representatives of City when
carrying outthe provisions oforexercising the poweror authority granted to them underthe Contract.
They shall not be liable either personally or as employees of City for actions in their ordinary course
of employment.
No agent, consultant, Council member, officer or authonzed employee of City, shall be personally
responsible for any liability arising under the Contract.
ARTICLE 17
GC{5
17,10 NO ESTOPPEL
City shall not, nor shall any officer thereof, be precluded or estopped by any measurement, estimate
or certificate made or given by the City representative or other officer, agent, or employee of City
under any provisions of the Contract from at any time (either before or after the final completion and
acceptance of the Work and payment herefor) pursuant to any such measurement, estimate or
certificate showing the lrue and conect amount and character of the work done, and materials
fumished by Contractor or any person under the Contract or from showing at any time that any such
measurement, estimate or certificate is untrue and inconect, or impropedy made in any particular, or
that the work and materials, or any part thereof, do not in fact conform to the Contract Documents.
Notwithstanding any such measurement, estimate or certi{icate, or payment made in accordance
therewith, Cig shall not be precluded or estopped from recovering from Contractor and its Sureties
such damages as City may sustain by reason of Contracto/s failure to comply or to have complied
with the Contract Documents.
17,'11 GOVERNING LAW
The laws of the State of Califomia govern the construction and interpretation of the Contract
Documents, without regard to conflict of law principles. Unless the Contract Documents provide
otheMise, any reference to laws, ordinances, rules, or regulations include their later amendment,
modifications, and successor legislation. lf Contractor or City brings a lawsuit to enforce or interpret
one or more provisions ofthe Contract Documents, jurisdiction is in the Superior Cou( of the County
of Los Angeles, California, orwhere otherwise appropriate, in the United States District Court, Central
District of Califomia. Contractor and City acknowledge that the Contract Documents were
negotiated, entered into, and executed-and the Work was performed-in the City of Vernon,
Califomia.
17.12 FURTHERASSURANCES
Contractor shall promptly execute and deliver to City all such instruments and other documents and
assurances as are reasonably requested by Cig to further evidence the obligations of Contractor
hereunder, including assurances regarding assignments of Subcontractors contained herein.
17.13 SEVERABILITY
lf any clause, provision, section, paragraph or part of the Contract is ruled invalid by a court having
proper jurisdiction, then the parties shall: (a) promptly meet and negotiate a substitute for such
clause, provision, section, paragraph or part, which shall, to the greatest extent legally permissible.
effect the original intent of the parties, including an equitable adjustrnent to the Contract Price to
account for any change in the Work resulting from such invalidated portion; and (b) if necessary or
desirable, apply to the court or other decision maker (as applicable) which declared such invalidity
for an interpretation of the invalidated portion to guide the negotiations. The invalidity or
unenforceability of any such clause, provision, section, paragraph or part shall not affect the validity
or enforceability of the balance of the Contract, which shall be construed and enforced as if the
Contract did not contain such invalid or unenforceable clause, provision, section, paragraph or pa(.
17.14 HEADINGS
The captions of the sections of the Contract are for convenience only and shall not be deemed part
of the Contract or considered in construing the Contract.
ARTICLE 17
17,15 ENTIRE AGREEMENT
The Contract Documents contain lhe entire understanding of the parties with respect to the subject
matter hereof and supersede all prior agreements, understandings, statements, representations and
negotiations between the parties with respect to ib subject matter.
17.16 COUNTERPARTS
This instrument may be executed in two or more counterparts, each of which shall be deemed an
original, but all of which together shall constitute one and the same instrument.
[END OF ARTICLE]
ARTICLE 17
GC€7
EXHIBIT 1
Bond No.:
Premium Amount: $
Bond's Effective Date:
1.
PERFORMANCE BOND
RECITALS:
The City of Vernon, California ("City"), has awarded to
(Name, address, and telephone of Contractor)
('Principal"),
a Contract (the 'Contract") for he Work described as follows:
Specification
No.
in Vemon, CA.
2. Principal is required under the terms of the Contract- and all contract documents referenced in it ("Conkact
Documents")- to furnish a bond guaranteeing Principal's faithful performance of the Work.
3. The Contract and Conract Documents, including all their amendments and supplements, are incorporated into this
Bond and made a part of it by fiis reference,
OBLIGATION:
THEREFORE, for value received, We, Principal and
(Name, address, and lelephone of Surety)
("Surety"),
a duly admitted surety insurer under California's laws, agree as follows:
By this Bond, We jointly and severally obligate and bind ourselves, and our respective heirs, executors, adminisfators,
successors, and assigns to pay City he penal sum of
Dollars ($ )("the Bonded Sum"), this
amount comprising not less than the total Contract Sum, in lawful money of the United States of America.
The California Licensed Resident Agent for Surety is:
(Name, address, and telephone)
Registered Agent's California Department of lnsurance License No.
THE CONDITION OF THIS BOND'S OBLIGATION lS THAT, if Principal prompty and faithtully performs he undertakings,
terms, covenants, conditions, and agreements in the Contract and Contact Documents (including all heir amendments and
supplements), all within the time and in the manner that hose documents speciry, then his obligation becom€s null and void.
Otherwise, this Bond remains in full force and effect, and he following terms and conditions apply to this Bond:
1 This Bond specifically guarantees Principal's perlormance of each obligation and all obligations under the Contacl and
Contract Documents, as they may be amended and supplemented- including, but not limited to, Principal's liability for
liquidated damages, Warranties, Guarantees, Conection, and l\4aintenance obligations as specified ln the Contract and
Contract Documents- except that Surety's total obligation, as descdbed here, will not exceed the Bonded Sum.
2. For those obligations of Principal that survive Final Completion of the Work described in the Contract and Contract
Documents, the guarantees in this Bond also survive Final Completion olthe Work.
3. When City declares that Principal is in default under the Contract, or Contract Documents, or both, Surety shall
promptly: (a) remedy the delault; (b) clmplete the Prqect according to the Contract Documents' terms and conditions
then in effect; or (c) using a procurement methodology approved by City, select a contractor or contractors- acceplable
to City- to complete all of the Work, and anange for a contract between he contacto(s) and City. Surety shall make
available, as the Work progresses, sufficient funds to pay the cost of completion less the balance of the Contract Sum,
EXHIBIT 1 - PERFORI\,IANCE BOND-1 of 3
and to pay and perform all obligations of Principal under the Contract and Contracl Documents- including other costs
and damages for which Surety is liable under this Bond-except that Surety's total obligation, as described here, will not
exceed the Bonded Sum.
4. An alteration, modmcation, change, addition, deletbn, omission, agreement, or supplement h the Contract, Contract
Documents, or tre nature ol the Work performed under the Confact or Contract Documenls- including, without limitation,
an extension oI time for performance- does not, in any way, affect Suretys obligations under tris Bond. Surety waives
any notice of alteration, modification, change, addition, deletion, omission, agreement, supplement, or extension of time.
5. Surety's obligations under this Bond are separate, independent lrom, and not contingent upon any other surety's
guaranteeing Principal's faithful performance of the Work
6. No right of action accrues on this Bond to any entity otherthan City or its successors and assigns.
7. l, an action at law or in equity is necessary to enforce or interpret his Bond's terms, Surety must pay- in addition to the
Bonded Sum- City's reasonable attomeys' Iees and litigation costs, in an amount the court fixes.
L Surety shall mail City written notice at least 30 days before: (a)the effective dateon which the Surety willcancel, terminate,
or withdraw from this Bond; or (b) $is Bond becomes void or unenforceable for any reason.
On the date set forth below, Principaland Surety duly executed this Bond, with the name ofeach party appearing below
and signed by its representative(s) under the authority of its governing body.
PRINCIPAL:SURETY:
Date:
(Company Name)(Company Name)
(Signature)(Signature)
By:
Its:
By:
Its:
(Name)(Name)
(Iitle)Firle)
Address for Seruing Notices or Oher O,ocuments: Address for Serving Notices or o0ler D,ocumenb:
CORPORATE SEAL CORPORATE SEAL
. IritSBOtlDtNSf BEOGCUIED INTRIWATE. anEilCEMUSI ffi, ATTACHED tr THE AUTHORIfl OF At{Y PERSOIV $GM,VG AS ATTORi{EYIN+ACT.. THE ATf@N€Y.lltFACrS S,GMruRE $ugr E NOTAREED.. ACORPOMTESE{I i'USTBE,ITPRESSED ONrtttSFO TWHEN THE PP/NClPrt- ORTT{E SURET{, R BOTH,
AREACoRPoRATION.
APPROVED AS TO SURETY AND
AMOUNT OF BONDED SUM:
APPROVED AS TO FORM:
City Attorney
EXHIBIT 1 - PERFORI\4ANCE BOND-2 of3
ByBy
Director of Community Service & Water
BOND ACKNOWLEDGMENT
FOR
SUREW'S ATTORNEY{N-FACT
STATE 0F CALTFoRNTA )
)ss.couNrYoF )
0n this _ day of 20-,
before me,iname), a Notary Public for said County, personally
appeared (name), who proved to me on the basis of
satisfactory evidence to be the person whose name is subscribed to this instrument as the attomey in fact of
and acknowledged to me that he/she subscribed the
name of lhereto as principal, and his/he own name as
attomey in fact.
I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph
is true and correct.
Notary Public
SEAL
EXHIBIT 1 - PERFoRI\4ANCE BoND-3 of 3
EXHIBIT 2
PAYMENT BOND
(LABOR AND MATERTALS)
RECITALS:
The City of Vernon, California ('City'), has awarded to
Bond No.:
Premium Amount $.
Bond's Effective Date:
1
(Name, address, and telephone of Design-Builder)
("Principal"),
a Contract (the "Conkact") for the Work described as follows:
Specification
No. l
in Vernon, CA.
2. Principal is required under California Civil Code Sections 3247-3248 and the terms of the Contract- and all contract
documents referenced in it ("Contract Documents")- to furnish a bond guaranteeing Principal's paying claims,
demands, liens, or suits for any work, labor, services, materials, or equipment furnished or used in the Work.
3. The Contract and Conhact Documents, including all their amendments and supplements, are incorporated into this
Bond and made a part of it by this reference.
OBLIGATION:
THEREFORE, for value received, We, Principal and
(Name, address, and telephone of Surety)
("Surety'),
a duly admitted surety insurer under California's laws, agree as follows:
By this Bond, We jointly and severally obligate and bind ourselves, and our respective heirs, executors, administrators,
successors, and assigns to pay City the penal sum of
Dollars ($ ) ("the Bonded Sum'), this
amount comprising not less than the total Contract Sum, in lawful money of the United States of America.
The California Licensed Resident Agent for Surety is:
(Name, address, and telephone)
Registered Agent's California Department of lnsurance License No.
THE CONDITION 0F THIS BOND'S OBLIGATION lS THAT, if Principal or a subcontractor fails to pay (a) any person
named in California Civil Code Section 3181, or any successor legislation; (b) any amount due under California's
Unemoloyment lnsurance Code, or any successor legislation, for work or labor performed under the Contract or Conkact
Documents; or (c) any amount under Unemplovment lnsurance Code Section 13020, or any successor legislation, that
Principal or a subcontractor must deduct, withhold, and pay over to the Employment Development Department from the
wages of its employees, for work or labor performed under the Contract or Contract Documents, then Surety shall pay
for the same in an amount not-teexceed the Bonded Sum. Oherwise, his obligation becomes null and void. While this
Bond remains in fullforce and effect, the following terms and conditions apply to this Bond:
1. This Bond inures to he benefit of any of the persons named in California Civil Code Section 3181, or any successor
legislalion, giving hose persons or heir assigns a right of ac'tion in any suit brought upon his Bond, unless California Civil
Code Section 3267 , or any successor legislation, applies.
2. An alteration, modification, change, addition, deletion, omission, agreement, or supplement to the Conkact, Conkact
Documents, or the nature of the Work performed under the Contract or Contract Documents- including, wihout
EXHIBIT 2 - PAYMENT BOND-1 of 3
limitatjon, an extension of time for performance- does not, in any way, affect Surety's obligations under this Bond.
Surety waives any notice of alteration, modification, change, addition, deletion, omission, agreement, supplement, or
extension of time.
3 Surety's obligations under this Bond are separate, independent from, and not contingent upon any oher surety's
paying claims, demands, liens, or suits for any work, labor, services, materials, or equipment fumished or used in
the Work.
4. lf an action at law or in equity is necessary to enforce or interpret this Bond's terms, Surety must pay- in addition
to the Bonded Sum- City's reasonable attorneys'fees and litigation @sts, in an amount the cou( fixes.
5. Surety shall mail City written notice at least 30 days before: (a) the effective date on which the Surety willcancel,
terminate, or withdraw from this Bond; or (b) this Bond becomes void or unenforceable ,or any reason.
On the date set forth below, Principal and Surety duly executed this Bond, with the name ofeach party appearing below
and signed by its representatrve(s) under the authority of its governing body.
Date:
PRINCIPAL:SURETY:
(Company Name)(Company Name)
(Signature)(Signaturel
By:
Its;
By:
Its:
(t{ame)(Name)
oifle)
Address for SeNing Notices or Other D,ocumen6: Address for Serving Notlc6 or Oher Documents:
Fitle)
CORPORATE SEAL CORPORATE SEAL
. I},,S 80f''D i{UST BE AGAfiED N TruHJCATE. flIIDENCE MUST tr ATTACHED OF THE AWHORIIY OF AtlyPERSOit gG/Y,ivGAS ATTORNEYJN+ACT.. THE ATIoRNEY I-FACTS STGMTURE,I'UST BE NO|ARIZED.. ACORPOFATESEIIT I{UST8E,I'PRESSED ON T,IIS FORflI WHEN TI,E PRINCIPII. OR TI,E SURETY, OR BOTH,
ARE A CORPORANON.
APPROVED AS TO SURETY AND
AMOUNT OF BONDED SUM:
APPROVED AS TO FORM:
City Aftorney
By
Director of Community Service & Water
By
EXHIBIT 2 - PAYMENT BOND-2 of 3
STATE OF CALIFORNIA
COUNTY OF
On this _ day of
BOND ACKNOWLEDGMENT
FOR
SUREW'S ATTORNEY.IN.FACT
20-.,
SS
before me,
appeared
thereto
(name), a Notary Public for said Coung, perconally
.(name), who proved to me on the basis of
satisfactory evidence to be the person whose name is subscribed to this instrument as the attomey in fact of
, and acknowledged to me that he/she subscribed the name of
as principal, and his/he own name as aftomey in fact.
I certify under PENALTY OF PERJURY under the laws ofthe State of Califomia that the foregoing paragraph
is true and correct.
Notary Public
SEAL
EXHIBIT 2 - PAYI,IENT BOND-3 of 3
1
EXHIBIT 3
Bond No.:
Premium Amount $
Bond's Effective Date:
MAINTENANCE BOND
RECITALS:
The City of Vernon, California ("City), has awarded to
(Name, address, and telephone of Contractor)
No.
("Principal"),
a Contract (the "Contract') for the Work described as follows:
Specification
in Vernon, CA.
2. Principal is required under the terms of the Conkact- and all contract documents referenced in it ("Contract
Documents")- after completion of the Work and before the filing and recordation of a Notice of Completion for the
Work, to furnish a bond to secure claims for Maintenance equal to ten percent (10%) of the total amount of the
Contract Which shall hold good for a period of one ('l) year from the date the City's Notice of Completion and
Acceptance of the Work is filed with the County Recorder, to protect the City against the result of faulty material or
workmanship during that time.
3. The Contract and Contract Documents, including all their amendments and supplements, are incorporated into this
Bond and made a part of it by this reference.
OBLIGATION:
THEREFORE, for value received, We, Principal and
(Name, address, and telephone of Surety)
("Surety'),
a duly admitted surety insurer under California's laws, agree as follows:
By this Bond, We jointly and severally obligate and bind ourselves, and our respective heirs, executors, administrators,
successors, and assigns to pay City the penal sum of
Dollars ($ ) ("the Bonded Sum"), this
amount comprising not less than the total Contract Sum, in larrful money of the United States of America.
The California Licensed Resident Agent for Surety is:
(Name, address, and telephone)
Registered Agent's California Department of lnsurance License No._
THE CONDITION OF THIS BOND'S OBLIGATION lS THAT if the said Principal or any of his or her or its subconfactors,
or the heirs, executors, administrators, successors, or assigns or assigns of any, all, or either of them, shall fail to execute
within a reasonable amount of time, or fail to respond within seven (7)days with a written schedule acceptable to the City
for same, repair or replacement of any and all Work, togefier with any other adjacent Work which may be displaced by so
doing, that proves to be defective in its workmanship or material for the period of one (1) year (except when otherwise
required in the Contract to be for a longer period) ftom the date the City's Notice of Completion and Acceptance, or
equivalent, is filed wih the County Recorder, ordinary wear and tear and unusual abuse or neglect excepted with respect to
such Work and labor, the Surety herein shall pay for the same, in an amount not exceeding the sum specified in this Bond.
1. When City declares that Principal is in default under the Contract, or Contract Documents, or both, Surety shall
promptly remedy the default using a procurement methodology approved by City, select a contractor or contractors-
acceptable to City to complete all of the Work, and arrange for a contract between the contracto(s) and City. Surety shall
make available sufficient funds to pay the cost of repair or replacement of any and all Work and to pay and perform all
obligations of Principal under the Contract and Contract Documents- including other costs and damages for which Surety
is liable under this Bond except that Surety's total obligation, as described here, will not exceed the Bonded Sum.
EXHIBIT 3 - MAINTENACE B0ND-1 of 3
2 Should he condition of this bond be fully perlormed, then fiis obligation shall become null and void, othen rise it shall be
and remain in fullforce and effect.
3. Surety, for value received, hereby stipulates and agrees that no change, extension ol time, alteration, or addition to the
terms of said Conbact or to the Work to be perlormed thereunder or the specifications accompanying the same shall in any
manner affect its obligations on this bond, and it does hereby waive notice of any such change, extension, alteration, or
addition,
4. Surety's obligations under this Bond are separate, independent from, and not contingent upon any other surety's
guaranteeing Principal's faithfu I performance of the Work.
5. No right of action accrues on this Bond to any entity other than City or its successors and assigns.
6. If an action at law or in equity is necessary to enforce or interpret this Bond's terms, Surety must pay, in addition to the
Bonded Sum, City's reasonable attorneys' fees and litjgation costs, in an amount he court fixes.
7. Surety shall mail City written notice atleast30 days before: (a)the effective date on which the Surety willcancel, terminate,
or withdraw from this Bond; or (b) his Bond becomes void or unenforceable for any reason.
8, Death of the Principalshall not relieve Surety ol its obligations hereunder.
On the date set forth below, Principal and Surety duly executed this Bond, with the name of each party appearing below
and signed by its representative(s) under the authority of its goveming body.
Date:
PRINCIPAL:SURETY:
(Company Name)(Company Name)
(Signature)(Signature)
By:
Its:
By:
Its:
(Name)(Name)
[rifle)
Address for Serving Notices or Other Documenb: Address for Serving Notice or Other Documents:
(Tifle)
CORPORATE SEAL CORPORATE SEAL
. ,7{S 8O'{D i{'SI E, EXECITIED N IRM.EAIE. EtlDEt{E M)Sf E ATfAC,IED OF TIE Al|lrfiRfi\l OFII{YPERSO,VSIGMT'/G AS ATrOF,EYJiI.FACT.. fr€ AfiORI/FY+I+AC7S Sl3I'AruRE m/Sr E M)TARED.. A CORPOR/I'E SEIIL [4'ST BE TI'PRESSED qI f' S rcW WETI IIE PRfrICFAT. OR 1?€ SURETX OR NT'I, AE A
CORPORAIICN.
APPROVED AS T0 SURETY & AMOUNT OF BONDED SUM: APPROVED AS TO FORM:
City Attorney
EXHIBIT 3 _ MAINTENACE BOND-2 of 3
By
Director of Community Service & Water
By
STATE 0F CALTFORNTA )
) ss.couNTYoF )
On this day of
BOND ACKNOWLEDGMENT
FOR
SURETY'S ATTORNEY.IN.FACT
20--,
before me, (name), a Notary Public for said County, personally
appeared (name), who proved to me on the basis of
satisfactory evidence to be the person whose name is subscribed to this instrument as the attomey in fact of
and acknowledged to me that he/she subscribed the
name of thereto as principal, and his/he own name as
attorney in fact.
I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph
ls true and correct.
Notary Public
SEAL
EXHIBIT 3 - MAINTENACE BOND-3 of 3
EXHIBIT 4
{coNFiRM TNSTiRANCE L!MiTS W RISK MANAGEMENT PRTOR T0 ADVERTISiNG, TYPTCAL LtMtTS BELOW
couLD CHANGE FOR SPre rFrC PROJECTSi
INSURANCE REQUIREMENTS
1.0 REQUIRED INSUMNCE POLICIES
At its own expense, Contnactor shall obtain, pay for, and maintain - and shall require each of its
Subcontractors to obtain and maintain - for the duration of the Agreement, policies of insurance meeting the following
requirements:
A. Workers'Compensation/Employe/s Liabilig lnsurance shall provide workers'compensation
statutory beneflts as required by law.
1. Employe/s Liability insurance shall be in an amount not less than:
(a) ONE MILLION DOLLARS ($1,000,000) per accident for bodily injury or disease;
(b) ONE MILLION DOLI-ARS ($1,000.000) per employee for bodily injury or disease;
and
(c) ONE MILLION DOLIARS ($1.000,000) policy limit.
B. Commercial General Liability ('CGL') (primary). City and its employees and agents shall be
added as additional insurcds, not limitlng coverage for the additional insured to "ongoing openations" or in any way
excluding coverage for completed operations. Coverage shall apply on a primary, non-contributing basis in relation to
any other insurance or self-insurance, primary or excess, available to City or any employee, representative or agent of
City. Coverage shall not be limited to the vicarious liability or supervisory role of any additional insured. Coverage shall
contain no contractors' limitation or other endorsement limiting the scope of coverage for liability arising from explosion,
collapse, or underground property damage.
1. CGL insurance must not be written for less than the limits of liability specified as follows:
(a) ONE MILLION DOLLARS ($1.000.000) peroccurTence for bodily injury (including
accidental death) to any one person;
(b) ONE MILLION DOLLARS ($1,000.000) per occurTence for personal and
advertising injury to any one person;
(c) ONE MILLION DOLLqRS ($1,000,000) per occurence for property damage; and
(d) TWO MILLION DOLI-ARS ($2,000.000) generalaggregate limit.
2. CGL insurance must include all major divisions of coverage and must cover:
(a) Premises Operations (including Explosion, Collapse, and Underground [X,C,U']
coverages as applicable);
(b) lndependent Contracto/s Protective;
EXHIBIT 4 - INSURANCE REQUIREMENTS - 1 of 6
(c) lndependent Contractons;
(d) Products and Completed Operations (maintain same limits as above untilfive (5)
years after recordation of Notice of Completion)
(e) Perconaland Advertising lnjury (with Employeds Liability Exclusion deleted);
(0 Contractual Liability (including specified provision for Contracto/s obligation under
Article 11 of the General Conditions); and
(g) Broad Form Property Damage.
3. Umbrella or Excess Liability lnsunance (over primary), if provided, shall be at least as broad
as any underlying coverage. Coverage shall be provided on a "pay on behalf basis, with
defense costs payable in addition to policy limits. There shall be no cross liability exclusion
and no contracto/s limitation endorsement. The policy shall have starting and ending dates
concunent with the underlying coveftUes. The Named lnsured may determine the layering
of primary and excess liability insurance provided that if such layering differs from that
described here, the actual coverage program meets the minimum total required limits and
complies with all other requirements listed here.
C. Buslness Automobile Liability lnsurance
1. Business Automobile Liability lnsurance must cover all vehicles, whether rented, leased,
hired, scheduled, owned or non-owned. lf Contractor does not own any vehicles, this
requirement may be satisfied by a nonowned vehicle endorsement to the general and
umbrella liability policies. Business Automobile Liability lnsurance coverage amounts shall
not be less than the following:
(a) ONE MILLION DOLLARS ($1.000,000) per occunence for bodily injury (including
accidental death) to any one penon; and
(b) ONE MILLION DOLL\RS ($1.000,000) per occurence for property damage; or
(c) ONE M|LLION DOLLARS ($1.000,000) combined single limit.
D. Contractors Pollution Liability lnsurance (CPL) REOUIRED / NOT REQUIRED FOR THIS
PROJECT (OPT|ONAL,4T DTSCRETION OF etw - GHECK W R'SK MANAGEilTENT - LEAVH
iN ALL SPECS & NOTE rF REQUIRED)
1. Contractor or Subcontractor shall obtain, pay for, and maintain for the duration of the
Contract Contractors Pollution Liability insunance that provides coverage for liability caused
by pollution conditions arising out of the operations of the Contractor. Coverage shall be
included on behalf of the insured for covered claims arising out of the actions of independent
contractors. lf the insured is using Subcontractors, the policy must include work performed
"by or on behalf of the insured.
2. The policy limit shall provide coverage of no less than one million dollars ($1,000,000) per
claim and in the aggregate. Coverage shall apply to bodily injury; property damage,
including loss of use of damaged property or of property that has not been physically inured;
EXHIBIT 4 - INSUMNCE REQUIREMENTS - 2 of 6
cleanup costs; and costs of defense, including costs and expenses incuned in the
investigation, defense, or seftlement of claims.
3. All activities contemplated in the Contract shall be specifically scheduled on the CPL policy
as "covered operations.' ln addition, the policy shall provide coverage for the hauling of
waste ftom the Project site to the final disposal location, including nonowned disposal sites.
4. The policy shall specifically provide for a duty to defend on the part of the insurer. City, its
officers, employees and agents shall be added to the policy as additional insureds by
endonsement.
E. Builder's Risk lnsurance REQUIRED / NOT REQUIRED FOR THIS PR0JEGT (OPTIONA{- AT
DISERETION OF CITY - CHECK Wi RISK MANAGEMENT - LEAVE IN AI-L SPECS & NQTE IF
REQUTREB)
1. Builde/s Risk lnsurance covering all real and personal property for "all risks" of loss or
"comprehensive perils" coverage including but not limited to the perils of earth movement
including earthquake and flood for all buildings, structures, fixtures, materials, supplies,
machinery and equipment to be used in or incidental to the construction at the site, off site,
or in transit, for the full replacement value of such properties. Covenage shall be included for
property of others in the care, custody or control of the insured for which any insured may be
liable. The City will purchase a buildeis risk policy for the Project instead of a contractor
purchased policy. Bidder should not include cost for this coverage in his/her bid.
2.0 GENEMLREQUIREMENTS-ALLPOLICIES
A. Qualifications of lnsurer. At all times during the term of this Contract, Contracto/s insurance
company must meet all of the following requirements:
1. "Admitted' insurer by the State of Califomia Department of lnsurance or be listed on the
Califomia Department of lnsurance's "List of Surplus Line lnsurers' ("LESL|");
2. Domiciled within, and organized under the laws of, a State of the United States; and
3. Carry an A.M. Best & Company minimum rating of "A:Vll".
B. Continuation Coverage. For insurance coverages that are required to remain in force after the
Final Payment, and if reasonably available, Contractor shall submit to City, with the final Application for Payment, all
certificates and additional insured endorsements evidencing the continuation of such coverage.
C. Deductibles or Self-lnsured Retentions. All deductibles or self-insured retentions are subject to
City's review and approval, in its sole discretion.
D. Commercial General Liability and Business Automobile insurance policies must be written on an
"occunenc€' basis and must add the City of Vemon and its officers, agents, employees and representatives as
additional insureds.
E. Contracto/s lnsurance Primary. Other insurance (whether primary, excess, contingent or self-
insurance, or any other basis) available to City, or its representatives, or both, is excess over Contracto/s insurance.
City's insurance, or self-insurance, or both, will not contribute with Contractor's insurance policy.
EXHIBIT 4 - INSUMNCE REQUIREMENTS - 3 of 6
F. Waiver of Subrogation. Contractor and Contractor's insurance company waive- and shall not
exercise- any right of recovery or subrogation that Contractor or the insurer may have against City, or its
representatives, or both.
G. Separation of lnsureds. Contracto/s insurance policy applies separately to each insured or
additional insured who is seeking coverage, or against whom a claim is made or suit is brought, except that the
naming of multiple insureds will not increase an insurance company's limits of liability.
H. Claims by Other lnsureds. Contractor's insurance policy applies to a claim or suit brought by an
additional insured against a Named lnsured or other insured, arising out of bodily injury, personal injury, advertising
injury, or property damage.
l. Premiums. City is not liable for a premium payment or another expense under Contractois policy
J. At any time during the duration of this Contract, City may do any one or more of the following:
1. Review this Agreement's insurance coverage requirements;
2. Require that Contractor obtain, pay for, and maintain more insurance depending on City's
assessment of any one or more of the following lactors:
(a) City's risk of liability or exposure arising out of, or in any way connected with, the
services of Contractor under this Agreement;
(b) The nature or number of accidents, claims, or lawsuits arising out of, or in any
way connected with, the services of Contractor under this Agreement; or
(c) The availability, or affordability, or both, of increased liability insurance coverage.
3. Obtain, pay for, or maintain a bond (as a replacement for an insurance covenge) fom a
Califomia corporate surety, guaranteeing payment to City for liability, or msts, or both,
that City incurs during City's investigation, administration, or defense of a claim or a suit
arising out of this Agreement; or
K. Contractor shall maintain the insurance policy without intenuption, from the Project's
commencement date to the Final Payment date, or until a date that City specifes for any coverage that Contractor
must maintain after the Final Payment.
L. Contractor shall not allow any insurance to expire, cancel, terminate, lapse, or non-renew,
Contractods insurance company shall mail City wriften notice at least thirty (30) days in advance of the policy's
cancellation, termination, non-renewal, or reduction in covenage and ten (10) days before its insurance policy's
expiration, cancellation, termination, or non+enewal, Contractor shall deliver to City evidence of the required
coverage as proof that Contracto/s insurance policy has been renewed or replaced with another insurance policy
which, during the duration of this Agreement, meeb all of this Agreement's insurance requirements.
M. At any time, upon City's request, Contractor shall furnish satisfactory proof of each type of insurance
coverage required- including a certified copy of the insurance policy or policies; certificates, endorsements, renewals,
or replacements; and d@uments comprising Contracto/s self-insurance program- all in a form and content
acceptable to the City Attomey or City's Risk Manager.
EXHIBIT 4 - INSUMNCE REQUIREMENTS-4 of 6
N. lf Contractor hires, employs, or uses one or more Subcontracto(s) to perform work, services,
operations, or activities on Contractor's behalf, Contractor shall ensure that the Subcontractor complies wih the
following.
1. Meets, and fully complies with, this Agreement's insurance requirements; and
2. Fumishes City at any time upon its request, with a complete copy of the Subcontractor's
insurance policy or policies for City's review, or approval, or both. Failure of City to
request copies of such documents shall not impose any liability on City, or its employees.
O. Contractois failure to comply with an insurance provision in this Agreement constitutes a material
breach upon which City may immediately terminate or suspend Contractor's performance of this Agreement, or
invoke another remedy that this Agreement or the law allows. At its discretion and without waiving any other rights it
may have pursuant to law, City has the right but not a duty to obtain or renew the insurance and pay all or part of the
premiums. Upon demand, Contractor shall repay City for all sums or monies that City paid to obtain, renew, or
reinstate the insurance, or City may offset the cost of the premium against any sums or monies that City may owe
Contractor.
3,0 CONTMCTOR'S SUBMITTAL OF CERTIFICATES AND ENDORSEMENTS
A. Contractor shall have its insurance canie(s) or self-insurance administrato(s) complete and
execute the following insurance documents and shall deliver said documents at the same time Contractor delivers
this Agreement to City. City will neither sign this Agreement nor issue a 'Notice to Proceed" until the City Attomey or
City's Risk l\ilanager has reviewed and appoved all insurance documents. City's decision as to the acceptability of all
insurance documents is final. Sample insurance documents in the City's approved format are set forth in this 4.
B. Required Submittals for Commercial General Liability and Business Automobile lnsurance and
Contractor's Pollution Liability lnsurance. The following submittrls must be on forms satisfactory to the City Aftomey or
City's Risk Manager, and signed by the insurance canier or its authorized representative - wlrich fully meet the
requirements of and contain provisions entirely mnsistent with, all of the insurance requirements set forth herein.
1. "Certificate of lnsurance"2. "AdditionallnsuredEndorsement'
3. Subrogation Endorsement: "Waiver of Transfer lo Rights of RecoverAgainst Others"
Both Certificates of lnsurance and Additional lnsured Endorsements must read as follows: "The City of Vemon,
and its ofiicers, agenb, employees and representatives are included as additional insureds under the policy(s). This
insurance is primary to all other insurance of the Cig. The Cig's insurance and self-insurance will apply in excess of,
and will not contnbute with his insurance. This insurance applies separately to each insured or additional insured who
is seeking coverage, or against whom a claim is made or a suit is brought. The issuing company shall mail hirty (30)
days advance notice to he City for any policy cancellation, termination, non-renewal, or reduction in coverage."
C. Required Submittals for Workers' Compensation lnsurance. Contractor shall provide City with a
certificate of insurance and a subrogation endorsement on forms satisfactory to the City Attomey or City's Risk
Manager, and signed by the insurance canier or its authorized representative - which fully meet the requirements of,
and contain provisions entirely consistent with, this Contract's workec compensation insurance requirements. lf
Contractor is self-insured for workers' compensation, a copy of the 'Certificate of Consent to Self-insure' from the
State of California is required; or if Contractor is lawfully exempt from workers' compensation laws, an 'Affirmation of
Exemption from Labor Code $3700' form is required.
EXHIBIT 4- INSUMNCE REOUIREMENTS.5 of 6
D. Required Evidence of Builde/s Risk Coverage. City will provide a cedficate of insurance and a
declarations page on a form satisfactory to the City Attomey or City's Risk Manager, and signed by the insurance canier
or its authon2ed representative. The policy terms must fully meet he requirements of, and mntain provisions entirely
consistent with, all ofthe insurance requirements set forth herein. The City shall be named as a loss payee on the
insurance policy for the full replacement value ofall buildings, stuctures, fixtures and materials to be constructed,
maintained, repaired or supplied puBuant to this Contract.
E. Contractor agrees to monitor and review all such coverage and assumes all responsibility for
ensuring that all required coverage is provided. Contractor agrees to obtain certificates evidencing such mverage.
F. Contractor agrees to provide immediate notice to City of any claim or loss against Contractor that
includes City or any other indemnitee as a defendant. City assumes no obligation or liability by such notice, but has the
right (but not the duty) to monitorthe handling of any such claim or claims if they are likely to involve City.
G. No liability policy shall contain any provision or definition that would serve to eliminate sotalled "thid
party action ove/ claims, including any exclusion for bodily injury to an employee of the insured or of any contractor or
subcontractor.
H. Any "self-insured retention' must be declared and approved by City. City reserves the right to require
the self-insured retention to be eliminated or replaced by a deductible. Self-funding, policy fronting or other mechanisms
to avoid risk transfer are not acceptable. lf Contractor has such a program, Contractor must fully disclose such program
to City.
EXHIBIT4-INSUMNCE REQUIRETIENTS-6 of 6
EXHIBIT B
SPECIAL PROVISIONS
SPECIFIC FOR THIS PROJECT
{to be added as project requires}
EXHIBIT C
LIV]NG WAGE PROVISIONS
Minimum Livino Waoes:
A requirement that Employers pay qualifying employees a wage of no less than $10.30 per hour with health benefits,
or $11.55 per hour without health benefits.
Paid and Unoaid Days off:
Employers provide qualifying employees at least twelve compensated days off per year for sick leave, vacation, or
personal necessity, and an additional ten days a year of uncompensated time for sick leave.
No Retalialion:
A prohibition on employer retaliation against employees complaining to the City with regard to the employeis
compliance with the living wage ordinance. Employees may bring an action in Superior Court against an employer
for back pay, treble damages for willful violations, and aftomey's fees, or to compel City officials to terminate the
service contract of violating employers.
D.
EXHIBIT D
EQUAL EMPLOYMENT OPPORTUNITY
PRACTICES PROVISIONS
Contractor certifies and represents that, during the performance of this Agreement, the contractor and each
subconkactor shall adhere to equal opportunity employment practices to assure that applicants and employees
are treated equally and are not discriminated against because of their race, religious creed, color, national
origin, ancestry, handicap, sex, or age. Contractor further certifies that it will not maintain any segregated
facilities.
Contractor agrees that it shall, in all solicitations or advertisements for applicants for employment placed by or
on behalf of Contractor, state that it is an "Equal Opportunity Employer' or that all qualified applicants will
receive consideration for employment without regard to their race, religious creed, color, national origin,
ancestry, handicap, sex or age.
Contractor agrees that it shall, if requested to do so by the City, certify that it has not, in the performance of this
Agreement, discriminated against applicants or employees because of their membership in a protected class.
Contractor agrees to provide the City with access to, and, if requested to do so by City, through its awarding
authority, provide copies of all of its records pertaining or relating to its employment practices, except to the
extent such records or portions of such records are confidential or privileged under state or federal law.
Nothing mntained in this Agreement shall be construed in any manner as to require or permit any act which is
prohibited by law.
BIDDING FORMS
BIDDING FORMS
BIDDER'S PROPOSAL
The undersigned submits this Bid in response to the Notice lnviting Bids issued by the City to construct the Work of
the following Project in accordance with the Contract Documents:
PROJECT: (lnsert Proiect Name). Specification No. fi)000
A. Enclosed herewith and by this reference incorporated herein and made a part of this Bidder's Bid are the
following completed forms:
1. Bidde/s Proposal
2. Schedule of Bid Prices
3. lncumbency Certificate
4. Bid Security in the following form (check one):
! Cashie/s Check tr Certified Check E Bid Bond E Castr
5. Bidde/s Statement of Oualifications
6. Experience Form
7. Statement of Violations of Federal, State or Local Law, if applicable
8. (OPTIONAL) Specialty Contractor Statement of Qualifications
9. Contractff Safety Questionnaire
10. Designation of Subcontractors
11. Contracto/s Affidavit of Noncollusion
12. lnsuranceRequirementsAmdavit
,l3. Statement of Disqualification or Debarment.
14. Pre-Bid Site lnspection Certification.
B. Acknowledgment of Addenda. The Bidder shall acknowledge the receipt of all Addenda by attaching a signed
copy of all Addenda, and by listing all Addenda received and aftached in the space below.
lf an Addendum or Addenda have been issued by the City and not attached and noted above as being received
by the Bidder, the Bid may be rejected.
C. lnspection of the Work and Contract Documents. Bidder certifies that it has carefully examined and is fully
familiar with all of the provisions of the Bidding Documenb and said Bidding Documents contain sufficient
detail regarding the Work to be performed; that it has notified City of any enors or omissions in the Bidding
Documents and/or any unusualsite conditions; and that it has carefully checked allwords, prices, and
statements in this Bidding Document. Bidder hereby certifies that he/she and his/her Subcontractors have
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BIDDING FORMS
inspected tre site and related Drawings and Specifications of Work and fully acquainted themselves with all
conditions and maftec which may in any way affect the Work, time of mmpletion or the costs thereof.
Bidder also certifies he/she has observed tre designated Contractor Work areas and access routes, if
disclosed or shown, as part of the Work in this Contract.
SITE INSPECTION - CERTIFICATION:
Person(s) who inspected site of the proposed Work for your firm:
Name:
Tifle:
Name:
Title:
Date of lnspection
Date of lnspection
D. Bidder agrees that all costs of Work shown in the Bidding Documents, including work reasonably inferable
therefrom and necessary thereto, are included in his/her Bid. All Work shown in the Contract Documents for which a
specific line item is not provided in the Bidding Form is included in the BiddeCs Total Base Bid Price.
(OPT|ONAL}Contractor shall be reimbursed for the actualdirect cost of all Permit Fees, if any, as delined in Paragraph
1.01 and addressed in Paragraph '1.03 of the General Conditions. Bidder shall exclude the cost of Permit Fees from
Biddeds Base Bid sum; Base Bid sum shall include lhe cost of administration and coordination of Governmental
Approvals and Utility Fees. Bidder agrees that City will not be responsible for any enors or omissions on the part of
the undersigned in making his Bid.
E. Forfeiture of Bid Security. Bidder further agrees that, in case of his/her default in executing the required
Contract and the required bonds, or fumishing the required insurance, the money payable under the Bid Security
accompanying this Bid shall be applied by the City towards payment of the damage to the City on account of such
default, as provided in the Bidding Documents.
F. Period of lnevocability. Bidder agrees that this Bid shall remain open and shall not be withdrawn for a period
of not less than ninety (90) calendar days from the date of award of Contract, or until rejected by the City, whichever
period is shorter.
G. Bid Dispute lndemnifcation. ln the event of a Bid dispute based upon the Bidde/s submission of this Bid and
the City acceptance of same, he Bidder shall indemnify, defend (with counsel acceptable to City), and hold harmless the
City, ib City Council members, employees, and agents from liability, claims, demands, damages, and msb arising
therefrom if such dispute or acton arises solely upon the award of a Contract in compliance with federal, state, and local
laws.
emolovee of the Citv of Vernon.
I hereby certify under penalty of periury under the laws of the State of Califomia that the representations made herein
are true and conect.
Executed this _ day of
City State
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BIDDING FORMS
Bidder's Proposal
Respectful ly Su bmitted,
NAME OF BIDDER
COMPANY
NAME:
ADDRESS:
CONTACT PERSON:
TELEPHONE NUMBER:
E-MAIL:
FAX NUMBER:
CALIFORNIA STATE CONTMCTOR'S LICENSE NUMBER:
EXPIRATION DATE:
TAX IDENTIFICATION NO.:
SURETY COMPANY:
All Bid forms must be signed where so indicated by the penson or persons duly authorized to sign on behalf of the
Bidder. By signing the Bid, the person signing is deemed to represent that he or she has authority to bind the Bidder.
Failure to sign the Bidde/s Proposal may invalidate the Bid.
BtDDER',S PROPOSAL - STGNATURE(S):
Form of Entity of Bidder:
Please check the appropriate signature block below and fill in all related information.
l-l sol. Proprietorship:
By:
Title:
Printed name of person signing
Signature
List all d/b/a's:
E Partnership: E GeneralPartner E timiteo Partner
Printed name of person signing
By:
Signature
BF3of38
BIDDING FORMS
E Corporation:
By Corporate Officer Title:
Printed name of person signing
By:
Title:
Sionature
l-l ,o,n, i.ntrr.' ! Corporation E Partnership
E lndividual E ottrer
Printed name of person signing
Signature
Name of all Joint Venturers:
[f the Bidder is a corporation or a limited liability company, enter state or county of incorporation in addition to the
business address and include an incumbency certificate executed by a Secretary thereof in the form set forth herein
listing each officer with signing authority and his/her conesponding office. lf the Bidder is a patuership or joint venturer
stating that the respective parher or joint venturer agrees to be held jointly and severally liable for any and all of the
duties and obligations of the Bidder under the Bid and under any contract arising therefrom. Attach evidence to the
Bid Proposal Form that the individual signing has authority to do so.l
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BIDDING FORMS
SCHEDULE OF BID PRICES
PROJECT: flnsert Proiect Name). Specification No. (XD00
BIDDER'S NAME:
BASE BID
Pursuant to and in compliance with your Notice lnviting Bids and Contract Documents relating to the Project including
all Addenda (attach signed copies), Bidder, having become thoroughly familiar with the terms and conditions of the
Contract Documents and with local conditions affecting the performance and the costs of the Work at the place where
the Work is to be done, hereby proposes and agrees to fully perform the Work within the time stated in strict accordance
with the Contract Documents (including the fumishing of any and all labor, materials, tools, expendable equipment,
and utility and transportation services necessary to fully perform the Work and complete it in a workmanlike manner)
for the total Base Bid sum of:
All other work items, labor, materials, tools and incidentals which are not specifically listed in the above bid items, but
are necessary to complete the project per specifications, and all other applicable standards and codes are considered
to be included in the above bid items.
lf there is a discrepancy between (1)the "Grand Total" shown immediately above, (2)any of the "totalcosts"
shown in the far right column above, or (3)the individual Unit Price, then the Unit price shal! control over the
total cost, and the total cost shall control over the total. lf, however, the unit price is ambiguous, unintelligible,
or uncertain for any cause, or is omitted, or is the same amount as the entry for the item total, then the item
total shall prevail and shall be divided by the estimated quantity for the item and the price thus obtained shall
be the unit price.
(OPTIONAL): Bidder shall exclude the cost of Permit Fees from Bidder's Base Bid sum; Base Bid sum shall
include the cost of administration and coordination of Governmental Approvals and Utility Fees.
(OPTIONAL): (lF ALTERNATES OR OPTIONAL BID ITEMS ARE USED)
Bidder acknowledges that determination of the lowest Bid will be based on the combined total of the amounts entered
below for the Base Bid plus all of the listed Bid Alternate items, and that once the low bid is determined on this basis,
the City will be free to select Bid Altemates for inclusion in the Work in any order or combination, or to reject any or all
Bid Altemates.
Item
No.
Description Units Quantity Unit Cost Amount
1.
2
3
BID TOTAL $
BF5of38
BIDDING FORMS
ALTERNATE BID ITEM(S): IBIDDER: PLEASE SPECTFY tF ALTERNATE BtD TTEMS ARE PRTCED
AS LUMP SUM OR UNIT PRICESI
(ADDITIVE or DEDUCTIVE)ALTERNATE NO. 1:
(lnsert Scope of Work)
Dollars ($
(written dollar amount)
(ADDITIVE or DEDUCTIVE) ALTERNATE NO. 2:
(lnsert Scope of Work)
(dollar amount)
Dollars ($
(written dollar amount)
TOTAL BID AMOUNT
(written dollar amount)
Respectfu lly submitted:
(dollar amount)
Additive or Deductive Alternate
(dollar amount)
License Number
(SEAL - if Bid is by a corporation)
Attest
Date of Expiration
Amount of Certified or Cashie/s Check or Bid Bond
Name of Bonding Company
BF6of38
BIDDING FORMS
INCUMBENCY CERTIFICATE
Print legibly the names and title of the president and all officers of the Company who are authorized to sign the Bid
Forms:
PRESIDENT'S & OFFICERS' NAME:TITLE:
The undersigned hereby certifies to the City of Vemon that he/she is the duly elected and acting Secretary of
(the'Company'), and that, as such, he/she is authorized to execute
this lncumbency Certificate on behalf of the Company, and further certifies that the persons named above are the duly
elected, qualified and acting officens of the Company, holding on the date hereof, the titles and positions set forth
opposite their names and are authorized to sign the Bid Forms.
lN WITNESS WHEREOF, the undersigned has executed this lncumbency Certificate this _ day of
,20-.
Secretary's Name-Printed
Secretary's Signature
BF7of38
BIODING FORMS
Bond No :
Premium Amount: $
Bond's Effective Date:
BID BOND
RECITALS:
1. The City of Vemon, California ('City"), has issued a Notice Inviting Bids for the Work described as follows:
Specification No. _:in Vernon, CA. ("Proiect").
2. ln response to the Notice Inviting Bids,
(Name, address, and telephone of Contractor)
('Principal"),
has submitted he accompanying Bid for the Project.
3. Principal is required under the terms of the Specification-and all Bidding Documents referenced in it-to furnish a
bond with the Bid.
4. The Specification, including all its amendments and supplements, and Principal's Bid are incorporated into this Bond
and made a part of it by fiis reference,
OBLIGATION:
THEREFORE, for value received, We, Principal and
(Name, address, and telephone of Surety)
('Surety"),
a duly admitted surety insurer under California's laws, agree as follows:
By this Bond, We jointy and severally obligate and bind ourselves, and our respective heirs, executors, administrators,
successors, and assigns to pay city the penal sum of
Dollars ($ )("the Bonded Sum"), this
amount comprising not less than FIVE PERCENT (5%) of Principal's Base Bid, in lawtul money of the United States of
America.
The California Licensed Resident Agent for Surety is:
(Name, address, and lelephone)
Registered Agent's California Department of lnsurance License No.
THE CONDITION OF THIS BOND'S OBLIGATION lS THAT, if: (1) Principal does not (a)wthdraw its Bid for the period
specified in the Bidding Documents, or-if no period is specified-for ninety (90) calendar days after City awards the
Contract lor the Prqect, or (b) attempt to withdraw its Bid when the requirements of California Public Contract Code
55101 et seg., or any su@essor legislation, are not met; or (2) City awards Principal the ConEact in response to
Principal's Bid, and wihin the tme and manner specified by the Specification or Contract Documents or--if no period is
specified-within fourteen (14) calendar days afrer the Contract's a$rard, Principal (a) signs and delivers to City the
Contract, in accordance with the Bid as accepted, (b) fumishes the required bonds for not only Principal's faithful
performance and proper fulfillment of he Contract, but also Principal's payment for labor and materials used in the
Project, and (c)furnishes the required insurance, then thisobligaton becomes nulland void. OtheMise, fiis Bond remains
in full force and efiect, and he following terms and conditions apply to tris Bond:
1. Surety's obligations under this Bond are separate, independent from, and not contingent upon any other surety's
guaranteeing hat upon City's awarding he Confact to Principal, the Principal will enter into the Contract with City.
2. No right of action accrues on this Bond to any entity other than City or its successors and assigns.
3. lf an action at law or in equity is necessary lo enforce or interpret this Bond's terms, Surety must pay- in addition to the
Bonded Surft- City's reasonable attorneys' fees and litigation costs, in an amount the court fixes.
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BIDDING FORMS
4. Surety shall mail City written notice at least 30 days before: (a) the effective date on which the Surety willcancel, terminate,
or withdraw from this Bond; or (b) this Bond becomes void or unenforceable for any reason.
On the date set forth below, Principal and Surety duly executed this Bond, with the name of each party appearing
below and signed by its representative(s) under the authority of its governing body.
Date:
PRINCIPAL:SURETY:
(Company Name)(Company Name)
By:
lts:
(Signature)(Signature)
(Name)(Name)
(Iitle) (Iitle)
Address for Serving Notices or Other Documents: Address for Serving Notices or Other Documents:
By:
lts:
CORPOMTE SEAL CORPORATE SEAL
. BIIDENCEMUSTBEATTACHEDOFTLEAWHORITTOFA/IJYPERSOIVS,G T, TGASATIORNEY.IMFACT.. TllE ATTORNEY-IN-FACTS STGMruRE MUST BE NOTARITED.t ICORPORATESEATI{USI8Efi]|PRESSEDOMflSEORMWHENTHEPNIICIPAI.ORTHESUREIY,OR
BO[H, ARE A CORrcRANON.
BF9of38
BIDDING FOR[/S
BOND ACKI.IOWLEDGMENT
FOR
SURETY'S AITORNEY{N.FACT
STATE OF CALTFORNTA )
)ss.
couNTY oF )
On this _ day of 20-,
before me,
appeared
, and acknowledged to me that he/she subscribed the name of
as principal, and his/he own name as attorney in fact.
(name), a Notary Public for said County, personally
(name), who proved to me on the basis of
satisfactory evidence to be the person whose name is subscribed to tiris instrument as the attomey in fact of
thereto
I certify under PENALW 0F PERJURY under the laws ofthe State of California that the foregoing
paragraph is true and correct.
Notary Public
SEAL
BF 10 of 38
BIDDING FORI\4S
BIDDER'S STATEMENT OF QUALIFICATIONS
1. ORGANIZATION
1.1 How many years has your organization been in business as a Contractor?
1.2 How many years has your organization been in business under its present name?
1.2.1 Under what other names has your organization operated?
1 .3 ll your organization is a corporation, answer the following:
1.3.1 Dateofincorporation/organization:
1.3.2 State of incorporation/organization:
1.3.3 Corporate lD number:
1.3 4 Name of President:
1.3.5 Agent for Service ol Process:
1.4 lf your organization is a partnership, answer the following:
1.4.1 Dateof organization/formation:
1.4.2 Type of partnership (if applicable):
1.4.3 Name(s) of general partne(s):
1.4.4 List all states in which you are registered and state lD numbers foreach:
1.5 lf your organization is individually owned, answer the following:
1.5.1 Date of organization:
1.5.2 Name of owner:
1.6 lf the form
principals:
of your organization is other than those listed above, describe it and name the
BF 11 of 38
BIDDING FORMS
2, LICENSING
2.1 List jurisdictions in which your organization is legally qualified to do business, indicate registration or
license numbers, and catEory of license, if applicable.
2.2 List jurisdictions in which your organization's partnership or trade name is flled.
2.3 List any licensing suspensions and/or violations assessed against your organization within the past
five years.
3. EXPERIENCE
3.1 List the categories of Work that your organization normally performs with its own
personnel
3.2 On the Experience Form, list the project information that establishes that Bidder meets
the essential requirements for qualification set forth in the Mandatory Qualifications
paragraph of the Notice lnviting Bids for this Project.
3.3 (OPTIONAL): Have Subcontractors for (lnsert specialty sub-contracto/s work) Work
complete the Specialty Contractors' Statements of Qualifications (or Bidder to complete
if self-performing).
3.4 On a separate sheet, list projects to which your firm or business has been awarded a
government contract since your flrm or business has been in existence (giving the name
and address of the project, the govemment agency, contact name and phone number, the
contract amount, and contract's starting date and ending date).
3.5 On a separate sheet, list the experience and present commitments of the key individuals of
your organization.
4. CLAIMS; LAWSUITS; CRIMINAL ACTS
For the following questions, the term "owner" does not include owners of stock in your firm if your
firm is a publicly{raded corporation.
4.1 ln the past five (5) years, have, you, your firm or any of its owners, partners, officers, or
employees been a defendant in court, or participated in an arbitration or mediation, on a
matter related to:
BF 120f38
4.2
BIDDING FORMS
4.1.1 The performance, non-performance, default, violation, or breach of a contract or
agreement?
tryEs nNo
4.1.2 A vehicle collision or accident involving your firm's employees?
Eves trNo
4.1.3 Damage to real property arising out of your services or operations?
Eves DNo
4.1.4 Employment-related litigation brought by an employee of your firm?
EyEs trNo
4.1.5 Payment to a subcontractor or supplier?
EYES trNo
4.1.6 Defective,deficient,orsubstandardwork?
Eyes trNo
lf the answer to any questions in 4.1.1 to 4.1.6 is YES, identify the name ofthe peson or
entity that sued (i.e., the plaintiff') or was involved in the mediation or arbitration; list the
date, court, court address, and case number; describe the facts and circumstances giving
rise to the lawsuit, mediation, or arbitration; and set forth the outcome or disposition. Attach
additional sheets as necessary.
Have you or your firm ever liled a claim for damages or a lawsuit, or requested arbitration
or mediation, against a govemment entity or a Client?
Eves trrc
lf YES, identif, the govemment entity or client; list the date, court and case number;
describe the facb and circumstances about the claim for damages, or the lawsuit, or both;
and set forth the outcome or disposition. Aftach additional sheets as necessary.
Are there any pending or outstanding iudgments or liens against you, your firm, or any of
its ownec, panners, omcers, or employees?
Eves E rc
lf YES, identify the name of the pe6on or entity entitled to payment; list the date court and
case number; describe the facts and circumstances giving rise to the iudgment or lien; and
set forth the amount of the judgment or lien. Attach additronal sheets if necessary.
4.3
BF 13 of 38
44
BIDDING FOR[IS
ln the past five (5)years, has any govemmententity ever: (a) investigated, cited, disciplined,
or assessed any penalties against you, your firm, or any of its owners, partners, officers, or
employees, or (b) determined or concluded that your firm or any of its owners, partners,
officers, or employees violated any laws, rules, or rEulatlons?
Eves trxo
lf YES, identify the govemment entity; list the date, and describe the facts and
circumstances about each instance. Attach additional sheets as necessary.
ln the past five (5) years, have you, your firm or any of its ot/vners, partners, officers or
employees been convicted of a crime related to the bidding of a government contact, the
awarding of a govemment contract, or the performance of a govemment conlract?
("Convicted" includes a verdict of guilty by a judge or.iury, a plea of guilty, a plea of nolo
contendere, or a forfeiture of bail.)
Eyes !rc
lf YES, identify the govemment entity; list the date, court and case number; describe the
facls and circumstances about each instance; and set forth the penalty or punishment
imposed. Attach additional sheets as necessary.
ln the past five (5) years, have you, your firm, or any of its owners, partners, offcem or
employees been convicted of a crime involving embezzlement, theft, fraud, forgery,
bribery, deceptive or unlawful business practices, periury, falsifying or destroying records
or evidence, or receiving stolen property, or making or submitting a false claim?
Eves Erc
lf YES, identiff the crime or ofiense; list the date, court and case numbe[ describe the
facts and circumstances about each instance; and sel foft tfre penalty or punishment
imposed. Attach additional sheets as necessary.
Have you or, if Bidder is a corporation, any principal of the corporation ever been
convicted of a felony?
Eves E Ho
lf YES, please explain the details of that conviction and, if so, whether you or said officer
have served his or her sentence.
ln the past five (5) years, has a govemment entity determined or concluded that you, your
firm, or any of its owners, partners, offcers or employees made or submitted a false claim
(including a false claim for payment), or made a material misrepresentation?
Eves Ero
lf YES, identiff the govemment entity, and describe he facts and circumstances about
each instance. Attach additional sheets as necessary.
45
4.b
47
4.8
BF 14 of 38
BIDDING FORMS
4.9 Have you or your company ever been charged by any govemmental agency for failure to
follow safety procedures? lf YES, please explain.
Eves trro
4.10 Has any govemmental agency ever submitted a complaint against you or your firm to the
Califomia State Labor Commission for failure to submit certitied payrolls? lf your answer
is 'Yes', please provide the details of such mmplaint.
Eves tr Ho
5. FIRM'S OPERATIONAL STATUS
5.1. ln the past seven (7) years, has your firm, or anyone else acting on behalf ofyour firm, filed
for bankruptcy, insolvency, receivership, or reorganization?
Eyes truo
lf YES, list the filing date, identify the court and case number; describe the facts and
circumstances giving dse to each instance; and set forth the disposition or cunent status.
Attach additional sheeb as necessary.
5.2. ln the past five (5) years, has your firm had an mnsolidations, mergers, aquisitions,
closings, layoffs or staff reductions?
Eyes trrc
If YES, list the filing date, and describe the facts and circumstances about each instance.
Attach additional sheets as necessary.
5.3. ls your firm in the process ol or in negotialions toward: (a) consolidating, merging, selling,
or closing its business, or (b) laying off employees or reducing stafi?
nves tr ro
lf YES, describe the transaction; list the anticipated date for completing the transaction,
laying off employees, or reducing staff; and describe the facts, circumstances, and reason
for taking the action. Attach additional sheeb as necessary.
6. BIDDING; DEBARMENT; CONTRACT PERFORMANCE
6.1. Has a govemment entity ever debaned, disqualified, removed, suspended, or otheMise
prevented you or your lirm ftom bidding on, contracting, or completing a construction
project?
Eyes trHo
BF 15 of 38
BIDDING FORi.IS
lf YES, identify the name of the govemment entity, list the date, and describe the facts
and circumstances about each instance, and state the reason for the government entity's
action against yourfirm. Attach additional sheets as necessary.
6.2. Has a govemment entity ever rejected your firm's Bid or Proposal on the ground that you
or your firm is a 'non-responsible' bidder or poposer?
Eves trHo
lf YES, identify the name of the govemment entity, list the date, describe the facts and
circumstances about each instance, and state the rcason or basis for lhe govemment
entity's determining that your firm was a 'non-responsible' bidder. Attach additional
sheets as necessary.
6.3. Have you or your firm ever failed to fulfill or perform - either partially or completely - a
contract or an agreement with a govemment entity or a client?
Eves truo
lf YES, identify the name of the govemment entity or client, list the date, and describe the
facts and circumstances about each instance. Attach additional sheets as necessary.
6.4. ln the past {ive (5) years, have you or any officer or principal of your firm been an officer of
another firm which failed to perform a contract or agreemen0
Eves trrc
lf YES, list the date, and describe the facts and circumstances about each instance. Aftach
additional sheets as necessary.
6.5. Has your firm ever advised a govemment entity or a client, while your firm was under
contract with the govemment entity or client, that your lirm could not (or would not) fulfill or
perform - either partially or completely - the contract orthe agreement based on the prices
that your lirm had originally submitted in a Bid or a Proposal?
flvEs tr Ho
lf YES, list the date, identify the name of the government entity or client, and describe the
facts and circumstances about each instance. Attach additional sheets as necessary.
6,6. Has your firm ever requested a govemment entity or a client, while your firm was under
contract with the govemmententity orclient, to renegotiate one or more terms of the existing
contract or agreement?
Eves EHo
lf YES, identify the name of the govemment entity or client, list the date, and describe the
facts and circumstances about each instance. Attach additional sheets as necessary.
BF 16 of 38
b t.
68
6.9
BIDDING FORMS
Has your firm ever requested a government entity or a client, while your firm was under
contract with the government entity or client, to: (a) cancel the contract or agreement, or
(b) release or discharge your firm form the contract or agreement?
EYES Erc
lf YES, identify the name of the govemment entity or client, list the date, and describe the
facts and circumstances about each instance. Attach additional sheets as necessary.
Has a govemment entity or a client ever terminated, suspended, or non-renewed your
firm's contract or agreement before its completion?
trYES trruo
lf YES, identify the name of the govemment entity, list the date, and describe the facts
and circumstances about each instance. Attach additional sheets as necessary.
Has a govemment entity or a client ever notified or advised your firm that your firm's
performance under a contract or agreement was poor, sub-standard, deficient, or non-
compliant?
Eves trrc
lf YES, identify the name of the govemment entity or client, list the date, and describe the
facts and circumstances about each instance. Attach additional sheets as necessary.
6.10. ln the past five (5) years, has your firm paid, or has your firm been assessed, liquidated
damages on a contract or agreement?
Eves tr Ho
lf YES, identify all such contmcts/projects by owner, owne/s address, the date of
completion of the project, amount of liquidated damages assessed, and allother information
necessary to fully explain the assessment or payment of liquidated damages. Attach
additional sheets as necessary.
INSURANCE AND BONDS
7 .1. ln the past ten years, has an insurance company or a surety company:
7.1.1. Refused to insure your firm for liability coverage?
!ves nro
7.1.2. Canceled or non-renewed your firm's insurance coverage?
EYEs trrc
7 .1.3. Refused to issue your firm a bond?
7.
Eves nrc
BF 17 of 38
BIDDING FORMS
7 .1.4. Canceled or revoked a bond obtained by your firm?
Eyes truo
lf the answer to any questions in 7. 1 .1 to 7 .1 .4 is YES, identify the name of the insurance
company or surety company, list the date, and describe the facts and circumstances about
each instance. Attach addition sheets as necessary.
7.2 ln the past ten (10) years, has an insurance company or surety company made any
payments on your firm's behalf as a result of a default, to satisfy any claims against a
performance bond, payment bond, or maintenance bond issued on your firm's behalf?
! Yes fl r,ro
lf YES, identify each contract completed or amount of each claim, the name and telephone
number of the claimant, the date, grounds and current status of the claim, and if resolved,
the method, nature, and amount of the resolution Attach addition sheets as necessary.
SURETY
8.1 lf a performance and/or payment bond is required by this bid, identiff the bonding company
if anangements for the bond have been made; if not, identiff the bonding company for the
Contracto/s most recent prqect:
8.2 Name and address of agent:
All of the above statements as to experience, financial qualifications, and available plant and equipment are
submitted in conjunction with the proposal, as a part thereof, and the truthfulness and accuracy of the
information ls guaranteed by the Bidder.
I hereby ceilify under penalty of periury under the laws of the state of Califomia that the representation made
herein are true and correct.
Signature of Bidder-
8
BF 18 of 38
BIDDING FORMS
BIDDER'S EXPERIENCE FORM
PROJECT NAME: (lnsert Project Name)SPECIFICATION NO, (lnsert Spec. Number)
COMPANY NAME:
HPleale uso additional 3hee$ if necessary
lnvitirE Bids lor this Prcllct
CONTRACT CONTMCT CONTRACT CONTACT PHONE
CONTACT NAME NUMBERSTART DATE END DATE $ AMOUNT PROJECT NAME ADDRESS
All of thr lbove statamnts ar b experlencc arc rubmltled in corruncdon wltr $r prcposal, as a part thoEof, and he fuhfuln€Gr and lccutrcy of the
lnfomatlon is guaranbed by fi. Bidder. I hecby cr ify under penalty of pedury undor the laY,3 of $e stete ot Grllfornla $at thc r.Eqsenbtb; mrde
her€ln aro true and corrst,
Signature of Bidder
Print name:
State of Califomia Contracto/s License No.Contractor's License expiration date
BF 19 of 39
BIDDING FORMS
CONTRACTOR SAFETY QUESTIONNAIRE
Company Name:
Primary Type of Work:
Person Completing Form:
Title:Phone Number:
Date:
SAFETY PERFORMANCE1. List your company's lnterstate Experience Rating Modifler (ERM)1 for the three most recent years.
20
20
20
2. List your company's number of injuries/illnesses from your OSHA 300 logs for the three most recent years.
20 20 20
a. Fatalities
b. OSHA recordable incidents
c. Lost work day incidents
d. Total lost work days
e. Total hours worked
3. Please provide copies of the following items (a-g); anO ltems (d-g) for each listed Subcontractor
a). OSHA 300 logs for the most recent three years e). Training Plans
and cunent year-to{ate
b). Verification of ERM from your insurance canier f). Training Certificates for Employees
c). lnjury/lllness Report g). Emergency Response Training
d). Complete written Safety Program
4. Company Safety Contact:
a. Name
b. Phone
I ERM = applies to workers' compensation policies. lt compares the experience of this contractor to others of similar size, type and
ratio. Used against annual premium. lt has a direct conelation to how much the contractor pays in workers'comp premium.
BF 20 of 39
1
CONTRACTOR SAFETY QUESTIONNAIRE (continued)
SAFETY PROGRAM
SAFEry PROGMM DOCUMENTATION
a. Do you have a written safety program manual?
1) Last revision date
b. Do you have a written safety field manual?
c. Are all workerc given a booklet that contains work rules,
responsibilities, and other appropriate information?
2. POLICYANDMANAGEMENTSUPPORT
a. Do you have a safety policy statement from an officer of
the company?
b. Do you have a disciplinary process for enforcement
of your safety program?
c. Does management set corporate safety goals?
d. Does executive management review:
! Accident reports?
! Satety statistics?
! lnspection reports?
e. Do you safety pre-qualify subcontractors?
f. Do you have a written policy on accident reporting
and investigation?
g. Do you have a light-duty, retum-to-work policy?
h. ls safety part of your superviso/s performance evaluation?
i. Do you have a personal protective equipment (PPE) policy?
j. Do you have a written substance abuse program?
lf yes, does it include (check all applicable boxes):
Circle One
Yes No
Yes No
Yes No
Yes No
Yes No
Yes No
No
No
No
No
BIDDING FORMS
Yes No
Yes No
Yes No
Yes No
Yes No
Yes
Yes
Yes
Yes
! Pre-employment testing E Retum-to-duty testing
E Random testing ! Disciplinary process
! Reasonable cause testing E Alcohol testing
E Post accident testing E National lnstitute on Drug Abuse
E Panel Screen
k. Does each level of management have assigned safety Yes No
duties and responsibilities?
BF 21 of 39
3.TMINING AND ORIENTATION
a. Do you conduct safety orientation training for each
employee?
b. Do you conduct site safety orientation for every
person new to the job site?
c. Does your safety program require safety training meetings?
for each supervisor (foreman and above)?
How often?
E Weekly E Monthly E Ouarterly ! Annually E Otler.
d, Do you hold tool box/tailgate safety meetings
focused on your specific work operations/exposures?
How often?
E weetly E Daity n otner.
e. Do you require equipment operation/certification training?
Yes No
Yes No
Yes No
Yes No
Yes No
Yes No
_ Emergency procedures
_ Audits/inspections
_ Accident investigations/reporting
_ Training documentation
_ Hazardous work permits
_ Subcontractor prequalifi cation
Yes No
Yes No
BIDDING FORMS
4.ADMINISTMTION AND PROCEDURES
a. Does your written safety program address
administratjve procedures?
lf yes, check which apply:
_ Pre projecutask planning
_ Record keeping
_ Safety committees
-
HAZCOM
_ Substance abuse prevention
_ Retu m{o-work
b. Do you have project safety committees?
c. Do you conductjob site safety inspections?
How often?
E oaity E weekly E Monthly E other.
Do lhese inspections includes a routine safety
inspection of equipment (e.9., scaffold, ladders, fire
extinguishen, etc.)?
d. Do you investigate accidents?
How are they reported?
! Total company
E By project
! By foreman
Yes No
Yes No
! By superintendent
! By project manager
n ln accordance with OSHA
e. Do you discuss safety at all preconstruction and progress meetings?Yes No
BF 22 ot 39
BIDDING FORMS
f. Do you perform rigging and lifting checks prior to lifting? Yes No
f] for personnel ! for equipment E Heavy lifts (more than 10,000 lbs.)
5. WORK RULESa. Do you periodically update work rules?Yes No
When was the last update?
b. What work practices are addressed by your work rules?
E CpRlRrst aiO E Access+ntrances/stairs
! Banicades, signs, ! Respiratory protection
and signals
E Blasting ! tvtaterialhandling/storage
E Communications I Temporary heat
! Compressed air and gases fl Vehicle safety
E Concrete work ! Traffic control
E Confined-space entry E Site visitor escorting
! Cranes/rigging and hoisting E puOtic protection
f] Electrical grounding ! Equipment guads and grounding
! Environmentalcontrols and E Monitoring equipment
Occupational health
E Emergency procedures
f] fire protection and prevention
E Floor and wallopenings
E fattprotection
! Housekeeping
E Ladders and scaffolds
I MechanicalequipmenU
maintenance/pre-op checks/
operation
! WetOing and cutting (hot work)
! Flammable material handling/storage
E Site sanitation
! Trenching and excavating
E LockouUTagout
E Energized/pressurized equipment
Personal protective equipment
Tools, power and hand
Electrical power lines
Yes No
Yes No
Yes No
trtrtr
Othertr
6. OSHA INSPECTIONS
a. Have you been inspected by OSHA in the last three years?
b. Were these inspections in response to complaints?
c. Have you been cited as a result of these inspections?
lf yes, describe the citations (add additional sheets if necessary):
BF 23 of 39
BIDDING FORMS
DESIG NATION OF SUBCONTRACTORS
NAME OF BIDDER:
Each Bidder must list, on the form provided on the next page, each Subcontractor who will perform work or labor or render
service to the Contractor in or about the construction of the Work or improvement, or a Subcontractor licensed in the State of
California who, under subcontract to the Contractor, specially fabricates and installs a portion of the Work or improvement
according to detailed drawings contained in the Drawings and Specifications, in an amount in excess of one-half of one percent
of the Contracto/s Base Bid Amount. Each Subcontractor must have an active and cunent license, and all requisite specialty
certifications, when listed.
Bidder must provide the following information for EACH Subcontractor.
1. The name of the Subcontractor;
2. The trade and type of work that the Subcontractor will perform;
3. Location (address) of Subcontractois place of business;
4. Subcontractor's license number; and any specialty licenses; and
5. Dollar value of the Work that the Subcontractor will perform.
Subletting or subcontracting of any poffon of the Work in excess of one-half of one percent of the Contracto/s Base Bid to
which no Subcontractor was designated in the original Bid shall only be permitted in cases of public emergency or necessity,
and then only after a finding reduced to writing as a public record of the City setting forth the facts constituting the emergency
or necessity.
lf the Contractor violates any of the above provisions the Contractor may be in breach of this Contract and the City may exercise
the option, in its own discretion, to (1) cancel this Contract, or (2) assess the Contractor a penalty in an amount not more than
ten percent (10o/o) of the amount of the subcontract involved, and this penalty shall be deposited in the fund out of which the
prime Conkact is awarded.
lf the Contractor fails to specify a Subcontractor, or if the Contractor specifies more than one Subcontractor for the same trade
or type of Work to be performed under the Contract in excess of one-half of one percent of the Contracto/s Base Bid Amount,
then the Contractor agrees that he/she is fully qualified to perform that Work himself/hersell and that he/she shall perform that
Work himself/herself. lf after award of Contract, the Contractor subcontracts any such Work, the Contractor will be subject to
the statutory penalties.
DESIGNATION OF SUBCONTRACTORS FORM
IS ON THE FOLLOWING PAGE
BF 24 of 39
BIDDING FORMS
DESIG NATION OF SUBCONTRACTORS (continued)
Please type or legibly print (attach additional sheets as necessary).
Name of Subcontractor
Trade and
Type of Work
to be
Performed
Business Location License
Number
Dollar ($)
Value
BF 25 of 39
EIDDING FORIV1S
The Contractor shall not:
A. Substitute any person as Subcontractor in place ofthe Subcontractor listed in the original Bid, except that
the City may consent to the substitution of another person as Subconlractor in any of the following
situations:
1. When the Subcontractor listed in the Bid, after having had a reasonable opportunity to do so, fails or
refuses to execute a written contract for the scope of Work specifled in the Subcontracto/s bid and
at the price specified in the Subcontractor's bid, when that wntten conlract, based upon the general
terms, condilions, Drawings and Specifications for the Project or the terms of Contractor's written
Bid, is presented to the SubcontEctor by the Contractor;
2. When the listed Subcontractor becomes insolvent or lhe subiect of an order for relief in bankruptcy;
3. When the listed Subcontractor fails or refuses to perform his/her subcontract;
4. When the listed Subcontractor fails or refuses to meet the bond requirements of the Contractor as
set forth in Public Contract Code Section 4108;
5. When the Contractor demonstrates to the City that the name of the Subcontractor was listed as the
result of an inadvertent clerical error;
6. When the listed Subcontractor is not licensed pursuant to the Contractors License Law;
7. When the City determines that the Work performed by the listed Subcontractor is substantially
unsatisfactory and not in substantial accordance with the Drawings and Specifications, or that the
Subcontractor is substantially delaying or disrupting the progress of the Work;
8. When the listed Subcontractor is ineligible to work on a public works proiect pursuant to Section
1777 .1 ot 1777 .7 ol the Labor Code; or
9. When the City determines that the listed Subcontractor is not a responsible contractor.
B. Permit any subcontract to be voluntarily assigned or transfened or allow it to be performed by anyone
other than the original Subcontractor listed in the original Bid, without the consent of the City.
C. Other than in the performance of'change orders" causing changes or deviations from the original
Contract, sublet or subcontract any portion of the Work in excess of onehalf of one percent of the
Contractois Base Bid Amount as to which his/her original Bid did not designate a Subcontractor.
Prior to approval of the Contractor's request for a Subcontractor substitution, the City shall give notice in writing to the
listed Subcontractor of the Contracto/s request lo substitute and of the reason for the request. The notice will be
served by certified or registered mail to the last known address of the Subcontractor. The listed Subcontractor who
has been so notilied shall have five (5) Working Days within which to transmit to the City written objections to the
substitution. Failure to file these written objections shallconstitute the listed Subcontractor's consenttothe substitution.
lf written objections are filed, the City shall give notice in writing of at least five (5) Wo*ing Days to the listed
Subcontractor of a hearing by the City on the Contracto/s request for substitution.
The Contractor, as a condition to asserting a claim of inadvertent clerical eror in the listing of a Subcontractor, shall
within two (2) Working Days afrer the time of the Bid Deadline, give written notice to the City and copies of such notice
to both the Subcontractor he/she claims to have listed in enor and the intended Subcontractor who had bid to the
Contractor prior to he Bid Deadline.
BF 26 of 39
BIDDING FORMS
QUESTIONNAIRE REGARDING SUBCONTRACTORS
Bidder shall answer the following questions and submit with his/her Contract proposal.
1. Were bid depository or registry services used in obtaining subcontractors bid figures in order to compute your
bid?YesE NoE
2. lf the answer to No. 1 is uYes", please forward a copy of the rules of each bid depository you used with this
questionnaire.
3. Did you have any source of subcontractors' bids other than bid depositories?
4. Has any person or group threatened you with subcontnactor boycofts, union boycotts, or other sanctions to
attempt to convince you to use the services or abide by the rules of one or more bid depositories?YesE NoE
5. lf the answer to No. 4 is "Yes", please explain the following details:
(a) Date:(b) Name of person or group:(c) Job involved (if applicable):(d) Nature of the threats:(e) Additionalcomments:
(Use additional paper if necessary)
YesE NoE
Please submit statement.
8. We declare under penalty of perjury that the foregoing is true and conect.
Dated this _ day of 20-.
All of the above statements as to experience, financial qualifications, and available plant and equipment are submifted
in conjunction with the proposal, as a part thereof, and the truthfulness and accuracy of the information is guaranteed
by the bidder.
Name ofCompany
By:
Title:
6. Was e to recruit or provide equal opportunity for bids by minority or project areasubc YesE NoE
7. Was to recruit and hire project area lower-income residents?
BF 27 of 39
BIDDING FORMS
(oPTloNAL) SPECTALTY CONTRACTOR OR SUBCONTRACTOR STATEMENT OF
QUALIFICATIONS
(tNsERT SPECTALW CoNTRACTOR OR SUBCONTRACToR WORK)
As part of its Bid, Bidder shall submit this Statement of Qualifications for the Subcontractor that will perform the {lnsert
specialty sub{ntractor work}, or for the Bidder itsell if Bidder will self-perform the (lnsert specialty sub-contrac{or
work)Work. This information shall provide evidence to indicate successful experience in providing (lnsert specialty sub-
contractor work)work comparable lo that specified in the Project Drawings and Specifications. Referenced qualifications
shall demonstrate experience as a successful installer of (lnsert description of the work to be performed).
A Bid may be rejected as non-responsive if Bidder fails to provide this completed form with the Bid or submits this form
with inaccurate informatron.
Mandatory qualifications: (OPIION 1) Specialty Contractor (or Bidder, if self-performing) shall possess a valid (lnsert
applicable license number for the specified specialty sub.contractor work) Califomia Contractoc License at the
time ofthe Bid Deadline and at all times during performance ofthe Work and shall establish that it satisfactorily completed
at least (insert number of projects) [_) projects as the installer of a minimum of {lnse( description of the work to be
performed]; each comparable in smpe and complexity to this Project, within (insert number of years) L) yeaIs prior to
the Bid Deadline. Note: (lf applicable, insert any special notes).
(OPIION 2) Specialty Contractor (or Bidder, if sellperforming) shall possess a valid (lnsert Applicable license number
for the specified specialty sub-contractor work) Califomia Contractors License at the time of the Bid Deadline and at
all times during performance of the Work and shall establish that it satisfactorily completed at least (insert number of
projects) public contmcts for construction ofa new (insert type of poject) in Califomia; each (stafi choose (1)mmparable
in scope and complexity to this Project, or (2) description or work to b€ performed) within (insert number of years) (_)
yearc prior to the Bid Deadline.
Specialty Contractor Name:
Project Manager / Foreman:
Phone No:
COMPARABLE PROJECTS (Provide (insert same # of projects as listed above)
1.Project Name:
Address:
Date Completed:
Reference / Contact Name:
Reference / Contact Phone No:
Description of work performed:
Project Name:
Address:
Date Completed:
BF 28 of 39
BIDDING FORIUS
Reference / Conlact Name:
Reference / Contact Phone No:
Description of work performed:
J.Project Name:
Address:
Date Completed:
Reference / Contact Name:
Reference / Contact Phone No:
Description of work performed:
4.Project Name:
Address:
Date Completed:
Reference / Contact Name:
Reference / Contact Phone No:
Description of work performed:
BF 29 of 39
BIDDING FORMS
CONTRACTOR'S AFFIDAVIT OF NONCOLLUSION
STATE OF CALIFORNIA
COUNTY OF
)
)
)
2.
3.
being first duly swom, deposes and says:
1. That he/she is the (Title of office if a corporation, "sole owner," 'Partner,"
or other proper title) of , (hereinaftercalled "Contracto/')
who has submifted to the City of Vemon a Bid for the construction of the (INSERT PROJECT NAME);
That said Bid is genuine; that the same is not sham; that all statements of fact therein are true;
That said Bid is not made in the interest or behalf of any person, partnership, company, association,
organization, or corporation not named or disclosed;
That Contractor did not, directly or indirectly induce, solicit, agree, collude, conspire or contrive with
anyone else to submit a false or sham bid, to refrain from bidding, or withdraw his/her bid, to raise or fix
the Bid price of Contractor or of anyone else, or to naise or fix any overhead profit, or cost element of
Contracto/s price or the price of anyone else; and did not attempt to induce action prejudicial to the
interests of the City of Vemon, or of any other Bidder, or anyone else interested in the proposed Contract;
That the Contractor has not in any manner sought by collusion to secure for himself an advantage over
any other Bidders or induce action prejudicial to the interests of the City of Vemon or of any other Bidder,
or anyone else interested in the proposed Contract;
That the Contractor has not accepted any bid from any Subcontractor or material supplier through any
bid depository, the bylaws, rules or regulations of which prohibit or prevent the Contractor from
considering any bid from any Subcontractor or material supplier, which is not processed through said bid
depository, or which prevent any Subcontractor or material supplier from bidding to any Contractor who
does not use the facilities of or accept bids from or through such bid depository;
That the Contractor did not, directly or indirectly, submit the Contracto/s Bid price or any breakdown
thereof, or the contents thereof, or divulge information or data relative thereto, to any corporation,
partnership, company, association, organization, bid depository, or to any member or agent thereof, or
4.
5.
b.
7.
ilt
ilt
ilt
ill
ilt
ill
ilt
BF 30 of 39
BIDDING FORMS
to any individual or group of individuals, except to the City of Vemon, or to any person or persons who
have partnership or other financial interest with said Contractor in his/her business.
I declare under penalty of perjury under the laws of the State of Califomia that the foregoing is true and conect.
Dated this _ day of
Monthffear State
Contractor (Please Print)
Contracto/s Signature
CONTRACTOR'S SIGNATURE MUST BE NOTARIZED
ctv
BF 31 of 39
BIDDING FORMS
THE BTDDER',S TNSUMNCE CoMpANy(S) OR TNSUMNCE AGENT MUST CoMpLETE THtS FORM
AND
THE BIDDER MUST SUBMIT THIS CERTIFICATION WITH THE BID FORMS.
l, the undersigned (Please check one box) tJ underwriter n agent, certify that I and the Contractor listed below have
jointly reviewed the 'lnsurance Requiremenb" in these Bidding Documenb and the Contract Documents. lf the City of
Vemon ('City') awads the Contraclor the Contract for this project, I will be able-within fourteen (14) calendar days
after the Conlractor is notified of the Contcct's award-to fumish the City with valid insurance forms (including one or
more insurance certificates and additional insured endorsements) that fully meet all of the lnsurance Requiremenb.
Name of lnsurance Company Date
lnsurance Agent's Name (Printed)lnsurance Agent's Name
(signature)
ctv State Zip Code
Telephone Number FAX Number Email Address
Contractor's Name City Specification Number
Below State the Nane of lnsunnce Company Providing Coverage:
DO NOT write "Will Provide," "To Be Determined,' 'When Required," or similar phrases,
Commercial General Liability Automobile Liability
Workers' Compensation Liability
City Will Purchase Policv. if reouired
Builders Risk Pollution Liability
[NOTE TOCONTMCTOR: See "lnsurance Requirements" EXHIBIT 4 ofthe Contracl for the requirement of obtaining
Pollution Liability lnsurance.l
NOTE TO THE UNDERWRITER / AGENT: lf the insurance forms that the Contractor submits to the City do not fully
comply with the lnsurance Requirements, and/or if the Contractor fails to submit the forms within the 14-day time limit,
the City may: (1) declare the Contractois Bid non-responsive, and (2) award the Contract to the next lowest responsible
Bidder.
BF 32 of 39
STANDARD FORM OF
CONSTRUCTION CONTMCT BETWEEN
CITY AND CONTMCTOR
This Agreement is made and entered into at Vemon, Califomia this _ day of ,20
-,
by
and between the CITY 0F VERNoN, a chartered municipal corporation (hereinafter "City") and
Ilnsert State of lncomorationl corporation (hereinafter "Contractor"), for construction of (INSERT PROJECT NAME).
THE PARTIES HERETO AGREE AS FOLLOWS:
1. CONTMCT DOCUMENTS
The 'Contract Documents" except for modifications issued after execution of this Agreement, shall consist of the
following documents which are either aftached hereto as exhibits or are incorporated into this Agreement by this
reference, with the same force and effect as if set forth at length herein:
A. Govemmental Approvals including, but not limited to, permits required for the Work;
B. This Agreement;
C. Exhibit 1 -Performance Bond;
D. Exhibit 2 - Payment Bond;
E, Exhibit 3 - Maintenance Bond
F. Exhibit4 - lnsurance Requirements ;
G. Notrce lnviting Bids;
H. lnstructions to Bidders;
l. Bid Forms;
J. Designation of Subcontractors; and
K. Bidding Addenda Nos. _.
2. REFERENCE DOCUMENTS
The following Reference Documents are not considered Contract Documents and were provided to the Contractor for
informational purposes. Contractor may rely upon the technical data contained in such documenb but not upon non-
technical data, interpretations, opinions or provisional statements conlained therein:
A. Geotechnical Reports dated
STANDARD CONTMCT FORI!! 33
B. Sewer Utility Plans
C. (List additional documenb)
3. SCOPEOFWORK
Within the Contract Time and for the stated Contract Sum, subject to adjustments thereto, and pursuant to the Contract
Documents, the Contractor shall perform and provide all necessary: labor; services; supervision; materials; tools;
equipment; apparatus; facilities; supplies; tools; permib, inspections, plan checks, and similar Govemmental
Approvals;temporary utilities; utility connections; and tnansportation necessaryto complete the Work in strict mnformity
with the Contract Documents for:
iINSERT PROJECT NAME}
Specification No. X)0fi
4, TIME FOR PERFORMANCE
Contract Time. Contractor shall achieve Substantial Completion of the Work within _ calendar days
from the Date of Commencement established in City's wriften Notice to Proceed ("Contract Time'), subject to
adjustnent in accordance with the Contract Documents. Contractor shall achieve Final Completion of the Work, within
the time established by the Certificate of Substantial Completion issued by the City. The Contract Time may only be
adjusted as permitted by this Construction Contract and the General Conditions.
Time is of the essence of this Agreement. Except when the Contract 0ocuments state olheruise, time is
of the essence in the performance of he Work. Contractor acknowledges that the tjme limits and deadlines set forth
in the Contract Documents are reasonable for Contractor to perform and complete the Work.
Liquidated Damages. lf Contractor fails to achieve Substantial Completion of the entire Work within the
Contract Time for Substantial Complelion, Contractor shall pay City as liouidated damaoes the amount of
($----__J per day for each calendar day occumng after the expiration of the Contract
Time for Substantial Completion until Contractor achieves Substantial Completion ofthe entire Work, as required by
Article 3 of the General Conditions of Conkact.
Contractor lnitial here: _.
STANDARD CONTMCT FORI\4 34
5. CONTRACTSUM
ln consideration of the Contractor's full, complete, timely, and faithful performance of the Work required by the
Contract Documents, City shall pay Contractor the sum of dollars/no cents
($-),payableassetforthintheGeneralConditions(.ContractSum,).(optional:Theacfualdirect
cost of all Permit Fees is excluded from the Contract Sum, however Contracto/s cost of administration and
coordination of all Govemmental Approvals and Utility Fees is included in the Contract Sum.)
6. (Optional: PERMIT FEE REIMBURSEMENT
ln accordance with Paragraph 1.03 of the General Conditions, the City shall reimbunse Contractor for
the documented actual direct cost of Permit Fees, without Allowable Mark-up, in addition to payment of the Contract
Sum.)
lN WITNESS WHEREOF, the parties have caused this Contract to be executed the date and year first
above written.
Executed at Califomia.
[Contracto/s Corporate Seal]
CITY OF VERNON:
[Contractor]:
By:
An Authorized Signatory
Printed Name:
Title:
Date:
APPROVED AS TO FORM:
By:
Name:
Title:
By:
By:
Name:
Title:
ATTEST:
Name:
Title:
CONTRACTOR'S SIGNATURE MUST BE NOTARIZED
STANDARD CONTMCT FORM 35
LIVING WAGE COMPLIAI\CE CERTIFICATION
This contract is subject to the City of Vemon's Living Wage Ordinance, Vernon Municipal Code
Chapter 2, Article XVIII ("Ordinance"). The Ordinance requires that service contractors
providing labor or services to the City by contract in excess of $25,000:
a Pay no less than ten dollars and thirty cents ($10.30) per hour with medical benefits, or
eleven dollars and frfty-five cents ($1 1.55) per hour without medical benefits to all
employees, as defined in the Ordinance who, at any time, provide labor or delivery services
to the City of Vernon. Additionally, on July lst of each year thereafter the Living Wage rate
shall be adjusted by the change in the Federal Bureau of Labor Statistics Consumer Price
Index, for the Los Angeles area, for the most recently available l2 month period.
Accordingly, current City contractors will be required to adjust wage rates no later than July
1st, to rernain in compliance.
a Notiff employees who spend any of their time providing labor or delivering services to the
City of Vernon who make less than twelve dollars ($lZ; per hour of their possible right to the
federal Earned Income Tax Credit (EITC) under $ 32 of the Internal Revenue Code of 1954,
26 U.S.C. $ 32, and making available to such employees forms required to secure advance
EITC payments.
t If there is a difference between the Vernon Living Wage rates and the California Prevailing
wage rates for the same classification of labor, the Contractor and subcontractor shall not pay
less than the highest wage rate for that classification.
The selected contractor will be required to show compliance with the Living Wage Ordinance by
submitting payroll records as requested by the City. Each record shall include the full name of
each anployee performing labor or providing services under the contract; job classification; rate
ofpay and benefit rate.
Provisions of the Living Wage Ordinance may be waived in a bona fide collective
bargaining agreement, but only if the waiver is explicitly set forth in clear and unambiguous
terms. If this provision applies, you must provide a copy of the collective bargaining agreernent
to the City.
I do hereby certify and declare under penalty of perjury that if awarded the contract for which
this bid/proposal is made.will comply with the
(Name of Company)
requirements of the Vernon Living Wage Ordinance, Vernon Municipal Code Chapter 2 Article
XVm and the rules and regulations promulgated thereunder. I understand that failure to comply
with the provisions of the Vernon Living Wage Ordinance may result in termination of the
contract as well as other penalties as stated in Vernon Municipal Code Chapter 2 Article XVIII.
(Name)(Title)
(Signature)(Date)
Please return this form with your bid/proposal. Questions concerning the Living Wage Ordinance should be
directed to the Department of Finance - Purchasing Division 323.583.881 l.
STANDARD CONTMCT FORM 36
CERTIFICATE OF EQUAL OPPORTUNITY PRACTICES
Purchasing & Payables Division
4305 Santa Fe AvenueVernon, CA 90058
(323) 583-881I Fax (323)82G1433
Internet: www.citvofo ernon.org/departments/fi nance
Article I. Aflidavit of Equal Opportunity Employment &
Non-segregation (Form AA- 1)
Article II. Vendor List Questionnaire (Forms AA-2 &3)
Lr order to be placed to the City's vendor list and be eligible to receive City business, you must provide the
following information except where indicated as "optional." By submitting this form you are declaring
under penalty of perjury under the laws of the State of California and the laws of the United States that the
information is true and correct. Furthermore, you are certiffing that your firm will adhere to equal
opportunity employment practices to assure that applicants and employees are not discriminated against
because of their race, religion, color, national origin, ancestry, disability, sex or age. And, your firm does
not and will not maintain or provide for its employees any segregated facilities at any of its establishments,
and that it does not and will not permit its employees to perform their services at any location, under its
control, where segregated facilities are maintained.
Name of Company:
Address:
Business Telephone
Fax number:
(optional)
City.State zip
Contact Person E-mail Address
(optional)
Tax ID Number (or Social Security Number)
Remit Address (if different)
Please state clearly and concisely the type(s) ofgoods and services your company provides:
The following section is OPTIONAL and is for statistical reporting purposes only. Ownership (please
check all that apply):
African-American Asian Armenian Hispanic_ NativeAmerican_
FemaleDisabled
STANDARD CONTMCT FORM O
BIDDING FORMS
Proiect Workforce Utilization (Form AA-2)
This form is to be included in all bid documents for projects involving labor or services valued at $25,000 or more.
InstructiorB: Please indicate the job titlevclassifications to be used in the performance of this contract should it be awaded to your fiflll. ptease
trdicate the number of employees in each job classification as well as the number ofnew hires, if any, as a result ofthis conbact.
Name of Company: project:
Job Titles/Classifi cation Estimated number of existing staff to be employed
in this classification if awarded the contract
Estimated number of new hires to be employed
in this classification if awarded the contract
Are any current employees or
potential new hires Vernon
residents? If so, how many?
STANDARD CONTMCT FORM 1
BIDDING FORMS
Current Permanent Workforce Utilization (Form AA-3)
OPTTONAL
Name of Company:Project:
Crmpletion ofthis form is OPIONAL. Any idormation supptied by vendors is for reporting purposes only and witl not be fastored i o the award ofany
contract.
Instructions: Please indicete the number ofeEployees in each Job Classification belonging to the following goups.
White
(not of Hispanic
orisin)
African-American
(not of Hispanic
oriein)
Hispanic Asian/Pacific
Islander
Native
American
Armenian Male Female
CLASSIFICATION
Officials/
Managers
Professionals
Technicians
Office/Clerical
Skilled Craft Workers
Operators
(semi-skilled)
Laborers
Service Workers
TOTAL
STANDARD CONTMCT FORM 2
A
/
RECEEWED
FEB 2 4 2015 STAFF REPORT
RECEIVED
FEB 2 3 20t5
CITY ADMINISTRATION
TO:
FROM:
RE:
Honorable Mayor and City Council
Michael A. Wilson,, Fire Cniet fu
Approval of the 2014 UASI Subrecipient Agreement between the City of Los
Angeles and the City of Vernon in connection with the Fiscal Year 2014
Urban Security Initiative Grant Program
Recommendation
It is recommended that the City Council:
I ' Find that approval of the Agreement proposed in this staff report is exempt under the
California Environmental Quality Act (CEQA) in accordance with Section isOOtlU;1:;,
the general rule that CEQA only applies to projects that may have an effect on the
environment.
2. Adopt the attached resolution approving and authorizing the City's participation in the
2074 Urban Areas Security Initiative Grant Program, approving and authori zing the
execution of an agreement by and between the City of Vernon and the City of Los
Angeles, and authorizing the execution of documents necessary to obtain the grant. The
City of Los Angeles has approved and awarded 2014 UASI grant funds in the amount of
$898,507.00 to the city of vernon's Fire and police Departments.
Background
The U.S. Department of Homeland Security, through the Grant Programs Directorate within the
Federal Emergency Management Agency, provides financial assistance to the Los Angeles/Long
Beach Urban Area ("LAILBUA"). The LAILBUA consists of the City of Los Angeles, the Cityof Long Beach, the unincorporated area of the County of Los Angeles, and participatingjurisdictions. Funding for the UASI grants is determined by using a formula based "po, i
combination of current threat estimates critical assets within the urban area, and popuiation
density. Core cities and core counties were identified and established urban u."u. includingjurisdictions contiguous to the core city and county. Under the UASI grant, the City of LoI
Angeles is considered the "core city." Since the City of Vernon falls within the lo-mile buffer
CITY CTERl('S OFFICE FIRE DEPARTMENT
March 3,2015
zone and is within the threat level of the core city, the City of Vernon is eligible to obtain grant
funds.
The objective of the UASI grant program is to address unique planning, equipment, and training
requirements and to address the needs of large urban areas, while at the same time, helping core
cities and core counties build an enhanced and sustainable capacity to prevent, respond to, and
recover from threats or acts of terrorism. It is recommended that the City participate inthe2014
UASI grant program as it will allow the Fire and Police departments to purchase additional
equipment to improve the City's response capabilities for threats or acts of terrorism.
On November 25, 2014, the Los Angeles City Council accepted the awarded 2014 UASI grant
funds. The grant performance period began on September 1, 2014. All purchases for this grant
must be processed to the City of Los Angeles before the end of the performance period on May
3I, 2016. Of the $898,507.00 awarded to the City of Vernon Fire and Police Departments,
$828,507.00 has been allocated to the Fire Department to fund the purchase of chemical,
biological, radiological, nuclear and explosive ("CBRNE"), Hazardous Materials and Urban
Search & Rescue training and equipment. The Police Department has been allocated $70,000.00
to fund the purchase of Physical Security Enhancement Equipment and Personal Protective
Equipment. These proposed purchases are specifically identified in the attached Project
List/Budget. The 2014 UASI grant is administered for the LAILBUA by the City of Los
Angeles and is overseen by the California Govemor's Office of Emergency Services.
The 2014 UASI Subrecipient Agreement between the City of Los Angeles and the City of
Vernon is attached as Exhibit A to the Resolution. For additional background information and
time frames, the following documents are provided and attached to this staff report:
1. UASI 14 Exhibit Block - These documents explain UASI grant guidelines, reimbursement
processes and proj ect implementation.
2. Project List/Budget - A proposed grant budget/project list for your review.
3. Project Timeline - A general subrecipient project timeline is included for your reference.
4. Contract Execution Checklist - This can be used as a reference for executing this Agreanent.
Fiscal Impact
The 2014 UASI grant is 100% reimbursable and there are no cost-share or match requirements.
The City of Los Angeles will reimburse the City of Vernon for all purchased equipment up to
the awarded grant funds. To receive reimbursement for equipment purchased using grant funds,
the Fire and Police departments will be responsible for submitting all required
documents/paperwork to the City of Los Angeles, demonstrating that the items were delivered
and paid within the specified time frame.
Altachment 3 Delailed Budgel
898.507 00 000
18 2 Vernon Police Department LACPCA ALPR Enhancemenl
Proiect UASI LE Equip
Physical Security
Enhancement
Eouiomont
!/A $ 70,000.00
57 /ernon Fire Department CBRNE Traininq UAS FS Train Stafl Expenses lT/Backfill s 45.989.00
153 4 y'ernon Fire Departmenl Regional Training Center Props
enal Foiliomcnl UAS FS Train Course Delivery and
Fvahralion l-raining Equip $ 300,000.00
221 4 y'ernon Fire Department Jrban Search and Rescue Custom
Cab Tractors UASI FS Equip UBHNE Search and
Rescue Equipment \/A $ 400,000.00
???4 y'ernon Fire Department Urban Search and Rescue Teams
Training and PPE/Equipment UASI FS Equip CBRNE Search and
Rescue Equipment \/A $ 82,518.00
FMFWv1.14-06/14
Leiler Item fr
Sub-
Line #
LA,/LB
lJf Jurisdiction Department Project Name Funding
Source Disc Solution
Area Sub-Solution Expenditure
Category
Sub-Line #'s
Tolal Allocated
Master ltem f's
Total Allocated
B
3
o 78
P 100
P 100
UASI 2014 Sub Recipient Agreement Timeline
Section Date
s 202 (c) (2)
Contract Term September 1,2014- May 31,
2076
Budget Modification Requests Every 30 days- 15th of everyv 30 davs- 15th of everv
Contract Execution Checklist for
Subrecipients
f Review the contract Questions and errors should be reviewed with vour contract specialist
tr Two copies of the contract with wet
signatures
The Los Angeles City Clerk keeps one executed original copy and then
mails the other executed original copy to the subrecipient.
No stamped sionatures. or ohotocopies allowed
tr Three Signatures are Required:
1. City Representative: Mayor
and/or City Manager
2. Attestation of the City Clerk
3. City Attorney
Citv Representative: !f someone other than the Mayor or City Manager is
permitted to sign the contract, the subrecipient must provide the City of
Los Angeles a City Resolution authorizing the particular person signing
said contract
tr City Seal A City Seal is always required unless there is none for the particular
subrecipient
RESOIJUTION NO.
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
VERNON APPROV]NG AND AUTHORIZING THE CITY'S
PARTfCIPATfON IN THE 2014 URBAN AREAS SECURITY
INITTATTVE GRANT PROGRAM, APPROVING AND AUTHORIZING
THE EXECT]I|ION OF AN AGREEMENT BY AND BETWEEN THE
CITY OF VERNON AND THE CITY OF LOS ANGELES, AND
AUTHORTZING THE EXECUTION OF DOCUMENTS NECESSARY TO
OBTAIN THE GRANT
WHEREAS, the U.S. Department of Homeland Security ("DHS"),
through the crant Programs DirecE.orate within the Federal Emergency
Management Authorlty ( coIlect.ively t.he '.Grantor., ) , has awarded a 201_4
urban Areas security rnitiative ("uAsr") crant of g5G,o25,ooo.oo to the
City of Los Argefes for equipment, planning, exercises, organizational
activities and t.raining; and
WHEREAS, the CiEy of Los Angeles has approved and awarded
2014 uAsr grant funds in the total amount of 9898,507.00 to t.he vernon
Fire and Po1ice Departments; and
WHEREAS, the crantor has aflocated the sum of iB2g,5O7.OO to
the Vernon Fire Department to fund t.he purchase of chemical.
biological, radiological , nuclear and exploslve ("CBRNE"), Hazardous
Materials and Urban Search & Rescue training and equipment; and
WHEREAS, the crantor has allocaled the sum of gTO,OOO.OO to
the vernon Police Department to fund the purchase of physical security
Enhancemen! Equipment and personal protecEive Equipment; and
WHEREAS. the City of Los Angel_es requires a formal_ agreement
between the City and lhe City of Los Artgeles setling forth Che terms
and conditions governing the disbursement and use of 2oL4 uAsr grant
funds (the "Agreement,, ) prior to disbursing said funds t,o the City; and
WHEREAS. City staff has recommended that the City participate
in the 201-4 UASf crant Program and that the City Council approve and
authorize the execut.ion of the necessary documents to receive funding
under said Program; and
WHEREAS, tshe CiEy Council desires to participate in t.he 2014
UASI Grant. Program and approve and authorize the executsion of necessary
documents to receive 201-4 UASI grant funds in the tot.al sum of
$898, s07 . 00 .
NOW, THEREFORE,
CTTY OF VERNON AS FOLLOWS:
SECTION 1,: The
BE fT RESOLVED BY THE CfTY COUNCIL OF THE
City Council of the City of Vernon hereby
the above recitafs are t.rue and correc!.
City Councll of the City of Vernon finds
finds and determines thac
SECTION 2; The
that this acEion is exempt under the California Environment.al euality
Act (CEQA) , in accordance with Sectsion 15051- (b) (3), Ehe general rule
that CEQA only applies Eo projects that may have an effect on t,he
environment.
SECTTON 3:The City Council- of the City of Vernon hereby
approves t.he CiEy's participaEion in the 2014 UASI Grant. program.
SECTION 4: The City Council of the City of Vernon hereby
approves the Agreement wiEh the City of Los Angeles, in subst.antially
the same form as Ehe copy which is attached hereto as Exhibit A.
SECTION 5: The City Council of the City of Vernon hereby
authorizes the Mayor or Mayor Pro-Tem to execute said Agreement for,
and on behalf of, the Cit.y of Vernon and the CiEy C1erk, or Deputy City
Clerk, is hereby authorized Eo attest t.heretso.
SECTION 6: The City Council of t.he CiEy of Vernon hereby
instructs the City Administrator, or his designee, to execute any and
all documenEs necessary to secure the grant funds and j-mplement and
2
carry out. Ehe tserms of t.he Agreement, including the Certificalions
regarding debarment, lobbying and drug-free requiremenEs at.t.ached
hereto and incorporated herein as ExhibiEs B, C, and D, respectively,
and to lake whatever action is deemed necessary or desirable for the
purpose of implemenEing and carrying out the purposes specified in the
Agreement for, and on behalf of, the City of Vernon.
SECTION 7:The CiEy Council of the City of Vernon hereby
to send twodirects the City Clerk, or Ehe City Clerk's designee,
executed Agreements to:
Office of Ehe Mayor, Homeland Security and Public Safety
Attention: Kristina Gannon
200 N. Spring Street, Room 303
Los Argel-es, CA 90012
SECTION 8: The City C1erk, ot Deputy City Clerk, of the
City of Vernon sha11 certify to the passage, approval and adoption of
this resolutJ-on, and the city cl-erk , or Deputy city cIerk, of the city
of Vernon sha11 cause this resolution and the City Clerk's, or Deputy
City Clerk's, certification to be entered in the File of Resolutions
of the Council of this City.
APPROVED AITD ADOPTED this 3rd day of March , 201_5.
Name:
Tit.le:Mayor / Vtayor Pro-Tem
ATTEST:
City Clerk / Deputy City Clerk
Moussa, Deputy City Attorney
4
STATE OF CALIFORNIA )) ss
COUNTY OF LOS ANGELES )
I,, City Clerk / Deputy City Clerk of the City
of Vernon, do hereby certify that t.he foregoing ResoluEion, being
ResofuE.ion No. , was duly passed, approved and adopted by the
City Council of tshe City of Vernon aE a regu]ar meeting of the City
Council duly hel-d on Tuesday, March 3, 2015, and Ehereafter was duly
signed by the Mayor or Mayor Pro-Tem of the City of Vernon.
ExecuEed this day of March, 2015, at Vernon, California.
City Clerk / Deputy City Clerk
(SEAL)
5
EXHIBIT A
SUBRECIPIENT AGREEMENT
Jurisdiction: City of Vemon
FY 2014 Urban Area Security lnitiative (UASI) Grant Program
City Contract Number
Section
Number
Q101. PartiestotheAqreement .............3
S102. Representatives of the Parties and Service of Notices........................................3
Q'103. lndependent Partv .......................4
Q104. Conditions Precedent to Execution of This Aqreement ................4
II. TERM AND SERVICES TO BE PROVIDED 5
S201. Time of Performance ...................5
Q202. Use of Grant Funds .....................5
III. PAYMENT 13
Q301. Pavment of Grant Funds and Method of Pavment .......... .. .......13
IV, STANDARD PROVISIONS 16
Q401. Construction of Provisions and Titles Herein............. ................16
S402. Applicable Law, lnterpretation and Enforcement .......................16
S403. lnteorated Aqreement .................16
Q404. Excusable Delavs ......................16
$405. Breach ...............17
$406. Prohibition Aqainst Assionment or Deleqation .. ........................17
Q407. Permits ..............17
Q408. Nondiscrimination and Affirmative Action .................. ................17
5409. Bonds ................17
5410. lndemnification .............. .. . .. ...18
Q41 1 . Conflict of lnterest ......................18
Q412. Restriction on Disclosures .........20
S413. Minoritv, Women. and Other Business Enterprise Outreach Proqram ...............20
Q414. Publications and Use of Grantor Markinos ........20
S415. Compliance with State and Federal Statutes and Requlations ..........................21
S416. lnventions, Patents and Copvriohts ...................35
V. DEFAULTS, AMENDMENTS, AND AGREEMENT 37
Q501. Defaults .............37
$502. Amendments ......... .. .. . .. ......37
S503. Complete Aoreement ..................37
Signature Pa9e............... ..........37
TABLE OF CONTENTS
Section Title
I. INTRODUCTION 3
Page
Number
UASI 14 Subrecipient Agreement
EXHIBITS
Exhibit A lnsurance (Not applicable to this Agreement)
Exhibit B Certification Regarding Debarment, Suspension, lneligibility and Voluntary
Exclusion Lower Tier Covered Transactions
Exhibit C Certification Regarding Lobbying
Exhibit D Certification Regarding Drug Free Requirements
Exhibit E Grant Assurances
Exhibit F Grant Guidance Materials
Exhibit G Workbook Ledgers
Exhibit H Modification Request Form
Exhibit I Sole Source Request Form
Exhibit J Reimbursement Request Form
Exhibit K CaIOES Approved Forms
Exhibit L Technology Standards
UASI '14 Subrecipient Agreement
AGREEMENT NUMBER OF CITY CONTMCTS
BETWEEN
THE CITY OF LOS ANGELES
AND THE CITY OF VERNON
THIS SUBRECIPIENT AGREEMENT ("Agreement" or "Contract") is made and
entered into by and between the City of Los Angeles, a municipal corporation (the
"City"), and the City of Vernon, a municipal corporation (the "Subgrantee" or
"Subrecipient").
W ITN ES S ETH
WHEREAS, the U.S. Department of Homeland Security ('DHS"), through the
Grant Programs Directorate within the Federal Emergency Management Agency
("FEMA'and along with DHS, collectively "Granto/'), has provided financial assistance
to the Los Angeles/Long Beach Urban Area ("LA/LBUA") through the Fiscal Year (FY)
2014 Urban Areas Security lnitiative Grant Program (.UASI 14" or the "Grant"), Catalog
of Federal Domestic Assistance ("CFDA") 97.067 in the amount of Fifty Six Million
Twenty Five Thousand Dollars, $56,025,000 ("Grant Funds"), such Grant Funds having
been awarded by Grantor to the City, as a Core City, for use in the WLBUA and such
Grant having been accepted by the City Council on November 25,2014 (C.F. #14-
0820); and
WHEREAS, the LA/LBUA consists of the City of Los Angeles, the City of Long
Beach, the unincorporated area of the County of Los Angeles, and participating
jurisdictions, including the Subrecipient; and
WHEREAS, the Grant is administered for the LA/LBUA by the City of Los
Angeles and is overseen by the California Governor's Office of Emergency Services
("CalOES"); and
WHEREAS, the Grant is being provided to support the development, sustainment
and delivery of core capabilities essential to achieving National Preparedness Goal by
addressing the unique equipment, training, planning, organization, and exercise needs
of the LA/LBUA, and assisting it in building an enhanced and sustainable capacity to
prevent, protect against, mitigate, respond to, and recover from acts of terrorism; and
WHEREAS, the City has designated the Office of the Mayor, Office of Homeland
Security and Public Safety ("Mayor's Office") to provide for the proper monitoring of the
funding and administration of the Grant; and
WHEREAS, the Mayor's Office wishes to disburse UASI 14 Grant Funds
allocated to the Subrecipient as a participating jurisdiction in the LA/LBUA in
accordance with this Agreement; and
UASI 14 Subrecipient Agreement
WHEREAS, the City and Subrecipient are desirous of executing this Agreement
as authorized by the Los Angeles City Council and the Mayor (C.F.# 14-0820, dated
November 25,2014).
NOW, THEREFORE, in consideration of the mutual covenants set forth herein
and the mutual benefits to be derived therefrom, the City and the Subrecipient (each a
"Party" and collectively, the "Parties") agree as follows:
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UASI 14 Subrecipient Agreement 2
I. INTRODUCTION
$101 . Parties to the Aqreement
The Parties to this Agreement are:
A. The City of Los Angeles, a municipal corporation, having its principal office
at 200 N. Spring Street, Los Angeles, California 90012; and
B. The City of Vernon, a municipal corporation, having its principal office at
4305 S. Santa Fe Avenue, Vernon, Califomia 90058.
$102. Representatives of the Parties and Service of Notices
A. The representatives of the respective parties who are authorized to
administer this Agreement and to whom formal notices, demands and
communications shall be given are as follows:
1. The representative of the City of Los Angeles shall be, unless
otherwise stated in this Agreement:
Eileen Decker, Deputy Mayor
Office of the Mayor, Homeland Security and Public Safety
200 N. Spring Street, Room 303
Los Angeles, California 90012
Phone: (213) 978-0687
Fax:. (213)978-0718
Eileen.Decker@lacity.org
2. The representative of the City of Vemon shall be:
Michael Wilson, Fire Chief
Vernon Fire Department
4305 S. Santa Fe Avenue
Vemon, Califomia 90058
Phone: (323) 583-8811, Ert.287
Email: mwilson@ci.vernon.ca.us
With a copy to:
David Lazar, Battalion Chief
Vernon Fire Department
4305 S. Santa Fe Avenue
Vernon, California 90058
Phone: (323) 583-881 1, Ext.51 1
Email: dlazar@ci.vernon.ca.us
B. Formal notices, demands and communications to be given hereunder by
either party shall be made in writing and may be effected by personal
delivery or by registered or certified mail, postage prepaid, retum receipt
requested and shall be deemed communicated as of the date of mailing.
C. lf the name of the person designated to receive the notices, demands or
communications or the address of such person is changed, written notice
UASI 14 Subrecipient Agreement 3
shall be given, in accordance with this section, within five (5) business
days of said change.
$103. lndependent Partv
Subrecipient is acting hereunder as an independent party, and not as an agent or
employee of the City. No employee of Subrecipient is, or shall be, an employee
of the City by virtue of this Agreement, and Subrecipient shall so inform each
employee organization and each employee who is hired or retained under this
Agreement. Subrecipient shall not represent or otherwise hold out itself or any of
its directors, officers, partners, employees, or agents to be an agent or employee
of the City by virtue of this Agreement.
$104. Conditions Precedent to Execution of This Aqreement
Subrecipient shall provide copies of the following documents to the City, unless
othenarise exempted.
A. flntentionallyOmitted]
B. Certifications Regarding lneligibility, Suspension and Debarment as
required by Executive Orders 12549 and 12689 in accordance with
S415.A.12 of this Agreement and attached hereto as Exhibit B and made a
part hereof. Subrecipient hereby certifies that said Certification so
executed is true and correct as of the date of execution of this Agreement.
C. Certifications and Disclosures Regarding Lobbying in accordance with
S415.A.4 of this Agreement and attached hereto as Exhibit C and made a
part hereof. Subrecipient shall also file a Disclosure Form at the end of
each calendar quarter in which there occurs any event requiring disclosure
or which materially affects the accuracy of the information contained in
any Disclosure Form previously filed by Subrecipient. Subrecipient hereby
certifies that said Certification so executed is true and correct as of the
date of execution of this Agreement.
D. Certification Regarding Drug Free Workplace Requirements in accordance
with $ 41 5.A.1 3 of this Agreement and attached hereto as Exhibit D and
made a part hereof. Subrecipient hereby certifies that said Certification so
executed is true and correct as ofthe date of execution of this Agreement.
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4UASI 14 Subrecipient Agreement
II. TERM AND SERVICES TO BE PROVIDED
$201 . Time of Performance
The term of this Agreement shall be from September 1 , 2014 and end May 31 ,
2016 (the "Term"); provided, however, that any and all expenditures made by
Subrecipient shall be reimbursed by Subrecipient's allocation of Grant Funds
pursuant to this Agreement only if such expenditures were made no later than 60
days prior to the end of the Term of this Agreement (the "Expenditure
Deadline"). Any and all expenditures made by Subrecipient after the Expenditure
Deadline shall not be reimbursed under this Agreement unless, prior to such
expenditure, the Mayo/s Office, in its sole discretion, has approved in writing the
making of such expenditure after the Expenditure Deadline. Subrecipient shall
cooperate with any necessary close out activities in connection with its use of the
Grant Funds.
$202. Use of Grant Funds
A. Subrecipient's allocations and use of funds under this Grant shall comply
and be in accordance with, and subject to, the guidance, regulations and
requirements set forth in the following: (1) Department of Homeland
Security FY 2014 Homeland Security Grant Program Funding Opportunity
Announcement ("DHS 14 Guidance"), (2) Grantor lnformation Bulletins, (3)
CaIOES 2014 Recipient Handbook ("CalOES 14 Handbook"), (4) CaIOES
FY 14 Homeland Security Grant Program California Supplement to the
Federal Funding Opportunity Announcement and Application Kit ("CalOES
14 Supplement"), (5) CaIOES Grant Management Memos ("GMM'), (6)
the current editions of the Office of Justice Programs ('OJP') Financial
and Administrative Guide for Grants and the DHS Financial Management
Guide, (7) Grantor's Grants Management Common Rule as codified in
Title 44 Code of Federal Regulations (CFR) Part 13, (8) CaIOES FY 14
Grant Assurances, attached hereto as Exhibit E and made a part hereof,
(9) DHS Standard Administrative Terms and Conditions set forth in
Section 6.1.1 of the DHS Chief Financial Officer financial management
policy manual available at http://www.dhs.gov/xlibrary/assetsicfo-financial-
management-policy-manual.pdf ('DHS Terms and Conditions") and (10)
this Agreement. Subrecipient shall use the Grant Funds allocated to it to
support the goals and objectives included in the State and/or Urban Area
Homeland Security Strategies as well as the investments and projects
identified in the Investment Justifications, which were submitted as part of
the Califomia FY 2014 Homeland Security Grant Program application.
Further, use of the Grant Funds is limited to those investments and
projects included in the California FY14 lnvestment Justifications
submitted to DHS/FEMA/CaIOES and evaluated through the peer review
process. Grant funds not spend on those projects must be returned and
will be redistributed at the discretion of the Grant Administrator.
Subrecipient shall comply with any cost sharing commitments included in
such FY1 4 lnvestment Justifications, where applicable. Subrecipient
agrees that Grant Funds will be used to supplement existing funds for
UASI 14 Subrecipient Agreement
program activities, and will not supplant (replace) funds that have been
budgeted for the same purpose through non-federal sources, and, upon
request by the City, CaIOES and/or Grantor, Subrecipient shall be
required to demonstrate and document that a reduction in non-Federal
resources occurred for reasons other than the receipt or expected receipt
of Grant Funds. Subrecipient shall use its allocation of Grant Funds in a
manner consistent with the components of the National Preparedness
System and Goal as set forth by the Grantor.
Subrecipient hereby certifies that it has the legal authority to apply for the
financial assistance given through the Grant and has the institutional,
managerial and financial capability to ensure proper planning,
management and completion of its projects being funded by the Grant
Funds.
Subrecipient shall assure that Grant Funds allocated to it are used for
allowable, fair and reasonable costs only and will not be transferred
between programs (State Homeland Security Program, Urban Area
Security lnitiative, Citizen Corps Program, and Metropolitan Medical
Response System) or fiscal years. Subrecipient agrees that it will comply
with the provisions and prohibitions regarding duplication of Federal
assistance as set forth in 2 CFR Parls 220, 225, 225 Appendix A,
paragraph (C)(3Xc), 230 and 48 CFR Paft31.2, whereby any cost
allocable to a particular federal award or cost objective under the
principles provided for in the Grant or this Agreement may not be charged
to other federal awards to overcome fund deficiencies. Subrecipient shall
also comply with the applicable provisions of the lmproper Payments
lnformation Act (lPlA) of 2002 (P.L. 107-300) as amended by the lmproper
Payments Elimination and lnformation Act of 2010
Subrecipient shall timely notify City and CaIOES of any developments that
have a significant impact on Grant Fund supported activities of
Subrecipient, including changes to key program staff. Subrecipient shall
cooperate with any special reporting, assessments, national evaluation
efforts, or information or data collection requests, including, but not limited
to, the provision of any information required for the assessment or
evaluation of any activities contemplated by this Agreement.
Subrecipient shall not be delinquent in the repayment of any Federal debt.
Examples of relevant debt include delinquent payroll and other taxes,
audit disallowances, and benefit overpayments. Additional information
and guidance may be found in OMB Circular A-129, form SF-424B, item
number 17.
Subrecipient shall comply with the requirement of 31 U.S.C. Section 3729,
which sets forth that no subgrantee, recipient or subrecipient of federal
funds or payments shall submit a false claim for payment, reimbursement
or advance. ln the event of a violation of such requirement, Subrecipient
agrees to be subject to the administrative remedies as found in 38 U.S.C.
B.
6UASI 14 Subrecipient Agreement
Section 3801-3812, addressing false claims and statements made.
Subrecipient and the City have previously completed a mutually approved
BudgeUExpenditure PIan as incorporated in the Financial Management
Forms Workbook which was approved by CaIOES prior to the execution of
this Agreement (the "Budget"). The Budget contains detailed listings of
items and projects for expenditures under the terms of this Agreement and
the Grant, and Subrecipient shall use the funds disbursed under this
Agreement only for those specific items.
1. Any request by Subrecipient to modify the Budget must be made in
writing and accompanied by a completed Modification Request
Form, attached hereto as Exhibit H. All modification requests must
be approved in writing by the City during the Term of this
Agreement to be effective.
2. Budget modification requests must be submitted to the City every
30 days, as needed, pursuant to deadlines set by the City.
Submissions made after the deadline will be returned to the
Subrecipient and will not be accepted until the following submission
period. The City will notify the Subrecipient in writing if modification
requests are inaccurate and/or incomplete. lnaccurate and/or
incomplete modification requests shall be returned to the
Subrecipient for revision and shall be accepted by the City when
modification requests are accurate and complete. Subrecipient
shall not expend any funds on modified budget items for which
reimbursement by Grant Funds is sought until such modification is
approved by the City and CaIOES/Grantor.
3. Final modification requests must be submitted to the City no later
than 90 days prior to the end of the Term to provide the City time to
meet CaIOES/Grantor requirements. At that time, any unexpended
funds may be re-directed to other needs across the LA/LBUA. The
City will notify Subrecipient, in writing, when unexpended balances
may be re-d irected.
Subrecipient shall complete a UASI 14 Project Timeline ("Project
Timeline") provided by the City to manage its allocation of the Grant
Funds. Subrecipient shall provide a completed Project Timeline and any
reports requested by the City regarding performance of this Agreement by
a date specified by the City. Plans and reports shall be provided in a
timely manner. The completion of each milestone and deliverable
referenced in the Project Timeline is subject to the prior review and written
approval of the City. Subject to prior City approval, Subrecipient shall
update the Project Timeline quarterly, if necessary, and provide such
updates to the City in order to monitor and evaluate Subrecipient's
performance. Failure to meet any milestones or deadlines as set forth in
Subrecipient's Project Timeline may result in the City reducing Grant
Funds allocated to the Subrecipient, as more fully set forth in 9301 of this
7
c.
D.
UASI 14 Subrecipient Agreement
Agreement.
Intentionally Omitted]
Any equipment acquired pursuant to this Agreement shall be authorized,
subject to, and in compliance with the CaIOES 14 Handbook, CaIOES 14
Supplement, GMMs, UASI Authorized Equipment List
(https://www.rkb.us), Grantor lnformation Bulletins, DHS Terms and
Conditions and DHS 14 Guidance.
Subrecipient shall provide the City a copy of its most current procurement
guidelines and follow its own procurement requirements as long as they
meet the minimum federal requirements, which include, but are not limited
to, those regulations set forth in OMB Circulars A-87, A-21 , A-21, A-102 A-
110, A-122, A-133, Executive Order (E.O.\ 12372, the current edition of
the DHS Financial Management Guide, and Title 44 CFR Part 13.
Subrecipient shall maintain equipment acquired or obtained with Grant
Funds in accordance with the provisions set forth in 44 CFR $13.32. Any
and all property or equipment purchased in connection with this
Agreement shall revert to CaIOES if the Grant Funds allocated to the
Subrecipient are deobligated/disallowed and/or not promptly repaid as
required by applicable Grant regulations.
Any equipment acquired or obtained with Grant Funds:
1. Shall be made available pursuant to applicable terms of the
California Disaster and Civil Defense Master Mutual Aid Agreement
in consultation with representatives of the various fire, emergency
medical, hazardous materials response services, and law
enforcement agencies within the jurisdiction of the LA/LBUA, and
deployed with personnel trained in the use of such equipment in a
manner consistent with the California Law Enforcement Mutual Aid
Plan or the California Fire Services and Rescue Mutual Aid Plan;
2. Shall be consistent with needs as identified in the State Homeland
Security Strategy and will be deployed in conformance with that
Strategy.
For the purposes of this subsection, "Equipment" is defined as
nonexpendable property that is not consumed or does not lose its identity
by being incorporated into another item of equipment, which costs $5,000
or more per unit, or is expected to have a useful life of one (1) year or
more. ltems costing less than $5,000, but falling into the following
categories are also considered Equipment: (1) electronics
communications equipment for stationary or vehicular use, including
cellular telephones acquired by lease or purchase, and (2) electronic office
equipment, including facsimile machines, copiers, electric typewriters,
personal computers (monitors and CPU's), terminals and printers.
1. Equipment shall be used by Subrecipient in the program or project
for which it was acquired as long as needed, whether or not the
E.
F.
G.
8UASI 14 Subrecipient Agreement
2.
3.
project or program continues to be supported by Federal funds.
When no longer needed for the original program or project, the
Equipment may be used in other activities currently or previously
supported bya Federal agency.
Subrecipient shall make Equipment available for use on other
projects or programs currently or previously supported by the
Federal Government, providing such use will not interfere with the
work on the projects or program for which it was originally acquired.
First preference for other use shall be given to other programs or
projects supported by the awarding agency.
An equipment ledger, attached hereto as Exhibit G, shall be
maintained for each item of Equipment acquired for the program.
This record must be updated quarterly and forwarded to the City
along with completed reimbursement request forms (Exhibit J),
when applicable. Records must be retained pursuant to the current
edition of the DHS Financial Management Guide, and Title 44 CFR
Part 13 and all other applicable Grantor regulations. For each
piece of equipment, the record shall include:
a. The line item number and project number as stated in the
Budget
b. The equipment description as stated in the Budget
c. The Authorized Equipment Listing number (AEL) found at
htto ://www. rkb. mipt.o rq
d. The AEL title
e. The invoice number
f. The vendor
S. Total cost (prime vendor)
h. Total cost (general)
i. Cash request #
j. Acquired date
k. lD Tag #
l. The condition and disposition of the equipment, indicating
whether it is new or used
m. The deployed location, including the address and/or name of
the facility where the equipment is located
n. The name and contact information to whom the equipment is
assigned.
o. Environmental and Historical Preservation (EHP) Notes
All equipment obtained under this Agreement shall have an4.
UASI 14 Subrecipient Agreement
LfuLBUA identification decal affixed to it, and, when practical, shall
be affixed where it is readily visible. Subrecipient also agrees that,
when practicable, any equipment purchased with Grant Funds shall
be prominently marked as follows: "Purchased with funds provided
by the U.S. Department of Homeland Security;'
5. A physical inventory of the Equipment shall be taken and the
results reconciled with the Equipment records at least once every
year.
6. Subrecipient must obtain a performance bond for any equipment
item over $250,000; or any vehicle, aviation or watercraft
(regardless of the cost) financed with UASI grant funds.
7. Requests for aviation equipment must be made in writing and
accompanied by a completed Aviation Equipment Request form,
attached hereto as Exhibit K.
8. Requests to establish or enhance Emergency Operation Centers
(EOCs) must be made in writing and accompanied by a completed
Establish/Enhance EOC Request form, attached hereto as
Exhibit K.
L Requests to establish or enhance the WLBUA Joint Regional
lntelligence Center (JRIC) must be made in writing and
accompanied by a completed Establish/Enhance JRIC Request
form, attached hereto as part of Exhibit K.
10. EOC Aviation or Watercraft, and EHP Request forms must be
approved by CaIOES in writing during the term of this Agreement'
Request forms must be submitted to the City by March 15,2015.
Purchases may not be made nor may the project commence until
Request forms are submitted to and approved by the City. The City
will notify the Subrecipient in writing if Request forms are inaccurate
and/or incomplete. lnaccurate and/or incomplete Request forms
shall be returned to the Subrecipient for revision and shall be
accepted by the city when Request forms are accurate and
comPlete.
11. lf applicable, Subrecipient must meet the deadline for the any
equipment items listed in its Project Timeline, as approved by the
CitY'
12. Notwithstanding anything to the contrary in this Agreement,
Equipment must meet all mandatory regulatory and/or Grantor
adopted standards to be eligible for purchase using Grant Funds.
ln addition, Subrecipient shall be responsible for obtaining and
maintaining all necessary certifications and licenses for the
requested Equipment.
H. Any training, planning, or organizational activities paid or any exercise
undertaken pursuant to this Agreement shall be authorized, subject to,
UASI 14 Subrecipient Agreement 10
and in compliance with the CaIOES 14 Handbook, CaIOES 14
Supplement, GMMs, Grantor lnformation Bulletins, DHS Terms and
Conditions and DHS 14 Guidance. A catalogue of Grantor approved and
sponsored training courses is available at
htto://www.firstresoondertraininq.oov/odp webforms. Subrecipient must
have a City approved, tangible deliverable for all planning projects. Plans
and reports for all organizational activities shall be in the form requested
by the City, and shall be provided in a timely manner. Detailed Homeland
Security Exercise and Evaluation Program Guidance is available at
http://hseeo.dhs.oov. Reference materials and additional details are
available at htto://www.oes.ca.qov.
Because a hold is in place on Fusion Center activities, Subrecipient is
prohibited from obligating, expending, or drawing down Grant Funds in
support of any fusion center activities. The City will notify the Subrecipient
in writing when Grantor has lifted the hold. lf and when the hold is lifted,
funds utilized to establish or enhance state and local fusion centers must
support the development of a statewide fusion process that corresponds
with the Global Justice/Homeland Security Advisory Council (HSAC)
Fusion Center Guidelines, follow the Federal and State approved privacy
policies, and achieve (at a minimum) a baseline level of capability as
defined by the Fusion Capability Planning Tool.
As required by CalOES, the City shall provide Subrecipient with an
electronic, interactive, Financial Management Forms Workbook, based on
the pro forma template, incorporated herein by reference. Subrecipient
shall continuously maintain the Project Management Workbook to access,
complete and update the following documents:
1 . Reimbursement Checklist
2. Reimbursement Request Form
3. Equipment Ledger
4. Training Roster
5. Exercise Roster
6. Planning Roster
Any and all requests for Sole Source procurements or contracts must be
approved by the City and CaIOES prior to Subrecipient entering into such
contract. Such request shall be made on a Sole Source Request Form, as
attached hereto as Exhibit l. Any such request may be denied by City and
CaIOES in their sole discretion.
Any Grant Funds allocated to the Subrecipient which are used for the
improvement of real property must be promptly repaid following
deobligation/disallowment of such costs. CaIOES shall have the right to
place a lien on any such improved real property for any amounts owed in
connection with such deobligation/disallowment.
t.
J.
UASI 14 Subrecipient Agreement 11
Subrecipient agrees that any equipment, products, exercise, training,
planning and organizational activities or any other services purchased, or
the costs of which are reimbursed by, Grant Funds shall comply with any
and all technological and/or interoperability specifications and standards
as may be approved bythe LA/LBUA region, and such products, services
or activities not so compliant shall be not eligible for reimbursement by
Grant Funds. A list of technological standards currently approved by the
LA/LBUA region is attached as Exhibit L. Subrecipient shall further ensure
that it retains from its contractors, subcontractors, and vendors all rights
related to inventions, copyrightable materials, and data as set forth in
Section 416 of this Agreement.
When using Grant Funds to support the purchase of emergency
communication equipment or activities related to the provision of
emergency communications equipment, Subrecipient shall comply with
the FY 2014 SAFECOM Guidance on Emergency Communications
Grants, including provisions on technical standards that ensure and
enhance interoperable communications.
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N.
UASI 14 Subrecipient Agreement 12
III. PAYMENT
$301 . Pavment of Grant Funds and Method of Payment
A. The City of Los Angeles shall disburse to Subrecipient its allocated Grant
amount of Eight Hundred Ninety-Eight Thousand Five Hundred Seven
Dollars ($ 898,507) to be used for purchase of equipment, planning,
exercises, organizational activities, and training as described in Section
202 above. Such Grant amount represents the amount allocated to
Subrecipient in the FY 14 UASI grant budget as approved by the Grantor.
The disbursement of such funds shall be made on a reimbursement basis
onlY.
Subrecipient shall maintain procedures to minimize the time elapsing
between the award of Grant Funds and the expenditure of funds to be
reimbursed by such Grant Funds.
B. Subrecipient shall prepare, maintain and provide to the City invoices
requesting payment as well as purchase orders, proof of delivery, proof of
payment and payroll records, timesheets, receipts and any other
supporting documentation necessary to fully and accurately describe the
expenditure of funds for which reimbursement from Grant Funds is sought
under this Agreement. All such supporting documentation shall satisfy
applicable Federal, State and City audit and review standards and
requirements. Such documentation shall be prepared at the sole expense
and responsibility of the Subrecipient, and the City will not reimburse the
Subrecipient for any costs incuned for such preparation. The City may
request, in writing, changes to the content and format of such
documentation at any time, and the City reserves the right to request
additional supporting documentation to substantiate costs incuned at any
time. ln addition, each reimbursement request shall be accompanied by
the Reimbursement Request Form (Exhibit J) and Equipment Ledger
(Exhibit G), Training Roster (Exhibit G), Planning Roster (Exhibit G) and/or
Exercise Roster (Exhibit G), as applicable, detailing the expenditures
made by Subrecipient as authorized by Section 202 above. For
equipment for which Subrecipient is requesting reimbursement, an
equipment ledger (Exhibit G) and all appropriate back-up documentation
must be attached to the reimbursement form, including invoices and
supporting documentation, including proof of payment and proof of
delivery. For training and exercise reimbursements, Subrecipient must
include a copy of the class training roster (Exhibit G) or class exercise
roster (Exhibit G) verifying training attendees, proof that a CaIOES
tracking number has been assigned to the course, and supporting
documentation, including timesheets and payroll registers for all training
attendees.
1. The Grantor seeks to encourage Regional Projects, where two or
more jurisdictions or Urban Areas join together on a given project
for the common good of the region. To that end, the City has been
UASI 14 Subrecipient Agreement 13
charged with working with all subrecipients to develop regional
projects and to discourage projects that only benefit one local
jurisdiction. For regional project reimbursements, Subrecipient
must include approval from the lead agency for all submitted
invoices.
2. Reimbursement requests must be submitted to the City monthly.
Final reimbursement requests for the grant period must be
submitted to the City no later than 60 days prior to the end of the
Term. The City will notify the Subrecipient in writing if
reimbursement requests are inaccurate and/or incomplete.
lnaccurate and/or incomplete reimbursement requests shall be
returned to the Subrecipient for revision and shall be accepted by
the City when reimbursement requests are accurate and complete.
C. Payment of final invoices shall be withheld by the City until the City has
determined that Subrecipient has turned in all supporting documentation
and satisfied the requirements of this Agreement.
D. lf applicable, Subrecipient must account separately for all interest income
earned from the Grant Funds. ln accordance with Grantor regulations and
44 CFR Part 13, interest earned on Grant Funds must be reported and
returned to the City. Subrecipient will maintain records of and account for
any interest earned, if applicable, on Grant Funds' lf applicable,
Subrecipient shall promptly retum to the City all Grant Funds received
which exceed the approved, actual expenditures as accepted by CaIOES
and Grantor. ln the event the amount of the Grant Funds allocated to
Subrecipient is reduced, the reimbursement payable to the Subrecipient
will be reduced accordinglY.
E. lt is understood that the City makes no commitment to fund this
Agreement beyond the terms set forth herein. Funding for all periods of
this Agreement is subject to the continuing availability to the City of federal
funds for this program from the Grantor. The Agreement may be
terminated immediately upon written notice to Subrecipient of such loss or
reduction of Federal grant funds.
F. The City reserves the right at any time to modify the amount of Grant
Funds allocated to the Subrecipient in this Agreement in the event that the
Subrecipient does not meet milestone spending deadlines or other project
milestones for their contemplated projects as set forth in Subrecipient's
Project Timeline. The Subrecipient will be notified in writing of such
modifications made to its allocation of Grant Funds for failure to meet
milestones or deadlines set forth in its Project Timeline. Such
modifications include, but are not limited to, suspension, termination or
reduction of Grant Funds allocated to the Subrecipient. ln addition,
Subrecipient shall promptly repay to City any unapproved expenditures
relating to such modifications.
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UASI 14 Subrecipient Agreement 14
IV. STANDARD PROVISIONS
$401 . Construction of Provisions and Titles Herein
All titles, subtitles, or headings in this Agreement have been inserted for
convenience and shall not be deemed to affect the meaning or construction of
any of the terms or provisions hereof. The language of this Agreement shall be
construed according to its fair meaning and not strictly for or against either party.
The word "subrecipient" herein and in any amendments hereto includes the party
or parties identified in this Agreement. The singular shall include the plural. lf
there is more than one Subrecipient as identified herein, unless expressly stated
otheruvise, their obligations and liabilities hereunder shall be joint and several.
Use of the feminine, masculine, or neuter genders shall be deemed to include the
genders not used.
$402. Aoolicable Law. lnterpretation and Enforcement
Each party's performance hereunder shall comply with all applicable laws of the
United States of America, the State of California, the County and City of Los
Angeles, including but not limited to, laws regarding health and safety, labor and
employment, wage and hours and licensing laws which affect employees. This
Agreement shall be enforced and interpreted under the laws of the State of
California without regard to conflict of law principles. Subrecipient shall comply
with new, amended, or revised laws, regulations, and/or procedures that apply to
the performance of this Agreement.
ln any action arising out of this Agreement, Subrecipient consents to personal
jurisdiction, and agrees to bring all such actions, exclusively in state and federal
courts located in Los Angeles County, Califomia.
lf any part, term or provision of this Agreement shall be held void, illegal,
unenforceable, or in conflict with any law of a federal, state or local government
having jurisdiction over this Agreement, the validity of the remaining parts, terms
or provisions of this Agreement shall not be affected thereby.
5403. lnteqrated Aqreement
This Agreement sets forth all of the rights and duties of the parties with respect to
the subject matter hereof, and replaces any and all previous agreements or
understandings, whether written or oral, relating thereto. This Agreement may be
amended only as provided for herein.
$404. Excusable Delavs
ln the event that performance on the part of any party hereto shall be delayed or
suspended as a result of circumstances beyond the reasonable control and
without the fault and negligence of said party, none of the parties shall incur any
liability to the other parties as a result of such delay or suspension.
Circumstances deemed to be beyond the control of the parties hereunder shall
include, but not be limited to, acts of God or of the public enemy; insurrection;
acts of the Federal Government or any unit of State or Local Government in
either sovereign or contractual capacity; fires; floods; epidemics; quarantine
UASI 14 Subrecipient Agreement 15
restrictions; strikes, freight embargoes or delays in transportation; to the extent
that they are not caused by the party's willful or negligent acts or omissions and
to the extent that they are beyond the party's reasonable control.
$405. Breach
Except for excusable delays as described in $404 herein, if any party fails to
perform, in whole or in part, any promise, covenant, or agreement set forth
herein, or should any representation made by it be untrue, any aggrieved party
may avail itself of all rights and remedies, at law or equity, in the courts of law.
Said rights and remedies are cumulative of those provided for herein except that
in no event shall any party recover more than once, suffer a penalty or forfeiture,
or be unjustly compensated.
$406. Prohibition Aoainst Assiqnment or Deleqation
Subrecipient may not, unless it has first obtained the written permission of the
City:
A. Assign or othenvise alienate any of its rights hereunder, including the right
to payment; or
B. Delegate, subcontract, or otherwise transfer any of its duties hereunder.
$407. Permits
Subrecipient and its directors, officers, agents, employees and
contractors/subcontractors, to the extent allowed hereunder, shall obtain and
maintain all licenses, permits, certifications and other documents necessary for
Subrecipient's performance hereunder and shall pay any fees required therefor.
Subrecipient shall immediately notify the City of any suspension, termination,
lapses, non-renewals or restrictions of licenses, permits, certificates, or other
documents.
$408. Nondiscrimination and Affirmative Action
Subrecipient shall comply with the applicable nondiscrimination and affirmative
action provisions of the laws of the United States of America, the State of
California, the County and the City of Los Angeles. ln performing this
Agreement, the Subrecipient shall not discriminate in its employment practices
against any employee or applicant for employment because of such person's
race, religion, national origin, ancestry, sex, sexual orientation, age, physical
handicap, mental disability, marital status, domestic partner status, or medical
condition. The Subrecipient shall comply with Executive Order 11246, entitled
"Equal Employment Opportunity", as amended by Executive Order'11375, and as
supplemented in Department of Labor regulations (41 CFR Part 60). Any
subcontract entered into by the Subrecipient relating to this Agreement, to the
extent allowed hereunder, shall be subject to the provisions of this paragraph.
$409. Bonds
Duplicate copies of all bonds, which may be required hereunder, shall conform to
City requirements established by charter, ordinance or policy and all federal
UASI 14 Subrecipient Agreement 16
requirements regarding the use of Grant Funds and shall be filed with the Office
of the City Administrative Officer, Risk Management for its review in accordance
with Los Angeles Administrative Code Sections 11.47 through 11.56.
$410. lndemnification
Each of the parties to this Agreement is a public entity. ln contemplation of the
provisions of Section 895.2 of the Govemment Code of the State of Califomia
imposing certain tort liability jointly upon public entities, solely by reason of such
entities being parties to an Agreement as defined by Section 895 of said Code,
the parties hereto, as between themselves, pursuant to the authorization
contained in Sections 895.4 and 895.6 of said Code, will each assume the full
liability imposed upon it or upon any of its officers, agents, or employees by law,
for injury caused by a negligent or wrongful act or omission occurring in the
performance of this Agreement, to the same extent that such liability would be
imposed in the absence of Section 895.2 of said Code. To achieve the above-
stated purpose, each party indemnifies and holds harmless the other party solely
by virtue of said Section 895.2. The provision of Section 2778 ot lhe California
Civil Code is made a part hereto as if fully set forth herein. Subrecipient certifies
that it has adequate self insured retention of funds to meet any obligation arising
from this Agreement.
A. Pursuant to Government Code Sections 895.4 and 895.6, the pa(ies shall
each assume the full liability imposed upon it, or any of its officers, agents
or employees, by law for injury caused by any negligent or wrongful act or
omission occuning in the performance of this Agreement.
B. Each party indemnifies and holds harmless the other pa(y for any loss,
costs, or expenses that may be imposed upon such other party by virtue
of Government Code section 895.2, which imposes joint civil liability upon
public entities solely by reason of such entities being parties to an
agreement, as defined by Government Code section 895'
C. ln the event of third-party loss caused by negligence, wrongful act or
omission by both Parties, each party shall bear financial responsibility in
proportion to its percentage of fault as may be mutually agreed or judicially
determined. The provisions of Civil Code Section 2778 rcgatding
interpretation of indemnity agreements are hereby incorporated
$41 1. Conflict of lnterest
A. Subrecipient shall establish safeguards to prohibit employees from using
their positions for a purpose that constitutes, or presents the appearance
of, personal or organizational conflict of interest, or personal gain for
themselves or others, particularly those with whom they have family,
business, or other ties. Subrecipient covenants that none of its directors,
officers, employees, or agents shall participate in selecting, or
administrating any subcontract supported (in whole or in part) by Federal
funds where such person is a director, officer, employee or agent of the
subcontractor; or where the selection of subcontractors is or has the
UASI 14 Subrecipient Agreement 17
appearance of being motivated by a desire for personal gain for
themselves or others such as family business, etc.; or where such person
knows or should have known that:
1. A member of such person's immediate family, or domestic partner
or organization has a financial interest in the subcontract;
2. The subcontractor is someone with whom such person has or is
negotiating any prospective employment; or
3. The participation of such person would be prohibited by 44 CFR
513.36, the California Political Reform Act, Califomia Govemment
Code 587100 et seq. if such person were a public officer, because
such person would have a "financial or other interest" in the
subcontract.
Definitions:
1. The term "immediate family" includes but is not limited to domestic
partners andior those persons related by blood or marriage, such
as husband, wife, father, mother, brother, sister, son, daughter'
father-in-law, mother-in-law, brother-in-law, sister-in-law, son-in-
law, daughter-in-law.
2. The term "financial or other interest" includes but is not limited to:
a. Any direct or indirect financial interest in the specific
contract, including a commission or fee, a share of the
proceeds, prospect of a promotion or of future employment,
a profit, or any other form of financial reward.
b. Any of the following interests in the subcontractor ownership:
partnership interest or other beneficial interest of five percent
or more; ownership of five percent or more of the stock;
employment in a managerial capacity; or membership on the
board of directors or goveming body.
The Subrecipient further covenants that no officer, director, employee, or
agent shall solicit or accept gratuities, favors, anything of monetary value
from any actual or potential subcontractor, supplier, a party to a sub
agreement, (or persons who are othenrvise in a position to benefit from the
actions of any officer, employee, or agent).
The Subrecipient shall not subcontract with a former director, officer, or
employee within a one year period following the termination of the
relationship between said person and the Subrecipient.
Prior to obtaining the City's approval of any subcontract, the Subrecipient
shall disclose to the City any relationship, financial or otheruise, direct or
indirect, of the Subrecipient or any of its officers, directors or employees or
their immediate family with the proposed subcontractor and its officers,
directors or employees.
B.
c.
D.
E.
UASI 14 Subrecipient Agreement 18
F. For further clarification of the meaning of any of the terms used herein, the
parties agree that references shall be made to the guidelines, rules, and
laws of the City of Los Angeles, State of California, and Federal
regulations regarding conflict of interest.
G. The Subrecipient warrants that it has not paid or given and will not pay or
give to any third person any money or other consideration for obtaining
this Agreement.
H. The Subrecipient covenants that no member, officer or employee of
Subrecipient shall have interest, direct or indirect, in any contract or
subcontract or the proceeds thereof for work to be performed in
connection with this project during his/her tenure as such employee,
member or officer or for one year thereafter.
l. The Subrecipient shall incorporate the foregoing subsections of this
Section into every agreement that it enters into in connection with this
project and shall substitute the term "subcontractor" for the term
"Co ntractor" a nd "su b su bco ntracto t'' fo r "S ubco ntracto r".
$412. Restriction on Disclosures
Any repo(s, analysis, studies, drawings, information, or data generated as a
result of this Agreement are to be govemed bythe California Public Records Act
(California Government Code 56250 et seq.).
$413. Minoritv. Women. and Other Business Enterprise Outreach Proqram
It is the policy of the City to provide minority business enterprises (MBEs)'
women business enterprises (WBEs) and all other business enterprises an equal
opportunity to participate in the performance of all contracts and subcontracts,
including procurement, construction and personal services. ln accordance with
CaIOES/Grantor directives, Subrecipient agrees that, to the extent contractors or
subcontractors are utilized, Subrecipient shall use small, minority, women-
owned, or disadvantaged business concerns and contractors or subcontractors
to the extent practicable and shall take the affirmative steps as set forth in 44
CFR S13.36(e).
$414. Publications and Use of Grantor Markinos
All publications created or published with funding under this Grant shall
prominently contain the following statement: "This document was prepared
under a grant from FEMA's Grant Programs Directorate, U.S. Department of
Homeland Security. Points of view or opinions expressed in this document are
those of the authors and do not necessarily represent the official position or
poticies of FEMA's Grant Programs Directorate or the U.S. Department of
Homeland Security." Subrecipient shall comply with requirements to
acknowledge Federal funding when issuing statements, press releases, requests
for proposals, bid invitations, and other documents describing projects or
programs funded in whole or in part by Grant Funds.
Subrecipient shall obtain Grantor approval prior to using Grantor seal(s), logos,
UASI 14 Subrecipient Agreement 19
crests or reproductions of flags or likenesses of Grantor agency officials,
including the use of the United States Coast Guard seal, logo, crests or
reproductions of flags or likenesses of Coast Guard officials.
$415. Comoliance with State and Federal Statutes and Requlations
Statutes and Regulations Applicable To All Grant Contracts
Subrecipient shall comply with all applicable requirements of Federal,
State, County and City of Los Angeles laws, executive orders, regulations,
program and administrative requirements, policies and any other
requirements goveming this Agreement and the Grant. Subrecipient shall
comply with state and federal laws and regulations pertaining to labor,
wages, hours, and other conditions of employment. Subrecipient shall
comply with new, amended, or revised laws, regulations, and/or
procedures that apply to the performance of this Agreement and the
Grant. When reference is made in the provisions set forth in this Section
415 with regards to laws, rules and regulations "as applicable" (or a
variation thereof) to the Subrecipient, it shall be construed to mean "as
applicable" to the Subrecipient as a subgrantee of the Grant. These
requirements include, but are not limited to:
1. Office of Manaqement and Budqet (OMB) Circulars and Forms
Subrecipient shall comply with OMB Circulars, as applicable: OMB
Circular A-21 (Cost Principles for Educational lnstitutions); OMB
Circular A-87 (Cost Principles for State, Local, and lndian Tribal
Governments); OMB Circular A-1 02 (Uniform Ad ministrative
Requirements for Grants and Cooperative Agreements with State
and Local Governments); Common Rule, Subpart C for public
agencies or OMB Circular A-1 10 (Uniform Administrative
Requirements for Grants and Other Agreements with lnstitutions of
Higher Education, Hospitals and Other Non-Profit Organizations);
OMB Circular A-122 (Cost Principles for Non-Profit Organizations);
OMB Circular A-133 (Audits of States, Local Governments, and
Non-Profit Organizations); OBM Standard Form 4248 Assurances
- Non-construction Programs.
2. Sinqle Audit Act
lf Federal funds are used in the performance of this Agreement,
Subrecipient shall adhere to applicable rules and regulations of the
Single Audit Act, 31 USC 57501 et seq.; City Council action dated
February 4, 1987 (C.F. No. 84 2259 51); and any administrative
regulation or field memos implementing such Act.
3. Americans with Disabilities Act
Subrecipient hereby certifies that it will comply, as applicable, with
the requirements of Titles l, ll and lll of the Americans with
Disabilities Act of 1990 ("ADA"), 42 USC SS 12101 et seq., and its
implementing regulations, including Subtitle A, Title ll of the ADA.
UASI 14 Subrecipient Agreement
4.
Subrecipient will provide, as applicable, reasonable
accommodations to allow qualified individuals with disabilities to
have access to and to participate in its programs, services and
activities in accordance with the provisions of the ADA.
Subrecipient will not discriminate against persons with disabilities
nor against persons due to their relationship to or association with a
person with a disability. Any contract entered into by the
Subrecipient (or any subcontract thereof), relating to this
Agreement, to the extent allowed hereunder, shall be subject to the
provisions of this paragraph.
Political and Sectarian Activitv Prohibited
a. Subrecipient shall comply with all applicable lobbying
prohibitions and laws, including those found in 31 U.S.C.
51352, ef seg., and agrees that none of the funds, materials,
property or services funded or reimbursed under this
Agreement shall be used for any partisan political activity, or
to further the election or defeat of any candidate for public
office, or to influence, or attempt to influence an offlcer or
employee of any agency, a Member of Congress, an officer
or employee of Congress, or an employee of a Member of
Congress in connection with any federal action concerning
the award or renewal of any federal contract, grant, loan or
cooperative agreement. Subrecipient shall not use any
funds provided under this Agreement, directly or indirectly, to
support the enactment, defeat, repeal, modification or
adoption of any law, regulation, pending legislation, pending
regulation, or policy (pending or otherwise), at any level of
government. None of the funds provided pursuant to this
Agreement shall be used for any sectarian purpose or to
support or benefit any sectarian activity.
b. Concurrent with the execution of this Agreement,
Subrecipient shall submit to the City a Certification
Regarding Lobbying and a Disclosure Form in accordance
with 31 U.S.C. 51352. A copy of the Certificate is attached
hereto as Exhibit C and incorporated herein, No funds will
be released to Subrecipient until the Certification is filed.
c. Subrecipient shall file a Disclosure Form at the end of each
calendar quarter in which there occurs any event requiring
disclosure or which materially affects the accuracy of any of
the information contained in any Disclosure Form previously
filed by Subrecipient. Subrecipient shall require that the
language of this Certification be included in the award
documents for all sub-awards at all tiers and that all
subcontractors shall certify and disclose accordingly.
UASI 14 Subrecipient Agreement 21
5. Reports. Records lnspection and lnvestiqations
a. At any time during normal business hours and as often as
the Grantor, CalOES, the City, the Federal government, the
General Accounting Office, the Comptroller General of the
United States, the State of California and the Office of
lnspector General may deem necessary, Subrecipient shall
make available for examination all of its records with respect
to all matters covered by this Agreement. Subrecipient
hereby gives the Grantor, CalOES, the City, the Federal
government, the General Accounting Office, the Comptroller
General of the United States, the State of California and the
Office of lnspector General, through any authorized
representative, access to, and the right to examine, audit
and make excerpts or transcripts of, all paper or electronic
records, books, or documents related to the Grant Funds
and all matters covered by this Agreement, including, but not
limited to all Subrecipient's invoices, materials, payrolls,
records of personnel, conditions of employment and other
data. The access and inspections rights set forth herein
shall include access to applicable facilities, personnel and
other individuals and information as may be necessary and
as required by the Grantor or CaIOES' through any
authorized representative, or as required by applicable law,
Grant regulations and guidance.
b. Subrecipient agrees to submit timely, complete and accurate
reports to appropriate Grantor, CaIOES and City
representatives as may be requested and maintain
appropriate support documentation to support such reports.
Subrecipient shall comply with all other special reporting,
assessments, national evaluation efforts, or information or
data collection requests, including, but not limited to, the
:1""",1'ii:"":i:ilT:lTfi ::?#::5"'i'3[li;;;:::',"n'o'
c. Subrecipient shall cooperate with any compliance review or
complaint investigation conducted by the Grantor' CaIOES
il:iirJffi* in connection with Subrecipient's use of
d :Jf,',::B:J:'*:t:::HHH':1':j'"','.i1'.iii;". .
, acknowledge and agree to comply with the provisions
goveming Grantor, CaIOES and the City's access to records,
accounts, documents, information, facilities and staff as set
forth in this Section 415(AX5).
e. The provisions of this Section shall survive the termination of
UASI 14 Subrecipient Agreement 22
this Agreement.
Records Maintenance
Records, in their original form, shall be maintained in accordance
with requirements prescribed by the City and CaIOES/Grantor with
respect to all matters covered on file for all documents specified in
this Agreement. Original forms are to be maintained on file for all
documents specified in this Agreement. Such records shall be
retained for a period of five (5) years after termination of this
Agreement and after final disposition of all pending matters.
"Pending matters" include, but are not limited to, an audit, litigation
or other actions involving records. The City may, at its discretion,
take possession of, retain and audit said records. Records, in their
original form pertaining to matters covered by this Agreement, shall
at all times be retained within the County of Los Angeles unless
authorization to remove them is granted in writing by the City.
Subrecipient shall establish a proper accounting system in
accordance with generally accepted accounting standards and/or
CaIOES/Grantor directives. The provisions of this Section shall
survive the termination of this Agreement.
Subcontracts and Procurement
Subrecipient shall comply with applicable State, Federal and
Subrecipient standards in the award of any subcontracts, including
complying with the provisions set forth in 44 CFR $13.36- For
purposes of this Agreement, subcontracts shall include but not be
limited to purchase agreements, rental or lease agreements, third
party agreements, consultant service contracts and construction
subcontracts.
Subrecipient shall ensure that the terms of this Agreement with the
City are incorporated into all subcontract agreements. Subrecipient
shall submit all Subcontractor Agreements to the City for review
orior to the release of anv funds to the subcontractor. Subrecipient
shall withhold funds to any subcontractor agency that fails to
comply with the terms and conditions of this Agreement and their
respective subcontract agreement.
8. Labor
a. Subrecipient shall comply, as applicable, with the
lntergovernmental Personnel Act of 1970 (42 U.S'C'
554728-4763) relating to prescribed standards for merit
systems for programs funded under one of the 19 statutes or
regulations specified in Appendix A of OPM's Standards for
a Merit System Personnel Administration (5 CFR 900,
Subpart F).
b. Subrecipient shall comply, as applicable, with the provisions
6.
7.
UASI 14 Subrecipient Agreement 23
9.
of the Davis-Bacon Act (40 U.S.C. SS276a to 276a-7), the
Copeland Act (40 U.S.C. $276c and 18 U.S.C. 5874), the
Contract Work Hours and Safety Standards Act (40 U.S.C.
SS327-333), regarding labor standards for federally-assisted
construction subagreements, and the Hatch Act (5 U.S.C.
SS1501-1508 and7324-7328), which limit the political
activities of employees whose principal employment
activities are funded in whole or in part with Federal funds.
Subrecipient shall comply with minimum wage and maximum
hours provisions, as applicable, with the Federal Fair Labor
Standards Act (29 U.S.C. $ 201), as they apply to
employees of institutions of higher education, hospitals, and
other non-profi t organizations.
d. None of the funds shall be used to promote or deter
union/labor organizing activities in accordance with
California Government Code $16645 et seq.
Civil Riqhts
Subrecipient shall comply, and will assure the compliance of all its
agents and contractors, with all applicable Federal and State
statutes relating to civil rights and nondiscrimination. These include
but are not limited to: (a) Title Vl of the Civil Rights Act of 1964
(P.L. 88-352, 42 U.S.C. S 2000d et seq., 6 CFR Part 21 and 44
CFR Part 7), which provides that no person in the United States
will, 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; (b) Title lX of the Education Amendments of
1972, as amended (20 U.S.C. SS1681- 1683, and 1685-1686, 6
CFR Part 17 , 44 CFR Part 1 9), which prohibits discrimination on
the basis of gender in educational programs and activities: (c)
Section 504 of the Rehabilitation Act of 1973, as amended (29
U.S.C. 5794), as amended, which provides that no otherwise
qualified individual with a disability in the United States will, solely
by reason of the disability, be excluded from participation in, be
denied employment to, be denied the services or the benefits of, or
be subjected to discrimination under any program or activity
receiving Federal financial assistance; (d) The Age Discrimination
Act of 1975, as amended (42 U.S.C. 556101-6107), which prohibits
discrimination on the basis of age in any program or activity
receiving Federal financial assistance; (e) the Drug Abuse ffice
and Treatment Act of 1972 (P.L. 92-255), as amended, relating to
nondiscrimination on the basis of drug abuse; (f) the
Comprehensive Alcohol Abuse and Alcoholism Prevention,
Treatment and Rehabilitation Act of 1970 (P.L. 91-616) as
amended, relating to nondiscrimination on the basis of alcohol
UASI 14 Subrecipient Agreement 24
abuse or alcoholism; (g) $$523 and 527 of lhe Public Health
Service Act of 1912 (42 U.S.C. SS290 dd-3 and 290 ee-3), as
amended, relating to confidentiality of alcohol and drug abuse
patient records; (h) Title Vlll of the Civil Rights Act of 1968 (42
U.S.C. 553601 et seq.), as amended, relating to non-discrimination
in the sale, rental, financing and advertising of dwellings, or in the
provision of services in connection therewith, as implemented by
the Department of Housing and Urban Development at 24 CFR
Part 100; (i) Title 44 Code of Regulations (CFR) Parts 7, 16, and 19
relating to nondiscrimination; 0) the requirements of any other
nondiscrimination provisions in the specific statute(s) under which
application for Federal assistance is being made; (k) the
nondiscrimination requirements and all other provisions of the
current edition of the OJP Financial and Administrative Guide for
Grants, M7100.1;and (l) P.L.93-348 regarding the protection of
human subjects involved in research, development, and related
activities supported by this award of assistance.
Subrecipient will comply with the DHS Guidance to Federal
Financial Assistance Recipients Regarding Title Vl Prohibition
Against National Origin Discrimination Affecting Limited English
Proficient Persons, 76 Fed. Re1.21755-21768 (April 18,2011),
resulting from Executive Order 13166 (lmproving Access to
Services for Persons with Limited English Proficiency),
Subrecipient shall take reasonable steps to ensure that persons
with limited English proficiency (LEP) have meaningful access to its
programs. Meaningful access may entail providing language
assistance services, including oral and written translation, where
necessary. Subrecipients are encouraged to consider the need for
language services for LEP persons served or encountered both in
developing budgets and in conducting programs and activities. For
assistance and information regarding LEP obligations, referto DHS
Recipient Guidance at https://www.dhs.gov/guidance-published-
help-department-supported-organizations-provide-meaningful-
access-people-limited and additional resources on
http://www.lep.gov.
ln the event any court or administrative agency makes a finding of
discrimination on the grounds of race, color, religion, national origin
(including limited English proficiency), gender, age, familial status
or disability against Subrecipient, or the Subrecipient settles a case
or matter alleging such discrimination, the Subrecipient will forward
a copy of the complaint and findings to the City and the
Grantor/CalOES. The United States shall have the right to seek
judicial enforcement of the obligations set forth herein. lf, during
the past three years, the Subrecipient has been accused of any
such discrimination (including limited English proficiency), the
Subrecipient shall provide a list of all such proceedings, pending or
UASI 14 Subrecipient Agreement
completed, including outcome and copies of seftlement agreements
to the City, the Grantor/CalOES, and the DHS Office of Civil Rights
and Civil Liberties.
10. Environmental
a. Subrecipient shall comply, or has already complied, with the
applicable requirements of Titles ll and lll of the Uniform
Relocation Assistance and Real Property Acquisition
Policies Act of 1970 (42 U.S.C. $4601 et seq. [P.L. 91-646])
which provide for fair and equitable treatment of persons
displaced or whose property is acquired as a result of
Federal or Federally-assisted programs. These requirements
apply to all interests in real property acquired for project
purposes regardless of Federal participation in purchases.
Subrecipient shall also comply, as applicable, with Title 44
CFR Part 25, Uniform Relocation Assistance and Real
Property Acquisition for Federal and Federally-assisted
programs.
b. Subrecipient shall comply, as applicable, with, and provide
any information requested by DHS/FEMA/CaIOES to ensure
compliance with, the following laws: (a) the requirements of
the National Environmental Policy Act (NEPA), as amended
(42 U.S.C. $4331 et seq.) and Executive Orders (EO) 11514
and 12898; (b) notification of violating facilities pursuant to
EO 1 1738; (c) protection of wetlands pursuant to EO 1 1990
and 44 CFR Part 59; (d) evaluation of flood hazards in
floodplains in accordance with EO 11988; (e) assurance of
project consistency with the approved State management
program developed underthe Coastal Zone Management
Actof 1972 (16 U.S.C. SS1451 et seq.); (f) requirements of
the Clean Air Act of 1970 and the Clean Water Act of 1977
(42 U.S.C. $$7401 et seq.) and Executive Order 11738; (g)
protection of underground sources of drinking water under
the Safe Drinking Water Act of 1974, as amended (P.L. 93-
523); (h) protection of endangered species under the
Endangered Species Act of 1973, as amended (P.L. 93205);
(i) the flood insurance purchase requirements of the Flood
Disaster Protection Act of 1973, as amended (42 U.S.C.
$4001 et seq.) which requires recipients of Federal funds in
a special flood hazard area to participate in the program and
to purchase flood insurance if the total cost of insurable
construction and acquisition is ten thousand dollars
($10,000) or more; O requirements of Section 1306(c) of the
National Flood lnsurance Act of 1968, as amended (44 CFR
Part 563); and (k) 44 CFR Part $10, Environmental
Considerations.
UASI 14 Subrecipient Agreement 26
a.Subrecipient shall comply with all applicable Federal, State,
and local environmental and historical preservation (EHP)
requirements. Failure to meet Federal, State, and local EHP
requirements and obtain applicable permits may jeopardize
Federal funding. Subrecipient shall comply with all
applicable conditions placed on any project as the result of
the EHP review, and any change to the scope of work of a
project will require re-evaluation of compliance with these
EHP requirements. Subrecipient agrees not to undertake
any project funded by the Grant having the potential to
impact the EHP resources without prior written approval of
City and DHS/FEMA/CaIOES, including, but not limited to,
ground disturbance, construction, modification to any
structure, communications towers, physical security
enhancements, any structure over 50 years old, and
purchase and/or use of any sonar equipment. Any
construction related activities initiated prior to full EHP
review may result in a noncompliance finding. Subrecipient
must complete the DHS/FEMA EHP Screening Form (OMB
Number 1660-01 1 SiFEMA Form 024-0-01) and submit it,
with all supporting documentation, to City and CaIOES for
processing by the DHS/FEMA Grant Program Directorate
EHP. The DHS/FEMA EHP Screening Form is available at:
www.fema.qov/doc/qovemment/qranUbulletins/info329 final
screeninq memo.doc. lf ground-disturbing activities occur
during the project implementation, the Subrecipient must
ensure monitoring of the disturbance. lf any potential
archaeological resources are discovered, the Subrecipient
will immediately cease activity in that area and notify the City
and DHS/FEMfuCaIOES and the appropriate State Historic
Preservation Office.
Subrecipient shall comply, as applicable, with the Wild and
Scenic Rivers Act of 1968 (16 U.S.C. SS1271 et seq.) related
to protecting components or potential components of the
national wild and scenic rivers system.
Subrecipient shall comply, as applicable, with the Lead-
Based Paint Poisoning Prevention Act (42 U.S.C. $$4801 et
seq.) which prohibits the use of lead-based paint in
construction or rehabilitation of residence structures.
Subrecipient shall comply, as applicable, with the Federal
Water Pollution Control Act (33 U.S.C. S 1251 et seq.) which
restores and maintains the chemical, physical and biological
integrity of the Nation's waters.
Subrecipient shall ensure that the facilities under its
ownership, lease or supervision which shall be utilized in the
b.
d.
e.
UASI 14 Subrecipient Agreement 27
accomplishment of Subrecipient's projects funded by the
Grant are not on the Environmental Protection Agency's
(EPA) List of Violating Facilities, and it will notify the City and
DHS/FEMA/CalOES of the receipt of any communication
from the Director of the EPA Office of Federal Activities
indicating that a facility to be used in the project is under
consideration for listing by the EPA.
f. Subrecipient is, and shall be in compliance with the
applicable provisions of the California Environmental Quality
Act (CEQA), Public Resources Code S21000 et seq. and
Califomia Code of Regulations, Title 14, Chapter 3 Section
15000-15007.
S. Subrecipient shall comply, as applicable, with the Energy
Policy and Conservation Act (P.L. 94-163, 89 Stat. 871).
h. Subrecipient shall comply with applicable provisions of the
Coastal Barrier Resources Act (P.L. 97-348) dated October
19, 1982 (16 U.S.C. 3501 et seq.) which prohibits the
expenditure of most new Federal funds within the units of the
Coastal Barrier Resources System.
11 . Preservation
Subrecipient shall comply, as applicable, with Section 106 of the
National Historic Preservation Act of 1966, as amended (16 U.S.C.
5470), EO 1 1593 (identification and protection of historic
properties), and the Archaeological and Historic Preservation Act of
1974 (16 U.S.C. SS469a-1 et seq.).
12. Susoension and Debarment
Subrecipient shall comply, as applicable, with Federal Register,
Volume 68, Number 228, regarding Suspension and Debarment,
and Subrecipient shall submit a Certification Regarding Debarment
required by Executive Order 12549 and 12689 and any amendment
thereto (attached hereto as Exhibit B and made a part hereof).
Said Certification shall be submitted to the City concurrent with the
execution of this Agreement and shall certify that neither
Subrecipient nor its principals are presently debarred, suspended,
proposed for debarment, declared ineligible or voluntarily excluded
from participation in this transaction by any federal department
head or agency. Subrecipient shall require that the language of this
Certification be included in the award documents for all sub-award
at all tiers and that all subcontractors shall certify accordingly.
Subrecipient shall not make any award or permit any award
(subcontract or contract) to any party which is debarred or
suspended or is otherwise excluded from or ineligible for
participation in Federal assistance programs under Executive Order
UASI 14 Subrecipient Agreement 28
12549 and 12689, "Debarment and Suspension."
13. Druo-FreeWorkplace
Subrecipient shall comply, as applicable, with the Federal Drug-
Free Workplace Act of 1988, 41 U.S.C. 5701 et. seq., 44 CFR Part
17,2 CFR 3001, and the California Drug-Free Workplace Act of
1990, Government Code SS 8350-8357. Subrecipient shall execute
and submit to the City concurrent with the execution of this
Agreement the Certification Regarding Drug Free Workplace
Requirements attached hereto as Exhibit D and made a part
hereof. Failure to comply with these requirements may be cause
for debarment.
14. Miscellaneous
Subrecipient shall comply, as applicable, with the Animal Welfare
Act of 1 966, as amended (P.L. 89-544, 7 U.S.C. $$2131 et seq.),
pertaining to the care, handling and treatment of warm blooded
animals held for research, teaching, or other activities.
Subrecipients must establish appropriate policies and procedures
for the humane care and use of animals based on lhe Guide for the
Care and Use of Laboratory Animals and comply with the Publrc
Health Service Policy and Government Principles Regarding the
Care and Use of Animals. Pursuant to the Consolidated
Appropriations Act of 2008 (P.L. 1 10-161 ) grant funds must not be
used in contravention of the federal buildings performance and
reporting requirements of Executive Order No. 13123, par13 of Title
V of the National Energy Conservation Policy Act (42 U.S.C. 8251
et seq.) or subtitle A of Title I of the Energy Policy Act of 2005
(including the amendments made thereby), nor shall Grant Funds
be used in contravention of section 303 of the Energy Policy Act of
1992(42 U.S.C. 13212).
B. Statutes and Requlations Applicable To This Particular Grant
Subrecipient shall comply with all applicable requirements of state and
federal laws, executive orders, regulations, program and administrative
requirements, policies and any other requirements governing this
particular Grant program. Subrecipient shall comply with new, amended,
or revised laws, regulations, and/or procedures that apply to the
performance of this Agreement. These requirements include, but are not
limited to:
1 . Title 44 Code of Federal Regulations (CFR) Subchapters A, B and
C; EO 12372; Current edition of the OJP Financial and
Administrative Guide for Grants (M7100.1); Current edition of the
DHS Financial Management Guide; DOJ Office for Civil Rights
Regulations; Title 2 CFR Parts 215, 225,220, and 230; All
provisions of the Federal Acquisition Regulations (FAR), including,
UASI 14 Subrecipient Agreement 29
2.
without limitation, 48 CFR Parl31 .2 Contract Cost Principles and
Procedures, Contracts with Commercial Organizations; DHS 14
Guidance; CaIOES 14 Supplement; CaIOES 14 Handbook;
CaIOES FY 14 Grant Assurances (attached hereto as Exhibit E);
Grantor lnformation Bulletins; and GMMs.
Standardized Emergency Management System (SEMS)
requirements as stated in the California Emergency Services Act,
Government Code Chapter 7 of Division 1 of Title 2, S 8607.1(e)
and CCR Title 19, SS 2445-2448.
Technology Requirement:
a. Subrecipient shall use the latest National lnformation
Exchange Model (NIEM) specifications and guidelines
regarding the use of Extensible Markup Language (XML) for
all projects funded by this Grant. Further information about
the required use of NIEM specifications and guidelines is
available at www.niem.gov.
b. For any information technology system funded by Grant
Funds under this Agreement, Subrecipient shall ensure that
such project complies with 28 CFR Parl23, Criminal
lntelligence Sysfems Operating Policies, if such regulation is
determined to be applicable.
c. Subrecipient shall comply with Homeland Security
Presidential Directive (HSPD)-S, Management of Domestic
lncidents. Subrecipient agrees and acknowledges that the
adoption of the National lncident Management System
(NIMS) is a requirement to receive Grant Funds under this
Agreement.
ln accordance with section 6 of the Hotel and Motel Fire Safety
Action of 1990, 15 U.S.C. $2225a, Subrecipient shall ensure that all
conference, meeting, convention, or training space funded in whole
or in part with federal funds complies with the fire prevention and
control guidelines of the Federal Fire Prevention and Control Act of
1974,15 U.S.C. 52225.
Subrecipient shall comply with the applicable provisions of Section
106(9) of the Trafficking Victims Protection Act (TVPA) of 2000, as
amended (22 U.S.C. 571O4,2 CFR 5175). Subrecipient
understands and agrees that it, and any of its subrecipients,
employees or subgrantees that are private entities, may not:
a. Engage in severe forms of trafficking in persons during the
period of time that this Grant award is in effect;
b. Procure a commercial sex act during the period of time that
the Grant award is in effect; or
4.
5.
UASI 14 Subrecipient Agreement 30
3.
d.
e.
Use forced labor in the performance of the award or
subaward under this Grant award.
Subrecipient understands and agrees that the City, CaIOES
andior Grantor may unilaterally terminate this Grant award to
Subrecipient, without penalty, if Subrecipient:
ls determined to have violated a prohibition identified in this
paragraph 5, subparagraph a, b, or c; or
Has an employee who is determined by an agency official
authorized to terminate this Grant award to have violated
any such prohibition through conduct that is either
i. associated with performance under this Grant award;
or
ii. imputed to the Subrecipient or its authorized agent
using the standards and due process for imputing the
conduct of an individual to an organization provided in
2 CFR Part 180, as implemented by Grantor at 2 CFR
Part 3000.
Subrecipient further understands and agrees that:
f. lt must inform the City and CaIOES immediately of any
information received from any source alleging a violation of a
prohibition in this paragraph 5, subparagraph a, b or c;
S. Grantor's right to terminate unilaterally as described in this
paragraph 5 implements Section 106(9) of the TVPA, and
that the right of the City, CaIOES and Grantor to terminate
this Grant award and Agreement unilaterally is in addition to
all other remedies for noncompliance that are available
under this Grant.
h. For purposes ofthis paragraph 5:
i. "Employee" means either:
an individual employed by the Subrecipient who is
engaged in the performance of the project or program
under this award; or
another person engaged in the performance of the
project or program under this Grant award and not
compensated by Subrecipient, including, but not
limited to, a volunteer or individual whose services are
contributed by a third party as an in-kind contribution
toward cost sharing or matching requirements.
ii. "Forced labo/' means labor obtained by any of the
following methods: the recruitment, harboring,
transportation, provision, or obtaining of a person for
UASI 14 Subrecipient Agreement 31
labor or services, through the use of force, fraud, or
coercion for the purpose of subjection to involuntary
servitude, peonage, debt bondage or slavery.
iii. "Private entity" means any entity other than a state,
Iocal government, lndian Tribe, or foreign public
entity, as those terms are defined in 2 CFR 175.25,
and includes non-profit organizations, including any
non-profit institution of higher education, hospital, or
tribal organization other than one included in the
definition of lndian Tribe at 2 CFR 175.25(b), and for-
profit organizations.
iv. "Severe forms of trafflcking in persons," "commercial
sex act," and "coercion" have the meanings given at
Section 103 of the TVPA, as amended.
6. "Classified national security information," as defined in Executive
Order (EO) 12958, as amended, means information that has been
determined pursuant to EO 12958 or any predecessor order to
require protection against unauthorized disclosure and is marked to
indicate its classified status when in documentary form.
Subrecipient shall not use any Grant Funds to support a contract,
subaward, or other agreement for goods or services that will
include access to classified national security information if the
Subrecipient has not been approved by the Grantor for and has
access to such information. ln the event Subrecipient has been so
approved for and has access to such information, Subrecipient
shall not use any Grant Funds to support a contract, subaward, or
other agreement for goods or services that will include access to
classified national security information by the contractor,
subawardee, or other entity without prior written approval from the
DHS Office of Security, lndustrial Security Program Branch (ISPB),
or an appropriate official within the federal department or agency
with whom the classified effort will be performed. Such contracts,
subawards, or other agreements shall be processed and
administered in accordance with the DHS "Standard Operating
Procedures, Classified Contracting by States and Local Entities,"
dated July 7 , 2008; Eos 12829, 12958, 12968, as amended; the
National lndustrial Security Program Operating Manual (NISPOM);
and/or other applicable implementing directives or instructions. All
security requirement documents are located at:
http://www.dhs.gov/xopnbi/grants/index.shtm. Upon determination
by Subrecipient that Grant Funds will be used to support such a
contract, subaward, or other agreement, and prior to execution of
any actions to facilitate the acquisition of such contract, subaward,
or other agreement, Subrecipient shall contact the City and ISPB,
or the applicable federal department or agency, for approval and
UASI 14 Subrecipient Agreement 32
7.
8.
processing instructions.
Subrecipient shall ensure that any of its potential subrecipients of
Grant Funds has provided its Data Universal Numbering System
(DUNS) number.
Subrecipient shall comply with Grantor guidelines regarding the
handling of Personally ldentifiable lnformation (Pll), as required by
OMB M-07-16 and as set forth in DHS Handbook for Safeguarding
Sensitive Pll, which can be found at
http://www.d hs.qov/xlibrarv/assets/privacv/privacv quide spii hand
book.pdf. ln collecting Pll, Subrecipient shall have a publicly-
available privacy policy that describes what Pll it collects, how it
plans to use the Pll, whether it shares Pll with third parties, and
how individuals may have their Pll corrected where appropriate.
Subrecipient may find DHS Privacy Impact Assessments, guidance
and templates online at
http://www.dhs.oov/xlibrarv/assets/orivacv/privacv pia quidance iu
ne2010.pdfand at
htto://www.dhs.qov/xlibrarv/assets/privacv/privacv oia template.pdf
, respectively.
Subrecipient shall comply with the applicable requirements of the
Federal regulations at 45 CFR Part 546 and DHS Management
Directive 026-04 regarding the protection of human subjects in
research.
Subrecipient shall comply with the applicable requirements of the
Uniting and Strengthening America by Providing Appropriate Tools
Required to lntercept and Obstruct Tenorism Act (USA PATRIOT
Act), which amends 18 U.S.C. SS175-175c.
Subrecipient shall comply with the applicable requirements of the
Preference for U.S. Flag Air Carriers: (air caniers holding
certificates under 49 U.S.C. S41 102) for intemational air
transportation of people and property to the extent that such service
is available, in accordance with the lnternational Air Transportation
Fair Competitive Practices Act of 1974 (49 U.S.C. 5401 18) and the
interpretive guidelines issued by the Comptroller General of the
United States in the March 31 , 1981 amendment to Comptroller
General Decision 81 38942.
Subrecipient shall comply with the requirements that project
activities supported with Grant Funds and carried on outside the
United States are coordinated as necessary with appropriate
government authorities and that appropriate licenses, permits or
approvals are obtained.
Subrecipient shall comply with the applicable requirements of the
Federal Funding Accountability and Transparency Act (FFATA)
9.
10.
11.
12.
13.
UASI 14 Subrecipient Agreement 33
(P.1. 109-282), as amended by Section 6202(a) of the Government
Funding Transparency Act of 2008 (P.L. 110-252), and as clarified
in Grantor lnformation Bulletin #350 and GMM #350, regarding
disclosure of subawards and executive compensation.
C. Noncomoliance
Subrecipient understands that failure to comply with any of the above
assurances or the Grant Assurances attached hereto as Exhibit E may
result in suspension, termination or reduction of Grant Funds, and
repayment by Subrecipient to City of any unlaMul expenditures.
Subrecipient shall be liable to the Grantor for any funds the Grantor
determines that Subrecipient used in violation of these Grant Assurances
and Subrecipient shall indemnify and hold harmless the City for any sums
the Grantor determines Subrecipient used in violation of the Grant
Assurances. The provisions of this paragraph shall survive termination of
this Agreement.
$416. lnventions. Patents and Coovriqhts
A. Reoortinq Procedure for lnventions
lf any project of Subrecipient funded under this Agreement produces any
invention or discovery ("lnvention") patentable or otherwise under Title 35
of the U.S. Code, including, without limitation, processes and business
methods made in the course of work under this Agreement, Subrecipient
shall report the fact and disclose the lnvention promptly and fully to the
City. The City shall report the fact and disclose the lnvention to the
Grantor/CalOES. Unless there is a prior agreement between the City and
Grantor/CalOES, Grantor/CalOES shall determine whether to seek
protection on the lnvention. GrantoriCalOES shall determine how the
rights in the lnvention, including rights under any patent issued thereon,
will be allocated and administered in order to protect the public interest
consistent with the policy ("Policy") embodied in the Federal Acquisition
Regulations System, which is based on Ch. 18 of Title 35 U.S'C. Sections
200 et seq. (Pub. L. 95-517, Pub. L. 98-620, 37 CFR part 401);
Presidential Memorandum on Government Patent Policy to the Heads of
the Executive Departments and Agencies, dated 2/18/1983); and
Executive Order 12591 , 4110187 , 52 FR 13414, 3 CFR, 1987 Comp'' p'
220 (as amended by Executive Order 12618, 12122187 ' 52 FR 48661 ' 3
CFR, 1987 Comp., p. 262). Subrecipient hereby agrees to be bound by
the Policy, will contractually require its personnel to be bound by the
Policy, and will consult with Grantor/CalOES regarding allocation of any
patent rights that arise from, or are purchased with, Grant Funds.
B. Riohts to Use lnventions
City and Grantor/CalOES shall have an unencumbered right, and a non-
exclusive, irrevocable, royalty-free license, to use, manufacture, improve
upon, and allow others to do so for all government purposes' any
UASI 14 Subrecipient Agreement 34
lnvention developed under this Agreement.
Copvrioht Policv
Unless otherwise provided by the terms of the Grantor or of this
Agreement, when copyrightable material ("Material") is first produced or
developed as part of a project funded by Grant Funds, the Grantor, at
Granto/s discretion, may copyright the Material. lf the Grantor declines to
copyright the Material, the Grantor shall have an unencumbered right, and
a non-exclusive, irrevocable, royalty-free license, to reproduce, display,
publish, disseminate, perform, prepare derivative works or otherwise use,
and authorize others to use, for all government purposes: (a) any Material
so produced or developed and (b) any rights of copyright to which
Subrecipient purchases ownership with Grant Funds. Subrecipient shall
affix the applicable copyright notices of 17 U.S.C. $401 or $402 and an
acknowledgement of govemment sponsorship (including Grant award
number) to any Material first produced or developed under this Grant,
unless the Material includes any information that is otherwise controlled by
the Government (e.9. classified information or other information subject to
national security or export control laws or regulations).
Riqhts to Data
The Grantor shall have unlimited rights or copyright license to any data
first produced or delivered under this Agreement or to any scientific,
technical, or other copyright work based on or containing data first
produced under this Agreement, including those works published in
academic, technical or professional joumals, symposia proceedings, or
similar works. "Unlimited rights" means the right to use, disclose,
reproduce, prepare derivative works, distribute copies to the public, and
perform and display publicly, or permit others to do so; as required by 48
CFR27.4O1 . Where the data are not first produced under this Agreement
or are published copyrighted data with the notice of 17 U.S.C. Section 401
or 4O2, the Grantor acquires the data under a copyright license as set
forth in 48 CFR 27.404(fX2) instead of unlimited rights. (48 CFR
27.404(a)).
Obliqations Bindino on Subcontractors
Subrecipient shall require all its contractors and subcontractors funded by
Grant Funds to comply with the obligations of this section by incorporating
the terms of this section into all contracts and subcontracts. ln addition,
Subrecipient shall ensure that all its contractors, subcontractors and
vendors funded by Grant Funds be contractually obligated to give the
rights set forth in this Section 416 to the Subrecipient as well as the
Grantor.
[REMAINDER OF PAGE INTENTIONALLY LEFT BLANKI
C.
D.
E.
UASI 14 Subrecipient Agreement 35
V. DEFAULTS. AMENDMENTS. AND AGREEMENT
$501. Defaults
Should Subrecipient fail for any reason to comply with the contractual obligations
of this Agreement within the time specified by this Agreement, the City reserves
the right to terminate the Agreement, reserving all rights under state and federal
law.
$502. Amendments
Any change in the terms of this Agreement, including changes in the services to
be performed by Subrecipient, and any increase or decrease in the amount of
compensation/allocation which are agreed to by the City and Subrecipient shall
be incorporated into this Agreement by a written amendment properly executed
and signed by the person authorized to bind the pa(ies thereto.
Subrecipient agrees to comply with all future City Directives, or any rules,
amendments or requirements promulgated by the City affecting this Agreement.
$503. Complete Aqreement
This Agreement sets forth all of the rights and duties of the parties with respect to
the subject matter hereof, and replaces any and all previous agreements or
understandings, whether written or oral, relating thereto. This Agreement may be
amended only as provided for herein and neither verbal agreement nor
conversation with any officer or employee of either party shall affect or modify
any of the terms and conditions of this Agreement. This Agreement is executed
in three (3) duplicate originals, each of which is deemed to be an original. This
Agreement includes thirty-seven (37) pages and twelve (12) Exhibits which
constitute the entire understanding and agreement of the parties.
IREMAINDER OF PAGE INTENT]ONALLY LEFT BLANKI
UASI 14 Subrecipient Agreement 36
APPROVED AS TO FORM AND
LEGALITY:
MICHAEL N. FEUER, City Attorney
By
Date
Deputy City Attorney
For: THE CITY OF LOS ANGELES
ERIC GARCETTI, Mayor
By
-Eric
Garcetti, Mayor
Homeland Security and
Public Safety, Mayor's Office
Date
ATTEST:
HOLLY L. WOLCOTT, lnterim City Clerk
By
Date
Deputy City Clerk
APPROVED AS TO FORM:
By
City Attomey
For: The City of Vernon,
a municipal corporation
By
Date
ISEALI
ATTEST:
City Clerk
Date
lN WITNESS WHEREOF, the City and Subrecipient have caused this Agreement to
be executed by their duly authorized representatives.
City Business License Number:
lnternal Revenue Service lD Number:
Council File/OARS File Number: 14-0820 Date of Approval
City Contract Number:
UASI 14 Subrecipient Agreement 37
By
Exhibit A
lnsurance
(Not applicable to this Agreement)
EXHIBIT B
l.
INSTRUCTIONS FOR CERTIHCATION
By signing and submitting this documeng the prospective recipient of Federal assistance funds is providing the
certifimtion as set out below.
The certification in this clause is a material representation of fact upon which reliance was placed when this
transaction was entered into. If it is later determined that the prospective recipient of Federal assistance funds
knowingly rendered an srroneous certification, in addition to other remedies available to the Federal
Governmen! the departnrent or agency with which this transaction originated may pursue available temedies,
including suspension and/or debarment.
The prospective recipient of Federal assistance funds shall provide immediate written notice to the person to
which this agreement is entered, if at any time the prospective recipient of Federal assistance funds learns that
its certification was erroneous, when submitted or has become erroneous by reason of changed circumstances.
The terms "coyered tnansaction," "debarred," "suspended," "ineligible," "lower tier covered ransaction,"
"partieipant," "person," "primary covered fransaction," ttprincipalr" "proposal,'f and "voluntarily excluded," as
used in this clause, have the meanings set ow in the Definitions and Coverage sections of rules implementing
Executive Order 12549.
The prospective recipient of Federal assistance funds agrees by submifting this proposal that, should the
proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covcred
transaction with a person who is debaned, suspended, declared ineligible, or voluntarily excluded ftom
participation in this covered transaction, unless authorizedby the department or agency with which this
transaction originated.
The prospective recipient of Federal assistance funds further agrees by submitting this proposal that it will
include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion
- Lower Tier Covered Transactions," without modification, in all lower tier covered hansactions and in all
solicitations for lower tier covered transactions.
A participant in a covered transaction may rely upon a certification ofa prospective partioipant in a lowertier
covered transaction that it is not debared, suspended, ineligible, or voluntarily excluded fiom the covered
fansaction, unless it knows that the certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals. Each participant may, but is not required to,
check the List of Parties Excluded from Procurement or Non-Procurement Programs.
Nothing contained in the foregoing shall be construed to require establishment ofa system ofrecords in order io
render in good faith the certification required by this clause. The knowledge and information of a parlicipant is
not required to exceed that which is normally possessed by a pnrdent person in the ordinary course ofbusiness
dealings.
Except for tansactions authorized under Paragraph 5 of0rese instructions, ifa participant in a covered
transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred,
ineligible, or voluntary excluded from participation in this transaction, in addition to other rernedies available to
the Federat Govemmen! tlre departnent or agency with which this transaction originated may pursue available
remedies, including suspension and/or debarment.
).
4.
5.
7.
9.
CERTIFICATION REGARDING
DEBARMENT, SUSPENSION, INELIGIBILITY A}ID VOLUNTARY EXCLUSION
LOWER TIER COVERED TRANSACTIONS
This certification is required by the regulations implementing Executive Order 12549, Debarment and
Suspension, 44 CFR Pafi 17, Participants' responsibilities.
(READ ATTACHED INSTRUCTIONS FOR CERTTFICATION BEFORE
COMPLETING)
1. The prospective recipient (or subrecipient) of Federal assistance funds certifies that it or its
principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible,
sentenced to a denial ofFederal benefits by a State or Federal court, or voluntarily excluded from
covered transactions by any Federal deparfrnent or agency;
(b) Have not within a three-year period preceding this Agreement been convicted of or had a
civil judgment rendered against them for commission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local)
transaction or contract under a public transaction; violation of Federal or State antitrust statutes
or commission of embezz,lement, theft, forgery, bribery, falsification or destruction of records,
making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental
entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph
1(b) of this certification; and
(d) Have not within a three-year period preceding this Agreement had one or more public
transactions (Federal, State, or local) terminated for cause or default.
2. Where the prospective recipient of Federal assistance funds is unable to certiff to any of the
statements in this certification, such prospective participant shall affach an explanation to this proposal.
AGREEMENT NUMBER
RECIPIENT/SUBRECIPIENT/CONTRACTOR/BORROWER/AGENCY
NAME AND TITLE OF AUTHORIZED REPRESENTATIVE
SIGNATURE DATE
EXHIBIT C
CERTIFICATION REGARDING LOBBYING
CertificationforCo@
and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge and belief, that:
1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee
of an agency, a Member of Congress, an officer or employee of Congress, or an employee of
a Member of Congress in connection with the awarding of any Federal contract, the making
of any Federal grant, the making of any Federal loan, the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment, or modification of any
Federal contract, grant,loan or cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with this Federal contract, grant,loan, or cooperative agreement, the
undersigned shall complete and submit Standard Form-LLL "Disclosure Form to Report
Lobbying" in accordance with its instructions.
3. The undersigned shall require that the language of this certification be included in the award
documents for all subawards at all tiers (including subcontracts, subgrants, and contracts
under grants, loans, and cooperative agreements) and that all subrecipients shall certiff and
disclose accordingly.
4. This certification is a material representation of fact upon which reliance was placed when
this transaction was made or entered into. Submission of this certification is a prerequisite
for making or entering into this transaction imposed by Section 1352Title 31, U.S. Code.
Any person who fails to file the required certification shall be subject to a civil penalty of not
less that S10,000 and not more than $100,000 for each such failure.
AGREEMENT NUMBER
SUBRECIPIENT/CONTRACTOR/BORROWER/AGENCY
NAME AND TITLE OF AI.]"THORZED REPRESENTATIVE
SIGNATURE DATE
EXHIBIT D
CERTIFICATION REGARDING DRUG FREE WORKPLACE ACT
REOAIREMENTS
The Contractor/Subrecipient certifies that it will or will continue to provide a drug-free
workplace, in accordance with the federal Drug-Free Workplace Act of 1988 (41 U.S.C.
70I etgeg), 28 CFR Part 67; and the Califomia Drug-Free Workplace Act of 1990,
Government Code $$ 8350-8357, by:
1. Publishing a statement notifuing employees that the unlawful manufacture,
distribution, dispensing, possession or use of a controlled substance is prohibited in
the Contractor's workplace and speciffing the actions that will be taken against
employees for violation of such prohibition.
2. Establishing an on-going drug-free awareness program to inform employees about:
a. The dangers of drug abuse in the workplace;
b. The Contractor's policy of maintaining a drug-free workplace;
c. Any available drug counseling, rehabilitation and employee assistance programs;
and
d. The penalties that may be imposed upon employees for drug abuse violations
occurring in the workplace.
3. Making it a requirement that each employee to be engaged in the perfonnance of the
program be given a copy of the statement required by paragraph 1 above.
4. Notifuing the employee in the statement required by paragraph I that, as a condition
of employment under the Grant progftlm, the employee will:
a. Abide by the terms of the statement, and
b. Notify the Contractor in writing of his or her conviction for a violation of a
criminal drug statute occurring in the workplace no later than five calendar days
after such conviction.
5. Notifring the City and Grantor, in writing, within 10 calendar days after receiving
notice under subparagraph 4. b. from an employee or otherwise receiving actual
notice of such conviction. Employers of convicted employees must provide notice,
including position title, to:
Departrnent of Justice, Offrce of Justice Programs
ATTN: Control Desk
633 Indiana Avenue, N.W.
Washington, D.C. 20531
6. Taking one of the following actions, within 30 calendar days of receiving notice
under subparagraph 4.b. with respect to any employee who is so convicted:
a. Taking appropriate personnel action against such an employee, up to and
including termination, consistent with the requirements of the Rehabilitation Act
of 1973, as amended; or
b. Requiring such employee to participate satisfactorily in a drug abuse assistance or
rehabilitation program approved for such purposes by a Federal, State, or local
health, law enforcement, or other appropriate agency.
7. Making a good faith effort to continue to maintain a drug-free workplace through
implementation of the provisions of this certification.
AGREEMENT NLIMBER
SUBRECIPIENT/CONTRACTOR/BORROWER/AGENCY
NAME AND TITLE OF AI.]"THORIZED REPRESENTATIVE
SIGNATURE DATE
*NOTE: Capitalized terms herein shall have those meanings setforth in the Agreement to
which this Certification is attached as an Exhibit
EXHIBIT E
Name of Applicant:
California Governor's OIIice of Emergency Services
FY 2014 Granl Assurances
(All HSGP Applicants)
City of Los Angeles
Address: 200 No. Spring Street, Room 303
City:Los Angeles State:CA Zip Code:900'12
Telephone Number:(213) e78-O730 Fax Number:(213) 978-0718
E-Mail Address: alisa.finsten@lacity.org
As the duly authorized representative of the applicant I certi$ that the applicant named above:
l. Will asswe that the Funding Oppo(unity Announcement for this program is hereby incorporated into your
award agreement by reference. By accepting this award, the recipient agrees that all allocations and rce of
funds under this grant will be in accordance with the requirements contained in the FY2014 Homeland
Security Grant Program Funding Opportunity Announcement, the California Supplement to the FY20l4
Homeland Security Grant Program Funding Opportunity Announcement, and all applicable laws and
regulations.
2. All allocations and rse of funds under this grant will be in accordance with the Allocations, and use of grant
funding must support the goals and objectives included in the State and/or Urban Area Homeland Security
Strategies as well as the investments identified in the Investment Justifications which were submitted as paft
of the California FY20l4 Homeland Security Grant Program application. Further, use of FY2014 funds is
limited to those investments included in the California FY20 l4 lnvestment Justifications submitted to
DHS,/FEMA and Cal OES and evaluated through the peer review process.
3. Understands that in the event FEMA determines that changes are necessilry to the award document after an
award has been made, including changes to period of performance or terms and conditions, recipients will
be notified of the changes in writing. Once notification has been made, any subsequent request for funds
will indicate recipient acceptance of the changes to the award. Please call the FEMA/GMD CaIl Center at
(866) 927-5646 or via e-mail to ASK-GMD@.dhs.gov if you have any questions.
4. Has the legal authority to apply for Federal assistance and has the institutional, managerial and financia.l
capability to ensure proper planning, management and completion of the grant provided by the U.S.
Department of Homeland Security (DHS)/Federal Emergency Management Agency (FEMA) and sub-
granted through the State of California, California Governor's Office of Emergency Services (Cal OES).
5. Will assure that grant funds are rsed for allowable, fair, and reasonable costs only and will not be
transfened between grant programs (for example: State Homeland Security Program and Urban Area
Security Initiative) or fiscal years.
6. Will comply with any cost sharing commitments included in the FY20 l4 Investment Justifications
submifted to DHS/FEMA/CaI OES, where applicable.
7. Will establish a proper accounting system in accordance with generally accepted accounting standards and
awarding agency directives.
8. Will give the DHS/FEMA, the General Accounting Office, the Comptroller General of the United States,
the Cal OES, the Office of Inspector General, through any authorized representatives, access to, and the
right to examine, all paper or electronic records, books, and documents related to the award, and will
permit access to its facilities, personnel and other individuals and information as may be necessary, as
required by DHS/FEMA or Cal OES, througlr any authorized representative, with regard to examination of
grant related records, accounts, documents, information and staff.
9. Agrees, and wilI require any subrecipient, contraclor, successor, transferee, and assignee to acknowledge
and agree to comply with applicable provisions governing DHS access to records, accotults, documents,
information, facil iti es, and staff.
a. Recipients must cooperate with any compliance review or complaint investigation conducted by DHS
or Cal OES.
b. Recipients must give DHS and Cal OES access to and the right to examine and copy records,
accounts, and other documents and sources of information related to the grant and permit access to
facilities, personnel, and other individuals and information as may be necessary, as required by DHS
and Cal OES program guidance, requirements, and applicable laws.
c. Recipients must comply with all other special reporting, data collection, and evaluation requirements,
as prescribed by law or detailed in program guidance, and recipients must submit timely, complete,
and accurate reports to the appropriate DHS offrcials and maintain appropriate backup documentation
to support the reports.
d. If during the past three years, the recipient has been accused of discrimination on the grounds of race,
color, national origin (including limited English proficiency), sex, age, disability, religion, or familial
status, the recipient must provide a list of all such proceedings, pending or completed, including
outcome and copies of settlement agreements to the DHS/Cal OES awarding office and the DHS
Office of Civil Rights and Civil Liberties.
e. In the event any court or administrative agency makes a finding of discrimination on grounds of race,
color, national origin (including limited English proficiency), sex, age. disability, religion, or familial
status against the recipient, or the recipient settles a case or matter alleging such discrimination,
recipients must forward a copy of the complaint and findings to the DHS Component and./or awarding
office.
The United States has the right to seek judicial enforcement of these obligations.
10. Will comply with any other special reporting. assessments, national evaluation efforts, or information or
data collection requests, including but not limited to, the provision of any information required for the
assessment or evaluation of any activities within this agreement. or detailed in the program guidance.
I l. Agrees that funds utilized to establish or enhance State and Local fusion centers must support the
development of a statewide fusion process that corresponds with the Global Justice/Homeland Security
Advisory Council (HSAC) Fusion Center Guidelines, follow the Federal and State approved privacy
policies, and achieve (at a minimum) the baseline level of capability as defined by the Fusion Capability
Planning Tool.
12. Understands that a hold is in place on Fusion Center activities and the applicant is prohibited from
obligating, expending, or drawing down HSGP - UASI funds in support of their State and/or Major Urban
Area Fusion Center. Cal OES will notifl the subgrantee in writing when DHS/FEMA has lifted the hold.
I3. Will initiate and complete the work within the applicable timeframe (subgrantee performance period), in
accordance with grant award terms and requirements, after receipt of approval from Ca[ OES and will
maintain procedures to minimize the amoLrnt of time elapsing between the award of funds and the
disbursement of funds.
14. Will proyide timely, complete and accurate progress reports, and maintain appropriate support
documentation to support the reports, and other suoh information as may be required by the awarding
agency, including the Initial Strategy Implementation Plan (lSlP), within 45 (forty-five) days of the award,
and update these reports and related documentation via the Crant Reporting Tool (GRT) twice each year.
15. Will provide timely notifications to CaI OES of any developments that have a significant impact on award-
supported activities, including changes to key program staff.
I 6. Agrees to be non-delinquent in the repayment of any Federal debt. Examples of relevant debt , include
delinquent payroll and other taxes, audit disallowances, and benefit overpayments. See OMB Circular A-
129 ui form SF-424B, item number l7 for additional information and guidance.
17. Will comply with the requirements of 3l U.S.C. g 3729, which set forth that no subgrantee, recipient or
subrecipient of federal payments, shall submit a false claim for payment, reimbursement, or advance.
Administrative remedies may be found in l8 U.S.C. $$ 3801-3812, addressing false claims and statements
made.
18. WiU comply with all applicable provisions of DHS/FEMA's regulations, including Title 44 of the Code of
Federal Regulations. Part 13, Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments, including the payment of interest earned on advances.
19. Will comply with the Office of Management and Budget (OMB) Circular A-102, Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local Governments (also known as the
"A-102 Common Rule"), which are also located found within DHS regulations at Title 44, Code of Federal
Regulations (CFR) Part 13, "Uniform Administrative Requirements for Grants and Cooperative Agreements
to State and Local Governments"; will comply with OMB Circular A-l 10, Uniform Administrative
Requirements for Grants and Agreements with lnstitutions of Higher Education, Hospitals, and Other Non-
Profit Organizations, relocated to 2 CFR Parl 215.
20. Will comply with the financial and administrative requirements set forth in the current edition of the DHS
Financial Management Guide; OMB Circular A-2I, Cost Principles for Educational Institutions, relocated
to 2 CFR Part22A;. OMB Circular A-87, Cost Principles for State, Local, and Indian Tribal Govemments,
relocated to 2 CFR Put225; OMB Circular A-122, Cost Principles for Non-Profit Organizations, relocated
to 2 CFR Part 230; and OMB Circular A-l3i, Audits of States, Local Governments and Non-Profit
Organizations, as applicable.
21. Will comply with all provisions of the Federal Acquisition Regulations, including but not limited to Title 4E
CFR Part 31.2, pafi 31.2 Contract Cost Principles and Procedures, Contracts with Commercial
Organizations.
22. Will comply with provisions of the Hatch Act (5 U.S.C. $$ l50l-1508 and'7324-7328), which limits the
political activities of employees whose principal employment activities are funded in whole or in part with
Federal funds.
23. Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes, or
presents the appearance of, personal or organlzational conflict ofinterest, or personal gain for themselves or
others, particularly those with whom they have family, business, or other connections.
24. Understands and agrees that Federal funds will not be used, directly or indirectly, to supPort the enactment
repeal, modification or adoption of any law, regulation, or policy, at any level of government, without the
express prior written approval from DHS/FEMA and Cal OES.
25. Will comply with all applicable lobbying prohibitions and laws, including those found 3l U.S.C.S 1352.,
and agrees that none ofthe funds provided under this award may be expended by the recipient to pay any
person to influence, or attempt to influence an officer or employee of any agency, a Member of Congress,
an officer or employee of Congress, or an employee of a Member of Congress in connection with any
Federal action concerning the award or renewal ofany Federal contract, grant, loan, or cooperative
agreement.
26. Agrees that, to the extent contractors or subcontractors afe utilized, will use small, minority-owned.
women-o*ned. or disadvantaged businesses, to the extent practicable.
27, Willcomply with Title 2 of the Code of Federal Regutations Part 225, Appendix A, paragraph (CX3Xc)'
which provides that any cost allocable to a particular Federal award or cost objective under the principles
provided for in this aut-horify may not be charged to other Federal awards to overcome fund deficiencies.
2g. Will eflswe that Federal funds do not replace (supplant) funds that have been budgeted for the sirme purpose
through non-Federal sources. Subgrantees and subrecipients may be required to demonstrate and docunent
that a reduction in non-Federal resources occurred for reasons other than the receipt or expected receipt of
Federal funds.
29. Wilt comply, if applicable, with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. $ 4801 et seq.),
which prohibits the use of lead based paint in construction or rehabilitation of structures-
30. Will comply with all federal and state laws and regulations relating to civil rights protections and
nondiscrimination. These include, but are not limited to:
a. Title VI of the Civit Rights Act of 1964, Public Law 88-352, (42 U.S.C. $ 2000d et seq.), codified at
6 CFR parr 21 md 44 CpR pa.t 7, which provides that no person in the United States will, on the
grounds of race, color, or national origin,
'be
excluded from participation in, be denied the benefits of,
6r be subjecterl to discrimination undJr any program or activity receiving Federal financial assistance'
b. Title tX of the Education Amendments of 1972, as amended (20 U.S.C. $ l68l et seq-), which
prohibits discrimination on the basis of gender in educational programs and activities' These
iegulations are codified at 6 CFR ?art' l'7 and 44 CFR Part l9'
c. Thl Americans with Disabilities Act, as amended, which prohibits recipients from discriminating on
the basis of disability in the operation of public entities, public and private transportation systems,
places of public accommodation, and certain testing entities (42 U'S.C. $ l2l0l et seq.).
d. in. eg" biscrimination Act of 1975, as amended (42 U.S.C. $$ 6l0l et seq.), which prohibits
discrimination on the basis of age in any progam or activity receiving federal financial assistance.
e. The Drug Abuse Office and Treatment Act of 1972 (P.L.92-255), as amended, relating to
nondiscrimination on the basis of drug abuse.
f. The Comprehensive Alcohot Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of
1970 e.t. 9 I -6 I 6), as amended, relating to nondiscrimination on the basis of alcohol abuse or
alcoholism.
g. Sections 523 a1d 527 of the Public Health Service Act of l9l2 (42 U.S.C. $ 290 dd-3 and 290 ee-3),
as amended, relating to confidentiality of alcohol and drug abuse patient records.
h, Titte vflt of the civil Rights Act of isat tqz u.s.c. s 3601 et seq., asimplementedby 24 cFR Part
I 00), as amended, relatirig to nondiscrimination in the sale, rental and financing of housing'
i..e
J.
k' ty
by reason ofthe disability, be excluded from
subjected to discrimination under any prograrn or activity receiving Federal financial assistance.
These requirements pertain to the provision of benefits or services as well as to employment'
L Will, in the event thit a Federal or State court or Federat or State administrative agency makes a
finding ofdiscrimination after a due process hearing on the grounds or race, color, religion, national
origin, gender, or disability against a recipient of funds, the recipient will forward a copy of the
finding to the Office of Civil Rights, Office of Justice Programs.
m. Will provide an Equal Employment Opportunity Plan, if applicable, to the Department of Justice
Oflice of Civil Rights within 60 days of grant award.
n. Will comply, and assure the compliance of all its subgrantees and contractors, with the
nondiscrimination requirements and all other provisions of the current edition of the Office of Justice
Programs Financial and Administrative Guide for Grants, M7100.1 .
31. Will comply with the requirements of Titles Il and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of l9'70 (42 U.S.C. $ 4601 et seq. IP.L. 9l-646]), which provides for fuir
and equitable treatment of persons displaced or whose properl,v is acquired as a result of Federal or
Federally assisted programs. These requirements apply to all interested in real proPerty acquired for project
purposes regardless of Federal participation in purchases. Will also comply with Title 44 CFR, Part 25,
Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally-assisted programs.
32. Willcomply with all provisions of DHS/FEMA's regulation 44 CFR Part 10, Environmental
Considerations.
33. Will comply with all applicable Federal, State, and Local environmental and historical Preservation (EHP)
requirements. Failure to meet Federal, State. and Local EHP requirements and obtain applicable p€rmil:
may jeopardize Federal funding. Agrees not to undertake any project having the potential to impact EHP
,"so*r.s without the prior written approval of DHS/TEMA and CaI OES, including, but not limited to,
ground disturbance, construction, modification to any structure, physical security enhancements,
iommunications towers, any structure over 50 years old, and purchase and/or tse of any sonar equipment.
The subgrantee must comply with all conditions and restrictions placed on the project as a result of the EHP
review. Any construction-related activities initiated without the necessary EHP review and approval will
result in a noncompliance finding, and may' not be eligible for reimbursement with DHS/FEMA and Cal
OES funding. Any change to the scope of work will require re-evaluation of compliance with the EHP. If
ground-disturbing activities occur during the project implementation, the subgrantee must ensure
monitoring ofthe disturbance. Ifany potential archeological resources are discovered, the subgrantee will
immediately cease activity in that area and notifo DHS/FEMfu and Cal OES and the appropriate State
Historic Preservation Offi ce.
34. Any construction activities that have been initiated prior to the full environmental and historic preservation
,eriew could result in a non-compliance finding. Subgrantees must complete the DHS/FEMA EHP
Screening Form (OMB Number 166041 lslf'EMA Form 0244-01) and submit it, with all supporting
documeniation, to their Cal OES program representative, for processing by the DHS/pEtvm. GPD EHP.
35. Grantees should submit the FEMA EHP Screening Form for each project as soon as possible upon receiving
their grant award. The Screening From forthese types ofprojects is available at:
36. Will ensure that the facilities under its ownership, lease or supervision, which shall be utilized in the
accomplishment of this project, are not on the Environmental Protection Agency's (EPAs) List of Violating
Facilities, and will notif, Cal OES and the DHS/FEMA of the receipt of any communication from the
Director of the EPA Office of Federat Activities indicating if a facility to be used in the project is under
consideration for listing by the EPA.
37. Will provide any information requested by DHS/FEMA/ and Cal OES to ensure compliance with applicable
laws including, but not limited to, the following:
a. tnstitution of environmental quality control rneasures undsr the Archaeological and Historic
Preservation Act, Endangered Species Act, and Executive Orders on Floodplains (l1988), and
Environmental Justice (EO I 2898) and Environmental Quality (EO I I 5 l4)'
b. Notification of violating facilities pursuant to EO I I 738.
c. Assurance of project consistency with the approved state management proglam developed under the
Coastal Zone Management Act of 1972 ( l6 U.S.C' $ 145 I et seq.).
d. Protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as
amended, (P.L. 93 -523).
e. California Environmenta! Quality Act (CEQA), California Public Resources Code Sections 21080-
2 1098, and California Code of Regulations, Title 14, Chapter 3 $$ I 5000-15007.
f. Wild and Scenic Rivers Act of 1968 ( l6 U.S,C. $ l27l et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
g. Applicable provisions of the Coastal Barrier Resources Act (P.L. 9'7-348) dated October 19, 1982 (16
USC g 3501 et seq.), which prohibits the expenditure of most new Federal funds within the units of
the Coastal Barrier Resouces System.
38. Will comply with Standardized Emergency Management System (SEMS) requirements as stated in the
Californii Emergency Services Act, Government Code, Chapter 7 of Div ision I of Title 2, $ 8607. I (e) and
CCR Title t9, $$ 2445, 2446,2447, and 2448.
39. Agrees that subgrantees and subrecipients collecting Personally Idenrifiable lnformation (Pll) must have a
publically-available privacy policy that describes what Pll they collect, how they plan to use the PII,
whether they share PII with third parties, and how individuals may have their PII corrected where
appropriate. Subgrantees and subrecipients may also find DHS Privacy Impact Assessments" guidance and
timplates online at and at
respectively.
40. Agrees that all DHS/FEMA-firnded project activities carried on outside the United States are coordinated as
n.iutsary with appropriate government authorities and that appropriate licenses, permits, and approvals are
obtained.
41. Will comply with Section 6 of the HotelandMotel Fire Safety Act of 1990, l5 U.S'C. $2225(a), whereby
all subgfaniees, recipients, and subrecipients must ensure that all confetence, meeting, convention, or
training space, funded in whole or in part with Federal funds, complies with the fire prevention and control
guidelines of the Federal Fire Prevention and ControlAct of 1974,15 U.S.C' 52225.
42. WiLl comply with the Preference for U.S. Flag Air Carriers: (air carriers holding certificates under 49
U.S.C. $ 4 i t 02) for internationat air transportation of people and property to the extent that such service is
available, in accordance with the lnternational Air Transportation Fair Competitive Practices Acl of 1974
(49 U.S.C. $ 401 l8) and the interpretative guidelines issued by the Comptroller General of the United
States in the March 3 I , 198 I amendment to Comptroller General Decision 8138942.
43, Agrees that all pubtications created or published with funding under this grant shall prominently contain the
following statement: "This doctsnent was prepared under a grantfrom FEMA's Granl Programs
Directorate, tJ.S. Department of Homeland Security. Poinls of view or opinions expressed in tWs docwnenl
are those of the autiors and do no! necessarily represent the oficial position or policies of FEMA's Grant
Programs'Directorate or the L/.5. Department of Homeland Security. " The recipienl also agrees that, when
practicable, any equipment purchased with grant funding shall be prominently marked as follows:
"Purchased withfunds provided by the U.S. Deparlment of Homeland Security."
44. Acknowledges that DHS/FEMA reserves a royalty-free, nonexclusive, and irrevocable license to reproduce,
publish, or Jtherwise use, and authorize others to use, for Federal govemment purposes: a) the copyright in
any work developed under an award or sub-award; and b) any rights of copyright to which a recipient or
su6-recipient purchases ownership with Federal support. The recipient must affix the applicable copyright
notices of l7 U.S.C. section 40 I or 402 and an acknowledgement of Government sponsorship (including
award number) to any work first produced under Federal financial assistance awards, unless the work
includes any information that is otherwise controlled by the Govemment (e.g. classified information or
other information subject to national security or export control laws or regulations). The recipient agrees to
consult with DHS/FEMA and CaIOES regarding the allocation of any patent rights that arise from, or are
purchased with, this funding.
45. Recipients receiving Federal financial assistance to be used to perform eligible work approved in the
submitted apptication for Federal assistance and after the receipt ofFederal financial assistance, through the
State of Califomia, agrees to the following:
a. Promptly return to the State of California all funds received which exceed the approved, actual
expenditures as determined by the Federal or State government.
b. In the event the approved amount of the grant is reduced, the reimbursement applicable to the amount
of the reduction will be promptly refunded to the State of Califomia.
c. Property and equipment purchased under the HSGP reverts to Cal OES if the gant funds are
deobligated or disallowed and not promptly repaid.
d. HSGP funds used for the improvement of real properry must be promptly repaid following
deobligation or disallowment of costs, and Cal OES reserves the right to place a lien on the properfy
for the amount owed.
e. Separately account for interest eamed on grant funds, and will return all interest earned, in excess of
$ I 00 per Federal Fiscal Year.
46. Understands that recipients who receive awards made urder progmms that provide emergency
communication equipment and its related activities must comply with the SAFECOM Guidance for
Emergency Communication Grants, including provisions on technical standards that ensure and enhance
interoperable comm unications.
47. Will comply, if applicable, with the Laboratory Animal Welfare Act of 1966 (P. L.89-544, as amended, 7
U.S.C, $ 2l3l et seq.) pertaining to the care, handling and treatment of warm blooded animals held for
research, teaching, or other activities supported by this award ofassistance.
48. Will comply with the minimum wage and maximum hour provisions of the Federal Fair Labor Standards
Act (29 U.S.C. $ 201), as they apply to employees of institutions of higher education, hospitals, and other
non-profi t organizations.
49. Agees that "Classified national security information," as defined in Executive Order (EO) 12958, as
amended or updated via later executive order(s), means information that has been determined pursuant to
EO 12958 to iequire protection against unauthorized disclosure and is marked to indicate its classified
status when in documentary form. No funding under this award shall be used to support a contract,
subaward, or other agreement for goods or services that will include access to classified national security
information if the award recipient has not been approved for and granted access to such information by
appropriate authorities.
50. Agrees that where an awzud recipient has been approved for and has access to classified national security
information, no funding under this award shall be used to support a contract, subaward" or other agreement
for goods or services that will include access to classified national security information by the contractor,
subrlcipient, or other entity without prior written approval from the DHS Office of Security, Industrial
Security Program Branch (ISPB), or, an appropriate official within the Federal department or agency with
whom ihe classified effort will be performed. Such contracts, subawards, or other agreements shall be
processed and administered in accordance with the DHS "standard Operating Procedures, Classified
bontracting by States and Local Entities," dated Juty 7,2008: EOs 12829, 12958,12968, and other
applicable executive orders; the National Industrial Security Program Operating Manual (NISPOM); and
oilier applicable implementing directives or instructions. Security requirement documents may be located
at; http://www'.dhs. gov/xopnbi/grants/index.shtm
51.lmmediately upon determination by the award recipient that funding under this award may be used to
support u .ontia.t, subaward, or other agreement involving access to classified national security information
pursuant to paragraph 47, and prior to execution ofany actions to facilitate the acquisition ofsuch a
contract, subaward, or other agreement, the award reclpient shall contact ISPB, and the applicable Federal
department or agency, for approval and processing instructions.
DHS Office of Security ISPB contact information:
Telephone : 202-U7 -53 46
Email: DD254A dm inistrativeSecurit"-@dhs. gov
Mail: Department of Homsland Security
Office of the Chief SecuritY Officer
ATTN: ASD/Industrial Security Program Branch
Washington, D.C.2052E
Will comply with the requirements regarding Data Universal Numbering System (DUNS) numbers. If
recipients are authorized to make subawards under this award, they must first notif, potential subrecipients
that no entity may receive or make a subaward to any entity unless the entity has provided a DLINS number.
For purposes of this award term, the following definitions will apply:
a. ,,bata UniversalNumbering System (DLTNS)" number means the nine digit number established and
assigned by Dun and Bradsireet, Inc, (D&B) to uniquety identify business entities. A DUNS number
,uy U" obiained trom D&B by telephone (currently 866-705-5711) or the Internet, currently at
http :l/fedgov.dnb, com/we bfo rm.
b. "Ert,ty", ^ tt is used in this award term, means all of the following, as defined at 2 CFR parl25,
subpart C, as a Governmental organization, which is a State, local government, or_Indian Tribe; or a
foreign public entity; or a domestic or foreign nonprofit organization; or a domestic or foreign for-
profiIorganization; or a Federal agency, but only as a sub recipient under an award or subaward to a
non-Federal entitY.
c. ..Subaward" means a legal instrument to provide support for the performance of any portion of the
substantive project or piogrr- for which you received this award and that you ils the recipient award
to an eligible subrecipient. It does not inctude your procurement ofproperty and services needed to
.urry oulth, project o. progr* (for further explanation, see section 210 of the attachment to OMB
Circular A-l33,"Audits-of States, Local Governrnents, and Non-Profit Organizations") and may be
provided through any legal agreement, including an agreement that you consider a contract'
d. :,subrecipient'i-"ars an entity that receives a subaward from you mder this award, and is
accountaLle to you for the use of the Federal funds provided by the subaward-
53. Will comply, as applicable, with the provisions ofthe Davis-Bacon Act (40 U.S.C. $276ato276a-7)'the
Copeland Act (4OU.S.C. $ 276c and l8 U.S.C. $ 874), and the Contract Work Hours and Safety Standards
nci (+0 U.S.C. $$ 327-33 j), regarding labor standards for Federally-assisted construction sub-agreements-
54. Agrees that equipment acquired or obtained with gtant funds:
a. Will be made available pursuant to applicable terms of the California Disaster and Civil Defense
Master Mutual Aid Agreement, in consultation with represenlatives of the various fire, emergency
medical, hazardous m-xerials response services, and law enforcement agencies within the
jurisdiction of the applicant, and deployed with personnel trained in the use of such equipment in a
manner consistent *itt tt" California Law Enforcement Mutual Aid Plan or the California Fire
Services and Rescue Mutual Aid Plan.
b. Is consistent with needs as identified in the State Homeland Security Strategy and will be deployed
in conformance with that Strategy.
55. will comply with Homeland Security Presidential Directive (HSPD)-S, Management of Domestic lncidents'
fhe adopiion of the National Incident Management System (NIMS) is a requirement to receive Federal
p."p*"dn"r, assistance, through grants, contracts, and other activities. The NIMS provides a consistent
>/.
nationwide template to enable all levels of government, tribal nations, nongovernmental organizations, and
private sector partners to work together to prevent, protect against, respond to, recover from, and mitigate
the effects of incidents, regardless of cause, size, location, or complexity'
56. Willcomply with OMB Standard Form4248 Assurances - Non construction Programs, whereby the
awarding agency may require subgrantees and subrecipients to certify to additional assurances.
57. Will not make any award or perrnit any award (subgrant or contract) to any pafiy which is debarred or
suspended or is otherwise excluded from or ineligible for participation in Federal assistance programs under
Executive Order 12549 and 12689, "Debarment and Suspension." As required by Executive Order 12549'
Debarment and Suspension, and implemented at 44 CFR Parl 17, for prospective pafiicipants in primary
coyered transactions, the applicant will provide protection against waste, fraud and abuse, by debarring or
suspending those persons deemed irresponsible in their dealings with the Federal govemment- Applicant
certifies that it and its principals:
a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to a
denial ofFederal benefits by a State or Federal court. or voluntarily excluded from covered
hansactions by any Federal department or agency.
b. Have not within a tfuee-year period preceding this application been convicted of or had a civil
judgment rendered against them for commission of fraud or a criminal offense in connection with
obtiining, attempting to obtain, or performing a public (Federal, State, or local) transaction or
contract under a pubiic transaction, violation of Federal or State antitrust statutes or commission of
embezzlement, theft, forgery. bribery, falsification or destruction of records, making false statements,
or receiving stolen proPertY.
c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity
(Federal, State, or local) with commission of any of the offenses enumerated in paragraph ( I Xb) of
this certification; and have not within a three-year period preceding this applicaiion had one or more
pubtic transactions (Federal, State, or local) terminated for cause or default; and
d. Where the applicant is unable to certify to any of the statements in this certification, he or she shall
attach an explanation to this application.
53. Will comply with requirements to acknowledge Federal funding when issuing statements, press releases,
requests for proposals, bid invitations, and other documents describing projects or proBrams funded in
whole or in part with Federal funds'
59. Will obtairu via Cal OES, the prior approval from DHS on any use of the DHS seal(s), logos, crests or
reproductions of flags or likenesses of DHS agency offrcials, including use of the-United States Coast
Guard seal, logo, crJsts or reproductions of flags or likenesses of Coast Guard officials'
60. Will comply with the requirements of the Drug-Free Workplace Act of 1988 (41 U.S.C- $ 701 et seq'),
which requires that all oiganizations receiving grants fiom any Federal agency agree to maintain a drug-free
workplaci. The recipient must noti! the awarding office if an employee of the recipient is convicted of
violaiing a criminal drug statute. Failure to comply with these requirements may be cause for debarment.
These regulations are codified at 2 CFR 3001.
61. Will comply with the requirements of the government-wide award term which implements Section 106(9)
of ttre Trafficking Victims Protection Act (TVPA) of 2000, as arnended (22 U.S.C. $ 7104), located at 2
CFR part 175. This is implemented in accordance with OMB Interim Final Guidance, Federal Register,
Votume 72. No.2lE, November 13,2007.[n accordance with Section 106(9) of the TVPA, as.rmended,
requires the agency to include a condition that authorizes the agency to terminate the award, withottt
penalty, if meleclpient or a subrecipient engages in severe forms of trafficking in persons during the period
-of ti^r that the award is in effect, procures a commercial sex act during the period of time that the award is
in effect, or uses forced labor in the perforrnance ofthe award or subawards under the award. Full text of
the award term is provided at 2 CFR S 175. 15.
62. Wilt comply with Title VI of the Civil Rights Act of 1964 prohibition against discrimination on the basis of
national origin, which requires that recipierrts of fedcral financial assistance take reasonable steps to provide
meaningful access to their programs and services. Meaningful access may entail providing language
assistance services, including oral and written translation, where necessary. Recipients are encouraged to
consider the need for language services for LEP persons served or encountered both in developing budgets
and in conducting programs and activities. Recipient shall comply with DHS Guidance to Federal Financial
Assistance Recipients Regarding Title VI Prohibition Against National Origin Discrimination Affecting
Limited English Proficient Persons, T6 Fed. Reg. 21755-21768 (April 18,201l), resulting from Executive
Order l3 I 66. For assistance and information regarding LEP obligations. refer to DHS Recipient Guidance
at
access-people-li mited and additi onal resources on http://rvww. I ep. gov.
63. Will comply with the requirements of 42 U.S.C. {i 7401 et seq. and Executive Order I 1738, which provides
for the protection and enhancement of the quality of the nation's air resources to promote public health and
welfare and for restoring and maintaining the chemical, physical, and biological integrity of the nation's
waters is considered research for other purposes.
64. Will comply with the requirements of the Federal regulations at 45 CFR Parl46 and the requirements in
DHS Management Directive 026-04, Protection of Human Subjects, prior to implementing any work with
human subjects. The regulations specify additional protections for research involving human fetuses,
pregnant women, and neonates (Subpart B); prisoners (Subpart C); and children (Subpart D). The use of
autopsy materials is governed by applicable State and local law and is not directly regulated by 45 CFR Part
46.
65. Will comply with the requirements of the National Environmental Policy Act (NEPA), as amended, 42
U.S.C. $ 4331 et seq., which establishes national policy goals and procedures to protect and enhance the
environment, including protection against natural disasters. To comply with NEPA for its grant-supported
activities, DHS requires the environmental aspects of construction grants (and certain non-construction
projects as specified by the Component and awarding office) to be reviewed and evaluated before final
action on the application.
66. Willcomply with the requirements of section 1306(c) of the National Flood Insurance Act, as amended"
which provides for benefit payments under the Standard Flood Insurance Policy for demolition or relocation
of a structure insured under the Act that is located along the shore of a lake or other body of water and that
is certified by an appropriate State or local land use authority to be subject to imminent collapse or
subsidence as a result oferosion or undermining caused by waves or currents ofwater exceeding
anticipated cyclical levels. These regulations are codified at 44 CFR Part 63.
67, Will comply with the requirements of the Flood Disaster Protection Act of 1973, as zunended (42 U.S.C. $
4001 et seq.), rryhich provides that no Federal financial assistance to acquire, modemize, or construct
property may be provided in identified flood-prone communities in the United States, unless the community
participates in the National Flood lnsurance Program and flood insurance is purchased within one year of
the identification. The flood insurance purchase requirement applies to both public and private applicants
for DHS support. Lists of flood-prone areas that are eligible for flood insurance are published in the Federal
Register by FEMA.
68. Will comply with the requirements of Executive Order I 1990, which provides that federally-funded
construction and improvements minimizethe destruction, loss, or degradation of wetlands. The Executive
Order provides that, in furtherance of section l0l(bX3) of NEPA (42 U.S.C. $ 4331(bX3)), Federal
agencies, to the extent permitted by law, must avoid undertaking or assisting with new construction located
in wetlands unless the head of the agency finds that there is no practicable alternative to suchconstruction,
and that the proposed action includes all practicable measures to minimize harm to wetlands that may result
from such use. In making this finding, the head of the agency may take into account economic,
environmental, and other pertinent factors. The pubtic disclosure requirement described above also pertains
to early public review of any plans or proposals for new construtction in wetlands. This is codified at 44
CFR Part 9.
69, Will comply with the requirements of the Uniting and Strengthening America by Providing Appropriate
Tools Required to lntercept and Obstruct Terrorism Act (USA PATRIOT Act), which amends I8 U.S.C. $$
l':,5-175c. Among other things, it prescribes criminal penalties for possession of any biological agent, toxin,
or delivery system of a type or in a quantitv that is not reasonably justified by a prophylactic, protective,
bona fide research, or other peaceful purpose. The act also establishes restrictions on access to specified
materials. "Restricted persons," as defined by the act, may not possess, ship, transport, or receive any
biological agent or toxin that is listed as a select agent.
70. Understands the reporting of subawards and executive compensation rules, including first tier subawards to
Cal OES.
a. Applicability. Unless you are exernpt as provided in paragraph d. of this award term, you must report
each action that obligates $25,000 or more in Federal funds that does not include Recovery funds (as
defined in section 15l2(a)(2) of the American Recovery and Reinvestment Acl of 2009,
b. Where and when to report: you must report on each obligating action described in the following
paragraphs to Cal OES. For subaward information, report no later than the end of the month
following the month in which the obligation was made. (For example, if the obligation was made on
November 7,2013, the obligation must be reported by no later than December 31,2013.)
c. What to report: You must report the information about each obligating action that the submission
instructions posted in tnformation Bulletin 350, to Cal OES. To determine if the public has access to
the compensation information, see the U.S. Security and Exchange Commission total compensation
filings at http:,/www.sec.gov/ansrvers/execomp.htm. Subgrantees must report subrecipient executive
total compensation to Cal OES by the end of the month following the month during which you make
the subaward. Exemptions include: lt in the previous tax year, you had gross income, from all
sources, under $300,000, you are exompt from the requirements to report on subawards, and the total
compensation of the five most highly compensated executives of any subrecipient.
d. Reporting Total Compensation of Recipient Executives: You must report total compensation for each
of your five most highly compensated executives for the preceding completed fiscal year, if
i. the total Federal funding authorized to date under this award is $25,000 or more;
ii. in the preceding fiscal year, you received 80 percent or more ofyour annual gross revenues
from Federal procurement contracts (and subcontracts) and Federal financial assistance
subject to the Transparency Act, as defined at 2 CFR $ 170.320 (and subawards); and
$25,000,000 or more in annual gross revenues from Federal procurement contracts (and
subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at
2 CFR $ 170.320 (and subawards); and
iii. The public does not have access to information about the compensation of the executives
through periodic reports filed under Section l3(a) or l5(d) ofthe Securities Exchange Act
of 1934 ( l5 U.S.C. $$ 78m(a), 78o(d)) or $ 6104 of the lnte rnal Revenue Code of 1986.
(To determine if the public has access to the compensation information, see the U.S.
Security and Exchange Commission total compensation filings at
http ://wrvw.sec. gov/attsrvers/execomp.htm. )iv. Subrecipient Executives. Unless you are exempt as provided above, for each first-tier
subrecipient under this arvard, you shall report the names and total compensation of each of
the subrecipient's five most highly compensated executives for the subrecipient's preceding
completed fiscal year, if in the subrecipient's preceding fiscal year, the subrecipient
reoeived 80 percent or more ofits annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the Transparency
Aot, as defined at 2 CFR S 170.320 (and subawards); and $25,000,000 or more in annual
gross revenues from Federal procurement contracts (and subcontracts), and Federal
Pagerl l;ttmtr
financial assistance subject to the Transparency Act (and subawards); and the public does
not have access to information about the compensation of the executives through periodic
reports filed under section l3(a) or l5(d) ofthe Securities Exchange Act of 1934 (15
U.S.C. gg 78m(a), 78o(d)) or $ 6 104 of the lnternal Revenue Code of I 986.
71. Understands that failure to comply with any of these assurances may result in suspension, termination, or
reduction of grant funds,
72. The undersigned represents that heishe is authorized by the above named applicant to enter into this
agfeement for and on behalf of the said applicant.
Signature of Authorized Agent:
Printed Name of Authorized Alisa Finsten
Title:Director of Grants and Finance October 28,2014
Page I 2
EXHIBIT F
U.S. DepanrMENT or HoUeLAND SecuRtrv
F u r.t o r tt c O ppo Rru N lry Ar.tt ou r.tc E M E NT ( F OA)
FY 2014 HouelAND Secunrv Gmrur pRocRAnrt (HSGP)
OveRvrew lruroRMATroN
Issued By
U.S. Deparhent of Homeland Security (DHS): Federal Emergency Management Agency
(FEMA)
Catalog of Federal Domestic Assistance (CFDA) Number
97.067
CFDA Title
Homeland Security Grant Program
Program Title
Homeland Security Grant Program
Authorizing Authority for Program
Section 2002 of The Homeland Security Act of 2002, as amended (Pub. L. No. 107-296), (6
u.s.c. $ 603)
Appropriation Authority for Pro gram
The Department of Homeland Security Appropriations Act, 2014 (Pub. L. No. 113-76)
FOA Number
DHS- I 4-GPD-067-000-0 I
Key Dates and Time
Application Start Date: 03118/2014
Application Submission Deadline Date: 05123/2014 at 11:59:59 p.m. EDT
Anticipated Funding Selection Date: 0712612014
Anticipated Award Date: No later than09/30/14
Other Key Dates
Period of Performance Start Date: 09101/2014
Period of Performance End Date: 08/3112016
Intergovernmental Review
An intergovernmental review may be required. Applicants must contact their State's Single Point
of Contact (SPOC) to comply with the State's process under Executive Order 12372 (see
http.//www.fws.gov/policy/library/rgeo12372.pdfl. Name and addresses of the SPOCs are
1
FY 2OI4 HSGP FOA
maintained at the Offrce of Management and Budget's home page at
h t tp : //www. w h i t e h ous e. g ov / o mb / gr an t s jtp o c to ensure crurency.
2
FY 2OI4 HSGP FOA
FOA Execunve SuunaaRv
The FY 2014 HSGP plays an important role in the implementation of the National Preparedness
System by supporting the building, sustainment, and delivery of core capabilities essential to
achieving the National Preparedness Goal (the Goal) of a secure and resilient Nation. The
building, sustainment, and delivery of these core capabilities are not exclusive to any single level
of govemment, orgarization, or community, but rather, require the combined effort of the whole
community. The FY 2014 HSGP supports core capabilities across the five mission areas of
Prevention, Protection, Mitigation, Response, and Recovery based on allowable costs. HSGP is
comprised of three interconnected grant programs:
. State Homeland Security Program (SHSP). Urban Areas Security Initiative (UASD. Operation Stonegarden (OPSG)
Together, these grant programs fund a range of preparedness activities, including planning,
organization, equipment purchase, training, exercises, and management and administration.
Funding Category
Continuing
Date of Origin for Program
tI/25/2002
Type of Funding Instrument
SHSP and UASI are mandatory grants;
OPSG is a discretionary grant
Application Process
The Department of Homeland Security makes all funding opportunities available through the
common electronic "storefront" Grants.gov, accessible on the Internet at http://wvvw.grants.gov.
For details on how to apply through grants.gov, please read Section IX, "How to Apply."
Eligible Applicants
State governments
3
FY 2OI4 HSGP FOA
Full Futtorttc OppoRru Nrw AttttouttcEMENT
Fundin g Opportunity Description
A. Program Summary
The FY 2014 HSGP is comprised of three interconnected grant programs:
o State Homeland Security Program (SHSP): SHSP supports the implementation of
risk driven, capabilities-based State Homeland Security Strategies to address
capability targets set in Urban Area, State, and regional Threat andHazard
Identification and Risk Assessments (THIRAs). The capability targets are established
during the THIRA process, and assessed in the State Preparedness Report (SPR) and
inform planning, organization, equipment, training, and exercise needs to prevent,
protect against, mitigate, respond to, and recover from acts of terrorism and other
catastrophic events.
. Urban Areas Security Initiative (UASI): The UASI program addresses the unique
risk driven and capabilities-based planning, organization, equipment, training,
exercise needs, of high+hreat, high-density Urban Areas based on the capability
targets identified during the THIRA process and associated assessment efforts, and
assists them in building an enhanced and sustainable capacity to prevent, protect
against, mitigate, respond to, and recover from acts of terrorism.
. Operation Stonegarden (OPSG): OPSG supports enhanced cooperation and
coordination among local, Tribal, territorial, State, and Federal law enforcement
agencies in a joint mission to secure the United States' borders along routes of ingress
from international borders to include travel corridors in States bordering Mexico and
Canada, as well as States and territories with international water borders.
All three programs are founded on risk-driven, capabilities-based strategic plans. These
strategic plans outline capability requirements and inform how available funding may be
applied to manage risk. For these plans to be effective, government officials and elected
leaders, working with the whole community, must consider how to sustain current
capability levels and address potential gaps to prevent, protect, mitigate, respond to, and
recover from acts ofterrorism and other disasters.
B. Program Priorities
The National Preparedness System is the instrument the Nation employs to build, sustain,
and deliver core capabilities in order to achieve the National Preparedness Goal (the
Goal) of a secure and resilient Nation. Complex and far-reaching threats and hazards
require a collaborative and whole community approach to national preparedness that
engages individuals, families, communities, private and nonprofit sectors, faith-based
organizations, and all levels of government. The guidance, programs, processes, and
systems that support each component of the National Preparedness System allows for the
integration of preparedness efforts that build, sustain, and deliver core capabilities and
achieve the desired outcomes identified in the Goal. The purpose of the HSGP is to
prevent terrorism and to prepare the Nation for the threats and hazards that pose the
4
FY 2OI4 HSGP FOA
t!.
greatest risk to the security of the United States; therefore, HSGP funded invesftnents
must have a terrorism-nexus.
To evaluate National progress in building, sustaining, and delivering the core capabilities
outlined in the Goal, FEMA annually publishes the National Preparedness Report (NPR).
Looking across all 3l core capabilities outlined in the Goal, the NPR provides a National
perspective on critical preparedness trends for whole community parhners to use to inform
program priorities, allocate resources, and communicate with stakeholders about issues of
shared concern.
Grantees are expected to consider National areas for improvement identified in the 2013
National Preparedness Report, which include cybersecurity, recovery-focused core
capabilities, the integration of individuals with access and functional needs, enhancing
the resilience of infrastructure systems, and maturing the role of public-private
partnerships. Addressing these areas for improvement will enhance preparedness Nation-
wide.
In addition, the Department of Homeland Security expects grantees to prioritize grant
funding to address gaps identified through the annual SPR in achieving capability targets
set through the annual THIRA. These assessments identifu the jurisdictions' capability
targets and current ability to meet those targets. Grantees should prioritize grant funds to
increase capability for high-priority core capabilities with low capability levels.
Minimum funding amounts are not prescribed by the Deparbnent for these priorities;
however, grantees are expected to support state, local, regional, and National efforts in
achieving the desired outcomes of these priorities.
Appendix B also includes other areas where funding can be applied to strengthen
preparedness efforts.
Funding Information
A. Available funding for the FOA
$1,043,346,000
For details on program-specific funding amounts, refer to Appendix A - FY 2014
Prograrn Allocations.
Period of Performance
Twenty-four (24) months
5
FY 2OI4 HSGP FOA
HSGP Programs FY 2014 Allocation
State Homeland Securitv Prooram $401,346,000
Urban Areas Security lnitiative $5s7,000,000
Operation Stonegarden $5s,000,000
Tota!$1,043,346,000
C. Extensions to the Period of Performance
Extensions to the period of performance will be considered only through formal requests
to FEMA with specifrc and compelling justifications as to why an extension is required.
Agencies should request extensions sparingly and expect extensions to be granted only
under exceptional circumstances. For additional information on period of performance
extensions, refer to Information Bulletin (IB) 379 located at
D. Risk Methodology
Based upon the requirements of the Homeland Security Act of 2002, as amended, DHS
continues to inform final grant allocation decisions based upon risk. DHS defrnes risk as:
"potential for an unwanted outcome resulting from an incident, event, or occurrence, as
determined by its likelihood and the associated consequences" (see
http://www.dhs.gov/xlibrary/assets/dhs-risk-lexicon-20l0.pdl). DHS utilizes a
comprehensive risk methodology focused on three principal elements:
o Threat -likelihood of an attack being attempted by an adversary;
o Vulnerability - likelihood that an attack is successful, given that it is attempted; ando Consequence - effect of an event, incident or occurrence
The risk methodology determines the relative risk of terrorism faced by a given area. It
takes into account the potential risk of terrorism to people, critical infrastructure, and
economic security. The threat analysis continues to account for threats from domestic
violent extremists as well as intemational terrorist goups and those individuals inspired
by terrorists abroad.
SHSP AUocations
FY 2014 SHSP funds will be allocated based on three factors: minimum amounts as
legislatively mandated, DHS' risk methodology, and anticipated effectiveness of
proposed projects. The anticipated effectiveness is assessed based on the applicant's
description of how the proposed projects, as outlined in the lnvestment Justifrcation (IJ),
align with the State THIRA and SPR results. Each State and territory will receive a
minimum allocation under SHSP using the thresholds established inthe Homeland
Security Act of 2002, as amended. All 50 States, the District of Columbia, and Puerto
Rico will receive 0.35 percent of the total funds allocated for grants under Section 2003
and Section 2004 of the Homeland Security Act of 2002, as amended. Four territories
(American Samoa, Guam, the Northem Mariana Islands, and the U.S. Virgin Islands) will
receive a minimum allocation of 0.08 percent of the total funds allocated for grants under
Section 2003 and 2004 of the Homeland Security Act of 2002, as amended. For details on
program-specifrc funding amounts, refer to Appendix A - FY 2014 Program Allocations.
UASI Allocations
FY 2014 UASI funds will be allocated based on DHS' risk methodology and then on
anticipated effectiveness ofproposed projects. The anticipated effectiveness is assessed
based on the applicant's description of how the proposed projects, as outlined in the IJ,
align with the Urban Area THIRA. Eligible candidates for the FY 2014 UASI program
6
FY 2OI4 HSGP FOA
have been determined through an analysis of relative risk of terrorism faced by the 100
most populous metropolitan statistical areas (MSAs) in the United States, in accordance
with the Homeland Security Actof 2002, as amended. Detailed information on MSAs is
publicly available from the United States Census Bureau at
http://www.censtts.gov/population/vvww/metroareas/metrode-f.htmL For details on
program-specific funding amounts, refer to Appendix A - FY 2014 Program Allocations.
OPSG Allocations
FY 2014 OPSG funds will be allocated based on risk-based prioritization using a U.S.
Customs and Border Protection (CBP) Sector-specific border risk methodology. Factors
considered include, but are not limited to: threat, vulnerability, miles of border, and other
border-specific "law enforcement intelligence," as well as feasibility of FY 2014
Operation Orders to designated localities within the United States Border States and
territories. For details on program-specific funding amounts, refer to Appendix A - FY
20 I 4 Program Allocations.
ll!. Etigibilitylnformation
A. Eligibility Criteria
All 56 States, territories and Commonwealths are eligible to apply for SHSP funds. For
those States, territories and Commonwealths that are eligible for UASI and/or OPSG
funds, the State Administrative Agency (SAA) is the only entity eligible to submit
applications to FEMA on behalf of UASI and OPSG applicants.
Eligible sub-recipients under the FY 2014 OPSG are local units of government at the
county level and Federally-recognized Tribal governmsnts in the States bordering
Canada, States bordering Mexico, and States and territories with international water
borders. All applicants must have active ongoing CBP operations coordinated through a
sector office. Eligible States and territories with a county or similar level of govemment
structure are authorized to accept applications on behalf of the altemative unit of local
govemment. SAAs in this situation must advise FEMA in writing as to their intent to
apply.
i. Cost Share/lVlatch
A cost share/match is not required under this Program.
ii. Maintenance of Effort
Maintenance of effort is not required under this Prograrn.
iii. Pass Through Funding
The SAA must obligate at least 80 percent (80%) of the fi.rnds awarded under SHSP
and UASI to local units of government within 45 days of receipt of the funds. If
receiving OPSG funds, the recipient must pass through 100 percent (100%) of OPSG
allocations to eligible jurisdictions. For States withholding Management and
Administration M&A costs, please refer to Section fV, A, ii on M&A for how to
calculate percentage pass through funds.
7
FY 2OI4 HSGP FOA
iv. Other Eligibility Requirements
Emergenqt Management Assistance Compact (EMAC) Membership
ln support of the Goal, grantees must belong to, be located in, or act as a temporary
member of EMAC, except for American Samoa and the Commonwealth of the
Northern Mariana Islands, which are not required to belong to EMAC at this time.
All assets supported in part or entirely with FY 2014 HSGP funding by States,
territories, and Tribes must be readily deployable to support emergency or disaster
operations per existing EMAC agreements. ln addition, fi.rnding may be used for the
sustainment of core capabilities that, while they may not be physically deployable,
support national response capabilities such as Geographic/Geospatial lnformation
Systems (GIS), interoperable communications systems, capabilities as defined under
the mitigation mission area of the Goal, and fusion centers.
National Incident Management System (NIMS) fmplementation
Prior to allocation of any Federal preparedness awards in FY 2014, grantees must
ensure and maintain adoption and implementation of NIMS.
Emergency management and incident response activities require carefully managed
resources (personnel, teams, facilities, equipment and/or supplies) to meet incident
needs. Utilization of the standardized resource management concepts such as bping,
inventorying, an6 cataloging promote a strong national mutual aid capability needed
to support delivery of core capabilities. Additional information on resource
management and national Tier I NIMS Resource Types can be found at
h t tp : //vvww.-fem a. g ov /r e s our c e - m an a g em e nt.
FEMA developed the NIMS Guideline for Credentialing of Personnel to describe
national credentialing standards and to provide written guidance regarding the use of
those standards. This guideline describes credentialing and typing processes, and
identifies tools which Federal Emergency Response Officials (FEROs) and
emergency managers at all levels of government may use both routinely and to
facilitate multijurisdictional coordinated responses.
Although State, local, Tribal, and private sector partners-including
nongoveflrmental organizations-are not required to credential their personnel in
accordance with these guidelines, FEMA strongly encourages them to do so in order
to leverage the Federal investment in the Federal Inforrnation Processing Standards
(FIPS) 201 infrastructure and to facilitate interoperability for personnel deployed
outside their home jurisdiction. Additional infomration can be found at
Emergency Operation Plan (EOP)
Grantees must update their EOP at least once every two years to comply with
Comprehensive Preparedness Guide (CPG) 101 version 2.0, Developing and
Maintaining Emergency Operations Plans. Grantees will use the State Preparedness
Report (SPR) to report their compliance with this reporting requirement.
8
FY 2OI4 HSGP FOA
Threat and Hazard ldentification and Risk Assessment (THIRA)
Grantees must update their THIRA by December 31,2014. Further details on the
THIRA as it relates to HSGP Program requirements can be found in Appendix B - FY
2014 HSGP Program Priorities. For additional guidance on THIRA, please refer to
CPG 201, Second Edition, available at http://rwvw.-fema.pov/plan.
State Preparedness Report (SPR)
The SPR is an annual capability assessment. The Post-Katrina Emergency
Management Reform Act of 2006 (PKEMM) requires an SPR from any state/territory
receiving federal preparedness assistance administered by DHS. Each state submits
an annual SPR to FEMA. Refer to Appendix B - FY 2014 HSGP Program Priorities
for additional guidance on SPR requirements.
!V. Funding Restrictions
A. Restrictions on Use of Award Funds
Federal funds made available through this award may only be used for the purpose set
forth in this award and must be consistent with the statutory authority for the award.
Award funds may not be used for matching funds for any other Federal
grants/cooperative agreements, lobbying, or intervention in Federal regulatory or
adjudicatory proceedings. In addition, Federal funds may not be used to sue the federal
government or any other government entity.
For additional details on restrictions of the use of funds, refer to Appendix C -FY20l4
HSGP Funding Guidelines.
i. Preaward Costs
Pre-award costs are allowable only with the written consent of DHS and if they are
included in the award agreement.
ii. Direct Costs
Management and Administration (M&A)
Management and adminisfiation (M&A) activities are those directly relating to the
management and administration of HSGP funds, such as financial management and
monitoring. A maximum of up to five percent (5%) of HSGP funds awarded may be
retained by the State, and any funds retained are to be used solely for M&A purposes
associated with the HSGP award. Sub-grantees may also retain a maximum of up to
five percent (5%) of funding passed through by the State solely for M&A purposes
associated with the HSGP award.
A State's HSGP funds for M&A calculation purposes includes the sum total of its
SHSP, UASI, and, where applicable, OPSG awards. While the SAA may retain up to
five percent (5%) of this total for M&A, grantees must still ensure that all sub-grantee
award amounts meet the mandatory minimum pass through requirements which are
applicable to each HSGP program. To meet this requirement the percentage of
9
FY 2OI4 HSGP FOA
SHSP, UASI and OPSG fi.rnds passed through to local jurisdictions must be based on
the State's total HSGP award prior to withholding any M&A.
For additional information on SHSP and UASI M&A, refer to IB 365. For additional
clarification on OPSG M&A, refer to FEMA Policy FP-207-087-1. These documents
can be found at
bu l l etins ard http : //www,fema. gov/library/viewRecord. do ? id:7 8 3 7, respectively.
Planning
Planning related costs are allowed under this program.
Organization
Grantee organization costs for carrying out the grant's programmatic activities are
allowed under this program.
Equipment
Equipment costs are allowed under this program.
Training
Training related costs are allowed under this program.
Exercises
Exercise related costs are allowed under this program.
Travel
Domestic
Domestic travel costs are allowed under this program.
International
International travel is not an allowable cost under this program t,nless approved in
advance by FEMA.
Construction and Renovation
Construction and renovation costs are allowed under this prograrn.
Operational Overtime
Operational Overtime costs are allowed under this program.
Maintenance and Sustainment
Maintenance and sustainment costs are allowed under this program.
C riti cal E m e rge n cy S upp I ie s
Critical emergency supply related costs are allowed under this program.
iii. Indirect Costs
lndirect costs are allowable under this program, but only if the applicant has an
approved indirect cost rate agreement with the cognizant Federal agency. A copy of
10
FY 2OI4 HSGP FOA
the approved rate (a fully executed, agreement negotiated with the applicant's
cognizant federal agency) is required at the time of application.
iv. Other Cost Requirements
Consolidation of Law Enforcement Teruorism Prevention Activities (LETPA)
Per section 2006 of the Homeland Security Act of 2002 (Public Law 107-296), as
amended, (6 U.S.C. $ 607), States are required to ensure that at least 25 percent
(25%) of the combined HSGP funds allocated under SHSP and UASI are dedicated
towards law enforcement terrorism prevention activities. The LETPA allocation can
be from SHSP, UASI orboth. This requirernent does not include award funds from
OPSG. Please refer to Appendix A - FY 2014Program Allocations for LETPA
minimum allocations for SHSP and UASI byjurisdiction.
The National Prevention Framework describes those activities that should be
executed upon the discovery of intelligence or information regarding an imminent
threat to the homeland, in order to thwart an initial or follow on terrorist attack, and
provides guidance to ensure the Nation is prepared to prevent, avoid, or stop a
threatened or actual act of terrorism. Activities outlined in the National Prevention
Framauork are eligible for use of LETPA focused funds. In addition, where
capabilities are shared with the protection mission area, the National Protection
Framework activities are also eligible. Other terrorism prevention activities proposed
for funding under LETPA must be approved by the FEMA Administrator.
.SIISP and UASI Pass-Through Requirements
Awards made to the SAA for HSGP carry additional pass through requirements. Pass
through is defined as an obligation on the part of the States to make funds available to
local units of govemment, combinations of local units, or other specific groups or
organizations. The State's pass through requirement must be met within 45 days of
the award date. Four requirements must be met to pass through grant funds:
o There must be some action to establish a firm commitment on the part of the
awarding entity;
o The action must be unconditional on the part of the awarding entity (i.e., no
contingencies for availability of SAA funds);
. There must be documentary evidence of the commitment; and
o The award terms must be communicated to the official gmntee
The SAA must obligate at least 80 percent (80%) of the funds awarded under SHSP
and UASI to local units of government within 45 days of receipt of the funds. The
signatory authority of the SAA must certify in writing that these obligations have
been met. A letter of intent (or equivalent) to distribute funds is not considered
sufficient. Award sub-recipients must receive their funds within 45 days from the
date the funds are first made available to the grantee so that they can initiate
implementation of approved investments. For the Commonwealth of Puerto Rico, the
SAA must also obligate at least 80 percent (80%) of the funds to local units of
11
FY 2OI4 HSGP FOA
government within 45 days of receipt of the funds. For SHSP awards, no pass
through requirements will be applied to the District of Columbia, Guam, American
Samoa, the U.S. Virgin Islands, and the Commonwealth of the Northern Mariana
Islands. Any UASI funds retained by the SAA must be used to directly support the
designated Urban Areas in the State.
Under SHSP, the State may retain more than 20 percent (20%) of SHSP funding for
expenditure made by the State on behalf of the local unit(s) of govemment. This may
occur only with the written consent of the local unit of govemment, with the written
consent speciffing the amount of funds to be retained and the intended use of funds.
If a written consent agreement is already in place from previous fiscal years, FEMA
will continue to recognize it for FY 2014. If any modifications to the existing
agreement are necessary to reflect new initiatives, States should contact their assigned
FEMA Program Analyst.
If UASI funds are used by the SAA in support of the Urban Area, the SAA must
propose an lnvestment describing how UASI funds will be used by the SAA to
directly support the Urban Area.
OPS G Pass-Th rou g h Requ i rem ent
The recipient must pass through 100 percent (100%) of OPSG allocations to eligible
jurisdictions. The recipient is prohibited from obligating or expending funds provided
through this award until each unique and specific county level or equivalent
Operational OrderlFragmentary Operations Order with an embedded estimated
operational budget has been reviewed and approved through an official electronic
mail notice issued by FEMA removing this special programmatic condition.
Funds Transfer Restriction
The recipient is prohibited from transferring funds between programs (includes
SHSP, UASI, and OPSG). Grantees are allowed to submit an InvestmenVproject
where funds come from multiple funding sotuces (i.e., SHSPAJASI); however,
grantees are not allowed to divert funding from one program to another due to the
risk-based funding allocations, which were made at the discretion of DHS.
For additional details on restrictions on the use of funds, refer to Appendix C -
Funding Guidelines.
Environmental Planning and Historic Preservation (EHP) Cornpliance
As a Federal agency, FEMA is required to consider the effects of its actions on the
environment and/or historic properties to ensure that all activities and programs
funded by the agency, including grants-funded projects, comply with Federal EHP
regulations, laws and Executive Orders as applicable. Grantees and sub-grantees
proposing projects that have the potential to impact the environment, including but
not limited to construction of communication towers, modification or renovation of
existing buildings, structures and facilities, or new construction including
replacement of facilities, must participate in the FEMA EHP review process. The
EHP review process involves the submission of a detailed project description that
12
FY 2OI4 HSGP FOA
explains the goals and objectives of the proposed project along with supporting
documentation so that FEMA may determine whether the proposed project has the
potential to impact environmental resources and/or historic properties. In some cases,
FEMA is also required to consult with other regulatory agencies and the public in
order to complete the review process. The EHP review process must be completed
before funds are released to carry out the proposed project.
EHP Policy Guidance can be found in FP 108-023-I, Environmental Planning and
Hi s t o r i c P r e s erv at i on P o li cy Guidanc e, at h ttp : //www.fema. g ov/me d i a-
library/as sets/documents/8 5 3 7 6.
SAFECOM
Grantees (including sub-recipients) who receive awards under HSGP that wholly or
partially provide funding for emergency communication projects and related activities
should comply with the most recent version of the SAFECOM Guidance on
Ernergency Communications Grants,
http://www.safecomorogram.gov/grant/Default.aspx. This guidance provides
recommendations to grantees regarding interoperable emergency communications
projects, including allowable costs, eligible activities, grants management best
practices for emergency communications grants, and information on technical
standards that ensure greater interoperability. The guidance is intended to ensure that
Federally-funded invesbnents are compatible, interoperable, and support the national
goals and objectives for improving emergency communications nationwide. Grantees
(including sub-recipients) investing in broadband-related investrnents should review
Broadband-Related Expenditures and Investments. and consult their FEMA
Headquarters Program Analyst on such Investments before developing applications.
V. Application Review Information and Selection Process
A. Application Review Information
FY 2014 HSGP applications will be evaluated through a review process for
completeness, adherence to programmatic guidelines, and anticipated effectiveness of the
proposed Investments. The results from the review process may require applicants to
revise submissions before the release of HSGP funding.
i. SHSP and UASI
FEMA will verify compliance with all administrative and eligibility criteria identified
in the application kit, to include the required submission of risk driven, capabilities-
based IJs by the established due dates and verification of alignment to Urban Area,
State, and regional THIRAs; SPRs; and national priorities. State and Urban Area
Homeland Security Strategies will also be examined for further context regarding
current capability levels and how IJs address potential gaps to prevent, protect,
mitigate, respond to, and recover from acts of terrorism and other disasters. FY 2014
SHSP and UASI are non-competitive progftlms. For additional information on FY
2014 SHSP and UASI allocations, refer to Appendix A - FY 2014 Program
Allocations.
13
FY 2OI4 HSGP FOA
ii. OPSG
Applications will be reviewed by the SAA and U.S. Customs and Border Protection
(CBP)/Border Patrol (BP) Sector Headquarters for completeness and adherence to
programmatic guidelines and evaluated for anticipated feasibility, need, and impact of
the Operations Orders.
FEMA will verify compliance with all administrative and eligibility criteria identified
in the FOA and required submission of Operations Orders and Inventory of
Operations Orders by the established due dates. FEMA and CBPIBP will use the
results of both the risk analysis and the Federal review to make recommendations for
funding to the Secretary of Homeland Security.
FY 2014 OPSG funds will be allocated competitively based on risk-based
prioritization using a CBP Sector-specific border risk methodology. Factors
considered include, but are not limited to: threat, vulnerability, miles of border, and
other border-specific "law enforcement intelligence," as well as feasibility of FY
2014 Operation Orders to designated localities within the United States border States
and territories. For details on program-specific funding amounts, please refer to
Appendix A - FY 2014 Prcgram Allocatrons.
VI. Federal Award Administration Information
A. Notice of Award
Notification of award approval is made through the ND Grants system through an
automatic electronic mail to the awardee authorized official listed in the initial
application. The date of approval of award is the "award date." The awardee should
follow the directions in the notification to accept the award.
Grantees must accept their awards no later than 90 days from the award date. The
grantee shall notift the awarding agency of its intent to accept and proceed with work
under the award, or provide a written notice of intent to decline. Funds will remain on
hold until the grantee accepts the award through the ND Grants system and all other
conditions of award have been satisfied, or the award is otherwise rescinded. Failure to
accept the grant award within the 90 day timeframe may result in a loss of funds.
B. Administrative and Federal Financial Requirements
Before accepting the award, the authorized official should carefully read the award
package for instructions on administering the grant award and terms and conditions
associated with responsibilities under Federal awards. Grantees must accept all
conditions in this FOA as well as any Special Terms and Conditions in the Award
package to receive an award under this program.
i. Standard Terms and Conditions
14
FY 2OI4 HSGP FOA
All successful applicants for all DHS grant and cooperative agreements are required
to comply with DHS Standard Administrative Terms and Conditions available at:
h t tos : //www. dhs. g ov/pr,tb lic ation/.{v I 4 - dhs - s tandard- terms -and- conditi ons .
ii. Payment
FEMA utilizes the FEMA Payment and Reporting System (PARS) for financial
reporting, invoicing and tracking payments. Additional information can be obtained at
DHS/FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of
payment to recipients. To enroll in the DD/EFT, the recipient must complete a
Standard Form 1199A, Direct Deposit Form.
C. Reporting Requirements
Awardees are required to submit various financial and programmatic reports as a
condition of their award acceptance. Future awards and funds drawdown may be
withheld if these reports are delinquent.
i. Financial and Compliance Audit Report
For audits of fiscal years beginning on or after December 26,2014,recipients that
expend $750,000 or more from all federal funding sources during their fiscal year are
required to submit anorgarization-wide financial and compliance audit report. The
audit must be performed in accordance with the requirements of GAO's Government
Auditing Standards, located at http://www.gao.gov/govaud/ttbk0l.htrn. and the
requirements of Subpart F of 2 C.F.R. Part200,located at hup://www.ecfr.gov/cgi-
bin/text-
idx?SID:55e12eead565605b4d529d82d276105c&node:2:1.1.2.1.1.6&rgn:div6.
For audits of fiscal years beginning prior to December 26,2014, recipients that
expend 5500,000 or more from all federal funding sources during their fiscal year are
required to submit anorganization-wide financial and compliance audit report. The
audit must be performed in accordance with GAO's Government Auditing Standards,
located at http://www.gao.gov/sovaud/ybk01.htm, and OMB Circular A-133, Audits
of States, Local Governments, and Non-Profit Organizations, located at
Audit reports are currently due to the Federal Audit Clearinghouse no later than nine
months after the end of the recipient's fiscal year.
ii. Financial Reporting Periods and Due Dates
The following reporting periods and due dates apply:
Reporting Period Report Due Date
October I -December3l January 30
January I -March3l April30
April 1-June30 Julv 30
Julyl-September30 October 30
15
FY 2OI4 HSGP FOA
iii. Federal Financial Report (FFR)
Obligations and expenditures must be reported on a quarterly basis through the FFR
(SF-425) and must be filed electronically using PARS. The form is available at
An FFR report must be submitted quarterly throughout the period of performance,
including partial calendar quarters, as well as for periods where no grant award
activity occurs. The frnal FFR is due 90 days after the end date of the performance
period. FFRs must be filed electronically through PARS. Future awards and fund
drawdowns may be withheld if these reports are delinquent, demonstrate lack of
progress, or are insufficient in detail.
iv. Program Performance Reporting Requirements
The following reporting periods and due dates apply:
Reporting Period Report Due Date
Januaryl-June30 Julv 30
Julyl-December3l January 30
Performance Progress Report (S F-PPR)
Awardees are responsible for providing updated performance reports using the SF-
PPR (OMB Control Number: 0970-0334) on a biannual basis. Grantees must
complete the cover page of the SF-PPR and submit it as an attachment to the ND
Grants system. The SF-PPR can be accessed online at
http : //vvww. na.fs.fed. us /fap/S F -P P R-C over%2 0 Sheet.pdf.
Grantees will be required to report on progress towards implementing plans described
in their application, as well as, progress made towards implementing performance
measures as described in Appendix B - Program Specific Priorities. As part of the
SF-PPR, grantees will be required to report on progress towards implementing the
following perfonnance measures :
. For fusion centers, the achievement of capabilities and compliance with
measurement requirements within the Maturation and Enhancement of State and
Major Urban Area Fusion Centers priority through the annual Fusion Center
Assessment Program managed by the DHS Offrce of Intelligence and Analysis
(I&A) and reported to FEMA; and
Pass-Through Certiftcation Requirement
For FY 2014,the Initial Strategy Implementation Plan (ISIP) will no longer be
required. In place of the ISIP, the signatory authority of the SAA must certiff in
writing to the respective FEMA GPD Program Analyst that the 80 percent (80%)
pass-through obligation was met within 45 days of the award date.
Biannual Strategt Implementation Reports (BSIR)
In addition to the quarterly financial and biannual performance progress reports,
grantees are responsible for completing and submitting BSIRs. The BSIR is due
16
FY 2OT4 HSGP FOA
D.
within 30 days after the end of the reporting period (July 30 for the reporting period
of January 1 through June 30 (the summer BSIR report); and January 30 for the
reporting period of July 1 through December 31 (winter BSIR report). In the first
BSIR, grantees must provide the information on all awarded funds, by identiffing all
projects that were not included in the application. In the BSIR grantees will be
responsible for linking projects to sub grantees and reporting on project progress.
The BSIR reports will be used as an additional validation that the pass-through
requirement is met throughout the period of performance of the award. All required
attributes of each project must be included. Updated obligations, expenditures, and
significant developments must be provided within the BSIR to show progress of
implementation for every project, as well as how expenditures support Planning,
Organization, Equipment, Training and Exercises (POETE). The frrst BSIR will be
due January 30,2015, (30 days after the end of the first reporting period for the
award. Subsequent BSIR reports will require grantees to report on a project-by-
project basis.
Monitoring
Grant recipients will be monitored on an annual and as needed basis by FEMA staff, both
progralnmatically and financially, to ensure that the project goals, objectives,
performance requirements, timelines, milestone completion, budgets, and other related
program criteria are being met.
Monitoring may be accomplished through either a desk-based review or on-site
monitoring visits, or both. Monitoring will involve the review and analysis of the
financial, prograrnmatic, performance, compliance and administrative processes, policies,
activities, and other attributes of each Federal assistance award and will identify areas
where technical assistance, corrective actions and other support may be needed.
Closeout
Pursuant to 44 C.F.R. $ 13.50(b) Reports, within 90 days after the expiration or
termination of the grant, the grantee must submit all financial, performance, and other
reports required as a condition of the grant.
Within 90 days after the end of the period of performance, grantees must submit the
following:
l) Final request for payment, if applicable;
2) SF-425 -Final Federal Financial Report,'
3) SF-PPR - Final Performance Progress Report;
4) A qualitative narrative summary on the impact of those accomplishments throughout
the entire period of performance submitted to the respective Grant Programs
Directorate (GPD) Program Analyst in a Word document;
5) SF-428 - Tangible Personal Property Report - lnventory of all tangible personal
property acquired using funds from this award. The form is available at
17
FY 2OI4 HSGP FOA
E.
6) When applicable, SF-429 - Real Property Status Report - lnventory of all
construction projects using funds from this award. The form is available at
7) Other documents required by program guidance or terms and conditions of the
award.
ln order to close an award, grantees must be current on, and have submitted, all required
reports per the terms and conditions of the grant award. Once the grant has officially
been closed, the grantee will receive a Grant Adjustrnent Notice (GAN) which will
provide information regarding the amount of any deobligated funds, equipment
disposition, and record retention requirements for closed awards.
If FEMA has made reasonable attempts through multiple contacts to close out awards
within the required 180 days, FEMA may waive the requirement for a particular report
and administratively close the award. If this action is taken, consideration for subsequent
awards to the grantee may be impacted or restricted.
The grantee is responsible for returning any funds that have been drawn down, but
remain as unliquidated on grantee financial records.
F. Extensions
Extensions to the initial period of performance identified in the award will only be
considered through forrnal, written requests to the grantee's respective Headquarters
Program Analyst and must contain specific and compelling justifications as to why an
extension is required. States are advised to coordinate with the Program Analyst as
needed, when preparing an extension request. A11 extension requests must address the
following:
l) Grant Program, Fiscal Year, and award number;
2) Reason for delay - this must include details of the legal, policy, or operational
challenges being experienced that prevent the final outlay of awarded funds by the
applicable deadline;
Current status of the activitylactivities;
Approved period of performance termination date and new project completion date;
Amount of funds drawn down to date;
Remaining available funds, both Federal and non-Federal;
Budget outlining how remaining Federal and non-Federal funds will be expended;
Plan for completion, including milestones and timeframes for achieving each
milestone and the position/person responsible for implementing the plan for
completion;and
9) Certifrcation that the activity/activities will be completed within the extended period
of performance without any modification to the original Statement of Work approved
by FEMA.
Awardees must submit all proposed extension requests to DHSiFEMA for review and
approval no later than 120 days prior to the end of the period of performance. ln
18
FY 2OI4 HSGP FOA
3)
4)
s)
6)
7)
8)
accordance with GPD policy, extensions are typically granted for no more than a six
month time period. Extension requests will be granted only due to compelling legal,
policy, or operational challenges.
For more information on extensions, refer to lB #379, Guidance to State Administrative
Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding at
19
FY 2OI4 HSGP FOA
VII. DHS FEMA Contact Information
A. For Financial, Programmatic, or Administrative Questions Pre-Award and Post
Award
i. Centralized Scheduling and Information Desk (CSID)
CSID is a non-emergency comprehensive management and information resource
developed by DHS for grants stakeholders. CSID provides general information on all
FEMA grant programs and maintains a comprehensive database containing key
personnel contact information at the Federal, State, and local levels. When necessary,
grantees will be directed to a Federal point of contact who can answer specific
programmatic questions or concems. CSID can be reached by phone at (800)368-
6498 or by e-mail at askcsid@dhs.gov, Monday through Friday, 8:00 a.m. - 5:30 p.m.
EST.
ii. Grant Programs Directorate (GPD) Grant Operations Division
GPD's Grant Operations Division Business Office provides financial support and
technical assistance. The Grant Operations Division manages, administers, and
conducts application budget review, creates the award package, approves, amends
and closes out awards. Additional guidance and information can be obtained by
contacting the FEMA Call Center at (866) 921-5646 or via e-mail to ASK-
GMD@dhs.gov.
iii. FEMA Regions
FEMA Regions may also provide fiscal support, including pre- and post-award
administration and technical assistance such as conducting cash analysis, financial
monitoring, and audit resolution to the grant programs included in this solicitation.
GPD will provide prograrnmatic support and tecbnical assistance. For a list of
contacts, please go to htto ://www. fema.sou/about/contact/resio ns. shtn .
iv. Systems Information
Grantsgou
For technical assistance with Grants.gov, please call the Grants.gov customer support
hotline at (800)5 I 8 -4726.
Non-Disaster (ND) Grants.
For technical assistance with the ND Grants system, please contact
ndgrants @,fema. gov or (800)865 -407 6.
v. GPD Environmental Planning and Historic Preservation (GPD-BHP)
The FEMA GPD-EHP Team provides guidance and information about the EHP
review process to grantees and sub grantees. All inquiries and communications about
GPD projects or the EHP review process, including the submittal of EHP review
materials, should be sent to gpdehpinfo(@fema.gov. EIIP Technical Assistance,
including the EHP Screening Form, can be found at http://vvyvw.-fema.gov/media-
20
FY 2OI4 HSGP FOA
VIII.
library-data/2 0 I 3 07 2 6- I 80 6- 2 5 04 5 -
vi. Telephone Device for the Deaf (TDD)
The Telephone Device for the Deaf (TDD) and/or Federal Information Relay Service
(FIRS) number available for this announcement is: (800) 462-7585.
vii. Hard copies of the FOA
Hard copies of the FOA are not available.
Other Critical Information
National Preparedness
DHS coordinates with local, State, territory, Tribal, and Federal governments as well as
the private and nonprofit sectors to facilitate an all-of-nation/whole community, risk
driven, and capabilities-based approach to preparedness. This approach is grounded in
the identifrcation and assessment of risk through the THIRA. Urban Areas and States
must maintain and update their THIRAs, and States their SPRs, annually to ensure that
the community's shared understanding of risk evolves to account for changes in the risk
landscape, including successful mitigation efforts, emerging threats, hazards, and
associated consequences. Information on the National Preparedness System can be found
in the National Preparedness System Description (released November 20ll), which is
posted on the FEMA website at http://wvvw.fema.gov/national-preparedness/national-
preparedness-system. Additional details regarding how the National Preparedness
Systern is supported by the HSGP can be found in Appendix B - Program Specific
Priorities.
FY 2014 Unijied Reporting Tool PRT)
The URT is FEMA's collection mechanism for THIRA/SPR and otherrelated
preparedness information. The FY 2014 SPR includes questions related to NIMS
adoption and implementation, and Comprehensive Preparedness Guide 101 v 2.0
compliance.
IIow to Apply
Application Overview
Applyng for an award under this program is a multi-step process and requires time to
complete. To ensure that an application is submitted on time applicants are advised to
start the required steps well in advance of their submission. Applicants should allow at
least 15 business days (three weeks) to complete the five steps of applying listed
below. Failure of an applicant to comply with any of the required steps before the
deadline for submitting their application will automatically disqualify their application
from funding.
The steps involved in applyrng for an award under this program are:
1) Applying for, updating or verifying their Data Universal Numbering System
(DLINS) Number;
21
FY 2OI4 HSGP FOA
rx.
A.
2) Applying for, updating or verifting their Employer Identification Number (EIN);
3) Updating or verifying their System for Award Management (SAM) registration;
4) Submitting an initial application in grants.gov;
5) Completing Investrnent Justifications in the Grant Reporting Tool (GRT) and;
6) Submitting the complete application in ND Grants.
To ensure adequate time to complete the full application process, applicants are
encouraged to submit their initial application in Grants.gov (Step 4) at least ten (10)
days before the May 23,2014 application deadline
1. Obtain a Data Universal Numbering System Number @UNS)
The applicant must provide a DIINS number with their application. This number is a
required field for all subsequent steps in the application submission. Applicants
should verify they have a DUNS number, or take the steps necessary to obtain one.
Applicants can receive a DTINS number at no cost by calling DUNS number request
line at (866) 705-571 1. FEMA cannot assist applicants with questions related to
obtaining a current DI-INS number.
2. Obtain an Employer Identilication Number @IN)
FEMA requires both the EIN and a DUNS number prior to the issuance of a financial
assistance award and, for grant award payment. Both are also required to register
with SAM (see below). The EIN base for anorgarization is the IRS Tax ID number,
for individuals it is their social security number, both of which are nine-digit
numbers. Organizations and individuals submitting their applications must correctly
identify the EIN from the DUNS since both are 9-digit numbers. If these numbers are
not correctly identifred in the application, this may result in a delay in the issuance of
an award and/or incorrect payrrent to a grantee organization.
Organization applicants applyng for an EIN should plan on a minimum of t',vo full
weeks to obtain an EN. If you need assistance registering an EIN, go to
Emoloyer-Identification-Number-(ElN)-Online. FEMA cannot assist applicants with
questions related to obtaining a current EIN.
3. Register with the System for Award Management (SAM)
Payments are contingent on the information provided in SAM and must be completed
by the applicant at htbp://www.sam.gov. It is imperative that the information provided
by the applicant is correct and current. Please ensure that your organization's name,
address, DUNS number and EIN are current in SAM and that the DUNS number used
in SAM is the same one used to apply for all other FEMA awards.
SAM registration is a multi-step process including validating your EIN with the
lntemal Revenue Service (IRS) to obtain a Commercial and Govemment Entity
(CAGE) code. The CAGE code is only valid for one year after issuance and must be
current at the time of application.
22
FY 2OI4 HSGP FOA
4.
If you need assistance registering with SAM, please go to https://www.fsd.gov/ or
call 866-606-8220. FEMA cannot assist applicants with questions related to obtaining
a current CAGE code.
Initial Application Submission in Grants.gov
All applicants submit their initial application through Grants.gov. Applicants may
need to first create a Grants.gov user profile by visiting the Get Registered section of
the grants.gov website. Successful completion of this step is necessary for FEMA to
determine eligibility of the applicant. Applicants should complete this step at
htp:/iwww.grants.gov. The initial on-line application in grants.gov requires
completing
o Standard Form 424 (SF 424), Application for Federal Assistance, ando Grants.gov Form Certification Regarding Lobbying Form.
Both forms are available in the Fomrs tab under SF-424 Family. The initial
application cannot be started or submitted in Grants.gov unless the applicant's
registration in SAM is confinned. Application forms and instructions are available at
Grants.gov. To access these materials, go to http://www.grants.gov, select Apply for
Grants, enter the CFDA number or the FOA number noted in this FOA, select
Download Application Package, and follow the prompts to download the application
package. The information submitted in grants.gov will be reffieved by ND Grants,
which will allow FEMA to deterrnine if an applicant is eligible. Applicants are
encouraged to submit their initial application at least ten (f 0) days before the
May 23,2014 application deadline.
If you need assistance applying through grants.gov, please go to
http://www.grants.gov/web/grantslapplicants/grant-application-process.htrnl, contact
support@grants.gov, or call 800-518-4726. FEMA cannot assist applicants with
questions related to registering with grants.gov.
Completing Investment Justifications in the Grant Reporting Tool
For more information on how to complete IJs, refer to the Investment Justification
Planning Guide found at www.fema. gov/grants.
Final Application Submission in FEMA's Non Disaster Grants System (ND
Grants)
Eligible applicants will be notified by FEMA and asked to proceed with submitting
their complete application package in ND Grants. Applicants can register early with
ND Grants and are encouraged to begin their ND Grants registration at the time of
this announcement. Early registration will allow applicants to have adequate time to
start and complete their application. The application must be completed and final
submission made through the ND Grants system located at https://portal.fema.gov.
In ND Grants, applicants will be prompted to submit all of the information contained
in the following forms:
23
FY 2OI4 HSGP FOA
5.
6.
Standard F orm 424 A, Budget Infonnation (Non-construction)
Standard F orm 4248, Standard Assurances (Non-construction)
Standard F orm 424D, Standard Assurances (Construction)
Standard Form LLL, Disclosure of Lobbying Activities (if the grantee has engaged or
intends to engage in lobbying activities)
Grants.gov (GG) Lobbying Form, Certification Regarding Lobbying.
Applicants will also be prompted to assure compliance with all Standard and Special
Terms and Conditions before being eligible to receive an award under this program.
Inadditionappji:anj;trdtH:'#TlH"?:TH1fl?"?iT'ioo,*,
for grants to support construction;
o InvestmentJustification
. Program and Budget Narrative
: ;::,Tr#:JH#
o Detailed budget. Indirect Cost Agreement.
If you need assistance registering on the ND Grants system, please contact
ndgrants@fema. gov or (800) 865 -407 6.
IISGP Program Specific Application Instructions
Investment Justification (SHSP and UASI)
As part of the FY 2014 HSGP application process for SHSP and UASI funds, applicants
must develop a fomral IJ that addresses each investment being proposed for funding. The
IJ must demonstrate how proposed projects support sustainment of existing core
capabilities or address capability gaps and deficiencies in one or more core capabilities
outlined in the Goal and as identified in their most recent State Preparedness Report. The
IJ must also demonstrate alignment to the Urban Area, State, and/or regional THIRAs,
national priorities, and applicable guidance provided by FEMA. The IJ must also describe
engagement with and/or impacts on the general and vulnerable populations, to include
children, the elderly, pregnant women, and individuals with disabilities such as those
with access and functional needs. Furthermore, the IJ must clearly identiff and explain
the nexus to terrorism preparedness.
IJs are submitted in the GRT. The IJ Guide contains instructions for collecting the
required information for Investments and projects. Additionally, applicants should utilize
the Project Worksheet to assemble the information required for each project, which will
facilitate the input of that information into the GRT.
24
FY 2OI4 HSGP FOA
Instructions for SHSP
. Applicants must propose at least one and include up to l0 projects within each
Investment in their [J to describe the activities they would like to implement with
SHSP funds
o Any projects not included in the application must be included in the first BSIR
o Of the proposed Investnents, applicants are required to propose at least one
Investment to provide funding support to the State's primary fusion center, as
designated by the Governor. Grantees must coordinate with the fusion center when
developing a fusion center Investrrent prior to submission
o Grantees investing in emergency communications must describe how activities align
to their Statewide Communication Interoperable Plan (SCIP). Grantees must
coordinate with their Statewide Interoperability Coordinator (SWIC) and/or Statewide
lnteroperability Governance Body (SIGB) when developing an emergency
commtrnications investment prior to submission to ensure the project supports the
statewide shategy to improve emergency communications and is compatible and
interoperable with surrounding systems
Instructions for UASIo Urban Areas must propose at least one and up to l0 projects within each Investment
in their IJ to describe the activities they are planning to implement with UASI funds
. Any projects not included in the application must be included in the first BSIR
. If applicable, of the proposed l0 Investments, Urban Areas are required to propose at
least one Investnent in support of a designated fusion center within the Urban Area.
Grantees must coordinate with the fusion center when developing a fusion center
Investment prior to submission
r If UASI funds are used by the SAA in support of the Urban Area, the SAA must, as
part of the up to l0 lnvestments, propose an Investment describing how UASI funds
will be used by the SAA to directly support the Urban Area.
o Grantees investing in emergency communications must describe how activities align
to the SCIP. Grantees must coordinate with the Statewide Interoperability
Coordinator (SWIC) and/or Statewide lnteroperability Govemance Body (SIGB)
when developing an emergency communications Investrnent prior to submission to
ensure the project supports the statewide strategy to improve emergency
communications and is compatible and interoperable with surrounding systems
Instructions for OPSG
As part of the fy 2014 OPSG application process, each eligible local unit of govenment
at the county level or Federally-recognized Tribal government must develop their
Operations Order in coordination with State and Federal law enforcement agencies, to
include, but not limited to Customs and Border Patrol (CBP)iBorder Protection (BP).
Operations Orders that are developed at the county level should be inclusive of city,
county, Tribal, and other local law enforcement agencies that are eligible to participate in
OPSG operational activities, and the Operations Order should address this in the
Executive Summary. The details should include the names of the agencies, the points of
contact, and the individual funding requests. All applications must be coordinated
through the CBP sector office and that BP will forward application to the SAA for
25
FY 2OI4 HSGP FOA
review. For more information, refer to Appendix E - FY 2014 OPSG Operations Order
Template and Instructions and Appendix F - OPSG Operational Guidance for more
information.
26
FY 2OI4 HSGP FOA
Appendix A - FY 2014 Program Allocations
FY 2014 SHSP Allocations
27
Appendix A-FY20 1 4 HSGP Allocations
Alabama $3.733.000 Montana $3.733.000
Alaska $3.733,000 Nebraska $3.733.000
American Samoa $854.000 Nevada $3.733,000
Arizona $4,568,000 New Hampshire $3,733.000
Arkansas $3,733,000 New Jersey $8,354,000
California $60,035,000 New Mexico $3,733,000
Colorado $3.979.000 New York $76,742,000
Connecticut $3,978,000 North Carolina $5,489.000
Delaware $3.733.000 North Dakota $3.733,000
District of Columbia $4,119,000 Northern Mariana $854,000
Florida $1 1,010,000 Ohio $7,698,000
Georgia $6,807,000 Oklahoma $3,733,000
Guam $854.000 Oreoon $3.837.000
Hawaii $3,733.000 Pennsvlvania $10.026.000
ldaho $3,733.000 Puerto Rico $3,733,000
lllinois $16,357,000 Rhode lsland $3,733,000
lndiana $3,978,000 South Carolina $3,733,000
lowa $3,733,000 South Dakota $3.733.000
Kansas $3.733.000 Tennessee $3.978,000
Kentucky $3,978,000 Texas $21,448,000
Louisiana $3,978,000 U.S. Virqin lslands $854,000
Maine $3,733,000 Utah $3,733,000
Marvland $6.125.000 Vermont $3.733.000
Massachusetts $5.622.000 Viroinia $7.414.000
Michioan $6.6s8.000 Washinoton $6.493,000
Minnesota $3,978,000 West Virqinia $3,733,000
Mississippi $3,733.000 Wisconsin $3,978,000
Missouri $3,978,000 Wyominq $3,733,000
State/Territory f,,:3';"0, state/Territory JffiTj,
Total $401.346.000
FY 2014 UASI Allocations
28
Appendix A-FY 201 4 HSGP Allocations
$5,500,000ArizonaPhoenix Area
California
Anaheim/Santa Ana Area $5,500,000
Bay Area $27,400,000
Los Angeles/Long Beach Area $67,500,000
Riverside Area $1,000,000
Sacramento Area $1,000,000
San Dieqo Area $16,874,000
Colorado Denver Area $3,000,000
District of Columbia National Capital Reqion $53,000,000
Florida
Miami/Fort Lauderdale Area $5,500,000
Orlando Area $1,000,000
Tampa Area $3,000,000
Georgia Atlanta Area $5,500,000
Hawaii Honolulu Area $1,000,000
lllinois Chicago Area $69,500,000
lndiana lndianapolis Area $1,000,000
Louisiana New Orleans Area $3,000,000
Maryland Baltimore Area $5,500,000
Massachusetts Boston Area $18,000,000
Michigan Detroit Area $5,500,000
Minnesota Twin Cities Area $5,500,000
Missouri
Kansas Citv Area $1,000,000
St. Louis Area $3,000,000
Nevada Las Vegas Area $1,000,000
New Jersey Jersey City/Newark Area $21,800,000
New York New York City Area $178,926,000
North Carolina Charlofte Area $3,000,000
Ohio
CincinnatiArea $1,000,000
Cleveland Area $1,000,000
Columbus Area $1,000,000
Oregon Portland Area $1,000,000
Pennsylvania
Philadelphia Area $18,500,000
Piftsburgh Area $3,000,000
Texas
Dallas/Fort Worth/Arlinqton Area $15,500,000
Houston Area $24,000,000
San Antonio Area $1,000,000
Utah Salt Lake City Area $1,000,000
Virginia Hampton Roads Area $1,000,000
Washington Seattle Area $5,500,000
Total $587,000,000
\labama $3,733,00($3,733,00C $933,25(
{laska $3,733,00($3,733,00C $933,25C
qmerican Samoa $854,00(s854,00c $213,50C
\rizona Phoenix Arca $5,500,000 $5,500,000 s4,568,00($10,068,00c $2,51 7,00C
\rkansas $3,733,00($3,733,00C $933,25C
Califomia
Anaheim/Santa Ana Area $5,500,000
$119,274,00($60,03s,00c $179,309,00C $44,827,25A
Bay Area $27,lmo,000
Los Angeles/Lonq Beach Area $67,500,000
Rilerside Area $1,000,000
Sacramento Area $1,000,000
San Dieqo Area $16.874.000
3olorado )enr,er Area $3.000.00($3.000.00c s3,979,00C $6,979,000 $1,744,75(
Sonnecticut $3,978,00C $3,978,000 $994,50(
)elaware $3,733,00C $3.733,000 $933,25(
)istrict of Columbia lational Capital Region $53,000,00($53,000,00c $4,1 19,00C $57,1 1 9,000 $14,279,75(
Florida
Vliami/Fort Lauderdale Area $5,500,00(
$9.500.000 $1 1,010,000 $20,s10,000 $5,127,50(Jrlando Area $1,000,00(
lampa Area $3,000,00(
Georgia Atlanta Area s5,500,00c $5,500,000 $6,807,000 $1 2,307,00($3,076,7s(
Guam $854,000 $854,00($21 3,50(
Hawaii Honolulu Area s1,000,00($1.000.000 $3,733,000 $4,733,00($1,1 83,25(
ldaho $3,733,000 s3,733,00($933,25(
lllinois Chicaqo Area $69.500,00c $69,500,00($16,357,000 $85,857,00($2'1,64,25(
lndiana lndianapolis Area s1.000.00c $1.000.00($3,978,000 $4,978,00C $1,244,50(
lowa $3,733,000 $3,733,00C $933,25(
Kansas $3,733,000 $s,733,00c $933,2s(
Kentucky $3,978,000 $3,978,00C $994,50(
-ouisiana New Orleans Area $3,000,000 $3,000,00($3,978,000 $6,978,00C $1,7214,50(
Vaine $3,733,000 $3,733,00C $933,2s(
Varyland 3altimore Area $5,500,000 $5,500,00($6,1 25,000 $1 1,625,00C $2,906,25(
Vlassachusetts 3oston Area $18,000,000 $18,000,00(s5,622,00($23,622,00C $5,905,50(
Vlichigan Detoit Area $s,500,000 s5,500,00c $6,658,00($1 2.1 58.00C $3,039,50(
Vlinnesota Twin Cities Area $5,500,000 $5,s00,00($3,978,00($9,478,00C $2,369,50(
\rississippi $3,733,00($3,733,00C $933,25{
Vlissouri
Kansas City Area $1,000,000 $4,000,00c $3,978,00C $7,978,000 $1,994,50(
St. Louis Area $3,000,000
Montana $3,733,00C $3,733,000 $933,2s(
Nebraska $3,733,00C s3,733,000 $933,25(
Ne\6da Las Vegas Area $1.000.00(sl.000.00c $3,733,00C $4,733,000 s1,1 83,25(
New Hampshire $3.733,00C $3,733,000 $933,25(
New Jersey Jersey City/Newark Area $21,800,00($21,800,000 $8,354,00C $30,154,000 $7,538,50(
New Mexico $3,733,00C $3,733,000 $933,25(
New York New York City Area $1 78.926,00t $178,926,00C $76,742,00C s25s,668,000 $63,917,00(
North C6rolina Charlotte Area $3,000,00c $3,000,000 s5,€9.00c $8,489,00($2,122,zil
North Dakota $3,733,00C $3,733,00($933,25C
Northem Mariana lslands $854,00C $854,00($21 3,50t
f hio
Cincinnati Area $1,000,00(
$3,000,000 $7,698,000 $10,698,00C $2,674,500Cler,eland Arca $1,000,00c
Columbus Area $1,000,00c
Cklahoma $3,73s,00(s3,733,00C $933,2s(
Sregon rortland Area $1,000,00c $1,000.00($3,837,00($4,837,00C $1,209,2s(
FY 2014 SHSP and UASI LETPA Minimums
29
Appendix A-FY20 I 4 HSGP Allocations
stare/re,itory Funded Urban Area(s) or,:1":1." li[:Xl? d:il", nr.],',tir, o, LErpA
)ennsylwnia Philadelphia Area $18,500,00($21,500,00c $10,026,000 $31,526,000 s7,881,50(
Pittsburgh Area $3,000,00(
ruerto Rico $3,733,000 $3,733,000 $933,25(
lhode lsland $3,733,000 $3,733,000 $933,25(
louth Carolina $3,733,000 $3,733,000 $933,25(
South Dakota $3,733,000 $3,733,000 $933,25(
Tennessee $3,978,000 $3,978,000 $994,50(
Texas
Dallas/Fort Worth/Adinqton Area $15.500.00c
$40.500,000 $21,2148,000 $61,9l8,000 $15,uA7,00(Houston Area $24.000.00c
San Antonio Area $'1,000,000
U.S. Virgin lslands $854,000 $854,000 $213,s0(
Utah Salt Lake City Area $1,000,000 $1.000.000 $3,733.000 $4,733,000 $1,1 83,25r
y'ermont $3,733,00($3,733,000 $933,25(
r'irqinia 'lampton Roads Area $1,000,000 $1,000,000 $7.414.00($8,41 4,00($2,103,s0(
r'Vashington Seattle Area $5,500,000 s5.500.000 $6,493,00($1 1,993,00($2,998,25(
/Vest Virginia $3,7s3,00($3,733,00($933,25(
y'Visconsin $3,978,00($3,978,00t $994,so(
/Vvomino $3,733,00($3,733,00($93s,25C
FY 2014 SHSP and UASI LETPA Minimum (continued)
30
Appendix A-FY20 14 HSGP Allocations
Slate/Territory Funded Urban Area(s)o,,ll"',1"" H::Ll? o,,?lj["" erro]"otliln uv LErpA
Iotal s69,500,000 s69,500,000 $84,055,000 $153,555,000 $38,388,751
Alabama Massachusefts Pennsylvania
Alaska Michigan Rhode lsland
Arizona Minnesota South Carolina
California Mississippi Texas
Connecticut Montana Vermont
Delaware New Hampshire Virginia
Florida New Jersey Washington
Georgia New Mexico Wisconsin
Hawaii New York Puerto Rico
ldaho North Carolina U.S. Virqin lslands
Louisiana North Dakota American Samoa
Maine Ohio Guam
Maryland Oregon Northern Mariana lslands
FY 2014 OPSG Eligible States and Territories
Note: Not all applicants are guaranteed to receive funding under the FY 2014 OPSG.
31
Appendix A-FY 20 I 4 HSGP Allocations
States and Territories
Appendix B - Program Priorities
Alignment of HSGP to the National Preparedness System
The Nation utilizes the National Preparedness System to build, sustain, and deliver core
capabilities in order to achieve the National Preparedness Goal (the Goal). The Goal is "a secure
and resilient Nation with the capabilities required across the whole community to prevent,
protect against, mitigate, respond to, and recover from the threats and hazards that pose the
greatest risk."
The objective of the National Preparedness System is to facilitate an integrated, all-of-Nation,
risk informed, capabilities-based approach to preparedness. Complex and far-reaching threats
and hazards require a collaborative and whole community approach to national preparedness that
engages individuals, families, communities, private and nonprofit sectors, faith-based
organizations, and all levels of government. The guidance, programs, processes, and systems
that support each component of the National Preparedness System enable a collaborative, whole
community approach to national preparedness that engages individuals, families, communities,
private and nonprofit sectors, faith-based organizations, and all levels of government
(http://www.fema.gov/whole .
The FY 2014 HSGP Program contributes to the implementation of the National Preparedness
System by supporting the buitding, sustainment, and delivery of core capabilities. Core
capabilities are essential for the execution of critical tasks in the National Planning Frameworks
for each of the five mission areas outlined in the Goal. Delivering core capabilities requires the
combined effort of the whole community, rather than the exclusive effort of any single
organization or level of government. The HSGP Program's allowable costs support efforts to
build and sustain core capabilities across the Prevention, Protection, Mitigation, Response, and
Recovery mission areas.
To evaluate national progress in building, sustaining, and delivering the core capabilities outlined
in the Goal, FEMA annually publishes the National Preparedness Report (NPR). Looking across
all 31 core capabilities outlined in the Goal, the NPR provides a national perspective on critical
preparedness trends for whole community partners to use to inform program priorities, allocate
resources and communicate with stakeholders about issues of shared concern.
A key focus and requirement of the HSGP is to prevent terrorism and to prepare the Nation for
the threats and hazards that pose the greatest risk to the security and resilience of the United
State, and the greatest risks along the Nation's borders; therefore, HSGP funded investments
must have a terrorism-nexus. When applicable, funding should support deployable assets that
can be utilized anywhere in the Nation through automatic assistance and mutual aid agreements,
including but not limited to the EMAC.
In addition, the Department of Homeland Security expects grantees to prioritize grant funding to
address gaps identified through the annual SPR in achieving capability targets set through the
annual THIRA. These assessments identi$ the jurisdictions' capability targets and current
ability to meet those targets. Grantees should prioritize grant funds to increase capability for
high-priority core capabilities with low capability levels. Minimum funding amounts are not
32
Appendix B--FY 20 I 4 HSGP Priorities
prescribed by the Department for these priorities; however grantees are expected to support state,
local, regional, and national efforts in achieving the desired outcomes of these priorities.
Grantees are expected to consider national areas for improvement identif,red in the 2013 National
Preparedness Report, which include cybersecurity, recovery-focused core capabilities, the
integration of individuals with access and functional needs, enhancing the resilience of
infrastructure systems and maturing the role of public-private partnerships. Addressing these
areas for improvement will enhance preparedness nation-wide.
Using the core capabilities, the FY 2014 HSGP Program supports the achievement of the Goal
by:
o Preventing a threatened or an actual act of terrorism;
o Protecting our citizens, residents, visitors, and assets against the greatest threats and
hazards;
r Mitigating the loss of life and property by lessening the impact of future disasters;
o Responding quickly to save lives, protect property and the environment, and meet basic
human needs in the aftermath of a catastrophic incident; and/or
. Recovering through a focus on the timely restoration, strengthening, and revitalization of
infrastructure, housing, and a sustainable economy, as well as the health, social, cultural,
historic, and environmental fabric of communities affected by a catastrophic incident.
The core capabilities contained in the Goal are highly interdependent and require the use of
existing preparedness networks and activities, improve training and exercise programs, promote
innovation, and ensure that the appropriate administrative, finance, and logistics systems are in
place.
To support building, sustaining, and delivering these core capabilities, grantees will use the
components of the National Preparedness System. The components of the National Preparedness
System are: Identifying and Assessing Risk; Estimating Capability Requirements; Building and
Sustaining Capabilities; Planning to Deliver Capabilities; Validating Capabilities; and Reviewing
and Updating. For more information on each component, read the National Preparedness System
description available at
system. Grantees are expected to use this process when using grant funds to address their
capability gaps.
Reporting on the Implementation of the National Preparedness System
Identifying and Assessing Risk and Estimating Capability Requirements
In order to quali$, for HSGP Program funding, all grantees shall develop and maintain a Threat
and Hazard Identification and Risk Assessment (THIRA) which informs and supports the State
Preparedness Report (SPR). Only one THIRA submission from each State will be accepted. A
THIRA provides a comprehensive approach for identiffing and assessing risks and associated
impacts. It expands on existing local, Tribal, territorial, and State Hazard Identification and Risk
Assessments (HIRAs) and other risk methodologies by broadening the factors considered in the
process, incorporating the whole community throughout the entire process, and by accounting for
important community-specific characteristics. Comprehensive Preparedness Guide 201, Second
33
Appendix B-FY20I4 HSGP Priorities
Edition: THIRA (CPG 201, Second Edition) is available at http://vwvw.fema.gov/national-
preparedness/plan.
In Step Four of the THIRA process, a jurisdiction should estimate the resources required to
deliver the capability targets set in their THIRAs. Communities express resource requirements
as a list of resources needed to successfully manage their threats and hazards. Through the
capability estimation process, jurisdictions should identi$r the resources from across the whole
community needed to meet capability targets. Each jurisdiction should decide which
combination of resources is most appropriate to achieve its capability targets.
Reporting
o UASIs are required to submit an annual update to their THIRA. UASIs will submit
their THIRA to the designated State Administrative Agency. THIRA submissions
shall be in alignment with CPG 201, Second Edition. The Urban Area should
coordinate intemally to ensure its submission represents all jurisdictions within the
UASI program. UASI submissions of the THIRA are due no later than December 31,
2014.
o States are required to submit an annual update to their THIRA. States will submit
their THIRA update along with their annual SPR through the Unified Reporting Tool
([IRT) and email a copy of the URT to their respective FEMA Regional Federal
Preparedness Coordinator and copy fema-sor@,fema.dhs. . THIRA submissions
shall be in alignment with CPG 201, Second Edition. State submissions of the
THIRA and SPR are due no later than December 31,2014. The State should
coordinate with each eligible Urban Area to ensure that the UASI THIRA
submissions occur in advance of this deadline, as the State must include the Urban
Area's input when conducting the statewide SPR assessment.
Building and Sustaining Capabilities
HSGP program grantees should ensure that grant funding is utilized to sustain critical core
capabilities within the National Preparedness System that were funded by past HSGP funding
cycles to include training of personnel and lifecycle replacement of equipment. New capabilities
should not be built at the expense of maintaining current and critically needed core capabilities.
If new core capabilities are being sought utilizing HSGP funding, grantees must ensure that the
capabilities are deployable outside of their community to support regional and national efforts or
otherwise shareable with regional partners and aligned with a capability gap identified in the
THIRA/SPR. All capabilities being built or sustained must have a clear linkage to one or more
core capabilities in the Goal.
NIMS Compliance
Grantees receiving HSGP funding are required to implement the National lncident
Management System (NIMS). The NIMS uses a systematic approach to integrate the best
existing processes and methods into a unified national framework for incident management.
lncident management refers to how incidents are managed across all homeland security
activities, including prevention, protection, and response, mitigation, and recovery. FY 2014
grantees must utilize standardized resource management concepts such as typing,
inventorying, orgarizing, and tracking resources that facilitates the identification, dispatch,
deployment, and recovery of their resources.
34
Appendix B-FY2014 HSGP Priorities
Fusion Centers
DHS has identified State and major Urban Area fusion centers as a critical component of our
Nation's distributed homeland security and counterterrorism architecture. They provide
grassroots intelligence and analytic capabilities within the state and local jurisdiction
. To that end, DHS
preparedness grants will continue to support designated State and major Urban Area fusion
centers ( and the
maturation of the Information Sharing Environment (ISE).
A National Network also provides a mechanism for the Federal government to receive
information from State, Local, territory and Tribal parbrers, which helps create a more
complete threat picture at the National level. Participating in the Nationwide SAR Initiative
enables fusion centers to receive and analyze suspicious activity reporting from frontline
public safety persorurel, the private sector, and the public, and ensure the sharing of SAR with
the Federal Bureau of Investigation's Joint Terrorism Task Forces for further investigation.
The 20 t 0 National Security Strategy identifres fusion centers as critical in enlisting all of our
intelligence, law enforcement, fire service, emergency management, and homeland security
capabilities to prevent acts of terrorism on American soil.
In support of this strategic vision, the Department of Homeland Security's Office of
Intelligence & Analysis (DHS I&A) is requiring designated State and major Urban Area
fusion centers to participate in an annual assessment of their achievement of Critical
Operational Capabilities (COCs) and Enabling Capabilities (ECs), as detailed in the Global
Justice lnformation Sharing Initiative's (Global) Baseline Capabilities for State and Major
Urban Area Fusion Centers.
As maturation of the National Network continues to be a high priority in FY 2014, DHS is
requiring that all fusion center related funding requests be consolidated into a single (1)
Investment for States or Urban Areas in which designated fusion centers reside, and this
Investment must address funding support for the designated fusion center. The single
Investment provides state and urban areas a means to centrally manage and report on fusion
center related activities. Grantees must coordinate with the fusion center when developing
a fusion center Investment prior to submission, and the Investment must directly align
to and reference any capability gaps identified during the center's individual2013
Fusion Center Assessment Report. In particular, each proposed project included in the
fusion center Investment must reference the corresponding COC or EC, as well as
associated attribute(s), the funding investment is intended to address. Additionally, any
jurisdiction or agency that leverages HSGP funds to support intelligence- or fusion process-
related activities (i.e., intelligence unit, real time crime information and analysis centers, etc.)
must ensure these efforts are integrated and/or coordinated with the respective designated
State or major Urban Area fusion center(s).
In order to effectively measure implementation of this priority, designated State and major
Urban Area fusion centers leveraging SHSP and/or UASI grant funds will be evaluated based
upon compliance with the guidance and requirements for the National Network of Fusion
Centers as set forth by the DHS Office of Intelligence and Analysis through the annual Fusion
Center Assessment Program.
35
Appendix B-FY20I4 HSGP Priorities
. All FY20l4 Fusion Center Grant requirements are listed at http://www.dhs.gov/{v-2013-
h o me I an d- s e cur i 4v - g r an t -p r o sr am- h s gp.
o All FEMA approved analyst courses that meet the grant requirement are listed at
Reporting
As part of programmatic monitoring, grantees will be required to describe how
expenditures support maintenance and sustainment of current Goal core capabilities
within the BSIR. HSGP grantees will, on a project-by-project basis, check one of the
following:
o Sustaining or maintaining a capability acquired with Federal homeland security
funding;
o Sustaining or maintaining a capability acquired without Federal homeland security
funding;
o Developing or acquiring a new core capability;
. Through the SF-PPR, fusion centers will report on the achievement of capabilities
and compliance with measurement requirements within the Maturation and
Enhancement of State and Major Urban Area Fusion Centers priority through the
annual Fusion Center Assessment Program managed by DHS I&A and reported to
FEMA.
r Grantees will use the SPR to report NIMS implementation.
Planning to Deliver Capabilities
State grantees shall develop, maintain, or revise as necessary, jurisdiction-wide, all threats and
hazards EOPs consistent with CPG I0l v.2, which seryes as the foundation for State, local,
Tribal, and territory emergency planning. Grantees must update their EOP at least once every
two years.
In building future EOPs, planners should anticipate the increasing complexity and decreasing
predictability of the future operating environment. These efforts should actively use strategic
foresight, including the multiple driving forces of change and the associated evolving strategic
needs shown in FEMA's Crisis Response and Disaster Resilience 2030 Reporf. The Report can
be found at
initiative.
Reporting
r Grantees will use the SPR to report EOP compliance with CPG 101 v2.
Validating C apabil ities
Grantees should develop long-term training and exercise priorities that examine, validate and/or
address the capability gaps identified through their annual THIRA and SPR by developing a
multi-year Training and Exercise Plan (TEP). Grantees should also review and consider areas
for improvement identified from real-world events and exercises, and national areas for
improvernent identifred in the 2013 National Preparedness Report.
The TEP should consider the risks and capability requirements described in the THIRA along
with the guidance provided by elected and appointed officials to identiff and set training and
36
Appendix B-FY20I4 HSGP Priorities
exercise program priorities and develop a multi-year schedule of exercise events and supporting
training activities to meet those priorities A TEP that is developed from a Training and Exercise
Planning Workshop (TEPW) provides a roadmap to accomplish the multi-year priorities
identified by elected and appointed officials and whole community stakeholders. These priorities
help curriculum and exercise planners design and develop a progressive program of training and
exercises that build, sustain, and deliver core capabilities. Information related to TEPs and
TEPWs can be found on the HSEEP website at https://www.llis.dhs.gov/hseep.
All grantees will develop and maintain a progressive exercise program consistent with Homeland
Security Exercise and Evaluation Program (HSEEP) (https://wryvw.ttis.an . I
progressive, multi-year exercise program enables organizations to participate in a series of
increasingly complex exercises, with each successive exercise building upon the previous one
until mastery is achieved while also taking into account prior lessons leamed. Regardless of the
exercise type, each exercise within the progressive series is linked to a set of common program
priorities and desigued to test associated capabilities.
Reporting
. Following the TEPW, all grantees and sub-grantees are required to develop a multi-
year training and exercise plan that identifres combination of exercises, along with
associated training requirements, that address the priorities identified in the TEPW.
The training and exercise plan shall be submittedto hseep@dhs.gov no later than 90
days after the TEPW. States are encouraged to post their schedules to the National
Exercise Scheduling System (NEXS) at
o Consistent with the national exercise program, grantees shall develop and maintain a
progressive exercise program. Grantees must either submit one After Action
ReporUlnaprovement Plan (AAR/IP) that captures the lessons learned and corrective
actions from the progressive exercise program conducted within the HSGP Period of
Performance; or submit individual AAR/IPs for each HSGP-funded
exercise. AAR/IPs should be submitted to hseep@fema.dhs.sov and include a list of
corrective actions and lessons learned, no later than 90 days after completion of the
exercise. In accordance with HSEEP guidance grantees are reminded of the
importance of implementing corrective actions iteratively throughout the progressive
exercise cycle. Grantees are encouraged to use the HSEEP AAR/IP template located
at https://www.llis.dhs/hseep and utilize the Corrective Action Program (CAP)
System at https://hseep.dhs.gov/caps/, as a means to track the implementation of
corrective actions listed in the AARflP.
Reviewing and Updating
On a recurring basis, capabilities, resources, and plans should be reviewed to determine if they
remain relevant or need to be updated as it relates to the HSGP. This review should be based on
a current risk assessment and ltilize information gathered during the validation process. These
reviews will provide a means to examine preparedness analyses; determine priorities; direct
preparedness actions; and calibrate goals and objectives. FY 2014 HSGP requires State and
Urban Area Homeland Security Strategies be updated every other year, and shall be infonned
by THIRA process results. The assessment and results support communities' strategic planning
37
Appendix B-FY2014 HSGP Priorities
initiative and infonns efforts needed to adapt to and manage the changing risk landscape,
sustain strengths, and obtain or borrow resources from whole community partners.
Supplemental SHSP Guidance
Collaboration with Other Federal Preparedness Programs
DHS strongly encourages States, Urban Areas, and regions to understand other Federal
preparedness programs in their jurisdictions and to work with them in a collaborative manner to
leverage all available resources and avoid duplicative activities. For example, U. S. Department
of Health and Human Services (HHS) has two robust preparedness programs - Center for
Disease Control (CDC) Public Health Emergency Preparedness (PI{EP) cooperative agreement
program and Assistant Secretary for Preparedness and Response's (ASPR's) Hospital
Preparedness Program (IfP) cooperative agreement program - that focus on preparedness
capabilities. CDC's l5 public health preparedness capabilities and ASPR's eight healthcare
preparedness capabilities serve as operational components for many of the Goal core capabilities,
and collaboration with the PfmP directors and HPP coordinators can build capacity around
shared interests and investments that fall in the scope of these HHS cooperative agteements and
the2014 HSGP.
Each SHSP and UASI funded Investnent that addresses biological risk, patient care or health
systems preparedness should be implemented in a coordinated manner with other Federal
emergency preparedness programs such as those administered by the HHS Office of the
Assistant Secretary for Preparedness and Response, the CDC, and the U.S. Department of
Transportation' s (DOT) National Highway Traffi c Safety Administration.
Governance
Keeping with the guiding principles of govemance for all DHS preparedness programs, grantees
must coordinate with their stakeholders to examine how they integrate preparedness activities
across disciplines, agencies, and levels of government, including State, territorial, local, and
Tribal units of government. A cohesive planning framework should be incorporated that builds
and implements homeland security initiatives which leverage DHS resources, as well as other
Federal, State, territory, local, private sector, faith-based community, and Tribal resources.
Specific attention should be paid to how all available preparedness funding sources (multiple
Federal sources as well as State and local sources) can be effectively utilized in a collaborative
manner to support the whole community approach to emergency preparedness and management
and to the enhancernent of overall capabilities. To accomplish this, the SAA must establish or
reestablish a unified Senior Advisory Committee (SAC).
Senior Advisory Committee
The SAC builds upon govemance structures that may already be established under different
FEMA preparedness grant programs, but the nature and govemance of this Committee was new
for FY 2013 and continues in FY 2014 for HSGP. The SAC should build upon previously
established advisory bodies under HSGP (including the SHSP and UASI programs), Nonprofit
Security Grant Program (NSGP), Transit Security Grant Program (TSGP), and Port Security
Grant Program (PSGP), which currently exist in support of States and Urban Areas, Tribal
nations, non-profrt organizations, transit agencies and Amtrak, and port areas. Examples of
advisory bodies that should be included on the SAC include: Urban Area Working Groups
38
Appendix B-FY2014 HSGP Priorities
(UAWGs), Statewide Interoperability Governing Board (SIGB), Area Maritime Security
Committees (AMSCs), Regional Transportation Security Working Groups (RTSWGs), Citizen
Corps Councils, and Children's Working Groups. To ensure a whole community effort, SAC
membership should include representatives of these various stakeholder groups/committees, and
should also include direct or indirect representation for all relevantjurisdictions and response
disciplines (including law enforcement, fire service, and emergency management), UASl-funded
Urban Areas, as well as Citizen Corps Councils, Tribal representatives, non-profit, faith based,
and voluntary organizations such as the American Red Cross. SACs are encouraged to develop
subcommittee strucfures, as necessary, to address issue- or region-specific considerations in
support of overarching implementation.
The responsibilities of a SAC include:
o Integrating preparedness activities across disciplines, the private sector, non-profit
organizations, faith-based, community, and all levels of government, including local,
State, Tribal, and territorial, with the goal of maximizing coordination and reducing
duplication of effort;
o Creating a cohesive planning network and framework that builds and implements
preparedness initiatives which leverage DHS resources, as well as other Federal, State,
territorial, local, private sector, faith-based community, and Tribal resources;
o Management of all available preparedness funding sources (multiple Federal sources as
well as State and local sources) to enhance effective utilization of and elimination of
duplication of effort across all stakeholders and disciplines; and
. Ensuring that the application for SHSP and UASI funds align with the THIRA and work
to fill capability gaps identified in the SPR.
Senior Advisory Committee Composition and Scope
1. Membership
The SAC must include whole community intrastate and interstate partners as applicable
and have balanced representation among entities with operational responsibilities for
terrorism/disaster prevention, protection, mitigation, response, and recovery activities
within the State.
The membership of the SAC must reflect the threats and hazards identified in the State's
THIRA as well as each of the core capabilities, in particular those core capabilities
identified as having large capability gaps identified in the State's most recent State
Preparedness Report (SPR). SAAs will use the URT to veriff compliance of SAC
charter requirements. Further, the SAC must include representatives that were involved
in the production of the State's THIRA and represent the interests of the five mission
areas as outlined in the Goal.
The above membership requirement does not prohibit States, Urban Ateas, regional
transit and port entities, or other recipients of DHS preparedness funding from retaining
their existing structure under separate programs; however, at a minimum, those bodies
must support and feed into the larger SAC. The composition, structure and charter of the
39
Appendix B-FY2014 HSGP Priorities
)
SAC should reflect this focus on building core capabilities, instead of simply joining
previously existing advisory bodies under other grant programs.
The SAA must ensure that appropriate representation from defined UASl-funded Urban
Areas is included on the SAC. FEMA strongly encourages that, wherever possible,
previously established local working goups be leveraged for this purpose to ensure that
UASI resources are managed in the most efficient and effective manner possible. The
UAWG should also support State efforts to develop the THIRA and SPR, particularly as
it relates to UASI activities.
For designated Urban Areas, the SAA POCs are responsible for identifying and
coordinating with the POC for the UAWG, who should be a member of the SAC. The
POC's contact information must be provided to FEMA with the grant application. SAAs
must work with existing Urban Areas to ensure that information for current POCs is on
file with FEMA.
Finally, FEMA recommends that organizations advocating on behalf of vulnerable
populations including youth, the elderly and individuals with functional needs, socio-
economic factors and cultural diversity, be invited to participate in the SAC.
Collaboration with State agencies and other stakeholder organizations
Program representatives from the following entities must be members of the SAC (as
applicable): State Homeland Security Advisor (HSA) (if this role is not also the SAA),
State Emergency Management Agency (EMA) Director, State Public Health Officer,
State Public Safety Offrcer (and SAA for Justice Assistance Grants, if different), State
Coun Official, State Emergency Medical Services (EMS) Director, State Trauma System
Manager, Statewide Interoperability Coordinator, State CituenCorps Council, the State
Emergency Medical Services for Children (EMSC) Coordinator, State Education
Department, State Human Services Department, State Child Welfare Services, State
Juvenile Justice Services, Urban Area POC, Senior Members of AMSCs, Senior
Members of the RTSWG, Senior Security Offrcials from Major Transportation Systems,
and the Adjutant General.
Whole Community Engagement
SHSP and UASI grantees must engage with the whole community to advance community
and individual preparedness and to work as a nation to build and sustain resilience (see
htto://vwvw.&ma.gov/whole-communit.v\. Grantees must also integrate the needs of
children and individuals with disabilities or access and functional needs into activities
implemented with SHSP and UASI funds.
Collaboration with Nonprofit Organizations
SHSP and UASI grantees must also work with the nonprofit community, including
through the dedication of LETPA funds and resources, to address terrorism prevention
concerns, seek input on the needs ofthe nonprofit sector, and support the goals oftheir
investments.
40
Appendix B-FY20I4 HSGP Priorities
3.
4.
5. Collaboration with Tribes
FEMA strongly encourages States, Urban Areas, and regions to work with Tribal nations
in overall initiatives such as whole community preparedness and ernergency management
planning.
6. Coordination with other Federal agencies and programs
States and Urban Areas must coordinate among the entire scope of Federal partners,
national initiatives and grant programs to identify opportunities to leverage resources
when implementing their preparedness programs. This may include but is not limited to:
Medical Reserve Corps, CDC, and ASPR. Emergency Medical Services for Children
(EMSC) grants, ASPR Hospital Preparedness Program (IfP), CDC Public Health
Emergency Preparedness (PHEP), CDC Cities Readiness Initiative (CRI), Strategic
National Stockpile Programs, and EMS. However, coordination is not limited to grant
funding. It also includes leveraging assessments such as TSA's Baseline Assessment and
Security Enhancement (BASE); reporting from the Intelligence Community, risk
information such as U.S. Coast Guard's Maritime Security Risk Analysis Model
(MSRAM), and CBP SectorAnalysis.
Senior Advisory Committee Charter
The governance of the SHSP and UASI programs through the SAC must be directed by a
charter. All members of the SAC should sign and date the charter showing their agreement with
its content and their representation on the Committee. Revisions to the govenring charter must be
sent to the grantee's assigned FEMA Program Analyst. The SAC charter must at a minimum
address the following:
o A detailed description of the SAC's composition and an explanation of key governance
processes, including how SAC is inforrned by the State's THIRA and SPR data reflecting
capability gaps and the approach to address gaps in core capabilities;
o A description of the frequency at which the SAC will meet;
o How existing governance bodies will be leveraged by the Committee;
. A detailed description of how decisions on programmatic priorities funded by SHSP and
UASI are made and how those decisions will be documented and shared with its
members and other stakeholders, as appropriate; and
. A description of defined roles and responsibilities for financial decision making and
meeting administrative requiranents.
To ensure ongoing coordination efforts, SAAs are encouraged to share community preparedness
information submitted in the State's BSIR with members of the SAC. The charter should be
made available upon request to promote transparency in decision-making related to HSGP
activities.
To manage this effort and to further reinforce collaboration and coordination across the
stakeholder community, a portion of the 20 percent (20%) holdback of a State or territory award
may be utilized by the SAA for the purpose of supporting the SAC and to ensure representation
and active participation of SAC members. Funding may be used for hiring and training plarurers,
establishing and maintaining a program management structure, identifying and managing
4L
Appendix B-FY2014 HSGP Priorities
projects, conducting research necessary to inform the planning process, and developing plans
that bridge mechanisms, documents, protocols, and procedures.
SAAs will use the URT to verify compliance of SAC charter requirements.
Supplemental UASI Guidance
The UASI program is intended to provide financial assistance to address the unique multi-
discipline planning, organization, equipment, training, and exercise needs of high-threat, high-
density Urban Areas, and to assist these areas in building and sustaining capabilities to prevent,
protect against, mitigate, respond to, and recover from threats or acts of terrorism using the
Whole Community approach. Many capabilities which support terrorism preparedness
simultaneously support preparedness for other hazards. Grantees must demonstrate the dual-use
quality for any activities implemented that are not explicitly focused on terrorism preparedness.
Urban Areas must use UASI funds to employ regional approaches to overall preparedness and
are encouraged to adopt regional response structures whenever appropriate. UASI program
implementation and govemance must include regional partners and should have balanced
representation among entities with operational responsibilities for prevention, protection,
mitigation, response, and recovery activities within the region. In some instances, Urban Area
boundaries cross State borders. States must ensure that the identified Urban Areas take an
inclusive regional approach to the development and implementation of the UASI program and
involve the contiguous jurisdictions, mutual aid partners, port authorities, rail and transit
authorities, State agencies, State Wide lnteroperability Coordinators, Citizen Corps Council(s),
and campus law enforcement in their program activities.
Grantees must also demonstrate the integration of children and individuals with disabilities or
access and functional needs into activities implemented under this program.
Composition
Pursuant to provisions of the glll Act, eligible UASI sites were determined based on an analysis
of relative risk of the 100 most populous Metropolitan Statistical Areas (MSAs), as defined by
OMB. MSAs are used by DHS to determine eligibility for participation in the program.
Geographical areas queried do not equate to minimum mandated membership representation of
an Urban Area, nor does this guarantee funding for geographical areas queried. UAWGs must
continue to take a regional approach to membership but are not required to expand or contract
existing Urban Area participation to conform to MSA composition. Detailed information on
MSAs is publicly available from the United States Census Bureau at
h ttp : //vwvw. c e n s u s. gov /popul ation/vwvw/me troar eas /metro dqf. h tml.
UASI Program Requirements
The SAA will be responsible for ensuring compliance with the fiduciary and programmatic
administration requirements of the UASI program.
o Identify POCs. The SAA must confrrn a specific POC with the designated Urban Area.
The SAA POCs are responsible for identifying and coordinating with the POC for the
UAWG. This infomration must be provided to FEMA with the grant application. SAAs
42
Appendix B-FY2014 HSGP Priorities
must work with existing Urban Areas to ensure that information for current POCs is on
file with FEMA.
Define the Urban Area. The SAA POC, in coordination with the candidate Urban
Areas, must define the Urban Area, as it will apply to the UASI program. The identified
city or combined entity represents the candidate Urban Area eligible to apply for funding
under the UASI progftlm. For those Urban Areas with a combined entity, that area
represents the minimum area that must be part of the defined Urban Area. The defrnition
of the Urban Area is limited to jurisdictions contiguous to the geographic area used to
determine eligibility, or those jurisdictions in that area which have established formal
mutual aid agreements. States may request a waiver for this limitation for regions
previously established by Executive Order, law, or compact. For the puposes of the
UASI program, the Washington, D.C. Urban Area will consist of the National Capital
Region (NCR) as set forth in 10 U.S.C.52674(DQ). In coordination with the UAWG,
the SAA POC may redefine the geographic boundaries of an existing Urban Area, as it
will apply to the UASI program. The SAA POC must notifu FEMA of this change.
Establish the UAWG. Membership i, the UAWG mustprovide either direct or indirect
representation for all relevant jurisdictions and response disciplines (including law
enforcement, fire service, EMS, and emergency management) that comprise the defined
Urban Area. It must also be inclusive of local Citizer. Corps Council or their equivalent
and Tribal representatives. The UAWG should also ensure the integration of local
emergency management, public health, and health care systems into a coordinated,
sustained local capability to respond effectively to a mass casualty incident. In addition,
the UAWG should include officials responsible for the administration of CDC and ASPR
cooperative agreements. Finally, it is recommended that members advocating on behalf
of vulnerable populations including youth, the elderly and individuals with functional
needs, socio-economic factors and cultural diversity, be invited to provide representation.
The SAA POC must ensure that appropriate representation for the defined Urban Area is
included per this guidance. FEMA strongly encourages that, wherever possible,
previously established local working groups should be leveraged for this purpose to
ensure that UASI funded resources are managed in the most efficient and effective
manner possible. The UAWG may also support State efforts to develop the SPR,
particularly as it relates to UASI funded activities.
Governance. The jurisdictions identified in Appendix A - FY 2014 Program
Allocations represent the candidate Urban Areas eligible to apply for funding. The
UAWG will be responsible for coordinating the development and implementation of all
program initiatives. States and Urban Areas must consider including counties within
which the cities reside, contiguous jurisdictions, MSAs, operational areas, and mutual aid
partners, as appropriate, in the govemance process.
ln keeping with sound project management practices, the UAWG must ensure that its
approach to critical issues such as membership, governance structure, voting rights, grant
management and administration responsibilities, and funding allocation methodologies
43
Appendix B-FY2014 HSGP Priorities
are forrnalized in a working group charter or other fonn of standard operating procedure
related to the UASI program governance. The charter must also outline how decisions
made in UAWG meetings will be documented and shared with UAWG members. The
UAWG charter must be on file with FEMA prior to drawing down UASI funding and
must be available to all UAWG members to promote transparency in decision-making
related to the UASI pro$am.
UASIs will use the URT to veriff UAWG structure and membership. Urban Areas must
notify the SAA and FEMA Program Analyst of any updates to the UAWG structure or
membership.
Develop Urban Area THIRA. As a result of the improved governance process and the
rationale for maintaining and sustaining existing capabilities and the development of new
capabilities, members of the UAWG should be involved in the development of an Urban
Area THIRA coordinated with the State THIRA, and subsequent updates.
Urban Area Homeland Security Strategy. Urban Area Homeland Security Strategies
should be updated every two years at a minimum, to ensure that their strategies continue
to address prevention, protection, mitigation, response, and recovery, and reflect how
their goals and objectives align to the Goal and the Whole Community approach.
Allocation of Funds. The use and allocation of all grant funds available through the
UASI program must focus on the Invesfinents identified in the Urban Atea's IJ and the
implementation of the FEMA-approved Urban Area Homeland Security Strategy. The
use of funds must also be consistent with overall UASI progrcm guidelines, the State
Homeland Security Strategy, the National Preparedness System, and must develop or
sustain one or more core capabilities in the Goal. Funds used to support whole
community and individual preparedness related efforts, such as engaging non-
governmental organizations and vulnerable populations demonstrating the integration of
children and individuals with disabilities or access and functional needs in all phases of
emergency management, participation of disaster volunteers, such as Community
Emergency Response Teams (CERTs) in training, exercises and response and recovery
operations, and educating the public should be coordinated with local CERT programs
and/or Citizen Corps Councils.
The UAWG, in coordination with the SAA POC, must develop a methodology for
allocating funding available through the UASI program. The UAWG must reach
consensus on all UASI funding allocations. If consensus cannot be reached within the 45-
day time period allotted for the State to obligate funds to sub-grantees, the SAA must
make the allocation deterrnination. The SAA must provide written documentation
verifying the consensus of the UAWG, or the failure to achieve otherwise, on the
allocation of funds and submit it to FEMA immediately after the 45-day time period
allotted for the State to obligate funds to sub-grantees.
Any UASI funds retained by the State must be used in direct support of the Urban Area.
States must provide documentation to the UAWG and FEMA upon request
44
Appendix B-FY20I4 HSGP Priorities
demonstrating how any UASI funds retained by the State are directly supporting the
Urban Area. If the SAA intends to retain any UASI funds, the SAA must prepare an
Investment that demonstrates how the retained funds will be used to directly support the
designated Urban Area in the State. This Investment should be included in the designated
Urban Area's IJ.
Supplemental OPSG Guidance
OPSG provides funding to designated localities to enhance cooperation and coordination
between Federal, State, local, Tribal, and territorial law enforcement agencies in a joint mission
to secure the United States borders along routes of ingress from intemational borders to include
travel corridors in States bordering Mexico and Canada, as well as States and territories with
International water borders.
OPSG is intended to support United States border States and territories in accomplishing the
following objectives:
. Increase capability to prevent, protect against, and respond to border security issues;
. Encourage local operational objectives and capabilities to enhance National and State
Homeland Security Strategies (such as the Federal Secure Borders Initiative and United
States CBP/ BP strategies);
o Increase coordination and collaboration among Federal, State, local, Tribal, and territorial
law enforcement agencies;
. Continue the distinct capability enhancements required for border security and border
protection;
r Provide intelligence-based operations through CBP/BP Sector Level experts to ensure
safety and operational oversight ofFederal, State, local, Tribal, and territorial law
enforcement agencies participating in OPSG operational activities;
. Support a request to the Govemor to activate, deploy, or redeploy specialized National
Guard Units/Packages and/or elements of State law enforcement to increase or augment
specialized/technical law enforcement elements operational activities; and
o Continue to increase operational, material and technological readiness of State, local,
Tribal, and territorial law enforcement agencres.
OPSG funds must be used to increase operational capabilities of Federal, State, local, Tribal, and
territorial law enforcement, promoting a layered, coordinated approach to law enforcement
within United States border States and territories.
. Federal, State, Local, Tribal, and Territorial OPSG Integrated Planning Team
(IPT). It is recommended that Federal, State, local, Tribal, and territorial partners
establish and maintain an OPSG IPT with representation from all participating law
enforcement agencies, co-chaired by representatives from CBP/BP, the SAA, and
participating law enforcement agencies' OPSG program representatives.
Coordination Requirements
All operational plans should be crafted in cooperation and coordination among Federal, State,
local, Tribal, and territorial partners. Consideration will be given to applications that are
45
Appendix B-FY20I4 HSGP Priorities
coordinated across multiple jurisdictions. All applicants must coordinate with the CBP/BP
Sector Headquarters with geographic responsibility for the applicant's location in developing and
submitting an Operations Order with an embedded budget to the SAA.
After awards are announced, prospective grant recipients will re-scope the draft Operations
Order and resubmit as a final Operations Order with an embedded budget, based on actual dollar
amounts to be awarded. Final Operations Orders will be approved by the appropriate Sector
Headquarters and forwarded to Headquarters, Office of Border Patrol, Washington, D.C., before
funding is released.
Grantees may not begin operations, obligate, or expend any funds until the final Operations
Order and embedded budget has been approved by FEMA GPD and CBPiBP Headquarters and
any existing special conditions and/or restrictions are removed. OPSG activities are expected to
maximize HSGP strategic planning efforts and integration with State, Tribal, territory, Urban
Area, and local Homeland Security Strategies.
Management and Administration (M&A)
For information on how to determine M&A for OPSG awards, please review GPD policy,
Clarificationfor Allowable Management and Administration (M&A) Costs under the Operation
Stonegarden Grant Program, dated June 25,2013. The policy is located at
http : //www.fema. gov/media-library/ass ets/documents/ 3 3 5 7 7.
46
Appendix B-FY2014 HSGP Priorities
Additional Funding Considerations
Below are additional areas to consider where funding can be applied to strengthen preparedness
efforts.
Enhancing Cybersecurity Capabilities
Applicants are encouraged to propose projects to aid in implementation of all or part of the
National Institute of Standards and Technology (NIST) Cyber Security Framework when
requesting funds for cybersecurity. The CSF is available at
The
Framework gathers existing global standards and practices to help organizations understand,
communicate, and manage their cyber risks. For organizations that don't know where to start,
the Framework provides a road map. For organizations with more advanced cybersecurity, the
Framework offers a way to beffer communicate with their leadership and with suppliers about
management of cyber risks.
The Department of Homeland Security's Critical lnfrastructure Cyber Community C3 Voluntary
Program also provides resources to critical infrastructure owners and operators to assist in
adoption of the Framework and managing cyber risks. For more information visit http://vwvw.us-
cert.gov/ccubedvp.
Mass Casualty Incident Preparedness and Citizen Preparedness
Although the Citizen Corps Program (CCP) and Metropolitan Medical Response System
(MMRS) are no longer funded as discrete grant programs within HSGP, States may include IJs
funding and supporting CCP and MMRS activities/programs. Activities funded under these
projects must meet the allowability requirements of the SHSP and UASI programs. The
following coordination requirements will remain in place for proposed activities that support
mass casualty incident preparedness, as well as citizen preparedness.
Mass casualty preparedness must be conducted in collaboration with State/cityllocal health
departments that administer Federal funds from HHS to enhance the integration of local
emergency management, public health, and health care systems into a coordinated, sustained
local capability to respond effectively to a mass casualty incident or a response to catastrophic
events and acts of terrorism. Grantees must also demonstrate how their lnvestments will
increase the effectiveness of emergency preparedness planning and response for the whole
community by integrating and coordinating activities for vulnerable populations including
children, the elderly, pregnant women, and individuals with disabilities and others with access
and functional needs. Further, grantees are strongly encouraged to collaborate with local,
regional, and State public health and health care partners, including Medical Reserve Corps
Units and Citizen Corps Councils or their equivalent, as well as leverage other Federal programs,
such as the HHS ASPR Hospital Preparedness Program and Emergency Systems for Advance
Registration of Volunteer Health Professionals (ESAR-VHP), CDC Cities Readiness Initiative
(CRI), PHEP, and Strategic National Stockpile Programs.
To demonstrate whole community engagement,Citizer.Corps Councils and Community
Emergency Response Teams (CERTs) progrcms must register new programs or update
information on the website in order to be considered by a state or local jurisdiction for inclusion
in their IJs when applying for HSGP funds. Program updates can be made at
47
Appendix B-FY2014 HSGP Priorities
http://www.ready.gov/citizen-corps and at http://www.fema.gov/communitv-emergencv-response-
teams. The Citizen Corps and CERT Core Capabilities Tool (CCT) has been developed to help
grantees develop IJs that reference how Citizen Corps and CERT activities contribute to and
support core capabilities. The CCT is available at htto://vryryv.readv.sov/citizen-corps/citizen-
co rp s - gr ant- information- and .financi al -r es our ces .
Citizenpreparedness must be coordinated by an integrated body of government and
nongovernmental representatives. State and local government recipients of HSGP funds must
have a coordinating body to serve as their Citizen Corps Council, with membership that includes,
but is not limited to: representatives from emergency management, homeland security, law
enforcement, fire service, EMS, public health or their designee, elected officials, the private
sector (especially privately owned critical infrastructure), private nonprofits, nongovernmental
orgarizations (including faith-based, community-based, and voluntary orgarizations), and
advocacy groups for children, seniors, people with disabilities and others with access and
functional needs.
48
Appendix B-FY2014 HSGP Priorities
Appendix G - Funding Guidelines
Grantees must comply with all the requirements in44 CFR Part $13 and 2 CFR Part $215.
In general, grantees should consult with their FEMA Headquarters Program Analyst prior to
making any Investment that does not clearly meet the allowable expense criteria established by
the FOA. Funding guidelines established within this section support the five mission areas-
Prevention, Protection, Mitigation, Response, and Recovery-and associated core capabilities
within the Goal.
Allowable Investments made in support of the HSGP priorities as well as other capability-
enhancing projects must fall into the categories of planning, organization, exercises, training, or
equipment.
Planning (SHSP and UASI)
SHSP and UASI funds may be used for a range of emergency preparedness and management
planning activities and such as those associated with the development of the THIRA, SPR, and
other planning activities that support the Goal and placing an emphasis on updating and
maintaining a current EOP that conforms to the guidelines outlined in CPG 101 v 2.0 For
additional information, please see
http : //www.fema. g ov/pdf/about/divis ion s/npd/C P G _1 0 I _V2.pdf.
Organization (SHSP and UASI Only)
Or garizational activities inc lude :
r Program management;
o Development of whole community parhrerships, through groups such as Citizen Corp
Councils;
r Structures and mechanisms for information sharing between the public and private sector;
. Implementing models, programs, and workforce enhancement initiatives to address
ideologically-inspired radicalization to violence in the homeland;
e Tools, resources and activities that facilitate shared situational awareness between the
public and private sectors;
. Operational Support;
. Utilization of standardized resource management concepts such as typing, inventorying,
organizing, and tracking to facilitate the dispatch, deployment, and recovery of resources
before, during, and after an incident;
. Responding to an increase in the threat level under the National Terrorism Advisory
System (NTAS), or needs in resulting from a National Special Security Event; and
. Payrng salaries and benefits for personnel to serve as qualified intelligence analysts.
States and Urban Areas must justiff proposed expenditures of SHSP or UASI fi.rnds to support
organization activities within their IJ submission by using historical data or other analysis. All
States are allowed to utilize up to 50 percent (50o/o) of their SHSP funding and all Urban Areas
are allowed up to 50 percent (50%) of their UASI funding for personnel costs. At the request of
49
Appendix C-FY20I4 HSGP Funding Guidelines
a recipient of a grant, the Administrator may grant a waiver of the 50 percent (50%) limitation
noted above. Organzational activities under SHSP and UASI include:o Intelligence analysts. Per the Personnel Reimbursement for Intelligence Cooperation
and Enhancement (PRICE) of Homeland Security Act (Public Law 110-412), SHSP and
UASI funds may be used to hire new staff and/or contractor positions to serve as
intelligence analysts to enable inforrnation/intelligence sharing capabilities, as well as
support existing intelligence analysts previously covered by SHSP or UASI funding. In
order to be hired as an intelligence analyst, staff and/or contractor personnel must meet at
least one of the following criteria:
- Successfully complete training to ensure baseline proficiency in intelligence
analysis and production within six months of being hired; and/or,
- Previously served as an intelligence analyst for a minimum of t'wo years either in
a Federal intelligence agency, the military, or State andlor local law enforcement
intelligence unit
As identified in the Maturation and Enhancement of State and Major Urban Area Fusion
Centers priority, all fusion center analytic personnel must demonstrate qualifications that meet or
exceed competencies identified inthe Common Competencies for State, Local, and Tribal
Intelligence Analysts, which outlines the minimum categories of training needed for intelligence
analysts. A certificate of completion of such training must be on file with the SAA and must be
made available to the grantee's respective FEMA Program Analyst upon request. In addition to
these training requirements, fusion centers should also continue to mature their analytic
capabilities by addressing gaps in analyic capability identifred during the fusion center's annual
assessment.
Overtime costs. Overtime costs are allowable for personnel to participate in
information, investigative, and intelligence sharing activities specifically related to
homeland security and specifically requested by a Federal agerrcy. Allowable costs are
limited to overtime associated with federally requested participation in eligible fusion
activities, including anti-terrorism task forces, Joint Terrorism Task Forces (JTTFs), Area
Maritime Security Committees (as required by the Maritime Transportation Security Act
of 2002), DHS Border Enforcement Security Task Forces, and Integrated Border
Enforcement Teams. Grant funding can only be used in proportion to the Federal man-
hour estimate, and only after funding for these activities from other Federal sources (i.e.,
FBI JTTF payrrrents to State and local agencies) has been exhausted. Under no
circumstances should DHS grant funding be used to pay for costs already supported by
funding from another Federal source.
Operational overtime costs. In support of efforts to enhance capabilities for detecting,
deterring, disrupting, and preventing acts of terrorism, operational overtime costs are
allowable for increased security measures at critical infrastructure sites. SHSP or UASI
funds for organizational costs may be used to support select operational expenses
associated with increased security measures at critical infrastructure sites in the following
authorized categories :
- Backfill and overtime expenses for staffing State or Major Urban Area fusion
centers;
50
Appendix C-FY20I4 HSGP Funding Guidelines
Hiring of contracted security for critical infrastructure sites;
- Participation in Regional Resiliency Assessment Program (RRAP) activities;
- Public safety overtime;
Title 32 or State Active Duty National Guard deployments to protect critical
infrastructure sites, including all resources that are part of the standard National
Guard deployment package (Note: Consumable costs, such as fuel expenses, are
not allowed except as part of the standard National Guard deployment package);
and
lncreased border security activities in coordination with CBP, as outlined in IB
135
bulletins.t.
SHSP or UASI funds may only be spent for operational overtime costs upon prior approval
provided in writing by the FEMA Administrator.
Note: States with UASI jurisdictions can use funds retained at the State level to reimburse
eligible operational overtime expenses incurred by the State (per the above guidance limitations
and up to a maximum of 50 percent (50%) of the State share of the UASI gran|. Any UASI
funds retained by the State must be used in direct support of the Urban Area. States must
provide documentation to the UAWG and FEMA upon request demonstrating how any UASI
funds retained by the State would directly support the Urban Area.
Equipment (SHSP and UASI)
The 2l allowable prevention, protection, mitigation, response, and recovery equipment
categories and equipment standards for HSGP are listed on the web-based version of the
Authorized Equipment List (AEL) on the Lessons Leamed Information System at http://llis.gov/.
Unless otherwise stated, equipment must meet all mandatory regulatory and/or DHS-adopted
standards to be eligible for purchase using these funds. In addition, agencies will be responsible
for obtaining and maintaining all necessary certifications and licenses for the requested
equipment.
Grant funds may be used for the procurement of medical countermeasures. Procurernent of
medical countermeasures must be conducted in collaboration with State/cityllocal health
departments who administer Federal funds from HHS for this purpose. Procurement must have a
sound threat based justification with an aim to reduce the consequences of mass casualty
incidents during the first crucial hours of a response. Prior to procuring pharmaceuticals,
grantees must have in place an inventory management plan to avoid large periodic variations in
supplies due to coinciding purchase and expiration dates. Grantees are encouraged to enter into
rotational procurement agreements with vendors and distributors. Purchases of pharmaceuticals
must include a budget for the disposal of expired drugs within each fiscal year's the period of
performance for HSGP. The cost of disposal cannot be carried over to another FEMA grant or
grant period.
Training (SHSP and UASI)
Allowable training-related costs under HSGP include the establishment, support, conduct, and
attendance of training specifically identified under the SHSP and UASI programs and/or in
51
Appendix C-FY20I4 HSGP Funding Guidelines
conjunction with emergency preparedness training by other Federal agencies (e.g., HHS and
DOT). Training conducted using HSGP funds should address a performance gap identified
through an After Action Report/Improvement Plan (AAR/IP) or other assessments (e.g., National
Emergency Communications Plan INECP] Goal Assessments) and contribute to building a
capability that will be evaluated through a formal exercise. Any training or training gaps,
including those for vulnerable populations including children, the elderly, pregnant women, and
individuals with disabilities or access and functional needs, should be identifred in the AAR/IP
and addressed in the State or Urban Area fiaining cycle. Grantees are encouraged to use
existing training rather than developing new courses. When developing new courses, grantees
are encouraged to apply the Analysis, Design, Development, Implementation and Evaluation
model of instructional design (Course Development Tool) located at
h ttps : //www..fi rs tr e sp o n der tr ainin g. gov.
Exercises (SHSP and UASI)
Exercises conducted with FEMA support should be managed and executed in accordance with
HSEEP. HSEEP guidance for exercise design, development, conduct, evaluation, and
improvement planning is located at https : //www. IIis. dhs. gov/hs eep.
Maintenance and Sustainment (SHSP, UASI, and OPSG)
The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or
replacement costs, upgrades, and user fees are allowable, as described in FEMA Policy FP 205-
402-125-I (htto://www.-fema.sov/media-library/assets/documents/3247O under all active and
future grant awards, unless otherwise noted. With the exception of maintenance plans purchased
incidental to the original purchase of the equipment, the period covered by a maintenance or
warranty plan must not exceed the period of performance of the specific grant funds used to
purchase the plan or warranty.
Grant funds are intended to support the Goal by funding projects that build and sustain the core
capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover
from those threats that pose the greatest risk to the security of the Nation. In order to provide
grantees the ability to meet this objective, the policy set forth in GPD's IB 379 (Guidance to
State Administrative Agencies to Expedite the Expenditure of Certain DHSffEMA Grant
Funding) allows for the expansion of eligible maintenance and sustainment costs which must be
in 1) direct support of existing capabilities; (2) must be an otherwise allowable expenditure under
the applicable grant program; (3) be tied to one of the core capabilities in the five mission areas
contained within the Goal, and (4) shareable through the Emergency Management Assistance
Compact. Additionally, eligible costs must also be in support of equipment, training, and critical
resources that have previously been purchased with either Federal grant or any other source of
funding other than DHS/FEMA preparedness grant program dollars.
Law Enforcement Terrorism Prevention Allowable Costs (SHSP and UASI)
Activities eligible for use of LETPA focused funds are outlined in the National Prevention
Framework (and where capabilities are shared with the protection mission area, the National
Protection Framework) located at http://www.fema.gov/national-planning-frameworks and
include:
52
Appendix C-FY20I4 HSGP Funding Guidelines
o Maturation and enhancement of designated State and major Urban Area fusion centers,
including information sharing and analysis, threat recognition, terrorist interdiction, and
training/ hiring of intelligence analysts;
. Implementation and maintenance of the Nationwide SAR Initiative, including training for
front line personnel on identifring and reporting suspicious activities;
. lmplementation of the "If You See Something, Say SomethingrM" campaign to raise
public awareness of indicators of terrorism and terrorism-related crime and associated
efforts to increase the sharing of information with public and private sector partners,
including nonprofit organizations. Note: DHS requires that the Office of Public Affairs
be given the opportunity to review and approve any public awareness materials (e.g.,
videos, posters, tri-folds, etc.) developed using HSGP grant funds for the "If You See
Something, Say Somethiflgrrur: campaign to ensure these materials are consistent with the
Departrnent's messaging and strategy for the campaign and the initiative's trademark;
. Training for countering violent extremism; development, implementation, and/or
expansion of programs to engage communities that may be targeted by violent extremist
radicalization; and the development and implementation of projects to parhrer with local
communities to prevent radicalization to violence, in accordance with the Strategic
Implementation Plan (SIP) to the National Strategy on Empowering Local Partners to
Prevent Violent Extremism in the United States; and
o Increase physical security, through law enforcement personnel and other protective
measures by implementing preventive and protective measures at critical infrastructure
site or other at-risk nonprofit organizations.
Critical Emergency Supplies (SHSP and UASI)
In order to further DHS' mission, critical emergency supplies, such as shelf stable products,
water, and basic medical supplies are an allowable expense under SHSP and UASI. Prior to the
allocation of grant funds for stockpiling purposes, each state must have FEMA's approval of a
five-year viable inventory management plan which should include a distribution strategy and
related sustainment costs if planned grant expenditure is over $100,000.
If grant expenditures exceed the minimum threshold, the five-year inventory management plan
will be developed by the grantee and monitored FEMA GPD with the assistance of the FEMA
Logistics Management Directorate (LMD). FEMA GPD will coordinate with LMD and the
respective FEMA Region to provide program oversight and technical assistance as it relates to
the purchase of critical emergency supplies under UASI. FEMA GPD and LMD will establish
guidelines and requirement for the purchase of these supplies under UASI and monitor
development and status of the State's inventory managernent plan.
States (through their Emergency Management Office) are strongly encouraged to consult with
their respective FEMA Regional Logistics Chief regarding disaster logistics- related issues.
States are further encouraged to share their FEMA approved plan with local jurisdictions and
Tribes.
Construction and Renovation (SHSP and UASI)
Project construction using SHSP and UASI funds may not exceed the greater of $ 1,000,000 or
15 percent (15%) of the grant award. For the purposes of the limitations on funding levels,
communications towers are not considered construction.
53
Appendix C-FY20I4 HSGP Funding Guidelines
Written approval must be provided by FEMA prior to the use of any HSGP funds for
construction or renovation. When applylng for construction funds, including communications
towers, at the time of application, grantees must submit evidence of approved zoning ordinances,
architectural plans, any other locally required planning pemrits, and a notice of Federal interest.
Additionally, grantees are required to submit aSF-424C Budget and Budget detail citing the
project costs.
When applyrng for funds to construct communication towers, grantees and sub-grantees must
submit evidence that the FCC's Section 106 review process has been completed and submit all
documentation resulting from that review to GPD using the guidelines in EHP Supplernent prior
to submitting materials for EHP review. Completed EHP review materials for construction and
communication tower projects must be submitted no later than 12 months before the end of the
period of performance. EHP review materials should be sent to spdehpin-fo@,fema.gov.
HSGP Program grantees using funds for constmction projects must comply with the Davis-
Bacon Act (40 U.S.C. 3l4l et seq.). Grant recipients must ensure that their confractors or
subcontractors for construction projects pay workers employed directly at the work-site no less
than the prevailing wages and fringe benefits paid on projects of a similar character. Additional
information, including Department of Labor (DOL) wage determinations, is available from the
following website h t tp : //www. do l. g ov /c o mp I i an c e/ I aw s / c omo- dbr a. htm.
OPSG funds may not be used for any tlpe of construction.
Personnel (SHSP and UASI)
Personnel hiring, overtime, and backfill expenses are permitted under this grant in order to
perform allowable HSGP planning, training, exercise, and equipment activities. Personnel may
include but is not limited to: training and exercise coordinators, program managers for activities
directly associated with SHSP and UASI funded activities, intelligence analysts, and statewide
interoperability coordinators (SWIC).
For further details, SAAs should refer to IB # 358 or contact their FEMA Headquarters Program
Analyst.
HSGP funds may not be used to support the hiring of any personnel for the purposes of fulfilling
traditional public health and safety duties or to supplant traditional public health and safety
positions and responsibilities.
The following are definitions as it relates to personnel costs:
o Hiring. State and local entities may use grant funding to cover the salary of newly hired
personnel who are exclusively undertaking allowable FEMA program activities as
specified in this guidance. This may not include new personnel who are hired to fulfill
any non-FEMA program activities under any circumstances. Hiring will always result in
a net increase of Full Time Equivalent (FTE) employees.
o Overtime. These expenses are limited to the additional costs which result from personnel
working over and above 40 hours of weekly work time as a direct result of ttreir
54
Appendix C-FY20L4 HSGP Funding Guidelines
perfbrmance of FEMA-approved activities specified in this guidance. Overtime
associated with any other activity is not eligible.
Bacffill-related Overtime. Also called "Overtime as Backfill," these expenses are limited
to overtime costs which result from personnel who are working overtime (as identifred
above) to perform the duties of other personnel who are temporarily assigned to FEMA-
approved activities outside their core responsibilities. Neither overtime nor backfill
expenses are the result of an increase of FTE employees.
Supplanting. Grant funds will be used to supplement existing funds, and will not replace
(supplant) funds that have been appropriated for the same purpose. Applicants or
grantees may be required to supply documentation certifying that a reduction in non-
Federal resources occurred for reasons other than the receipt or expected receipt of
Federal firnds.
Operational Packages (OPacks) (SHSP and UASI)
Applicants may elect to pursue operational package (OPack) funding, such as Canine Teams,
Mobile Explosive Screening Teams, and Anti-Terrorism Teams, for new capabilities as well as
sustain existing OPacks. Applicants must commit to minimum training standards to be set by the
Department for all Federally funded security positions. Applicants must also ensure that the
capabilities are able to be deployable, through EMAC, outside of their community to support
regional and national efforts. When requesting OPacks-related projects, applicants must
demonstrate the need for developing a new capability at the expense of sustaining existing core
capability.
Western Ilemispheric Travel Initiative (SHSP)
In addition to the expenditures outlined above, SHSP funds may be used to support the
implementation activities associated with the Westem Hemisphere Travel Initiative (WHTI),
including the issuance of WHTl-compliant Tribal identification cards. More information on the
WHTI may be found at http://www.dhs.gov/files/programs/gc-l200693 579776.shtm or
http : //www. geryouhome. sov/html/eng map.html.
Other Secure Identification Initiatives (SHSP)
SHSP funds may also be used to support the Departrnent's additional efforts to enhance secure
identification, including driver's license and identifrcation security enhancements. Activities that
facilitate secure identification, including IT enhancements for identification management and
verification systems are a priority. DHS is currently developing and implementing a number of
screening programs in which secure identifrcation credentials figure prominently. These include
the Transportation Worker Identification Credential (TWIC) program which promotes tamper-
resistant biometric credentials for workers who require unescorted access to secure areas of
ports, vessels, outer continental shelf facilities, and all credentialed merchant mariners; and the
credentialing of fust responders which entails enhancing real-time electronic authentication of
identity and attribute(s) (qualification, certification, authoization, andlor privilege) of
emergency response/critical government personnel responding to terrorist attacks or other
catastrophic events.
55
Appendix C-FY20I4 HSGP Funding Guidelines
States may continue implementing activities previously funded through the Driver's License
Security Grant Program (DLSGP) that focus on securing driver's license and identifrcation card
issuance processes. Initiatives related to securing identification should:
o Have the greatest impact upon reducing the issuance and use of fraudulent driver's
license and identification cards;
o Reduce the cost of program implementation for individuals, States, and the Federal
government;
o Driver's license identifrcation material requirements;
. Expedite State progress toward meeting minimum security standards; and
o Plan and expedite State-specific activities to support Federal data and document
verification requirements and standards.
Operations (OPSG)
The intent of OPSG is to focus on operational aspects of enhancing coordination between
Federal, State, local, Tribal, and territorial law enforcement agencies to increase the security of
the United States borders.
a
a
a
Operational Overtime. OPSG funds may be used for operational overtime costs
associated with law enforcement activities, in support of border law enforcement
agencies for increased border security enhancement. At the request of a grant recipient,
the FEMA Administrator may waive the 50 percent (50%) personnel cap. Waiver
decisions are at the discretion of the FEMA Administrator and will be considered on a
case-by-case basis. A forrral OPSG personnel waiver request should:
- Be requested on official letterhead, include a written justification, and be signed
by the local jurisdiction;
- Include a budget and method of calculation of personnel costs both in percentage
of the grant award and in total dollar amount. To avoid supplanting issues, the
request must also include a three-year staffing history for the requesting entity;
- Include an approved Operations Order from the CBP/BP Sector office which
supports the local jurisdiction' s written justification;
Be coordinated with the CBP Sector, SAA, and OBP; and
Be forwarded electronically by CBP to FEMA.
Part Time Personnel. OPSG funds may be used to pay additional current part time law
enforcement personnel salaries in order to bring them to temporary full time status.
Travel, Per Diem, and Lodging. Travel and per diern include costs associated with the
deploymenVredeployment of personnel to border areas and for travel associated with law
enforcement entities assisting other local jurisdictions in law enforcement activities. ln
addition, costs to support up to six month deployment of law enforcement personnel to
critical Southwest Border locations to support operational activities (travel costs must be
in accordance with applicable travel regulations).
Vehicle and Equipment Rentals.
Ve hic le/Equipmen t Main tenan ce.
Fuel Cost and/or Mileage Reimbursement.There is no cap forreimbursement of
operational activities.
56
Appendix C-FY20I4 HSGP Funding Guidelines
o Activate Reserve State, local, Tribal, and territorial law enforcement personnel.
Supporting a request to the Governor to activate, deploy, or redeploy specialized National
Guard Units/Package and./or elements of State law enforcement to increase or augment
specialized/technical law enforcement elements operational activities.. Baclcfill. Costs associated with backfill for personnel supporting operational activities.o Law Enforcement Readiness. Use of OPSG funds may be used to increase operational,
material, and technological readiness of State, local, Tribal, and territorial law
enforcement agencies.
Unallowable Costs (OPSG)
OPSG unallowable costs include costs associated with staffing and general IT computing
equipment and hardware, such as personal computers, faxes, copy machines, modems, etc.
OPSG is not intended as a hiring progam. Therefore, applying funds toward hiring full-time or
permanent sworn public safety officers is unallowable. OPSG funding shall not be used to
supplant inherent routine patrols and law enforcement operations or activities not directly related
to providing enhanced coordination between local and Federal law enforcement agencies.
Finally, construction and/or renovation costs are prohibited under OPSG. Applicants should refer
to IB 358 or contact their FEMA Headquarters Program Analyst at (800) 368-6498 for guidance
and clarification.
Unallowable Costs (SHSP and UASI)
Per FEMA policy, the purchase of weapons and weapons accessories is not allowed with HSGP
funds.
Per the Anti-Defrciency Act, federal govenrment personnel, or representatives thereof, are
prohibited from participation in projects awarded to sub grantees. This includes the solicitation,
selection and monitoring of sub grantees.
Examples of Allowable Aclivitiesfor SHSP and UASI
Planning Activities
Examples of planning activities include:
o Developtnghazard/threat-specific annexes that incorporate the range of prevention,
protection, mitigation, response, and recovery activities as identifred in the national
planning frameworks
o Developing and implementing homeland security support programs and adopting DHS
national initiatives including but not limited to the following:
- Conducting a THIRA process
- Implementing the Goal, National Preparedness System, and the Whole
CommunityApproach to Security and Emergency Management including efforts
to support strengthening of capacity among whole community partners
- Pre-eventrecoveryplanning
- knplementing the 2014 National Infrastructure Protection Plan (NIPP) and
associated Sector Specific Plans
57
Appendix C-FY20I4 HSGP Funding Guidelines
Enhancing and implementing SCIPs and Tactical Interoperable Communications
Plans (TICPs) that align with the goals, objectives, and initiatives of the National
Emergency Communications Plan (NECP)
Costs associated with the adoption, implementation, and sustaiment of the
NIMS, including implementing the NIMS Guideline for Credentialing of
Personnel
Modiffing existing incident management and EOPs to ensure proper alignment
with the coordinating structures, processes, and protocols described in the
National Frameworks
Establishing or enhancing mutual aid agreements
Developing communications and interoperability protocols and solutions
consistent with NIMS/ICS that include communications support for faith-based
and voluntary organizations
Developing emergency communications SOPs and plain language protocols
Integrating emergency communications SOPs across jurisdiction, disciplines, and
levels of government
Conducting local, regional, and Tribal program implementation workshops
Developing or updating resource inventory assets in accordance to NIMS-typed
resource defrnitions which are managed by FEMA's National lntegration Center
(NIC) and can be found at : http : //wvvw.-fema. sov/r e s our ce- management
Designing State and local geospatial data systems
Developing and conducting public education and outreach campaigns, including
promoting individual, family, and organizational emergency preparedness and
support for the National Preparedness Campaign including America's
PrepareAthon! and Ready campaigns, as required by the National Preparedness
System; alerts and wamings education;promoting training, exercise, and
volunteer opportunities; informing the public about emergency plans, evacuation
routes, shelter locations; and evacuation plans as well as CBRNE prevention
awareness
Designing programs to address targeting at-risk populations and engaging them in
emergency management planning efforts
Developing and conducting public education and outreach campaigns, including
promoting individual, family, and organizational emergency preparedness and
support for the national Campaign to Build and Sustain Preparedness, including
America's PrepareAthon!, as required by the National Preparedness System; the
Ready Campaign; alerts and wamings education; promoting training, exercise,
and volunteer opportunities; informing the public about emergency plans,
evacuation routes, shelter locations; and evacuation plans as well as CBRNE
prevention awareness activities, materials, services, tools and equipment to
achieve planning, protection, mitigation, response and recovery that is inclusive
of people with disabilities (physical, programmatic and communications access
for people with physical, sensory, mental health, intellectual and cognitive
disabilities)
Preparing materials for SPRs
WHTI implementation activities including the issuance of WHTl-compliant
Tribal identification cards
58
Appendix C-FY20I4 HSGP Funding Guidelines
. Conducting statewide emergency communications and preparedness planning, including
the following activities:
- Conducting/attending planning and govemance workshops
- Engaging and expanding the participation of the whole community in emergency
communications plann ing, response, and risk identification
- Participating in THIRA development process
- Collecting and using data (e.g., NECP Goal Assessments, findings from national-
level exercises) to assess user needs, capabilities, and gaps, and to facilitate
coordination and asset-sharing
- Assessing emergency communications needs and assets and integrating needs into
State plans (e.g., SCIP, SPR, and broadband plans)
- Coordinating with SWIC, SAA, and State-level planners to ensure proposed
invesftnents align to statewide plans (e.g., SCIP, State broadband plan) and
comply with technical requirements
. Developing related terrorism prevention activities:- Coordinating fusion center efforts with other analytical and investigative efforts
including, but not limils6 to JTTFs, Field Intelligence Groups (FIGs), High
Intensity Drug Trafficking Areas (HIDTAs), Regional Infonnation Sharing
Systems (RISS) Centers, criminal intelligence units, and real-time crime analysis
centers.
- Developing THIRAs that reflect a representative makeup and composition of the
jurisdiction
- Developing initiatives that directly support local efforts to understand, recognize,
prepare for, prevent, mitigate, and respond to pre-operational activity and other
crimes that are precursors or indicators of terrorist activity, in accordance with
civil rights/civil liberties protections
- Developing law enforcement prevention activities, to include establishing and/or
enhancing a fusion center
- Hiring an IT specialist to plan, develop, and implement the IT applications
necessary for a fusion center
- Developing and planning for information/intelligence sharing groups
- lntegrating and coordinating the fire service, emergency management, public
health care, public safety, and health security data-gathering (threats to human
and animal health) within designated fusion centers to achieve early waming,
monitoring, and mitigation of threats
Hiring and training privacy, security, and./or fusion liaison officers (FLO)
coordinators to support fusion center operations
Integrating and coordinating private sector participation with fusion center
activities
- Developing and implementing preventive radiological/nuclear detection activities
Acquiring systems allowing connectivity to State, local, Tribal, territorial, and
Federal data networks, such as the National Crime Information Center (NCIC)
and Integrated Automated Fingerprint Identification System (IAFIS), as
appropriate
Planning to enhance security during heightened alerts, terrorist incidents, and/or
during mitigation and recovery
59
Appendix C-FY20L4 HSGP Funding Guidelines
- Accessible public information/education: printed and electronic materials, public
service announcements, seminars/town hall meetings, and web postings
coordinated through local Citizen Corps Councils
- Volunteer progmms and other activities to strengthen citizen participation
- Conducting public education campaigns including promoting suspicious activity
reporting and preparedness; individual, family, and organtzational emergency
preparedness; Promoting the national Campaign to Build and Sustain
Preparedness and the Ready campaign
- Evaluating Critical Infrastructure Protection (CIP) security equipment and/or
personnel requirements to protect and secure sites
- CIP cost assessments, including resources (e.9., financial, personnel) required for
security enhancements/deployments
Underwater Terrorist Protection Plans
. Developing and implementing a comprehensive model for preventing violent extremism
in local communities:
r Including existing law enforcement agencies' initiatives and including
mechanisms for engaging the resources and expertise available from a range of
social service providers, such as education administrators, mental health
professionals, and religious leaders;
r Enhancing engagement with communities to discuss violent extremism in an
effort to (1) share sound, meaningful, and timely information about the threat of
radicalization to violence with a wide range of groups and organizations,
particularly those involved in public safety; (2) respond to concems about
government policies and actions; and (3) increase understand for how community-
based solutions can be supported.
o Building expertise, including a robust training program to improve cultural
competency and to ensure that communities, govenrment, and law enforcement
receive accurate, intelligence-based information about the dynamics of
r adic alization to vio lenc e.
o Developing and enhancing risk centric capabilities-based plans and protocols, including
but not limited to:
- Community-based planning to advance "whole community" security and
emergency management
- Incorporating govemment/non-governmental collaboration, citizen preparedness,
and volunteer participation into State and local government homeland security
strategies, policies, guidance, plans, and evaluations
- Developing, enhancing, maintaining a current EOP that confonns to the
guidelines outlined in the CPG l0l v 2.0
- Planning for the relocation of existing systems operating in the T-Band
- Developing or enhancing local, regional, or Statewide strategic or tactical
interoperable emergency communications plans including such actions to support
communications with faith-based and voluntary entities who act as immediate
responders in disaster
- Developing or enhancing critical infrastructure planning, to include planning for
incidents at chemical facilities
50
Appendix C-FY20I4 HSGP Funding Guidelines
- Developing protocols or SOPs for specialized teams to incorporate the use of
equipment acquired through this grant program
- Developing terrorism prevention/protection plans
- Developing plans, procedures, and requirements for the management of
infrastructure and resources related to HSGP and implementation of State or
Urban Area Homeland Security Strategies
- Developing plans for mass evacuation and pre-positioning equipment
Developing or enhancing plans for responding to mass casualty incidents caused
by any hazards
- Developing or enhancing applicable procedures and operational guides to
implement the response actions within the local plan including patient tracking
that addresses identiffing and tracking children, access and frmctional needs
population, and the elderly and keeping families intact where possible
- Developing or enhancing border security plans
Developing or enhancing cybersecurity and risk mitigation plans
- Developing or enhancing secondary health screening protocols at major points of
entry (e.g., air, rail, port)
- Developing or enhancing agriculture/food security risk mitigation, response, and
recovery plans
- Developing public/private sector parbrership emergency response, assessment,
and resource sharing plans
- Developing or enhancing plans to engage and interface with, and to increase the
capacity of, private sector/non-govemmental entities working to meet the human
service response and recovery needs of survivors
- Developing or updating local or regional communications plans
- Developing plans to support and assist jurisdictions, such as port authorities and
rail and mass transit agencies
Developing or enhancing continuity of operations and continuity of government
plans
- Developing or enhancing existing catastrophic incident response and recovery
plans to include and integrate Federal assets provided under the NRF and the
National Disaster Recovery Framework (NDRF)
- Developing plans and response procedures for adjudicating, validating and
responding to an alann from a chemical or biological detector (response
procedures should include emergency response procedures integrating local first
responders)
- Developing or enhancing evacuation plans
- Developing mechanisms for utilizing the National Emergency Family Registry
and Locator System OTEFRLS)- Developing or enhancing plans to prepare for surge capacity of volunteers
- Developing or enhancing the State EMS systems
- Developing or enhancing plans for donations and volunteer management and the
engagemenUintegration of private sector/non-governmental entities, and faith-
based orgarizations in preparedness, mitigation, response, and recovery activities
- Developing school preparedness plans
51
Appendix C-FY20L4 HSGP Funding Guidelines
- Developing preparedness plans for child congregate care facilities, including
group residential facilities, juvenile detention facilities, and public/private child
care facilities
- Developing plans to educate youth on disaster preparedness
- Ensuring jurisdiction EOPs adequately address warnings, emergency public
information, evacuation, sheltering, mass care, resource management from non-
govemmental sources, unaffiliated volunteer and donations management, and
volunteer resource integration to support each Emergency Support Function, to
include appropriate considerations for integrating activities, materials, services,
tools and equipment to achieve planning inclusive of people with disabilities
(physical, programmatic and communications access forpeople with physical,
sensory, mental health, intellectual and coguitive disabilities). Developing and
implementing civil rights, civil liberties, and privacy policies, procedures, and
protocols
- Designing and developing State, local, Tribal, and territorial geospatial data
systems
- Developing and implementing statewide electronic patient care reporting systems
compliant with the National Emergency Medical Services Information System
(NEMSTS)
- Costs associated with inclusive practices and the provision of reasonable
accommodations and modifications to provide full access for children and adults
with disabilities
Preparing and submitting SCIPs for SHSP, Preparing and submitting reports to the Office
of Emergency Communications (OEC) on progress of implementing that State's SCIP
and achieving interoperability at the interstate, State, county, regional, and city levels
Updating and implementing SCIP and TICP to:
- Address findings and gaps identified in AARs from real world incidents and
planned exercises, NECP Goal assessments, other State-level preparedness reports
and assessments
Incorporate the National Preparedness System and DHS Whole Community
initiatives
- Address plans for implementation of the Federal Communications Commission
(FCC) narrowband requirements
- Describe strategic broadband planning activities and initiatives in preparation for
the future deployment of the Nationwide Public Safety Broadband Network
(NPSBT{)
Developing or conducting assessments, including but not limited to:
- Developing pre-event recovery plans
Conducting point vulnerability assessments at critical infrastructure sites/key
assets and develop remediation/security plans
- Participating Regional Resiliency Assessment Program (RRAP) activities
- Conducting or updating interoperable emergency communications capabilities
assessments at the local, regional, or Statewide level (e.g., Communications
Assets and Mapping [CASM])- Developing border security operations plans in coordination with CBP
62
Appendix C-FY20L4 HSGP Funding Guidelines
- Developing, implementing, and reviewing Area Maritime Security Plans for ports,
waterways, and coastal areas
- Updating and refining threat matrices
- Conducting cyber risk and vulnerability assessments
- Conducting assessments and exercising existing catastrophic incident response
and recovery plans and capabilities to identifu critical capability gaps that cannot
be met by existing local, regional, and State resources
- Activities that directly support the identification of specific catastrophic incident
priority response and recovery projected needs across disciplines (e.g., law
enforcement, fire service, EMS, public health, behavioral health, public works,
agriculture, information technology, and citizen preparedness)
- Activities that directly support the identification of pre-designated temporary
housing sites
- Activities that support the identification and development of altemate care sites
- Conducting community assessments, surveys, and research of vulnerabilities and
resource needs to determine how to meet needs and build effective and tailored
strategies for educating individuals conducting assessments of the extent to which
compliance with the integration mandate of disability laws is being achieved
- ConductingPreparednessresearch
Conducting or updating interoperable emergency communications capabilities
and broadband needs assessments at the local, regional, or Statewide level
- Soft target security planning (e.g., public gatherings)
o Developing, hosting, or participating in bombing prevention/counter-improvised
explosives device (IED)-specific planning initiatives to include:
lncorporating appropriate IED-specific intelligence and threat analysis when
developing and maintaining a THIRA;
Conducting inventories and assessments of capabilities or typed resource using
the counter-IED-specific DHS National Counter-IED Capabilities Analysis
Database (NCCAD) program for use in applicable THIRAs, preparedness
reporting, or strategies;
- Conducting DHS Multi-Jurisdiction IED Security Planning (MJIEDSP)
workshops to develop THIRA-based plans and strategies that maximize the use of
limited resources;
- Developing IED hazard-specific EOP alrnexes.
- Implementing a Corrective Action Plan (CAP) to close IED-related capability
gaps identified through MJIEDSP or other planning processes
r Continuity of Operations/Continuity of Government (COOP/COG) Planning activities,
which include but are not limited to:
o Determining essential functions and activities, interdependencies, and resources
needed to perform themo Establishing orders of succession and delegations of authority to key agency
positions and establish and maintain current roster(s) of fully equipped and
trained COOP personnel with the authority to perform essential functions
o Providing for the identification and preparation of alternate operating facilities
for relocated operations
63
Appendix C-FY20L4 HSGP Funding Guidelines
. Providing for the regular training, testing, and exercising of COOP personnel,
systems, and facilities
o Providing for reconstitution of agency capabilities and transition from continuity
operations to normal operations
o Identifyrng resources for medical supplies necessary to support children during an
emergency, including phamraceuticals and pediatric-sized equipment on which first
responders and medical providers are trained
o Ensuring subject matter experts, durable medical equipment, consumable medical
supplies and other resources required to assist children and adults with disabilities to
maintain health, safety and usual levels of independence in general population
environments
o Developing and implementing a community preparedness strategy for the State/local
jurisdiction
. Building and expanding governance structures to:
- Include representatives from multiple agencies, jurisdictions, disciplines, levels of
govemment, Tribes, rural areas, subject matter experts, and private industry
- lntegrate statewide leadership and governance structures into broader statewide
planning efforts (e.g., statewide broadband planning activities, grants coordination
activities, needs assessments) to ensure emergency communications needs are
represented
Conduct outreach and education on emergency communications needs and
initiatives to stakeholder groups
o Establishing, expanding, and maintaining volunteer programs and volunteer recruitment
efforts that support disaster preparedness and/or response
- Allowable volunteer progmms and efforts include, but are not limited to: Citizen
Corps Councils, par0rers, and affiliates; CERTs; Fire Corps; Medical Reserve
Corps (MRC); Neighborhood Watch/USAonWatch; Volunteers in Police Service
(VIPS); and jurisdiction-specific volunteer programs and efforts.
o Establishing and sustaining Citizen Corps Councilso Working with youth-servingorgarizations and houses of worship to develop and sustain
youth and faith-based preparedness programs
Additional Plannin g Information
The National Preparedness Directorate (NPD) offers technical assistance (TA) that is designed to
provide grantees and sub-grantees with specialized expertise to improve their emergency plans
and planning. TA deliveries are designed specifically to improve and enhance the continuing
development of state and local emergency management across the five mission areas of the
National Preparedness Goal and across all core capabilities. TA provides the opportunity to
engage emergency managers, emergency planners, and appropriate decision-makers in open
discussion of options to improve plans and planning in light of their jurisdiction's needs. There is
no cost to approved jurisdictions for FEMA TA.
TA deliveries combine current emergency management best practices with practical
consideration of emerging trends, through discussion facilitated by FEMA contract specialists
and with the support of FEMA Region operational specialists. While the invitation of
participants is up to the requesting jurisdiction, FEMA encourages requesting jurisdictions to
64
Appendix C-FY20I4 HSGP Funding Guidelines
include the broadest practical range of its emergency managers and planners in all TA deliveries.
TA deliveries should be made open to neighboring jurisdictions. As necessary, FEMA may also
invite other Federal experts and practitioners to participate. Additionally, peer-to-peer
representation may also be included from other jurisdictions that have recently used TA for the
same planning issue.
The TA catalog, showing the full range of TA available across all five mission areas and by all
providers, and the TA request form can be accessed at http://www.fema.gov/national-incident-
management-system/fema-technical-assistance-division.
Organization Activities
The following organization activities in support of public-private partnerships are allowable
expenses:
. Program management:
- Salary for a dedicated liaison who acts as the primary point of contact,
coordinates the public-private partnership and ensures proper implementation of
the strategic plan
Facilities, including meeting space and work space for private sector liaisons.
Grantees are encouraged to use free space/locations/facilities, whenever possible,
prior to the rental of space/locations/facilities
- Supplies needed to support regular communications
- Implementation of infrastructure resilience enhancement options described in a
RRAP report
o Utilization of standardized resource management concepts such as tlping, inventorying,
organizing, and tracking to facilitate the dispatch, deployment, and recovery of resources
before, during, and after an incident
o Sustain partnership efforts to include:
- Support for in-person meetings, events, and workshops that bring the public and
private sectors together. Grantees are encouraged to use free
space/locations/facilities, whenever possible, prior to the rental of
space/locations/facilities
- Web-based and social media tactics (webinars, emails, newsletters, alerts,
databases, online collaboration tools, website development and maintenance, etc.)
- Innovative approaches for reaching the Whole Community to include translated
material for individuals that are blind and or have low vision capability, those
with limited English proficiency, children within diverse and ethnic populations,
and coalitions among citizens.
- Leverage already existing structures and mechanisms, such as Citizen Corps, for
sharing information and engaging members of the Whole Community to include:
for-profit and not-for-profit entities, faith based and community organizations,
youth-serving and youth advocates, those that support socio-economic and diverse
cultures
o Structures and mechanisms for information sharing between the public and private sector:
- Tools, software, programs, and other mechanisms that support two-way
information sharing during normal and emergency operations
65
Appendix C-FY20I4 HSGP Funding Guidelines
- Means to receive input or feedback from the private sector, and encourage
participation from civic leaders from all sectors
Regular and timely communications on subjects relating to all phases of
emergency management, such as newsletters, emails, and alerts
o Tools, resources and activities that facilitate shared situational awareness between the
public and private sectors
- Web-based and new media platfomrs that allow real-time information exchange
- Asset mapping, such as participation in FEMA's Total Asset Visibility and
LogYiz initiatives
A seat(s) in the emergency operation center, or virtual EOC
. Operational Support:
- Tools for identiffing and tracking available paid and unpaid disaster response
resources
Dedicated space and equipment for private sector representation within a State,
county, or city emergency operation center
- A dedicated business emergency operations center that works with the State,
county or city EOC (not construction)
Tools for real time information sharing between the public and private sector
- Licensing, screening, or other requirements for access to real EOC or virtual EOC
o Federal Emergency Response Official (F/ERO) Credentialing and Validation:
Working group meetings and conferences relating to emergency responder
credentialing and validation
- Compiling data to enter into an emergency responder repository
- Coordinating with other State, local, territorial, and Tribal parhrers to ensure
interoperability among existing and planned credentialing and validation systems
and equipment
- Planning to incorporate emergency responder identity and credential validation
into training and exercises.
Training Activities
FY 2014 SHSP and UASI funds may be used to support attendance to allowable training
deliveries and programs, as described below. FEMA funds must be used to supplement, not
supplant, existing funds that have been appropriated for the same purpose. Allowable training-
related costs include, but are not limited to, the following:
o Developing, Delivering, and Evaluating Training. Includes costs related to administering
the training, planning, scheduling, facilities, materials and supplies, reproduction of
materials, disability accommodations, and equipment.
e Training that promotes individual, family, or community safety and preparedness is
encouraged, including: all-hazards safety training such as emergency preparedness, basic
first aid, lifesaving skills, crime prevention and terrorism awareness, school preparedness,
public health issues, chemical facility incidents, mitigation/property damage prevention,
safety in the home, light search and rescue skills, principles of NIMSIICS, volunteer
management and volunteer activities, serving and integrating people with disabilities, pet
care preparedness, CPR/AED training, identity theft workshops, terrorism awareness
seminars, and disability-inclusive community preparedness conferences. The delivery of
65
Appendix C-FY20I4 HSGP Funding Guidelines
the CERT Basic Training Course and supplemental ffaining for CERT members who
have completed the basic training, the CERT Train-the-Trainer Course, and the CERT
Program Manager course are strongly encouraged.
Conducting, hosting, or participating in training related to IED prevention, protection,
mitigation, or response to include:
Awareness and education for the public, private sector and first responders;
Suspicious activity identification and reporting, including the Surveillance
Detection and Bomb-Making Materials Awareness Program (BMAP);
Managernent of bomb threats;
Physical protective measures;
Diversion control measures for dual-use explosive precursor chemicals, including
the Surveillance Detection and Bomb-Making Materials Awareness Program
(BMAP);
Training for specialized IED prevention and protection teams or OPacks such as
Public Safety Bomb Squads, Explosives Detection Canine Teams, and Mobile
Explosive Device Screening Teams in accordance with applicable guidelines,
certification, or accreditation requirements.
Overtime and Bacffill. The entire amount of overtime costs, including payments related
to backfilling personnel, which are the direct result of attendance at FEMA and,/or
approved training courses and programs, are allowable. These costs are allowed only to
the extent the payment for such services is in accordance with the policies of the State or
unit(s) of local government and has the approval of the State or the awarding agency,
whichever is applicable. In no case is dual compensation allowable. That is, an employee
sf 4 trnif of govenrment may not receive compensation from their unit or agency of
government and from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.),
even though such work may benefit both activities.
Travel. Costs (e.g., airfare, mileage, per diem, hotel) are allowable as expenses by
employees who are on travel status for official business related to approved training.
Hiring of Full or Part-Time Staffor Contractors/Consultants. Payment of salaries and
fringe benefits to full or part-time staff or contractors/consultants must be in accordance
with the policies of the State or unit(s) of local government and have the approval of the
State or awarding agency, whichever is applicable. Such costs must be included within
the funding allowed for program management personnel expenses. ln no case is dual
compensation allowable.
Certification/Recertification of Instruclors. States are encouraged to follow the NTE
lnstructor Quality Assurance Program to ensure a minimum level of competency and
corresponding levels of evaluation of student learning. This is particularly important for
those courses that involve training of trainers. This information is contained in IB 193,
issued October 20,2005. Additional information can be obtained at
h t tp : / /www,fem a. s ov/ Lo o d Jui d an c e / d own I o ad / I 0 I 4 6.
Training and exercises for the public or civilian volunteer programs supporting frst
responders, including CERTs, before, during and after disasters should address the needs
of the Whole Community. Allowable training includes: all-hazards safety such as
emergency preparedness, basic first aid, lifesaving skills, crime prevention and terrorism
awareness, school preparedness, youth preparedness, public health issues, chemical
facility incidents, mitigation/property damage prevention, safety in the home, light search
67
Appendix C-FY2014 HSGP Funding Guidelines
and rescue skills, principles of NIMS and ICS, volunteer management, serving and
integrating people with disabilities, pet care preparedness, training necessary to
participate in volunteer activities, fulfill surge capacity roles, integration and coordination
of faith community roles, communication in disaster or promotes individual, family, or
whole community safety and preparedness. Exercises that include members of the public
or that are conducted for the public should be coordinated with local CERTs and/or
Citizen Corps Councils as well as organizations outside of emergency management and
focus on the importance of personal preparedness and protective actions.
Per FEMA Grant Programs Directorate Policy FP 207-008-064-1, Reoiew and Approaal
Requirements for Training Courses Funded Through Preparedness Grnnts, issued on September 9,
2013, States, territories, Tribal entities and urban areas are no longer required to request approval
from FEMA for personnel to attend non-FEMA training as long as the training is coordinated
with and approved by the State, territory, Tribal or Urban Area Training Point of Contact
(TPOC) and falls within the FEMA mission scope and the jurisdiction's Emergency Operations
Plan (EOP). The only exception to this policy is for Countering Violent Extremism courses. The
Policy can be accessed at http://www,fema.gov/media-library/assets/documents/34856.
FEMA will conduct periodic reviews of all State, territory, and Urban Area training funded by
FEMA. These reviews may include requests for all course materials and physical observation of,
or participation in, the funded training. If these reviews determine that courses are outside the
scope of this guidance, grantees will be asked to repay grant funds expended in support of those
efforts.
For further information on developing courses using the instructional design methodology and
tools that can facilitate the process, SAAs and TPOCs are encouraged to review the NTED
Responder Training Development Center (RTDC) available at
htto : //www. fir s trespon d ertraining. gov /rtdc/ s t ate I .
Additional Training Information
FEMA Provided Training. These trainings include programs or courses developed for and
delivered by institutions and organizations funded by FEMA. This includes the Center for
Domestic Preparedness (CDP), the Emergency Managernent lnstitute (EMI), and the National
Training and Education Division's (NTED) training parbrer programs including, the Continuing
Training Grants, the National Domestic Preparedness Consortium OIDPC) and the Rural
Domestic Preparedness Consortium (RDPC).
Approved State and Federal Sponsored Course Catalogue. This catalogue lists State and Federal
sponsored courses that fall within the FEMA mission scope, and have been approved through the
FEMA course review and approval process. An updated version of this catalog can be accessed
at htto : //www.fir s tr es ponder training. sov.
Training Not Provided by FEMA. These trainings includes courses that are either State
sponsored or Federal sponsored (non-FEMA), coordinated and approved by the SAA or their
designated TPOC, and fall within the FEMA mission scope to prepare State, local, Tribal, and
58
Appendix C-FY20|4 HSGP Funding Guidelines
tenitorial personnel to prevent, protect against, mitigate, respond to, and recover from acts of
terrorism or catastrophic events.. State Sponsored Courses. These courses are developed for and/or delivered by
institutions or organizations other than Federal entities or FEMA and are sponsored by
the SAA or their designated TPOC.
o Joint Training and Exercises with the Public and Private Sectors. These courses are
sponsored and coordinated by private sector entities to enhance public-private
parherships for training personnel to prevent, protect against, mitigate, respond to, and
recover from acts of terrorism or catastrophic events. Overtime pay for first responders
and emergency managers who participate in public-private training and exercises is
allowable. In addition, States, territories, Tribes, and Urban Areas are encouraged to
incorporate the private sector in government-sponsored training and exercises.
Additional information on both FEMA provided training and other federal and state training can
be found at h t tp : //www.fir s tr es o o n der tr ainin g. s ov.
Training Information Reporting System ("Web-Forms'). Web-Forms is an electronic fonn/data
management system built to assist the SAA and its designated State, territory and Tribal Training
Point of Contact (TPOC). Reporting training activities through Web-Forms is not required under
FY 2014 HSGP, however, the system remains available and can be accessed through the FEMA
Toolkit located at htto://www..firstrespondertraining.gov/admin in order to support grantees in
their own tracking of training.
Exercise Activities
Allowable exercise-related costs include:
Funds Used to Design, Develop, Conduct, and Evaluate an Exerclse. Includes costs
related to planning, meeting space and other meeting costs, facilitation costs, materials
and supplies, travel, and documentation. Grantees are encouraged to use government or
free public space/locations/facilities, whenever available, prior to the rental of
space/locations/facilities. Exercises should provide the opportunity to demonstrate and
validate skills learned, as well as to identifu any gaps in these skills. Any exercise or
exercise gaps, including those for children and individuals with disabilities or access and
functional needs, should be identified in the AAR/IP and addressed in the exercise cycle.
Full or part-time staff may be hired to support exercise-related activities. Such costs must
be included within the funding allowed for program management personnel expenses.
State grantees must follow their state's formal written procurement policies.
Overtime and Bacffill. The entire amount of overtime costs, including payments related
to backfilling personnel, which are the direct result of time spent on the design,
development, and conduct of exercises are allowable expenses. These costs are allowed
only to the extent the payment for such services is in accordance with the policies of the
State or unit(s) of local government and has the approval of the State or the awarding
agency, whichever is applicable. In no case is dual compensation allowable. That is, an
employee of a unit of government may not receive compensation from their unit or
69
Appendix C-FY20I4 HSGP Funding Guidelines
a
a
agency of goverrunent AND from an award for a single period of time (e.g., 1:00 p.m. to
5:00 p.m.), even though such work may benefit both activities.
. Travel. Travel costs are allowable as expenses by employees who are on travel status for
offrcial business related to the planning and conduct of exercise project(s) or HSEEP
prograrnmatic requirements as described in the HSEEP (e.9., Training and Exercise
Plan).
. Supplies. Supplies are items that are expended or consumed during the course of the
planning and conduct of the exercise prqect(s) (e.g., gloves, non-sterile masks, and
disposable protective equipment).
o Disability Accommodations. Materials, services, tools and equipment for exercising
inclusive of people with disabilities (physical, programmatic and communications access
for people with physical, sensory, mental health, intellectual and cognitive disabilities).
. Other ltens. These costs include the rental of equipment and other expenses used
specifically for exercises, costs associated with inclusive practices and the provision of
reasonable accommodations and modifications to provide full access for children, adults
with disabilities, and those with access or functional needs
Additional Exercise Information
If a State decides to use HSGP funds to conduct an exercise(s), it is encouraged they complete a
progressive exercise series. Exercises conducted by States and Urban Areas may be used to
fulfrll similar exercise requirements required by other grant programs. Grantees are encouraged
to invite representatives/planners involved with other federally-mandated or private exercise
activities. States and Urban Areas are encouraged to share, at a minimum, the multi-year
training and exercise schedule with those departments, agencies, and organizations included in
the plan.
o Exercise Scenarios. The scenarios used in HscP-funded exercises must be based on the
State/Urban Area's THIRA. The scenarios used in HscP-funded exercises must focus
on testing capabilities, must be large enough in scope and size to exercise multiple
activities and warrant involvement from multiple jurisdictions and disciplines and non-
govemmental organizations, and take into account the needs and requirements for
individuals with disabilities. Exercise scenarios should align with priorities and
capabilities identified in the Multi-year Training and Exercise Plan.
. Special Event Planning. If a State or Urban Area will be hosting a special event (e.g.,
Super Bowl, G-8 Summit), the special event planning should be considered as a training
or exercise activity for the pupose of the Multi-Year Training and Exercise Plan. The
State or Urban Area should plan to use SHSP or UASI funding to finance training and
exercise activities in preparation for those events. States and Urban Areas should also
consider exercises at major venues (e.g., arenas, convention centers) that focus on
evacuations, communications, and command and control.
o Regional Exercises. States should also anticipate participating in at least one Regional
Exercise annually. States must include all confrmed or planned special events in the
Multi-year Training and Exercise Plan.
o Exercise Evaluation and Improvement. Exercises should evaluate perforrnance of
capabilities against the level of capabilities required. Guidance related to exercise
70
Appendix C-FY20L4 HSGP Funding Guidelines
evaluation and improvement planning is defined in the HSEEP located at
https : //www. I I is. dhs. gov/hs e ep.
o HSEEP Fundamental Principles. States are expected to develop an exercise progmm
based the following principles:
o Guided by Elected and Appointed Officials;
o Capability-based, Objective-driven;
o Progressive Planning Approach;
o Whole Community Integration;
o Informed by Risk; and
o Common Methodology.
Detailed information regarding the principles can be found in HSEEP located at
https : //www. llis. dhs. gov/hseep.
o The Role of Non-Governmental Entities in Exercises. Non-govemmental participation in
all levels of exercises is strongly encouraged. Leaders from non-govenmental entities
should be included in the plan:ring, conclusion, and evaluation of an exercise. State,
local, Tribal, and territorialjurisdictions are encouraged to develop exercises that test the
integration and use of non-governmental resources provided by non-governmental
entities, defined as the private sector and private non-profit, faith-based, community,
disability, volunteer, and other non-govemmental organizations. Non-governmental
participation in exercises should be coordinated with the local Citizen Corps Council(s)
or their equivalent and other partner agencies. The scenarios used in HSGP-funded
exercises must focus on validating existing capabilities, must comply with and be large
enough in scope and size to exercise multiple activities and wa:rant involvement from
multiple jurisdictions and disciplines and non-govemmental organizations, and take into
account the needs and requirements for individuals with disabilities.
Unauthorized Exercise Costs
Unauthorized exercise-related costs include :
Reimbursement for the maintenance and/or wear and tear costs of general use vehicles
(e.g., construction vehicles), medical supplies, and emergency response apparatus (e.g.,
fire trucks, ambulances).
Equipment that is purchased for permanent installation and/or use, beyond the scope of
the conclusion of the exercise (e.g., electronic messaging signs).
7t
Appendix C-FY20I4 HSGP Funding Guidelines
Appendix D - FY 2014 OPSG Operations Order Template and
lnstructions
Operations Order Template Instructions
The OPSG Operations Order Template can be found at http://wvryv.grants.gov.
Executive Summary Overview
Operations Order Executive Summary must:
o Identify the organization name, point of contact, committees, and other structures
accountable for implementing OPSG in the jurisdiction (typically this will be a program
lead or manager overseeing operations and individuals assigned to that agency).
o Describe how Federal, State, local, and Tribal law enforcement agencies will work
together to establish and enhance coordination and collaboration on border security
rssues.
Budget Requirements Overview
Operations Order Detailed Annual Budget must:
. Explain how costs and expenses were estimated.
r Provide a narrative justification for costs and expenses. Supporting tables describing cost
and expense elements (e.g., equipment, fuel, vehicle maintenance costs) may be included.
Submission Requirements
Operations Orders must meet the following submission requirements:
o Must be created and submitted in Microsoft Word (*.doc)
o Must not exceed six pages in length
o Must be submitted using the following file naming convention: "FY 20XX OPSG <State
Abbreviation> - <Local Unit of Government Name>"
Due to the competitive nature of this program, separate attachments will not be accepted or
reviewed.
72
Appendix D-FY 2014 HSGP, OPSG Operations OrderTemplate
FY 2014 OPERATTON STONEGARDEN (OPSG) OPERATTONS
ORDER AND BUDGET TEMPLATE
Op Order Name:Operation
Op Order Number:<Completed bv CBP>
Op Dates:From:To:
Report Date:
Executive Summary
I. Situation
A. General Situation:
B. Terrain/lVeather:
C. C. Criminal Element:
D. D. Friendly Forces:
II. MISSION
III. EXECUTION
A. Management/Supervisor Intent:
B. General Concept:
C. Specific Responsibilities:
l.
2.
3.
D. Coordinating Instructions:
IV. BI]DGET
Within the Operations Order, include budgets and operative spending plans in one-year
increments (Year 1 and Year 2). The annual operations should be practical and able to be
completed within the 24-month period of performance. Grantees may not begin operations,
obligate, or expend any funds until the final Operations Order and embedded budget has been
approved by FEMA GPD and CBP/BP Headquarters and any existing special conditions and/or
restrictions are removed.
The sample table provided below may be used as a guide to the applicant in the preparation of
the budget and Operations Order to be submitted. Using the table below, compute the total
estimated cost under the Narrative Justification colum:r and indicates the amount of Federal
funds requested under the Federal Request column that will support the project.
73
Appendix D-FY 2014 HSGP, OPSG Operations OrderTemplate
A.1E le - Cost ear
Law Enforcement Operational
Overtime
$50 per hour OT rate x 11 personnel
x 10 hours x 3 day detailx 4 quarters
pervearx2vears $132,000.00
Fringe Benefits for Law
Enforcement
$27.551hr x 1.5 OT = ($41.33/hr) x
(.062) = ($2.56/hr FICA) x 5840
hrs/vr x 2 vrs $29,925.92
Travel, Lodging, and Per Diem for
deployed LE and/or Federally
sponsored (DHS/FEMA) border
security task forces, conferences
and/or mandatory traininq
Federal or below: approx miles of
3,500, 15 days single Occupancy @
$150 for 5 people
$1,750.00
General Equipment Lines, personal flotation devices,
GPS software updates, marine
batteries, thermal imaqinq system
Special Equipment
(Requiring separate waiver i.e.,
Planes, boats, vehicles, SUVs,
etc.)
Sea Hawk Boat, Explorer 4x4 Police
with Package
$75,000.00
Part-Time to Full-Time Law
Enforcement Personnel
Activated Reserve Law
Enforcement Personnel
Vehicles:
Vehicle
Maintenance
46,800 miles per year x .18 cents per
mile=$8,424.00x2yrs
Tires, enqine repair, other $16,848.00
Fuel Cost 3,342x $4.50 pergallon = $15,043/yr
x2vrs $30,086.00
Total $285,609.92
A.2 Cost EstimateslFunding Requests (Year 2)z
< INSERT COST ESTIMATES AND FUNDING REQUESTS TABLE >
V. COMMAND/CONTROL/COMMUNICATION
A. Chain of Command:
B. Unit Command:
C. Communications Detail:
D. Map Coordinates:
74
Appendix D-FY 2014 HSGP, OPSG Operations OrderTemplate
Narrative Justification
(Gomputation of ltems)Federal Request
.lotes:
Longitude:
Degtees:
Decimal:
Location Zone:
ANNEX
A. Administration Annex:
B. Execution Annex:
C. Command Annex:
Media Action Plan:
Legal Review:
Risks:
Photos:
75
Appendix D-FY 2014 HSGP, OPSG Operations OrderTemplate
Appendix E - OPSG Operational Guidance
Appendix F is intended to provide operational guidance to applicants on the development of the
concept of operations and campaign planning, the tactical operation period and the reporting
procedures This also delineates specific roles and responsibilities, expectations for operations,
and performance measures. Successful execution of these objectives will promote situational
awareness among participating agencies and ensure a rapid, fluid response to emerging border-
security conditions.
OPSG uses an integrated approach to address transnational criminal activity. It is
recommended that Federal, State, local, Tribal, and territorial parbrers establish and maintain an
OPSG Integrated Planning Team (IPT) wittr representation from all participating law
enforcement agencies, co-chaired by representatives from CBP/BP, the SAA, and participating
law enforcement agencies' OPSG program representatives. U.S. Border Patrol will provide
routine monitoring and technical expertise to each participating agency. Each operation will be
reviewed for border-security value and approved by the corresponding sector's Chief Patrol
Agent or his/her designee.
All operational plans should be crafted in cooperation and coordination among Federal, State,
local, Tribal, and territorial partrers. Consideration will be given to applications that are
coordinated across multiple jurisdictions. All applicants must coordinate with the CBP/BP
Sector Headquarters with geographic responsibility for the applicant's location in developing and
submitting an Operations Order with an embedded budget to the SAA.
As OPSG continues to evolve, several proven practices have been recognized, centered on short-
tenn, periodic operations in support of overarching near and long-terrn goals. A multi-step
process will be established through the area IPT, including a campaign plan and a cycle of
operations to ensure that OPSG partners maintain synergism and have a coordinated and
measurable impact on reducing border-security risk.
I. Concept of Operations and Campaign Planning @ost Allocation Announcement/Pre-
Award)
The overarching operational cycle involves three stages; application, concept ofoperations to
formulate a Campaign Plan and one or more tactical operational periods, which are all developed
by the IPT.
First Stage: Please refer to section IX of the full FOA.
Second Stage (Post Award): After awards are announced participants will create and submit an
operations order that forms a campaign plan and captures the initial, generalized-budgetary
intent to their IPT. The campaign plan should articulate the participant agency's long-term
border security objectives and goals designed to mitigate border-security risk.
76
Appendix E - FY 2014 HSGP, OPSG Operational Guidance
Funds should be obligated as needed to target specific threats or vulnerabilities and ensure that
OPSG usage is commensurate to the unique risk of each border region. This may require several
short-term operations that combine to form an ongoing operational cycle, ensuring that BP
commanders and State, local, and Tribal agency partners reserve the flexibility to respond to the
ever-changing elements of border security.
The operations plan also will articulate the budgetary intent of how funds will be used
throughout the performance period. The operations plan will project planned expenditures in the
following categories: overtime, equipment, instruction, travel, maintenance, fuel, and
adminisffative funds. [t can initiate the procurement of equipment, as well as state how much
the county intends to use for M&A while keeping funds for overtime or residual equipment
funds available for use as needed. If the recipient intends to spend more than 50% of their award
on overtime over the course of the performance period, requests for an overtime waiver would be
submitted at this time. The operations plan will meet both the SAA expectations to obligate the
funds within 45 days of the award announcement and the demands of the grant's operational
intent. Once the operations plan is approved, the area IPT will meet to initiate the last stage in
the planning process.
Third Stage: Once the grantee is ready to conduct operations, the area IPT will begin planning
tactical operations.
I Tactical Operational Period
Operational discipline is necessary for the success of OPSG. Deliberate, adaptive, integrated,
and intelligence-driven planning is critical to conducting targeted enforcement operations
consistent with the objectives of the OPSG. By participating in the OPSG, the State, local, and
Tribal agencies agree to conduct operations designed to reduce border-security risk. Tactical
operations will be conducted on a periodic basis meeting the criteria outlined below.
Tactical operational periods are composed of six critical elements: 1) a pre-planning meeting
with the IP.T:2) specified beginning and ending dates; 3) are intelligence driven, with a nexus to
border security; 4) use targeted enforcement techniques; 5) have clearly stated objectives; and 6)
conclude with an after-action meeting. A campaign should involve several tactical operational
periods. These periods require deliberate on-going planning to ensure command, stafL and unit
activities synchronize to current and future operations. The cyclical nature of the process will
ensure OPSG activities align with the fluctuating border-security threats and vulnerabilities. Key
planners should recognize that shorter, frequent tactical operational periods increase the
flexibility and leverage gained through OPSG funding.
The IPT should leverage information provided by the fusion center, Border Intelligence Centers
or other local intelligence center, when possible, and establish a corrmon operational vision. The
BP sector's Chief Patrol Agent, or hislher designee, will ensure that the information or
intelligence has a clear nexus to border security. Intelligence will be shared and vetted for
border security value, driving the focus of operations. The tactical operational period should
focus on specific targets of interest or specific areas of interest identified by the IPT. Once
intelligence-driven targets are identified, the IPT will decide on operational objectives that
77
Appendix E - FY 2014 HSGP, OPSG Operational Guidance
reflect the intended impact of operations. The objectives should outline how the operation will
deter, deny, degrade, or dismantle the operational capacity of the targeted transnational criminal
organizations.
The frequency and duration of each tactical operational period should be predicated by local risk
factors. The tactical operational period may combine to develop an operational cycle that is
synchronous or asynchronous, connected, or unconnected, depending on security conditions and
the IPT's intent. Each tactical operational period will begin on a predetermined date and end on
a predeterrnined date, but the dates may be subject to change commensurate with emerging
security conditions. The starting date of the operational period should be established to allow
sufficient time forthe order to be submitted and approved through BP Headquarters and
FEMA. Once approved, the operation can be conducted.
The following diagrams illustrate two different approaches for conducting operations:1
CAMPAIGN PLAN'S OPERATIONAL CYGLE
DURATION: 1 FISCAL YEAR
FY start
li:)|l:'l|&B.fuMFJryFrybdArlkr.hBASd
This cycle illustrates contiguous operations. This is an example of a t\Arelve month campaign
plan with four tactical operutional parids.
Figure 1: Example of an Ongoing Synchronized Operational Cycle
t These illustrations reflect a twelve month campaign plan. A campaign plan should be written to encompass the performance
period. Performance periods vary from State to State, please contact the State Administrative Agency in your area for clarification.
78
Appendix E - FY 2014 HSGP, OPSG Operational Guidance
CAMPAIGH PLAN'S OPERATIONAL CYCLE
DURATION: 1 FISCAL YEAR
FY start
TH6 ey* Ut Elrd.B op-adorE on an aG.nd.d bacfu, ln rccporc. to crrrglng bord.r
rccurity tfuiiltt- Tlic is rn rnmpb of e trrlvs rnorth cempdgn plen with f,vo teclical
op.ralronal gcrio<,s. Thls semgb sho*':s ot G,tapplng opeailooa .e sel, ac Umcc wlrcn thctu
.r. nE operatio.E baing conduc*crd-
Figure 2: Example of a Dynamic, Unsynchronized Operational Cycle
III. ReportingProcedures
Participation in OPSG requires accurate, consistent, and timely reporting of how funds are used,
and how the State, local and Tribal agencies' operations have impacted border security through
the mitigation of threat or vulnerability and the overall reduction of risk. Reporting will focus
on: monitoring pro$am performance; determining the level of integration and infomration
sharing; and developing best practices for future operations. To ensure consistent reporting each
State, local and Tribal agency will identiff a single point of contact to represent their agency as a
member of the IPT and to coordinate the submission of reports or execute other aspects of the
grant.
Attachment A, the Daily Activity Report is to be used to submit the ongoing results and outputs
from OPSG operations conducted. The Daily Activity Report will be submitted to the BP sector,
if required, or to the participating agency's OPSG coordinator. The agency coordinator will
compile the results from each Daily Activity Report at the end of the month and submit a
monthly report to the BP sector. The monthly report is due to sector by the 10th day of the
following month. The BP sector will compile the results from the participating agencies and
submit the results to BP Headquarters by the l5th of each following month.
ln addition to the ongoing reporting of outputs, participants will be required to submit After
Action Reports to participating agencies and the BP within 10 days of any completed operation,
after convening a debrief meeting. The After Action Report should carefully articulate outcomes
and outputs, as well as how the results of the operation comp.re with the objectives identifred
79
Appendix E - FY 2014 HSGP, OPSG Operational Guidance
h*k3E
F
during the pre-planning meeting. Failure to submit the After Action report in a timely manner
may prevent the approval of future operations requests.
IV. Operational roles and responsibilities
In order to achieve unity ofeffort, it is essential that each participant know the roles and
responsibilities within the IPT.
The BP sector's Chief Patrol Agent, or hisftrer designee, will:
o Coordinate and chair the area Integrated Planning Team's meetings
o Coordinate with all interested and eligible State, local, and Tribal agencies in the sector's
area of operation during the open period of the OPSG application process by:
- Assisting applicants in completing the operations planning portion of the
application, which is similar to the Operations Order used by the Border Patrol2
- Forwarding the approved operation portion of the application to CBP/BP
Headquarters, as well as to the SAA to complete the application process set by
FEMA/GPD
. Following the announcement of grant awards, coordinate and chair a meeting with State,
local, and Tribal agencies that received OPSG awards to develop an individualized
campaign plan. This includes:
- Working with State, local, and Tribal agencies, along with other Federal law
enforcement agencies to determine the dates, focus, and needs of each tactical
operational period, ensuring that each operation has a nexus to border security;
- Receiving the first periodic operations order from the State, local, and Tribal
agencies and ensuring that the operation is conducted as outlined in Section I;
- Monitoring and supporting the Operational Cycle throughout the performance
period;
- Ensuring Daily Activity and After Action Reports are submitted by State, local
and Tribal agencies in the proper format and within the established timeframes;
- Providing instruction, when possible, to State, local and Tribal agencies regarding
techniques, methods and trends used by transnational criminal organizations in
the area; and
- Providing a single point of contact to participants as a subject matter expert in
OPSG that can coordinate, collect, and report operational activities within the
established reporting procedures.
The State, local or Tribal agency lead, or their designee, will:
o Coordinate with the SAA on all grant management matters, including but not limited to
the development and review of operations orders, expenditure of funds, allowable costs,
reporting requirements ;
2 This will not be entered into the Border Patrol Enforcement Tracking System (BPETS).
80
Appendix E - FY 2014 HSGP, OPSG Operational Guidance
. Participate as a member of the Integrated Planning Team to facilitate the application
process during the open period and ensure the application is submitted in compliance
with the grant instructions;
. Upon receiving a gtant award, coordinate and meet as a member of the Integrated
Planning team to develop an individualized campaign plan that covers the length of the
grant p erformance period;
. Work within the Integrated Planning team to develop an initial Operational Cycle and
deterrnine the duration of the first operational period based on the tactical needs specific
to the area;
. Submit all operations orders to the SAA for review, and submit the first periodic
operations order to the Border Patrol and ensure the operation meets the six criteria
established in Section II;
. Conduct operations, on an as-needed basis throughout the length of the grant
performance period;
o Ensure reports are submitted to the to the Border Patrol, and the SAA when applicable, in
the proper format and within established timeframes;o Ensure applicable Operation Stonegarden derived data is shared with the designated
fusion center in the State and/or urban area.
o Request instruction and information from the SAA, when applicable, andy'or Border
Patrol and other Federal law enforcement agencies regarding techniques, methods, and
trends used by transnational criminal organizations in the area; and
. Provide the SAA and Border Patrol a single point of contact that maintains subject matter
expertise in OPSG who can coordinate, collect, and report operational activities within
the established reporting procedures.
The SAA will:
o Actively engage in the IPT meetings;
. Work in direct coordination and communication with the local or Tribal agency lead on
all grant management matters;
. Review all operations orders created by the local or Tribal agency;
o Acts as the fiduciary agent for the program and provide expertise in State policy and
regulations;
o Enter into a sub-grant agreement with the award recipients to disburse the allocated
funding awarded through FEMA/GPD;
o Generate quarterly reports to FEMA and the U.S. Treasury capturing the award
recipients' obligation and expenditure of funds;
r Determine if the grant's performance period requires additional refinement over the
federally established 24 month period; and
o Conduct audits of the program to ensure that the award recipients are in compliance with
program guidance.
8l
Appendix E - FY 2014 HSGP, OPSG Operational Guidance
Attachment A:
Operation Stonegarden
Daily Activity Report
Date lnformation
Date of Activity
Agency ldentifiers
FY Funds Used
I seect.
Sector
Operational Expenses
Overtime Hours
M i les Driven/Patrolled
Fuel Used (in Gallons)
Equipment on Order
Operational Activity
Labor Gost
Mileage Cost
Fuel Gost
Equipment Cost
Total Cost
Misdemeanor Arrests
Felony Arrests
Outstanding Warrants
Citations lssued
Specialty Equipment
***Click the orange arrows below to add details about seizures and arrests.
Specialty Equipment Usage
Narcotics Seizures
Gash Seizures
Weapons Seizures
Vehicle Seizures
Subjects TOT BP
Cases TOT BP
GriminalAliens TOT BP
Vehicle Stops
lntel Reports
Surveillance TowerF
Mobile Command Centerf
Marine Patrol Assettr
Aviation Assettr
82
Appendix E - FY 2014 HSGP, OPSG Operational Guidance
Armored Vehiclef
Other Spec. EquipmentT
Narcotic Seizure Details
Type Weight Reoort Number Location Comments
Select... /
Gurrency Seizure Details
Amount Report Number Location Comments
Vehicle Seizure Details
Make/Model Estimated Value Location Comments
Weapon/Amm unition Seizu re Details
Weaoon Tvoe Amount Seized Report Number Location Comments
Specialty Equipment Usage Details
Specialty Equipment Report Number Location Comments
Significant Arrest Details
Name Date of Birth Report Number Location Comments
lntelligence Summary
Cateqory Report Number Location Summary
Authorizing Oflicer Date of Report
V. Definitions
Integrated Planning Team: The IPT will consist of the awarding State Administrative Agency,
local, and Tribal OPSG stakeholders within their Border Patrol sector area and U.S. Border
Patrol representatives, but may include other area Federal law enforcement agencies if deemed
83
Appendix E - FY 2014 HSGP, OPSG Operational Guidance
necessary by the Chief Patrol Agent. The Integrated Planning Team will be used for all aspects
of OPSG application, planning, and de-briefings.
Area of lnterest: A specific area, areas, or facilities known to be used by transnational criminal
organizations in furtherance of their criminal activity.
Campaien Plan: A series of related law enforcernent operations aimed at accomplishing a
strategic or operational objective within a given time and space.
Concept of Operations: A written statement that clearly and concisely expresses what the State,
local or Tribal commander intends to accomplish and how it will be done using available
resources (and funding).
Operational Cycle: A deliberate on-going cycle of command, staff, and unit activities intended
to synchronize current and future operations (driven by current intelligence and short-term goals
that support the campaign).
Operational Discipline: The organized manner in which anorgarization plans, coordinates, and
executes the OPSG mission with common objectives toward a particular outcome.
Performance Measure: A numerical expression that quantitatively conveys how well the
organization is doing against an associated performance goal, objective, or standard.
Tactical Operational Period: An operational segment that meets the following six criteria: 1)
specified beginning and ending dates; 2) begins with pre-planning; 3) is intelligence driven; 4)
uses targeted enforcement techniques; 5) has clearly stated objectives; and 6) concludes with an
after-action meeting.
Targeted Enforcement: The leveraging of all available assets against a specific action, area,
individual, or organization and using those deemed most appropriate to mitigate risk.
Target of Interest: A specific person, group ofpersons, or conveyance known to be part of, or
used by transnational criminal organizations to advance their criminal activity.
Threat: lnformation expressing intent to conduct illegal activity often derived from intelligence
sources, the overall context, a specific event or series of events, or observation of suspicious
activity.
Vulnerabilitv: The protective measures in place are less than the protective measures needed to
mitigate risk.
Unitv of Effort: Coordination and cooperation among all organizational elements, even though
they may not be part of the same "command" structure, to achieve a success.
84
Appendix E - FY 2014 HSGP, OPSG Operational Guidance
EXHIBIT G
a
I
E
R
1
Et
E
I
b
o'!
6E
2
EE
I
EU
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E
E
o
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6
EXHIBIT H
LA-LB UASI Modification Form 2015.x1s
LA/LB UASI Modification Requeq! Form
fill out the Modification Request Form andusubmit it.to your Grant Speci?list. lnclud.e the proibct detailrifor each llire # affee.led by thd:lmodificatidn
For new line #'s being created, leave the Project Letter, ltem #, and Sub-Line # columns in the 'Modified To' section blank- your Grant Specialist
assignthem YouMUSTincludethereasonforthemodificationrequest. YourGrantSpecialistwill adviseif yourmodificationrequestrequires
information, Additionally, you MUST attach a cqmpleted ledge(s)with the proposed charlges. Formulas are embedded jn the Form to
calculate the $ Change and the Form is balanced when ihe Totals (highlighted yellowiin the'Modified From'and the'Modified fo'sections
equal. Modification requests are submitted to CaIOES on a monthly basis. To be considered for that month's modificetion request, please submit by
1sth of each month
Modified To:
lol 1
EXHIBIT I
CALIFORI\IA GOVER}IOR'S OFFICE OF EMERGENCY SERVICES
Homeland Security Grant Program FY: _ Grant Number: CaIOES ID#
Subgrantee name:Project:
REOUEST FOR SOLE SOURCE PROCUREMENT AUTHORIZATION
l. Project name:Project Budget: $
2. Describe the project and/or activity that will be provided by the proposed sole source
vendor/contractor.
3. Describe your organization's standard procedures when sole source contracting is considered,
including the conditions under which a sole source contract is allowed, and any other applicable
criteria (i.e. approval requirements, monetary thresholds, etc.).
4. Indicate which of the following circumstances resulted in your organization's need to enter into a
sole source contract.
a. Item/service is only available from one source (Describe the process used to make that
determination. Please provide details.)
b. A public urgency or emergency will not pennit a delay resulting from competitive
solicitation. According to the US Deparhnent of Homeland SecurityffEMA, "Time
constraints will not be considered a factor if the subgrantee has not sought competitive
bids in a timely manner." (Describe the urgency or emergency. Please provide details)
c. After solicitation of a number of sources, competition was detemrined inadequate.
(Describe the solicitation process that determined competition was inadequate. Please
provide details, and attach any relevant supporting material, Request for Proposal, etc.)
5. Did your organization confrrm that the contractor/vendor is not debarred or suspended?
6. Will your organization be able to complete all activities associated with the sole source contract
by the end of the grant performance period?
7. Has your organization determined the costs are reasonable?
8. Please attach a copy of the cost benefrt analysis prepared for this procurement.
Date:Submitted by.
(Name)(Signature)
Cal OES SSRF rev A1/13
EXHIBIT J
The Reimbursement Request Form is not part of the exhibit block. The form is
currently being updated by the City of Los Angeles Mayor's Office and will be
released as soon as it is finalized.
EXHIBIT K
2.
J.
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES
AVIATION EOUIPMENT REOUEST FORM
Homeland Security Grant Program FY: _ Grant Number: Cal OES ID#:-
Urban Area Security Initiative (UASI) FY: _ Grant Number: Cal OES ID#:
Project Amount: UASI: $SHSGP: $
CitylCounty/Agency Name:
1. Indicate the type of equipment for this request
Aviation Equipment Aviation Related Equipment
Provide a description of the area that will be served by the requested equipment.
Please justi8/ the need for the aviation equipment and how the requested platform best meets
that need as compared to other options. Include the cost, discipline, and funding source.
Please certiff on signed letterhead that an existing aviation unit is operating and will continue
to operate independent of the requested funding. Describe the active, operating aviation unit
and certifu that no expenses will be charged against the grant award for the general
operational costs of such aviation unit.
Identiff the applicable goals and objectives in the StateAJrban Area Homeland Security
Strategy that the requested aviation equipment addresses.
Explain how the requested aviation equipment fits into the StateAJrban Area's integrated
operational plans.
Explain how this aviation equipment will support activities specifically related to terrorism
incident prevention and response efforts.
4.
5.
6.
7.
Cal OES Form AVI Rev 08-01-13
Cal OES Aviation Request Form
Page Two
9.
10.
Please describe how this aviation equipment will be used operationally and which response
assets will be deployed using the requested aircraft.
Please describe how this aviation equipment will be utilized on a regular, non-emergency
basis.
Please certifu licensing, registration fees, insurance, and all ongoing operational expenses are
(a) the responsibility of the grantee or the local units of government and (b) are not allowable
under this grant.
Cal OES Form AW Rev 08-01-13
California Governor's Office of Emersency Services
ESTABLISIVENHANCE EMERGENCY OPERATIONS CENTER (EOO REOUEST
Subgrantee Name:
Homeland Security Grant Program FY_ Grant Number Cal OES ID#
Urban Area Security Initiative (UASI) FY_GrantNumber Cal OES ID#
Other Program FY.Grant Number Cal OES ID#
l. What type of EOC does your organization plan to establish/enhance? (Choose one of the
following)
Primary EOC Alternate/Back-up/Duplicate EOC
2. Physical address of facility:
3. Describe how the establishment/enhancement of an EOC improves your organization's
ability to prevent, plan for, respond to, and recover from a terrorism event (on a separate
attachment).
4. Identiff all other sources and uses of additional funds assisting the project in any way.
5. Identift anticipated homeland security grant costs to establish/enhance your
organization's EOC in the table below.
6.
Supplies/Equipment AEL # Cost
Computers
Network Servers
Printers
Computer accessories (i.e. surge protectors. battery backups. etc.)
Computer maintenance contracts
Computer connections and cables (includine fiber optic cabline)
Fax machines
Lishtine Svstems
LCD proiectors
Proi ection/plasma/fl at screens/monitors/televisions
GIS plotter and software
Telephone systems
Software develooment
Commercial off-the-shelf (COTS) software
Installation of EOC items
Miscellaneous connections for EOC items
Standardized mapping software
Cal OES EOCRF Revised 08/1/13
Standardized emergency management software
Installation of EOC items
Miscellaneous connections for EOC items
Leasing Costsz (Indicate starting and ending dates of lease and
explain the circumstances under which the moving or leasing costs
will be incurred.)
Other (must provide lisVdescription of "other" items and costs)
TOTAL - EOC Supplies and Equipment I
7. Explanation of "other" items:
8. Has your organization determined the costs are reasonable?
Submitted by:Date:
(Name)(Signature)
OMB Control#: 1660-01 15
Expiration D ate: I 0 I 3 I I 2013
FEMA Form:024-0-1
DEPARTMENT OF HOMELAND SECURITY
FEDERAL EMERGENCY MANAGEMENT AGENCY (FEMA)
ENVIRONMENTAL AND HISTORIC PRESERVATION SCREENING FORM
Directions for completing this form: This form is designed to initiate and facilitate the environmental
and historic preservation (EHP) compliance review for your FEMA preparedness grant-funded project(s).
FEMA conducts its EHP compliance reviews in accordance with National Environmental Policy Act
(NEPA) and other EHP-related laws and executive orders. In order to initiate EHP review of your
project, you must complete all relevant sections of this form and submit it to the Grant Programs
Directorate (GPD) along with all other pertinent project information. Failure to provide requisite
information could result in delays in the release of grant funds. Be advised thst completion of thisform
does not complete the EHP review process. You will be notified by FEMA when your review is
complete and/or if FEMA needs additional information.
There is no need to complete and submit this form if the grant scope is limited to planning, management
and administration, classroom-based training, tabletop exercises andfunctional exercises, or purchase of
mobile and portable equipment where no installation is needed. Information Bulletin 345, Grant
Programs Directorate Programmatic Environmental Assessment, September 1, 2010, provides details
on these activities.
This form should be completed electronically. The document is available in both Word and Adobe
Acrobat (pdf) formats at this website:
. The following website
has additional guidance and instructions on the EHP review process and the information required for the
EHP review: http ://www. fema. eov/plan/eho/ehprevieilindex.shtm
Submit completed form through your grant administrator who will forward it ro GPDEHPInfo@dhs. gov.
Please use the subject line: EHP Submission: Project Title, location, Grqnt Award Number (Example,
EHP Submission: Courthouse Camera Installation, Any Town, State, 12345; 201|-SS-Qffi).
Paperwork Burden Disclosure Notice
Public reporting burdenfor thisfom is eslimated lo average 8 hours per response. The burden estimate includes lhe timefor reviewing instmctions,
searching existing data sources, galhering and maintaining the data needed, and completing and submittw the form. You are not required to
respond lo this collection of information unless it displays a valid OMB control number. Send comments regarding the accuracy of the burden
estimate and any suggeslions for reducing the burden to: Information Collections Management, Department of Homeland Secatrity, Federal
Emergency Management Agency, 500 C Street, ll/ashington, DC, 20472, Papemork Reduction Project (1660-01 I 5).
Environmental and Historic Preservation Screening Form - htrre 2012
SECTION A. PROJECT INFORMATION
DHS Grant Award Number:......
Grant Program: ..........................
Grantee
Grantee POC:
Mailing address:
E-mail:
Sub grantee:
Subgrantee POC:
Mailing address:
E-mail:
Estimated cost of project: ..........
Project title:
Project location (physical address or latitude-longitude):
Project Description. Provide a complete project description. The project description should contain a summary
of what specific action is proposed, where it is proposed, how it will be implemented. Include a brief description of
the objectives the project is designed to accomplish (the purpose), and the reason the project is needed. Use
additional pages if necessary. If multiple sites are involved, provide the summary for each site:
SECTION B. PROJECT TYPE
Based on the proposed project activities, determine which project type applies below and complete the
corresponding sections that follow. For multi-component projects or those that may fit into multiple project types,
complete the sections that best apply and fully describe all major components in the project description. If the
project involves multiple sites, information for each site (such as age of structure, location, ground disturbance, etc.)
must be provided. Attach additional pages to this submission, if needed.
I . f] Purchase of equipment. Projects in this category involve the purchase of equipment that will require
installation on or in a building or structure. Complete other portions of Section B as needed. Complete
Section C.l.
2. a Training and exercises. Projects in this category involve training exercises with any field-based
components, such as drills or full-scale exercises. Complete Section C.2.
3. E Renovations/upgrades/modifications or physical security enhancements to existing structures.
Projects in this category involve renovations, upgrades, retofits, and installation of equipment or systems
in or on a building or structure. Examples include, but are not limited to: interior building renovations;
electrical system upgrades; sprinkler systems; vehicle exhaust systems; closed circuit television (CCTV)
cameras; security fencing; access control for an area, building, or room; bollards; motion detection systems;
OMB Control#: 1660-01 15
FEMA Form: 024-0-l
Environmental and Historic Preservation Screening Form - June 2012
alarm systems; security door installation or upgrades; lighting; and audio-visual equipment (projectors,
smart boards, whiteboards, monitors, displays, and projector screens). Complete Section C.3.
4. f] Generator installation. Projects in this category involve installation of new or replacement generators, to
include the concrete pads, underground fuel and electric lines, and if necessary, a fuel storage tank.
Complete Section C.4.
5. E New construction/addition. Projects in this category involve new construction, addition to, or expansion
of a facility. These projects involve construction of a new building, or expansion of the footprint or profile
of a current structure. Complete Section C.5.
6. E Communication towers, antennas, and related equipment Projects in this category involve
construction of new or replacement communications towers, or installation of communications-related
equipment on a tower or building or in a communications shelter or building. Complete Section C.6.
7. Z Other. Projects that do not fit in any of the categories listed above. Complete Section C.7.
SECTION C. PROJECT TYPE DETAILS
Check the box that applies to the proposed project and complete the corresponding details.
1.E Purchase of equipment.If the entire project is limited to purchase of
mobile/portable equipment and there is no installation needed, this form
does not need to be completed and submitted.
Specify the equipment, and the quantity of each:.........
Provide the Authorized Equipmart List (AEL) number(s) (if known):......
Complete Section D.
2.4 Training and exercises. If the training is classroom and discussion-based
only, and is notfield-based, this form does not need to be completed and
submitted.
Describe the scope ofthe proposed training or exercise (purpose,
materials, and tlpe of a activities required):
Provide the location ofthe training (physical address or latitude-
longitude):
Would the training or exercise take place at an existing facility which has
established procedures for that particular proposed training or exercise,
and that conforms with existing land use designations? For further
information refer to Information Bulletin #345,
http://www.fema.gov/pdf/eovernment/srant/bulletins/info345.pdf :.......................................E yes E tlo
o If Yes, provide the name of the facility and the facility point of
contact (name, telephone number, and email address): .........................
o If No, provide a narrative description of the area where the training
or exercise would occur (e.g., exercise area within four points
dehned by latitude/longitude coordinates):..............
OMB Control#: 1660-01 15
FEMA Form:024-0-l
a.
b.
a.
3
Environmental and Historic Preservation Screening Form - June 2012
. Does the field-based training/exercise differ from previously
permitted training or exercises in any way, including, but not limited
to frequarcy, amount of facilitieVland used, materials or equipment
used, number of participants, or q/pe of activities? ................ ! Yes E tto
. IfYes, explain any differences between the proposed activity and
Those that were approved in the past, and the reason(s) for the change
ln scope:.......
. If No, provide reference to previous exercise (e.g., FEMA grant
name, number, and date):....
d. Would any equipment or structures need to be installed to facilitate
training? .....................! yes E No
r If Yes, complete Section D
3. E Renovations/upgrades/modifications, or physical security
enhancements to eilsting structures.
a. Complete Section D.
4. E Generator installation.
a. Provide capacity of the generator (kW):
b. Identify the fuel to be used for the generator (diesel/propane/natural gas):..
c. Identify where the fuel for the generator would be stored (e.g. stand-alone
tank, above or below ground, or incorporated in generator): ........................
d. Complete Section D.
5. E New construction/addition.
a. Provide detailed project description (site acreage, new facility square
footage/number of stories, utilities, parking, stormwater features, etc): .......
b. Provide technical drawings or site plans of the proposed project: ..................... tr Attached
c. Complete Section D.
6. f] Communication towers, antennas, and related equipment.
a. Provide the current net height (in feet above ground level) ofthe existing
tower or building (with current attached equipment):..
b. Provide the height (in feet above ground level) ofthe existing tower or
building after adding/replacing equipment:
Complete items 6.c through 6.q below ONLY if this project involves construction of a new or replacement
communications tower. Otherwise continue to Section D.
Information Bulletin 351, National Historic Preservation Act Section 106 Review Requirements for
Communications Facilities, January 4,2011 has additional guidance and information on EHP requirements for
communications towers. Available at:
OMB Control#: 1660-01 15
FEMA Form: 024-0-1 4
Environmental and Historic Preservation Screening Form - June 2012
Provide the ground-level elevation (feet above mean sea level) ofthe site
of the proposed communications tower:
Provide the total height (in feet above ground level) ofthe proposed
communications tower or structure, including any antennas to be mounted:
o Ifgreater than 199 feet above ground level, state why this is needed
to meet the requiremmts of the project:
Would the tower be free-standing or require guy wires? . tr Free standing ! Guy wires
. If guy wires are required, state number of bands and the number of
. Explain why a guyed tower is needed to meet the requirements of
this project:
What kind of lighting would be installed, if any (e.g., white strobe, red
strobe, or steady buming)?.................
Provide a general description of terrain (e.g., mountainous, rolling hills,
fl at to undulating):..............
Describe the frequency and seasonality offog/low cloud cover:..
Provide a list ofhabitat types and land use at and adjacent to the tower
site (within % mile), by acreage and percentage of total (e.g., woodland
conifer forest, grassland, agriculture) water body, marsh: ...........
Is there evidence of bird roosts or rookeries present withiur,/z mile of the
proposed site?............... .................... E yes E No
. Describe how presence/absence of bird roosts or rookeries was
determined:
Identify the distance to nearest wetland area (e.g., forested swamp,
marsh, riparian, marine) and coastline if applicable:
Distance to nearest existing telecommunication tower: ...........
Have measures been incorporated for minimizing impacts to migratory
r If Yes, describe:
n. Has a Federal Communications Commission (FCC) registration bean
obtained for this tower?........... ......... E yes E No
o. Has the FCC E106 process been completed?.................. f] yes E No
p. Has the FCC Tower Construction Notification System (TCNS) process
been completed?................ E Yes E No
. If Yes, attach the environmental documentation submitted as part of
the registration process including use of the Tower Construction
OMB Control#: 1660-01 l5
FEMA Form:024-0-l
h.
i.
J
k.
l.
5
7.
Environmental and Historic Preservation Screening Form - June 2012
Notification System (TCNS), if applicable.
Would any related equipment or structures need to be installed (e.g., backup
generator and fuel source, communications shelter, fencing, or security
measures)?.... lYes ENo
. If Yes, explain where and how each installation would be done. Provide
details about generator capacity (kW), fuel source, fuel location and
tank volume, amount of fencing, and size of communication shelter:.....
r. Complete Section D.
fl Otn".. Complete this section if the proposed project does not fit any of
the categories above.
a. Provide a complete project description:
b. Complete Section D.
SECTION D. PROJECT DETAILS
Complete all of the information requested below.
l. ! Projectinstallation
a. Explain how and where renovations/upgrades/modifications would take
place, or where equipment/systems will be installed:
b. Would ground disturbance be required to complete the project or training? ..... E yes E No
o IfYes, provide total extent (depth, length, and width) ofeach ground-
disturbing activity. lnclude both digging and trenching. For example,
light poles and fencing have unique ground-disturbing activities (e.g.,
six light poles,24" dia. x 4' deep; trenching12" x 500' x 18" deep;
22 fence posts, 12" diameter x 3' deep, and2 gate posts, 18" diameter
x 3' deep):.....
r If Yes, describe the current disturbed condition of the area (e.g.,
parking lot, road right-of-way, commercial development):.....................
Would the equipmort use the existing infrastructure for electrical
distributionsystems? .!Yes ENo
. If No, describe power source and detail its installation at the site:..........
2. I Age of structure/building at project site
a. Provide the year existing building(s) or structure(s) on/ir/nearest to the
location involved in the proposed project was built:......
o Ifthe building or structure involved is over45 years old and
OMB Control#: 1660-01 15
FEMA Form: 024-0-1 6
Environmental and Historic Preservation Screening Form - J:ur:re 2012
si gnifi cant renovation, rehabilitation, or modifi cation has occurred,
provide the year(s) modified and briefly describe the nature of
the modification(s):.............
b. Are there any structures or buildings that are 50 years old or older in or
adjacent to the project area? ............. E Yes E No
. Ifyes, provide the location ofthe structure(s), groundJevel color
photographs ofthe sructure(s), and identifu their location(s) on an
aerial map:
c. Is the project site listed in the National Register of Historic Places
(National Register), or inlnear a designated local or National Register
Historic District? The intemet address for the National Register
is: http://nrhp.focus.nps.gov E yes f] No
o If Yes, identifo the name of the historic property, site and,/or district
and the National Register document number:.........
:. E Site photographs, maps and drawings
a. Attach site photographs. Site photographs are required for all projects.
Use the following as a checklist for photographs of your project. Attach
photographs to this document or as accompanying documents in your
submission.
. Labeled, color, ground-level photographs of the project site:............... ........ tr Required
. Labeled, color photograph of each location where equipment would be
attached to a building or structure:... ... .. . . tr Required
. Labeled, color aerial photograph of the project site:............... ! Required
. Labeled, color aerial photographs that show the extent ofground
disturbance (if applicable): .................... . . .tr Attached
. Labeled, color ground-level color photographs ofthe structure from
each exterior side ofthe building/structure (applicable only if
building/structure is more than 45 years old): .. E Attached
b. Are there technical drawings or site plans available? .... .... ... tr Yes E No
. If yes, attach: .......... .................... tr Attached
Appendix A has guidance on preparing photographs for EHP review
+. ! fnvironmental documentation
a. Is there any previously completed environmental documentation for this
project at this proposed project site (e.g., Environmental Assessment, or
wetland delineation, or cultural/archaeological study)?.......... ..... E yes E No
. If Yes, attach documentation with this form: ... E Attached
b. Is there any previously completed agency coordination for this project
(e.g., correspondence with the U.S. Fish and Wildlife Service, State
Historic Preservation Office, Tribal Historic Preservation Office)? .................. tr Yes E No
o If Yes, attach documentation with this form:...... .................... tr Auached
OMB Control#: 1660-01 15
FEMA Form: 024-0-l
Environmental and Historic Preservation Screening Form - June 2012
OMB Control#: 1660-01 15
FEMA Form: 024-0-l
c. Was a NEPA document was prepared for this project?
o If Yes, what was the decision? (Check one, and please attach):
! finaing ofNo Significant Impact (FONSD from an Environmental Assessment (EA) or
! Record of Decision (ROD) from an Environmental Impact Statement (EIS).
Name of preparing agency:
Date approved:.................
flYes E No
8
Appendix A. Guidance for Supporting Photographs for EHP Grant Submissions
Photographs are a vital component ofthe EHP review process and add an additional level of
understanding about the nature and scope ofthe project. They also provide pre-project documentation of
site conditions. Please follow the guidance provided below when preparing photographs for your EHP
submission. The following pages provide examples of best practices used in earlier EHP submissions.
Minimum requirements for photographs.
l. Photographs shouldbe in color.
2. Label all photographs with the name of facility, location (city/county, state) andphysical location
(physical address or latitude-longitude).
3. Label the photographs to clearly illustrate relevant features of the project, such as location of installed
features (e.g., cameras, fences, sirens, antennas, generators) and ground disturbance. See examples
below.
4. Identifu ground disturbance. Adding graphics to a digital photograph is a means to illustrate the size,
scope and location ofground disturbing activities.
Best Practices
l. Provide photographs in a separate file.
2. Place no more than 2 pictures per page.
3. Compressing pictures files (such as with Microsoft Picture Manager)r or saving the file in pdf format
will reduce the size of the file and facilitate e-mail submissions.
4. Identifu the photograph file with the project nzrme so that it can be matched to the corresponding
FEMA EHP screening form.
5. Maximum file size for enclosures should not exceed 12 MB. If the total size of files for an EHP
submission exceeds l2 MB, send the submission in multiple e-mails.
6. If necessary, send additional photographs or data in supplemental e-mails. Please use the same e-mail
subject line with the additional label: I of x, 2 of x, . . . x of x.
Options for Creating Photographs
1. Obtain an aerial photo. There are multiple online sources for aerial photographs.
2. For the aerial photo, use the screen capture feature (Ctrt + Print Screen keys) and copy the image to
photo editing software, such as Paint, or PhotoShop.l Use that software to crop the image so the
photo has the content necessary.
3. Open PowerPoint, or other graphics-oriented software, and paste the aerial or ground-level
photograph on the canvas.
4. Use drawing tools, such as line drawing and shapes, to indicate the location of project features (for
example: fencing, lighting, sirens, antennas, cameras, generators).
5. Insert text to label the features and to label the photograph.
6. Use drawing tools to identify grourd-disturbing activities (if applicable).
7. Save the file with the project name or grant number so that it can be appropriately matched to the
corresponding FEMA EHP screening form. Include this file with the EHP screening when submiffing
the project.
OMB Control#: 1660-01 15
FEMA Form: 024-0-l A-1
Appendix A. Supporting Photographs for EHP Grant Submissions
Example Photographs
Aerial Photographs. The
example in Figure I provides
the name of the site, physical
address and proposed
location for installing new
equipment. This example of
a labeled aerial photograph
provides good context of the
surrounding area.
Ground-level photographs.
The ground-level photograph
in Figure 2 supplements the
aerial photograph in Figure l,
above. Combined, they
provide a clear understanding
ofthe scope ofthe project.
This photograph has the name
and address ofthe project site,
and uses graphics to illustrate
where equipment will be
installed.
OMB Control#: 1660-01 l5
FEMA Form: 024-0-I
Figure 2. Example of ground-level photograph showing proposed
attachment of new equipment
Figure l. Example of labeled, color aerial photograph.
A-2
Appendix A. Supporting Photographs for EHP Grant Submissions
Ground-level photograph
with equipment close-up.
Figure 3 includes apasted
image of a CCTV camera that
would be placed at the project
site. Using desktop computer
software, such as PowerPoint,l
this can be accomplished by
inserting a graphic symbol
(square, triangle, circle, star,
etc.) where the equipment
would be installed. This
example includes the name and
location of the site. The site
coordinates are in the degree-
minute-second format.
Ground-level photograph
with excavation area close-
up. The example in Figure 4
shows the proposed location
for the concrete pad for a
generator and the ground
disturbance to connect the
generator to the building's
electrical service. This
information can be illustrated
with either an aerial or
ground-level photograph, or
both. This example has the
name and physical address of
the project site.
OMB Control#: 1660-0115
FEMA Form: 024-0-l
Figure 3. Ground-level photograph with graphic showing
proposed equipment installation.
Figure 4. Ground-level photograph showing proposed ground
disturbance area.
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Appendix A. Supporting Photographs for EHP Grant Submissions
Communications equipment
photographs. The example in
Figure 5 supports aproject
involving installation of
equipment on a tower. Key
elements are identifuing where
equipment would be installed on
the tower, name of the site and its
location. This example provides
site coordinates in decimal
format.
Interior equipment
photographs. The example in
Figure 6 shows the use of graphic
symbols to represent security
features planned for a building.
The same symbols are used in the
other pictures where the same
equipment would be installed at
other locations irlon the building.
This example includes the name
of the facility and its physical
address.
Figure 6. Interior photograph showing proposed location of new
equipment.
Ground-level photographs of nearby historic structures and buildings. Consultation with the State
Historic Preservation Office (SHPO) may be required for projects involving structures that are more than
50 years old, or are on the National Register of Historic Places. In that event, it will be necessary to
provide a color, ground-level photograph of each side of the building/structure.
1 Use ofbrand name does not constitute product endorsement, but is intended only to provide an example ofthe type ofproduct
capable ofproviding an element ofthe EHP documentation.
OMB Control#: 1660-01 15
FEMA Form: 024-0-1
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California Governor's Office of Emersency Services
WATERCRAFT REOUEST
Subgrantee Name:
Homeland Security Grant Program FY_ Grant Number Cal OES ID#
Urban Area Security Initiative (UASI) FY_Grant Number Cal OES ID#
Other Program FY Grant Number Cal OES ID#
Project Amount: UASI S SHSP $
1. Indicate the type of equipment for this request (choose only one of the following).
Watercraft Watercraft- Related Equipment
2. Please provide a description of the area that will be served by the requested equipment.
Equipment & Description Cost AEL number
3. Please justify the need for the watercraft and how the requested platfomr best meets
that need as compared to other options. Include the cost, discipline, and funding source.
4. Please describe the active, operating waterway patrol unit and certifr on signed
letterhead that no expenses will be charged against the grant award for the operation of
such unit.
5. Please identiff the applicable goals and objectives in your State/Urban Area Homeland
Security Strategy that the requested watercraft addresses, and the waterway identified
as critical asset requiring state and/or local prevention and response capabilities.
6. Please explain how the requested watercraft fits into the Staterurban Area's integrated
operational plans and vulnerability assessment.
Cal OES WRF Revised 07111113
California Governor's Office of Emergencv Services
WATERCRAFT REOUEST
7. Please describe how this watercraft will be used operationally and which response
assets will be deployed using the requested watercraft.
8. Please describe how this watercraft will be utilized on a regular, non-emergency basis.
9. Please describe what types of terrorism incident response and prevention equipment
with which the requested watercraft will be outfitted. Include any specialized
navigational, communications, safety, and operational equipment necessary to enable
such watercraft to support the homeland security mission. Please certiff on signed
letterhead that licensing, registration fees, insurance, and all ongoing operational
expenses are the responsibility of the grantee or the local units of government and are
not allowable under this grant.
10. Attach letters of endorsement, if applicable.
Submitted by:Date:
(Name)(Signature)
Cal OES WRF Revised O7l1U13
EXHIBIT L
Technology Project Standards
l. Virtual Port (Data Svstem Proiects)
1) Web-based software: system on browser technology instead of proprietary system
2) API or STK software integration tools- application is typically provided by the
manufacturer
3) Exchange protocols: 128 bid encryption
4) Dual authentication
2. Downlink Proiect
1. Ability to go non-encryptic for both receivers and transmitters
2. 6.5 GHz Range
3. High-gain antennas
4. Moving Pictures Expert Group (M-PEG) current standards for decoding: M-PEG 4
3. SMART Classroom
1. 2 Mbps minimum bandwidth
2. Code-X Specs- minimum oI C40 (2 video outputs)
3. Camera Specs- 1080 dpi
4. Firewall settings:
5. lT personnel required for set-up/installation
4. LARCOPP
Asset Manager - Tracks personnel and equipment to shift or operational period based on availability
either on duty or on overtime. Tracks all working hours and prints out overtime slips in compliance with
FMAG reimbursement procedures.
Logs- Ability to create multiple logs for different ICS sections, divisions, or agencies for multiple
operational periods.
Mapping - Ability to plot personnel, equipment, missions for a variety of incidents, draw perimeters, fire
lines, fire progression, plume modeling etc.
Video Streamer- Ability to stream multiple videos streams from ANTARES cameras in to several
locations, (EOC's mobile command post trailers).
Message Center - Ability to have private encrypted chat rooms for operators to discuss operations, FAX
service to send and receive FAXS', Email groups ability to send and receive emails with attachments or
send attachments on email.
ICS Forms - Ability to create ICS forms and complete EAP's/lAP's
Downlink Receiver - Ability to receive both 4.9 and 6.5 GHz downlink video
Triage App - Ability to track patients at an MCI incident both by name and location.
Tri-Korder phones - Ability to have most of the above applications on a smart phone and also the ability
to use the Tri Korder phone as a GPS tracker to track personnel live on the mapping app
Re-Stat ability - to have situational awareness of all you deployed and waiting resources as well as
missions
Missions - creates and tracks missions both for a pre-planned and emerging events. Abilityto insert
detailed instructions for personnel
Reports - Ability to print up multiple reports about personnel, missions, overtime costs.
All ofthese abilities are shared with all agencies participating in the LARCOPP program. There are
several servers throughout the region that give us the ability to share and view everyone's incidents and
information live. lt also allows us to works together on a single incident allowinB multiple agencies in a
unified command to have the same picture of the incident. All of this information is encrypted.
5. License Plate Recoonition (LPR)
Overview:
Fixed and Mobile License Plate Recognition system should contain the following components: (a) Fixed
License Plate Recognition Cameras including all necessary mounting hardware, (b) Capability to accept a
network connection capable of backhauling data to city network, (c) Hardware capable of creating VPN
between network connection identified in (b) and City/Agency network.
System Requirements:
. System shall have the ability to capture license plates and compare them to a database detailed
by the purchasing agency;
. system shall be able to perform this analysis in varied lighting and weather conditions at an
accuracy level deemed suitable by the purchasing agency;
. System shall have the ability to link or share data with other LPR systems;
. The LPR system shall have the ability to be deployed in both a mobile and fixed installation
based on standards set by the agency purchasing;
. The systems timekeeping shall automatically update when time changes occur (e.9., DayliBht
savings time) and be consistent with correct calendar dates;
. Any system selected shall allow for the purchasing agency to be the sole owner of the data;
o Data shall be compatible with standard SQL formau
. System selected shall at a minimum have the ability for a unique user siBn and audit/reporting
capability;
. Still imagery must be in a non-proprietary format;
o Each read shall retain the associated metadata the minimally includes:
o GPS location;
o Date;
o Time;
o Source (vehicle lD/fixed ldentifier);
o Alert reason;
o System must have the ability to retain all data captured for a period set by the purchasing
agencies requirements;
o The system must be industrial/commercial grade. No prototype models will be considered;
Hardware:
o Loss of power to any hardware shall not result in the unit requiring reprogramming;
. Sudden loss of power shall not cause the loss of data;
o All wiring shall meet industry standards applicable to the wire applications and all systems must
be properly grounded using the same industry standards;
o The systems shall operate under extreme hot and cold weather conditions (20to 150 degrees
Fahrenheit);
o Camera system shall capture an image of the plate and overview of the vehicle;
o Mobile systems shall support a minimum of four cameras capable of capturing license plates;
. System shall comply with the purchasing agencies' lighting standards for fixed installations;
o Cameras must operate on a filtered, regulated and short-circuit-protected power source.
o The system will be protected from damage due to input of voltage, reverse polarity, and
electrical transients that may be encountered.
o Camera will need to possess sufficient internal memory such that during times of impaired
network connectivity data will not be lost.
o Ruggedized exterior for camera and networking equipment
o Vibration resistant
o Rugged mounts that provide stability to all equipment
Network Conditions:
o System Network connection should be capable of sustained 250kb/s speeds.
o Human intervention shall not be required to establish/maintain the connection
o Connection should be capable of automatic reconnection in the event of power-loss or
temporary issue with service provider.
. lf a device is required at each network connection point, it shall be capable of encrypting data
being sent back to any Agency network.
Warranty and Maintenance :
o System selected shall include a comprehensive warranty and maintenance for the maximum
amount of time allowed by the grant guidelines;
Regional Sharing:
. Any agency using UASI/SHSG Grant Funding shall agree to enter into a standard Memorandum
of Agreement to share data between LA-LB UASI law enforcement members (to be developed
and provided prior to final grant award);
RECE'VED
FEB 2 4 2015
DATE:
TO:
FROM:
RE:
RECEf VED
FEB 2 5 20t5
CITY ADMINISTRATION
CIIY Cl.ERl('S OFFICE STAFF REPORT
VERNON GAS & ELECTRIC DEPARTMENT
March 3,2015
Honorable Mayor and City Council ,(
Carlos Fandino Jr., Director of vernon Gas & Electric @ '''lA"
-
Element Markets Renewable Energy,
Agreements, and Waiver of the Replacement
the Security Agreement
LLC Amendment, Security
Energy Supplier's signature to
Recommendations
It is recommended that the City Council:
l. Find that the approval requested in this staff report is exempt under the California
Environmental Quality Act (CEQA) in accordance with CEQA Guidelines Section
15301(b), the general rule that CEQA only applies to projects that may have an effect
on the environment; and
2. Authorize the Director of Gas and Electric to execute the following in substantially the
same form as attached to the staff report:
a. the March 3, 2015 Letter Agreement submitted by Element Markets
Renewable Energy, LLC, ("Element"),
b. the attached Amendment No. 1 to the Amended and Restated Biomethane
Transaction Confi rmations, and
c. the Security Agreements
Backsround
In February 2012, City Council granted authorization to the Director of Gas & Electric to
negotiate the terms and conditions of biogas contracts with vendors. On March 2, 2072, Vernon
and Element entered into two biomethane transaction contracts (Confirmations No. 1 and No. 2)
pursuant to which Element Markets Renewable Energy, LLC would provide biomethane to
Vernon for ten years. On April 17, 2012, pursuant to Resolution No. 2012-48, City Council
approved and ratified the execution of a base contract by and between the City and Element
Markets Renewable Energy, LLC for the purchase of biomethane fuel to be used at the Malburg
Generating Station ("MGS"). As of May 7, 2014, the contracts were amended and restated to
provide for delivery of a Replacement Product in satisfaction of a portion of the contract quantity
to provide Vernon with the same benefits of the contract and cost the City less money.
The parent company of Element Markets Renewable Energy, LLC, Element Markets has entered
into a Membership Interest Purchase Agreement with Landfill Energy Systems, LLC ("LES"),
providing for Element Markets Renewable Energy, LLC to assign their existing Agreements (the
"Assignment") with the City of Vernon to Element Markets Renewable Natural Gas, LLC
("EMRNG"), a subsidiary of Element Markets. LES is to acquire all the outstanding limited
liability and company membership interest of EMRNG (together with the Assignment, the
"Transaction"). As a result of the transaction, a new management team led by LES will be in
place and will assume responsibility for the obligations under the Agreements. Additionally,
Element Markets has requested the execution of the attached Letter Agreement, and the
following attachments: Amendment No. 1 to the Amended and Restated Transaction
Confirmations No. I and No, 2, and Security Agreement No. l.
The key elements of the documents are as follows:
o In the letter agreement, the City of Vernon is being asked to (1) acknowledge and
consent to the assignment of existing contracts by and between the City of Vernon
and Element Markets Renewable Energy, LLC, to Element Markets Renewable
Natural Gas, LLC, a subsidiary of Element Markets, the acquisition of said subsidiary
by Landfill Energy Systems, LLC, and their subsequent management of all
outstanding limited liability company membership interests of EMRNG and (2)
certify that all agreements between Vernon and Element Markets Renewable Energy,
LLC are in full force, the City is not in default under the Agreements, and neither the
assignment of the contracts nor the acquisition by landfill Energy Systems, LLC,
would cause any default.
o As security for Element Markets Renewable Energy, LLC perforrnance with respect
to the Replacement Energy, Element Markets Renewable Energy, LLC agreed to
grant Vernon a security interest with respect to the Supply Agreement for
Replacement Energy. The Security Agreement is attached to the letter agreement and
requires execution by the City of Vernon
o Under the Amended and Restated Transaction Confirmations No. I and No. 2,
Element obligated itself to have the supplier of replacement energy sign the security
agreement between Element and Vernon. The current supplier of bundled
replacement energy to be used as the replacement product is Shell North America
(US), L.P. a Delaware Limited Partnership ("Shell"). Shell refused to sign the
Security Agreement and Shell specifically referred to regulatory concerns. As
consideration for Vernon's waiver of its right to have Shell execute the Security
Agreement, the city negotiated with Element Markets Renewable Energy, LLC a
reduction in the price payable for pipeline Biomethane delivered to Vemon under
Amended and Restated Confirmations No. 1 and No. 2, by $0.10 per MMBtu.
VG&E staff recommend that authority be granted to the Director of Gas & Electric to execute
the three documents referenced within this staff report to allow for the City's continued pursuit
of compliance with renewable energy mandates.
Fiscal Impact
The Amendment will provide Vemon cost reduction of up to $37,000 per year which is a
potential saving of $259,000 for the remaining term of the agreements.
Attachments
ELEMENT MARKETS
March 3,2015
City of Vemon, Light and Power Department
4305 S. Santa Fe Avenue
Vemon, CA 90058
Attn: Mr. Abraham Alemu
Re: Elemcnt Markets Renewable Energv
Dear Abraham:
Reference is made to the Base Contncts for the Sale and Purchase ofNatural Gas, (Contract
Nos. LT-l and LT-2), each dated March 2,2012 (as each such agreement is amended, modified or
supplemented by the documents descnbed on Schedule A attached hereto, collectively, the
'i{greements"), entered into by the City ofVemon, Light and Power Departnent (the "City') and
Element Markets Renewable Energy, LLC, a Delaware limircd liability company ("EMRE").
The parent company of EMRE, Element Markets, LLC C'EM'), has entered into a
Membership Interest Purchase Agreement with landfill Energy Systems, LLC, a Delaware limited
liability company ("LES"), providing for EMRE to assign the Agreements (the "Assignment") to
Element Markets Renewable Natural Gas, LLC ('EMRNG'), a subsidiary of EM and for LES to
acquire all the outstanding limited liability company membership interests of EMRNG (together with
the Assignment, the "Transaction").
As required under the Agreements, EMRE has named the City as the beneficiary oftwo
letters of credit issued by JPMorgan Chase Bank, N.A., originally issued in the amounts of
$1,000,000 (Contract LT-l) and $1,500,000 (Contract LT-2) and subsequently reduced by
amendment to S600,000 and $900,000, respectively (togedrer, the "EMRE Letten of Credit"). As
part of fie Transaction, LES will cause EMRNG to replace the EMRE Lrtters of Credit with letters
of credit issued by JPMorgan Chase Bar*. N.A. or a similar bank, for the benefit of the Cit-v in the
same amounts as, and similar in form and substance to, the EMRE ktters of Credit (the
"Rcplacement Letters of Credit"). The EMRE letters of Credit will remain in place until the
Replacement Letters of Credit are issued.
To facilitate the Transaction, we ask that you certifr the following:
l. The Agreements are in full force and effect and have not been amended, modified,
supplemented or superseded (except as shown on Schedule A hereto);
2. The City is not in default under the Agreements and, to the best of the City's
knowledge, no other party to the Agreements is in default thereundet nor is the City aware of any
event that could cause any such defrult;
Page I of3
3. Neither the Assignment nor the Transaction will cause a breach or event of default
under the Agreetnents or give rise to any riglrt or rernedy of the City under the Agreements, and any
cousent of tlte City required to be obtained with respect to the Assignment or the Transaction is hereby
granted; and
4. The City urderstands that, as a result of the Transaction, a new management team will
be in place. rvhich rvill be led by LES and rvhich rvill be responsible fbr all of EMRE's obligations
under the Agreements.
Please have a duly authorized representative ofthe City countersign a cop), of this letter
to indicate the City's acknowledgement and certification of the above matters. We are
providing a copy of this letter to EMRNG and LES, rvhich rvill be relying on the matters
herein.
We appreciate your attention to this nratter.
LLC @
ACCEPTED AND AGREED:
The City of Vemon, Liglrt and Porver Departmeut
Natne:
Title:
Date:
By:
Puge 2 ol'3
SCHEDULE A
. Base Contract for Sale and Purchase of Natural Gas between Element Markets Renewable Energy, LLC
and Ciqv of Vernon, Light and Porver Department, dated March 2,2012 (Contract Number l)
. Special Provisions to the Base Contract for Sale and Purchase of Natural Gas No. I between Element
Markets Renelvable Energy, LLC and City of Vernon, Light and Power Department, dated March 2,2012
o Biogas Transaction Confirmation betrveen Element Markets Renewable Energy, LLC and Ciqv of Vernon,
Light and Poryer Department, dated March 2,2012 (Transaction Confirrnation Number I )
o Amended and Restated Biomethane Transaction Confirmation between Element Markets Renewable
Energy, LLC and City of Vernon, Light and Power Department, amended and restated as of Ma,v 7,2014
(Transaction Confirmation Number I )
o Amendment No. 1 to Amended and Restated Biomethane Transaction Confirmation No. l, dated as of
March 3, 2015 , by and between Element Markets Renewable Energy, LLC and the City of Vernon, Light
and Power Department
o Securiry Agreement No. I , dated as of March 3 , 2015, by and between the City of Vernon, Gas & Electric
Deparhnent and Element Markets Renervable Energy, LLC
o Base Contract for Sale and Purchase of Nahral Gas between Element Markets Renewable Energy, LLC
and City of Vemon, Light and Porver Department, dated March 2,2012 (Contract Number 2)
. Special Provisions to the Base Contact for Sale and Purchase of Natural Gas No. 2 between Element
Markets Renelvable Energy, LLC and City of Vernon. Light and Porver Department, dated March 2,2012
o Biogas Transaction Confirmation betrveen Element Markets Renewable Energy, LLC and City of Vernon,
Light and Porver Depar[nent. dated March 2,2012 (Transaction Confinnation Number 2)
o Amended and Restated Biomethane Transaction Confirmation behveen Element Markets Renewable
Energy, LLC and City of Vemon, Light and Power Departrnent, amended and restated as of May 7,2014
(Transaction Confirmation Number 2)
o Amendment No. I to Amended and Restated Biomethane Transaction Confirmation No. 2, dated as of
March 3,2015, by and betrveen Element Markets Renervable Energy, LLC and the Citv of Vernon, Light
and Power Department
o Securiry Agreement No. 2, dated as of March 3, 2015, by and between the Ci['of Vernon. Gas & Electric
Department and Element Markets Renewable Energy, LLC
o Notice of Buyer's Designee pursuant to Transaction Confirmation No. 2 (Vernon) by and behl'een
Element Markets Renervable Energy, LLC and Shell Energy North America (US), LP, dated August 15,
2014
o Irrevocable Standby Letter of Credit No. CTCS-809087 (Beneficiary: City of Vernon, Light and Power
Department), dated January' 6,2014
o AmendmentNo. I to Irevocable Standby Letterof CreditNo. CTCS-809087 (Beneficiary': City of Vernon,
Light and Porver Department), dated Septernber 8, 2014
o Irrevocable Standb,v Letter of Credit No. CTCS-809089 (Beneficiary: Citv of Vernou, Light and Porver
Departrnent). dated Januar-v 8, 2014
o Amendment No. I to Irrevocable Standby Letter of Credit No. CTCS-809089 (Beneficiar,v: City of Vemon,
Light and Power Department), dated September 8,2014
Page 3 of 3
AMENDMENT NO.1
TO
AMINDED AND RESTATED TRANSACTION CONFIRMATION NO. 1
This Amendment No. I (this "Arnendment") to the Amended and Restated Biomethane Transaction
ConfirmationNo. l, dated as of March 2,2012 and amended and restated as of Ma-v 7,2014 ('A&R-eo!firm
$._L") erecuted under the Base Contract for Sale and Purchase of Natural Gas No. 1, dated as of March 2,
2012, by and behveen the City of Vernon, Gas & Electric Department ("hreI") and Element Markets
Renewable Energy. LLC C'Seller") (as modified by the Special Provisions thereto, the "@fu@!" and,
collectivelylvithA&RConfirmNo.l,.A@),ismadebyarrdbetrveenBu;.erandSellerasof
March 3, 2015 (the "Effective Date") subject to satisfaction of the Condition Precedent (defined belorv). Each of
Buyer and Seller may also be referred to herein as a "fuy," or together as the "Parfes." Capitalized terms not
defined herein shall have the meaning ascribed thereto in Agreement No. l.
RECITALS
WHEREAS, as consideration for Buy'er's waiver of its right to have Shell, the current Supplier. execute
rwitten consent to the Security Agreement Seller has agreed to reduce the price payable for pipeline Biomethane
delivered to Buyer under A&R Confirm No. I by' $0.l0 per MMBtu; and
WHEREAS. in connection rvith the Parties' discussions regarding execution of the letter agreement, the
Parties have also agreed to arnend Sections 7.1(B) and 7.1(C) of Appendix lA to A&R Confrnn No. l;
NOW, THEREFORE, for and in consideration of the mutual promises and covenants set fo(h herein,
and other good and valuable consideration, receipt of rvhich is hereby acknowledged, the Parties. intending to be
legally bound, agree as follorvs:
AGREEMENT
l. Condition Precetlent to Amendment. The tenns of this Amendment rvill not become effective
unless all of the follouing agreements are executed by authorized representatives of both Bul'er and Seller (the
"Condition Precedent"):
(i) this Amendment;
(ii) the letter agreement, dated as of March 3,2015, regarding the confinnation of certain facts
regarding assignment of Agreement No. I to an affiliate assignee and the subsequent acquisition
of such affiliate by Landfill Energy Systems, LLC; and
(iii) the securit_v agreement- dated as of March 3,2015, required to be executed b.n- Buyer and Seller
pursuant to Section 7.1(C) of Appendix lA to A&R Confinn No. l:
If the Condition Precedent is satisfied. the terms of this Amendment will becorne effective as of the
Effective Date set forth above.
2. Amendments to Asreement No. 1.
(a) Amendment of Section 6.3 The first sentence of Section 6.3 of A&R Confirm No. I is herebl'
deleted in its entirery' and replaced with the follorvrng:
'Buyer will pay Seller (i) the Contract Price less the Administrative Fee for each
MMBtu of pipeline Biomethane (up to the Contract Quantity plus any Make-Good
Biomethane) and (ii) the Contract Price less the Restructuring Fee for each MMBtu
equivalent of Replacement Product."
(b) Addition of Section 6.6(C). Section 6 6(C) is hereby added to A&R Confirm No. I (immediately
follorving Section 6.6(8) to read as follows:
"(C) Administrative Fee. Buyer shall be entitled to a credit equal to $0.10 per
MMBtu of pipeline Biomethane delivered to Buyer at the Biomethane Delivery
Point during the applicable Month (the "Administrative Fee"). For the
avoidance of doubt, if no pipeline Biomethane is delivered at the Biomethane
Delivery Point in the applicable Month, the Administrative Fee is equal to
zelo."
(c) Amendment of Section 7.1(B) of Apoendix 1A. The text ", and shall cause Supplier to agree," is
hereby deleted such that the first sentence of Section 7. I (B) of Aooendix I A now reads as follows:
"(B) Each of Buyer and Seller agree to provide any further assurances or execute
such documents that may be reasonably necessary in connection with the
creation or enforcement of the rights and obligations set forth in this Section
7.1, including the filing and/or recordation of UCC-1 financing statements
naming Seller as "Debtof' and Buyer as "Secured Party" in the appropriate
filing offices to ensure a first lien priority interest in the Replacement Product
Supply Agreement.'
(d) Amendment of Section 7.1(C) of Aopendix 1A. The second and final sentence of Section 7.1(C)
of Appendix lA is hereby deleted in its entirety' such that Section 7 l(C) of Appendix lA now reads as
follorvs:
'(C) Buyer and Seller hereby acknowledge and agree that Buyer shall be granted
a security interest in and to the Replacement Energy Supply Agreement
pursuant to a security agreement between Buyer and Seller for the sole
purpose of granting the rights with respect to the Replacement Energy
Supply Agreement set forth in this Section 7.1. Seller will cause Supplier to
execute written consent to the rights of Buyer set forth in this Section 7.1 in
writing, a copy of which shall be provided to Buyer. Buyer and Seller agree
that the requirement for such written consent was satisfied with respect to
Shell Energy North America (US), L.P. by Seller's inclusion of the "Special
Default Provisions" in the August 15, 2014 Replacement Energy Supply
Agreement executed by Seller and Shell Energy North America (US), L.P.."
3. Ratification and Confirmation of the Asreement. Except as so modified pursuant to this
Amendment, Agreement No. I is hereby ratified and confirmed in all respects.
4. Governinq Law. This Amendment shall be governed by, and construed and interpreted in
accordance rvith, the larvs of the State of California rvithout regard to its conflicts of law principles.
5. Counternarts. This Amendment ma-"- be executed in one or lnore counterparts, each of rvhich
shall be deerned an original and all of rvhich shall be deemed one and the same Arnendment.
I Si gna hre po ge fo I I ow s J
IN WITNESS WHEREOF. each of the Parties has execmed this Aruendne on lte dare indicarcd bclow
its respective si€[anlre to becomc effcctivc as of the Effcctive Dale.
SELLER BI,IYER
CTTY OF VERNON, GAS & EIJCTRIC I'EPARTMETTT
Date: February 24. 2015
APPROVED AS TO fORIII:
[Sigmntre poge to Anandnant No. I to Anended ond Restoted Tronsactiotr Cottfinntion No. I, datal os ol
Itorch l, 2012 ond onewted ond restoted os of Mor' 7, 2011, br arl betrteeu Seller ond Bnerl
By: -Namc:
Title :1i116. Senior Vice President
@
AMENDMENT NO.1
TO
AMENDED AND RESTATED TRANSACTION CONT'IRMATION NO. 2
This Amendment No. I (this "@dnqen!") to the Amended and Restated Biomethane Transaction
Confirmation No. 2, dated as of March 2,2012 and amended and restated as of May 7,2014 ('A&R Confirm
No. 2") executed under the Base Contract for Sale and Purchase of Natural Gas No. 2, dated as of March 2,
2012, by and between the City of Vernon, Gas & Electric Department ("fuWt') and Element Markets
Renewable Energy, LLC C'Seller") (as modified by the Special Provisions thereto, the "@fu1@!" and,
collectively with A&R Confirm No. 2, "Aereement No. ?'), is made by and betrveen Buyer and Seller as of
March 3, 2015 (the 'Ef'fective Date") subject to satisfaction of the Condition Precedent (defined below). Each of
Buyer and Seller may also be referred to herein as a "Pal[," or together as the "fu[es." Capitalized terms not
defined herein shall have the meaning ascribed thereto in Agreement No. 2.
RECITALS
WHEREAS, as consideration for Buyer's waiver of its right to have Shell, the current Supplier. execute
written consent to the Security Agreement Seller has agreed to reduce the price payable for pipeline Biomethane
delivered to Buyer under A&R Confirm No. 2 by $0.10 per MMBtu; and
WHEREAS, in connection rvith the Parties' discussions regarding execution of the letter agreement, the
Parties have also agreed to amend Sections 7.1(B) and 7.l(C) of Aooendix lA to A&R Confirm No. 2;
NOW, THEREFORE, for and in consideration of the rnutual promises and covenants set forth herein,
and other good and valuable consideration, receipt of which is hereby acknowledged. the Parties, intending to be
legally bound, agree as follows:
AGREEMENT
1. Condition Precedent to Amendment. The terms of this Amendment wrll not become effective
unless all of the following agreements are executed by authorized representatives of both Buyer and Seller (the
"Condition Precedent"):
(i) this Amendment;
(ii) the letter agreement, dated as of March 3,2015, regarding the confirmation of certain facts
regarding assignment of Agreement No. 2 to an affiliate assignee and the subsequent acquisition
of such affiliate by Landfill Energy Systems, LLC; and
(iii) the security agreement, dated as of March 3,2015, required to be executed by Buyer and Seller
pursuant to Section 7.1(C) of Appendix lA to A&R Confirm No. 2;
If the Condition Precedent is satisfied, the terms of this Amendment will become effective as of the
Effective Date set forth above.
2. Amendments to Aqreement No. 2.
(a) Amendment of Section 6.3 The first sentence of Section 6.3 of A&R Confirm No. 2 is hereby
deleted in its entirety and replaced with the follorving:
"Buyer will pay Seller (i) the Contract Price jq the Administrative Fee for each
MMBtu of pipeline Biomethane (up to the Contract Quantily plus any Make-Good
Biomethane) and (ii) the Contract Price less the Restructuring Fee for each MMBtu
equivalent of Replacement Product."
(b) Addition of Section 6.6(C). Section 6.6(C) is hereby added to A&R Confirm No. 2 (immediately
following Section 6.6(B) to read as follorvs:
"(C) Administrative Fee. Buyer shall be entitled to a credit equal to $0.10 per
MMBtu of pipeline Biomethane delivered to Buyer at the Biomethane Delivery
Point during the applicable Month (the "Administrative Fee"). For the
avoidance of doubt, if no pipeline Biomethane is delivered at the Biomethane
Delivery Point in the applicable Month, the Administrative Fee is equal to
aerc."
(c) Amendment of Section 7. I (B) of Appendix 1A. The text ", and shall cause Supplier to agree." is
hereby deleted such that the first sentence of Section 7.1(B) of Aooendix I A norv reads as follorvs.
.(B) Each of Buyer and Seller agree to provide any further assurances or execute
such documents that may be reasonably necessary in connection with the
creation or enforcement of the rights and obligations set forth in this Section
7.1, including the filing and/or recordation of UCC-1 financing statements
naming Seller as "Debtod' and Buyer as "Secured Party" in the appropriate
filing offlces to ensure a first lien priority interest in the Replacement Product
Supply Agreement."
(d) Amendment of Section 7. [(C) of Appendix lA. The second and final sentence of Section 7 l(C)
of Appendix tA is hereby deleted in its entiret-."- such that Section 7 l(C) of Appendix lA norv reads as
follorvs:
'(C) Buyer and Seller hereby acknowledge and agree that Buyer shall be granted
a security interest in and to the Replacement Energy Supply Agreement
pursuant to a security agreement between Buyer and Seller for the sole
purpose of granting the rights with respect to the Replacement Energy
Supply Agreement set forth in this Section 7.1. Seller will cause Supplier to
execute written consent to the rights of Buyer set forth in this Section 7.1 in
writing, a copy of which shall be provided to Buyer. Buyer and Seller agree
that the requirement for such written consent was satisfied with respect to
Shell Energy North America (US), L.P. by Seller's inclusion of the "Special
Default Provisions" in the August 15, 2014 Replacement Energy Supply
Agreement executed by Seller and Shell Energy North America (US), L.P.."
3. Ratification and Confirmation of the Asreement. Except as so modified pursuant to this
Arnendment. Agreement No. 2 is hereb.v ratified and confirmed in all respects.
4. Governing Law. This Amendment shall be govemed by, and constnted and interpreted in
accordance rvith, the lau's of the State of California u ithout regard to its conflicts of lau' principles.
5. Counteruarts. This Arnendment mav be executed in one or lnore counterparts. each of rvhich
shall be deemed an original and all of which shall be deerned one aud the same Arnendment.
[Si gn a tu re page fo I I ow s J
IN WITNESS WHEREOF. cach of the Partics has orecuted this ArreDdmeot oD lhc dale bdicatcd below
its rcryective sipnanue to becoue effcctivc as ofthc Elfectivc Darc.
SELLER
RE:\'EWABLE E]\-ERGY, LLC CTTY OF VERNON, GAS & ELECIRIC DEPARTMEI{I
By:
Titl€ Scdor Vice kesidetrt
Date: Febnury 24- 2015
APPRO!'ED AS TO FOR:TI:
[Signanre poge to Anartnatt No. I ro Auemled ond Restated Transoctiort Cottfntation No. 2, dated os of
l,Iorch ), 2012 orul onarled ond rcsaated os of Mav 7, )01J, h'ond benrceu Seller ond Btn'erl
@
Nalnc:
TiIIC:
By:
SECURITY AGREEMENT NO. 1
THIS SECURITY AGREEMENT NO. I (the ".fu-ry,_4gleemenl") is made to be
effective as of March 3,2015 by and between Element Markets Renewable Energr, LLC, with
offices at 3555 Timmons Lane, Suite 900, Houston, TX 77027 (referred to in this Security
Agreement as the "&blg1"), and the City of Vemon, Gas & Electric Department, with offices
located at 4305 S. Santa Fe Avenue, Vemon, CA 90058 (referred to in this Secunty Agreement
as the "-@&Iry"). Capitalized terms not otherwise defined herein have the meaning
ascribed to such terms in the Amended and Restated Biomethane Transaction Confirmation No.
l, dated as of May 7, 2014, to the Base Contract for Purchase and Sale of Natural Gas, dated as
of March 2, 2012, as modified by the Special Provisions thereto (the "A&R Transaction
Confirmation").
WHEREAS, pursuant to the A&R Transaction Confirmation, Secured Party has agreed to
purchase bundled enerry eligible to generate renewable energy credits ("Bundled Energy") from
Debtor to fulfill a portion of the Contract Quantity under the A&R Transaction Confirmation;
WHEREAS, Debtor entered into an Edison Electric Institute Master Power Purchase and
Sale Agreement with Shell Enerry North America (US), L.P. ("Supplier"), dated as of August
15, 2014 (the "Base Contract") and Transaction Confirmation No. 2 thereunder, dated
concurrently therewith (the "Transaction Confirmation" and together with the Base Contract, the
"supplv Asreement"), pursuant to which Debtor will procure Burdled Energy for delivery to
Secured Party by Supplier to satisfy Debtor's delivery obligations under the A&R Transaction
Confirmation;
WHEREAS, as security for Debtor's performance with respect to the Bundled Enerry,
Debtor agreed to grant Secured Party a security interest with respect to the Supply Agreement
and the Third-Party Contract Rights;
WITNESSETH:
NOW, TI{EREFORE, in consideration of the foregoing premises and other good and valuable
consideration, the receipt and sufficiency of wtrich are hereby acknowledged, Debtor and the
Secured Party hereby agree as follows:
1 Defined Terms.
1.1 "Third-Party Contract Rights" means the rights granted to Secured Party in
Section 7.1 of Appendix lA to the A&R Transaction Confirmation by Debtor and
contracted for by and between Debtor and Supplier pursuant to the section titled
"special Default Provisions" in the Transaction Confirmation that provide for (x)
substitution of Secured Party for Debtor and performance of the duties of Debtor
under the Supply Agreement and (y) the exercise of any rights or remedies of
Seller under the Supply Agreement on behalf of Seller in the marlner and under
the circumstances explicitly set forth in in the A&R Transaction Confirmation
Securitv Agreement - A&R Transaction Contirmation No. I page I
1.2 "Obligations" means all of the obligations and liabilities of Debtor under the A&R
Transaction Confirmation (as hereafter amended, restated or otherwise modified
from time to time) that are not satisfied by Debtor's Biomethane deliveries
thereunder; provided that any fees, costs and expenses incurred by Secured Party
pursuant to its nghts under Section 10.3 of this Security Agreement shall not
constitute part of the Obligations.
1.3 "Liens" means any lien, mortgage, pledge, assignment, security interest, charge or
encumbrance of any kind (including any agreement to give any of the foregoing,
any conditional sale or other title retention agreement, and any lease or license in
the nature thereof) and any option, trust or other preferential arrangement har,rng
the practical effect of any of the foregorng.
L.4 "Permitted Liens" means Liens, in an aggregate amount not to exceed twenty-five
thousand dollars ($25,000) at any time, relating to or given by Debtor to secure
obligations under the following:
(a) Other Liens imposed by law or that arise by operation of law in the
ordinary course ofbusiness from the date ofcreation thereof, in each case
only for amounts not yet due or which are being contested in good faith by
appropriate proceedings and with respect to which adequate reserves or
other appropriate provisions are being maintained;
(b) Liens incurred pursuant to services rendered by a depositary under any
account control agreement or an escrow agent urder an escrow agreement,
(c) Liens incurred or deposits made in the ordinary course of business
(including without limitation, surety bonds and appeal bonds) in
connection with workers' compensation, unemployment insurance and
other types of social security benefits;
(d) Liens imposed by law for ta,xes (other than payroll taxes or levies/fines
from the Intemal Revenue Service or Franchise Tax Board or similar
entity), assessments or charges of any govemmental authority for claims
not yet due or which are being contested in good faith by appropriate
proceedings and with respect to which adequate reserves or other
appropriate provisions are being maintained by such Person; and
(e) a Lien granted to secure the obligations of Debtor to Secured Party under
that certain Amended and Restated Transaction Confirmation No. 2, dated
as of May 7,2014, to the Base Contract for Purchase and Sale of Natural
Gas, dated as of March 2, 2012, as modified by the Special Provisions
thereto.
1.5 "Collateral" has the meaning assigned to such term in Section 2. l.
The meanings given to terms defined herein shall be equally applicable to both the
singular and plural forms of such terms.
Securit-"- Agreement - A&R Transaction Contirmation No. I page 2
2 Grant of Securitv Interest. To secure the full and punctual performance of the
Obligations when due, Debtor hereby grants and pledges to Secured Pa(t, subject to the
terms herein, any applicable laws and the terms of the Supply Agreement, a continuing
Lien on and first priority security interest in, and, as a part of such grant, pledge,
assignment, transfer and delivery, hereby assigns to Secured Party as collateral security
(whether now owned or at my time hereafter acquired or now existing or hereafter
existing or created), all of its right, title and interest in and to the following (collectively,
the "Collateral"):
(a) The Supply Agreement and all rights of Debtor to receive Product (as
defined in the Supply Agreement) or any other rights under the Supply Agreement up to
the maximum volume of Product (as defined in the Supply Agreement) Debtor is entitled
to purchase for delivery to Secured Party under the A&R Transaction Confirmation,
including any amendment, restatement, modification or replacement thereof;
(b) all general rights, intangibles, books and records and accounts of Debtor in
connection with or arising out of the Supply Agreement; and
(c) the proceeds and products of the foregoing.
Securitv for Oblisations. This Security Agreement secures the payment and
performance of the Obligations.
Prior to full satisfaction of the Obligations by Debtor:
(i) Debtor may only assign the Supply Agreement (a) together with this Security
Agreement and the A&R Transaction Confirmation and (b) to an assignee that is
deemed a permitted assignee under both the A&R Transaction Confirmation and
the Supply Agreement in accordance with, and in the manner set forth in, the
A&R Transaction Confirmation and Supply Agreement, respectively,
(ii) Debtor may not amend the Supply Agreement in a manner that diminishes or
limits the Third-Party Contract Rights without the prior written consent of
Secured P".ty;
(iii) Debtor shall retain all rights and obligations under the Supply Agreement pnor to
the occurrence of an Event of Default on the part of Debtor;
(iv) Debtor shall remain liable under the Supply Agreement to which it is a party, to
perflorm all of the obligations undertaken by it thereunder, all in accordance with
and pursuant to the terms and provisions thereof, and Secured Party shall have no
obligation or liability urder the Supply Agreement by reason of or arising out of
this Security Agreement or any other document related thereto; and
any manner to perform or
Agreement or to make any
4.
4.1
(v) Secured Party shall not be required or obligated in
fulfill any obligations of Debtor under the Supply
Seourity Agreement - A&R Transaction Confirmation No. I page 3
3
4.2
payment, or to make any inquiry as to the nature or sufficiency of any payment
received by Secured Party, or present or file any claim, or take any action to
collect or enforce the payment of any amounts which may have been assigned to
Secured Party or to which Secured Party may be entitled at any time or times in
connection with this Security Agreement or the Supply Agreement.
As set forth in the Third-Party Contract Rights, upon the occurrence and continuation of
any "event of default" under the Supply Agreement, the Secured Party may remedy any
such default by giving prior written notice of such intent to Debtor and to the applicable
party to the Supply Agreement. Any curing by Secured Parly of Debtor's default under
the Supply Agreement shall not be automatically construed as an assumption by Secured
Party of any obligations, covenants or agreements of Debtor under such Supply
Agreement, and Secured Party shall not incur any liability to Debtor or any other person
as a result of any actions undertaken by Secured Party in curing or attempting to cure any
such default. This Security Agreement shall not be deemed to release or to affect in any
way the obligations of Debtor under the Supply Agreement.
Further Assurances. Debtor will, at any time and from time to time, promptly execute
and deliver all further instruments and documents and take all further action that may be
reasonably necessary or that the Secured Party may reasonably request in order to (i)
perfect and protect the security interest granted hereunder, (ii) enable the Secured Parly
to exercise and enforce its nghts and remedies hereunder in respect of the Collateral; or
(iii) otherwise effect the purposes of this Security Agreement, including, without
limitation, executing and filing (to the extent, if any, that Debtor's signature is required
thereon) or authenticating the filing of, such financing or continuation statements, or
amendments thereto, as may be necessary or desirable or that the Secured Party may
reasonably request in order to perfect and preserve the security interest purported to be
created hereby. Further, Debtor hereby authorizes Secured Party to file financing
statements, without notice to Debtor, with all appropriate jurisdictions to perfect or
protect Secured Party's interest or rights hereunder.
Power of Attorrrev. Debtor hereby constitutes and irrevocably appoints Secured Party,
with full power of substitution and revocation by Secured Party, as Debtor's true and
lawful attomey-in-fact, for the purpose from time to time of carrying out the provisions
of this Security Agreement and taking any action and executing any instrument that
Secured Party deems necessary or advisable to accomplish the purposes of this Security
Agreement, including, without limitation, (a) to affix to certificates and documents
representing any Collateral the endorsements or other instruments of transfer or
assignment delivered with respect thereto and to transfer or cause the transfer of the
Collateral, or any part thereof; (b) to exercise all of the rights, remedies and powers
granted to the Secured Party in this Security Agreement in order to more fully vest in the
Secured Party the rights and remedies provided for herein; and (c) pay, contest or settle
any Lien, charge, encumbrance, security interest, and adverse claim in or to the
Collateral, or any judgment based thereon, or otherwise take any action to terminate or
discharge the same.
5
6
Security Agreement - A&R Transaction Confirmation No. I page 4
The power of attomey granted pursuant to this Security Agreement and all authority
hereby conferred are granted and conferred solely to protect the Secured Party's interest
in the Collateral and shall not impose any duty upon the Secured Party to exercise any
power. This power of attomey shall be inevocable as one coupled with an interest until
all Obligations have been fully and finally satisfied by Debtor. Any power of attomey
granted hereunder shall be in addition to the terms of any other power of attomey set
forth in any agreement or document.
Renresentations. Warranties and Covenants of Debtor. Debtor represents, warrants
and covenants to Secured Party as follows:
7.1 Except for Permitted Liens, Debtor has not and shall not permit or allow any
Lien of any kind or nature whatsoever to attach to all or any part of the Collateral
and will not permit all or any part of the Collateral to be attached, replevied,
levied on, gamished or made the subject of litigation, nor shall Debtor assign any
of its interest in said Collateral, nor shall Debtor perform any acts or execute any
other instruments which might prevent Secured Party from fully exercising its
rights under any of the terms, covenants and conditions of this Security
Agreement, except for Permitted Liens. In the event of attachment of any Lien
that is not a Permitted Lien, to all or any part of the Collateral, Debtor will cause
such lien to be released within three (3) business days of leaming of its existence.
7.2 Debtor is and will be the absolute owrer or lessee of the Collateral, as applicable,
free and clear of any adverse lien, security interest or encumbrance other than
Permitted Liens. Debtor will protect and defend the Collateral against all claims
and demands of all persons and entities at any time claiming any right, title or
interest of any kind or nature in all or any part of the Collateral adverse to the
right, title and interest of Debtor and/or Secured Party in the Collateral.
7.3 Debtor is a limited liability compmy duly organized and validly existing under
the laws of the State of Delaware, with the power to conduct its business as
presently conducted. The execution, delivery and performance by Debtor of this
Security Agreement are within Debtor's powers, have been duly authorized and,
giving effect to any applicable laws that would render ineffective any prohibition
or restriction on the grant of a security interest in the Collateral, are not in
contravention of (i) any applicable law, (ii) Debtor's operating agreement as
amended through the date of this Security Agreement or (iii) any agreement or
judicial order or decree to which Debtor is a party or by which Debtor or any of
its property is bound.
7.4 Upon reasonable notice by Secured Party to Debtor, Debtor will, during normal
business hours, from time to time but no more than once per calendar year, allow
Secured Party or its authorized agent to examine the books and records of Debtor
to verify the preservation and continued existence of the Collateral.
7.5 Debtor represents and warrants that except for the financing statements filed for
the benefit of Secured Party and/or filed in connection with any Permitted Liens,
Security Agreement - A&R Transaction Conhrmation No. 1 page )
no financing statement covering the Collateral or any proceeds thereof, which has
not been terminated, is on file in any public office.
7.6 Debtor shall pay or cause to be paid all taxes, levies, assessments and other
charges of every kind or nature which may be levied or assessed against the
Collateral; provided however, that Debtor shall not be required to pay any tax,
charge, or assessment that is not yet past due or is being contested in good faith
by appropnate proceedings diligently conducted by or on behalf of Debtor.
7.7 If Debtor shall fail to pay any tax, levy, assessment or other charge against the
Collateral, the Secured Party may, at its option, pay such tax, levy, assessment or
other charge. Debtor agrees to reimburse the Secured Party on demand for any
such payment by the Secured Party and/or at the Secured Party's request apply it
as set-off against any sums owed by the Secured Party under the A&R
Transaction Confirmation. The amount of any such payment shall be an
additional Obligation secured by this Security Agreement and shall be part of the
"Obligations."
7.8 To the knowledge of Debtor following reasonable inquiry, no Event of Default (as
defined under the Supply Agreement) exists or is continuing with respect to the
Supply Agreement.
7.9 Debtor shall use its reasonable efforts, to the extent within its control, to assure
that the Supply Agreement remains in full force and effect and is fully performed
in accordance with the terms thereof. Debtor shall not dispose of the Supply
Agreement other than by way of an assignment permitted under Section 4 hereof
or full performance by Debtor of all obligations thereunder.
7.lO The Supply Agreement and this Secunty Agreement are legal, valid and binding
obligations of the Debtor, enforceable against Debtor in accordance with their
respective terms, except as may be limited by applicable bankruptcy, insolvency,
moratorium, reorganization or other similar laws affecting the enforcement of
creditors' rights and subject to general equitable principles.
Secured Partv's Duties. The powers conferred on Secured Party hereunder are solely to
protect its interest in the Collateral and shall not impose any duty upon it to exercise any
such powers. Except for the safe custody of any Collateral in its possession and the
accounting for benefits actually received by it hereunder, Secured Party shall have no
duty as to any Collateral or any rights, obligations or control with respect to the Supply
Agreement. Secured Party shall be deemed to have exercised reasonable care in the
custody and preservation of any Collateral in its possession if such Collateral is accorded
treatment substantially equal to that which Secured Party accords its own property.
Events of Default. The occurrence of any one or more of the following shall constitute
an "Event of Default" under this Security Agreement:
9.1 the occurrence and continuation of an Event of Default on the part of Debtor
under the Supply Agreement, which has not been waived by Supplier or cured by
8
9
Seourity Agreement - A&R Transaction Confirmation No I page 6
10
Debtor within longer of (a) the time period (if any) specified in such agreement
for waiver and/or cure and (b) thirty (30) days,
9.2 any representation, warranty or other statement of fact contained in this Security
Agreement by Debtor proves to have been false, misleading or incomplete in any
material respect at the time when such warranty, representation or statement was
made or fumished to Secured Party and such representation, warranty or other
statement of fact continues to be false, misleading or incomplete thirty (30) days
following receipt of notice from Secured Party;
9.3 if prior to termination of this Secunty Agreement, this Security Agreement shall
cease to be in full force and effect or any Lien created in favor of the Secured
Party hereunder shall cease to constitute a valid perfected Lien on the Collateral
(subject only to the Permitted Liens), to the extent the foregoing is caused by
Debtor, or Debtor disposes of any or all of the Collateral in any manner that is not
permitted pursuant to Section 4 hereof; or
9.4 upon the failure to obtain the release of any Lien that is not a Permitted Lien
within the time specified in Section 7.1 hereof.
Remedies on Default. Secured Party shall have the following rights and remedies upon
the occurrence and during the continuance of an Event of Default in accordance with and
subject to the terms of this Section l0:
10.1 Upon the occurrence and during the continuance of an Event of Default, Secured
Party shall have the right and power to enforce all rights and remedies available to
Secured Party under applicable laws in respect of the Supply Agreement in
accordance with the Third-Party Contract Rights; in each case to the extent any
deliveries to Secured Party under the Supply Agreement remain to be made by
Debtor.
10.2 In addition to the rights and powers granted in Section l0.l hereof, upon the
occurrence and during the continuance of an Event of Default:
Debtor hereby consents to and grants Secured Par$ the right to (i)
substitute itself for Debtor and perform the duties of Debtor under the
Supply Agreement and (ii) exercise any rights or remedies of Debtor with
respect to the Supply Agreement on behalf of Debtor, subject to the terms
of the A&R Transaction Confirmation and the Supply Agreement;
provided that notwithstanding anything in this Security Agreement to the
contrary, nothing within this Security Agreement or the execution of the
transactions contemplated herein shall effect, cause or permit a novation
of the Debtor that is not consented to in writing by the applicable
counterparty; and
Debtor hereby additionally consents to and grants Secured Party the right
to cure any defaults of Debtor and perform any and all obligations of
(a)
(b)
Security Agtreement - A&R Transaction Confirmation No. I page 7
ll
Debtor under the Supply Agreement in accordance with and in the manner
provided for by the Third-Parfy Contract Rights.
10.3 Upon the occurrence and during the continuance of an Event of Default, Secured
Party shall have the right, without notice or demand, to do any or all of the
following.
(i) make any payments and do any acts it considers necessary or reasonable to
protect the Collateral and/or its security interest in the Collateral. Secured
Party may take and maintain possession of any part of the Collateral, and
pay, purchase, contest, or compromise any Lien which appears to be prior
or superior to its security interest and pay all expenses incurred; and
(ii) exercise all rights and remedies available to Debtor at law or in equity.
IO.4 IN NO WAY SHALL SECURED PARTY'S EXERCISE OF ANY OF TIIE
REMEDIES PROVIDED HEREIN RESTRICT THE SECURED PARTY FROM
EXERCISING TI{E THIRD.PARTY CONTRACT RIGIITS UNDER THE A&R
TRANSACTION CONFIRMATION AND THE SUPPLY AGREEMENT
Notices. All notices, demands and communications between the parties conceming this
Security Agreement shall be in writing and shall be delivered, or mailed by registered or
certified mail with postage prepaid, or telegraphed, addressed in each case its follows and
shall be deemed to have been given or made when: (i) by certified mail the retum receipt
is signed or refusal to accept the notice is noted thereon; or (ii) by ovemight courier or
hand delivery upon receipt or refusal to accept:
If to Debtor:Element Markets Renewable Energy, LLC
3555 Timmons Lane, Suite 900
Houston, TX77027
Attn: Contract Admini stration
Fax: 281-207-7211
City of Vernon, Gas & Electric Department.
Attention: Carlos Fandino, Jr.
Director of Gas & Electric
4305 S. SantaFe Avenue
If to Secured Party:
emon, CA 90058
ax:323-826-1408
Either party, at any time, by written notice given to the other in accordance with this
Section, may designate a different address to which such communications shall thereafter
be directed.
This Security Agreement shall remain in full force and effect and be binding in
t2
Security Agreement - A&R Transaction Confirmation No I page 8
accordance with and to the extent of its terms upon Debtor and the successors and assigns
thereof, and shall inure to the benefit of the Secured Party and their respective successors,
endorsees, transferees and assigns urtil the Obligations shall have been satisfied in full, at
which time this Security Agreement shall terminate. ln connection with any termination
or release pursuant to the foregoing, the Secured Parry shall execute and deliver to Debtor
or authorize the filing of, at Debtor's expense, all documents that Debtor shall reasonably
request to evidence such termination or release. Any execution and delivery of
documents pursuant to this Section shall be without recourse to or warranty by the
Secured Parry.
13. Miscellaneous.
13.1 Remedies Not Exclusive. Subject to the limitations herein, it is understood and
agreed that the remedies granted to the Secured Party herein shall not be deemed
exclusive of any other remedies possessed by the Secured Party under the
Purchase Agreement or at law or in equity, but shall be deemed additional and
cumulative thereto.
I3.2 GOVERNING LAW. THIS SECURTTY AGREEMENT AND THE RIGI{TS
AND OBLIGATIONS OF TI{E PARTIES MREUNDER SHALL BE
GOVERNED BY, AND CONSTRUED AND INTERPRETED IN
ACCORDANCE WITII Trm LAW OF TI{E STATE OF CALIFORNIA WITH
VENUE FOR ANY DISPUTE IN LOS ANGELES CALIFORNIA.
13.3 Assignment. Debtor may not assign, transfer or delegate any of its rights or
obligations urder this Secunty Agreement without the prior written consent of the
Secured Pu.ty; provided that such consent will not be unreasonably withheld,
delayed or conditioned by Secured Party.
13.4 Severability Any provision of this Security Agreement that is prohibited or
unenforceable shall be ineffective to the extent of such prohibition or
unenforceability without invalidating the remaining provisions hereof. The parties
hereto shall endeavor in good-faith negotiations to replace the invalid, illegal or
unenforceable provisions with valid provisions the economic effect of which
comes as close as possible to that of the invalid, illegal or unenforceable
prorvT SIOnS.
13.5 Integration. This Security Agreement represents the agreement of the parties
with respect to the terms of the security interest of Secured Party in the Collateral
and there are no promises, undertakings, representations or warranties by the any
party hereto relative to the subject matter hereof not expressly set forth or referred
to herein.
Security AgJeement - A&R Transaction Contirmation No I page 9
13.6 Amendments in Writingi No Waiver; Cumulative Remedies.
(a) None of the terms or provisions of this Security Agreement may be
waived, amended, supplemented or otherwise modified except by a
written instrument executed by the Debtor and the Secured Parry.
(b) Secured Party shall not by any act (except by a written instrument
pursuant to Section 13.6 hereof), or delay, indulgence, omission or
otherwise, be deemed to have waived any nght or remedy hereunder or to
have acquiesced in any default or Event of Default or in any breach of any
of the terms and conditions hereof. No failure to exercise, nor any delay in
exercising, on the part of the Secured Party, any right, power or privilege
hereunder shall operate as a waiver thereof except to the extent such
failure to exercise or delay in exercising such right operates as a waiver of
such right urder the terms of the A&R Transaction Confirmation or
Security Agreement, as applicable. No single or partial exercise of any
right, power or privilege hereunder shall preclude any other or further
exercise thereof or the exercise of any other right, power or privilege. A
waiver by the Secured Party of any right or remedy hereunder on any one
occasion shall not be construed as a bar to any right or remedy that the
Secured Party would otherwise have on any future occasion except to the
extent explicitly provided in this Section l3 6(b).
(c) The rights, remedies, powers and privileges herein provided are
cumulative, may be exercised singly or concurrently and are not exclusive
of any other rights or remedies provided by law.
13.7 Section Headings. The Section headings used in this Security Agreement are for
convenience of reference only and are not to affect the construction hereof or be
taken into consideration in the interpretation hereof.
13.8 Counterparts. This Security Agreement may be executed by one or more of the
parties to this Security Agreement on any number of separate counterparts
(including by facsimile or other electronic transmission), and all of said
counterparts taken together shall be deemed to constitute one and the same
lnstrument.
13.9 Successors and Assigns. The covenants and agreements herein contained by or
on behalf of the Debtor shall bind Debtor, Debtor's legal representatives,
successors and assigns and all persons who become bound as a debtor to this
Security Agreement and shall inure to the benefit of the Secured Party, and its
successors and assigns.
ISTGNATURE PAGE FOLLOWSI
Security Agreement - A&R Transaction Confirmation No. I page t0
IN WTINESS WHEREOF, each of the rmdersipped has caused this Security Ag6eemeut to be
duly exeorted and delivered by its duly aulhorized offico as ofthe day and year 6rst above
wrinen.
DEBTOR:
SECI,IRED PARTY: CITY OF VERNON, GAS & ELECTRIC DEPARTMENT
Name: Carlos Fandino
Title: Director of Cas & Electric Deparhent
ATTEST:
AJla Barcia. Dt9ffv Cirv clerl
APPROVED AS TO FORM:
HeDB Pat.[ City Atlomey
RENEWABLE ENERGY, LLC
By:
SECURITY AGREEMENT NO. 2
THIS SECURITY AGREEMENT NO. 2 (the "S@d.t.vl\g@1") is made to be
effective as of March 3,2015 by and between Element Markets Renewable Energy, LLC, with
offices at 3555 Timmons Lane, Suite 900, Houston, TX 77027 (referred to in this Security
Agreement as the "Debtor"), and the City of Vernon, Gas & Electric Department, with offices
located at 4305 S. Santa Fe Avenue, Vemon, CA 90058 (referred to in this Security Agreement
as the ".bled_PAfry"). Capitalized terms not otherwise defined herein have the meaning
ascribed to such terms in the Amended and Restated Biomethane Transaction Confirmation No.
2, dated as of May 7 , 2014, to the Base Contract for Purchase and Sale of Natural Gas, dated as
of March 2, 2012, as modified by the Special Provisions thereto (the "A&R Transaction
Confirmation").
WHEREAS, pursuant to the A&R Transaction Confirmation, Secured Party has agreed to
purchase bundled energy eligible to generate renewable energy credits ("Bundled Energy") from
Debtor to fulfill a portion of the Contract Quantity under the A&R Transaction Confirmation;
WHEREAS, Debtor entered into an Edison Electric lnstitute Master Power Purchase and
Sale Agreement with Shell Enerry North America (US), L.P. ("Supplier"), dated as of August
15, 2014 (the "Base Contract") and Transaction Confirmation No. 2 thereunder, dated
concurrently therewith (the "Transaction Confirmation" and together with the Base Contract, the
"supplv Asreement"), pursuant to which Debtor will procure Bundled Energy for delivery to
Secured Party by Supplier to satisfy Debtor's delivery obligations under the A&R Transaction
Confirmation;
WHEREAS, as security for Debtor's performance with respect to the Bundled Enerry,
Debtor agreed to grant Secured Party a security interest with respect to the Supply Agreement
and the Third-Party Contract fughts;
WITNESSETH:
NOW, TI{EREFORE, in consideration of the foregoing premises and other good and valuable
consideration, the receipt and sufficiency of which are hereby acknowledged, Debtor and the
Secured Party hereby agree as follows:
1. Defined Terms.
1.1 "Third-Party Contract Rights" means the rights granted to Secured Party in
Section 7.1 of Appendix lA to the A&R Transaction Confirmation by Debtor and
contracted for by and between Debtor and Supplier pursuant to the section titled
"special Default Provisions" in the Transaction Confirmation that provide for (x)
substitution of Secured Party for Debtor and performance of the duties of Debtor
under the Supply Agreement and (y) the exercise of any rights or remedies of
Seller under the Supply Agreement on behalf of Seller in the manner and under
the circumstances explicitly set forth in in the A&R Transaction Confirmation
Securitl' Agreement - A&R Transaction Contirmation No 2 page I
1.2 "Obligations" means all of the obligations and liabilities of Debtor under the A&R
Transaction Confirmation (as hereafter amended, restated or otherwise modified
from time to time) that are not satisfied by Debtor's Biomethane delivenes
thereunder; provided that any fees, costs and expenses incurred by Secured Party
pursuant to its rights under Section 10.3 of this Security Agreement shall not
constitute part of the Obligations.
1.3 "Liens" means any lien, mortgage, pledge, assignment, security interest, charge or
encumbrance of any kind (including any agreement to give any of the foregoing,
any conditional sale or other title retention agreement, and any lease or license in
the nature thereof) and any option, trust or other preferential arrangement having
the practical effect of any of the foregoing.
1.4 "Permitted Liens" means Liens, in an aggregate amount not to exceed twenty-five
thousand dollars ($25,000) at any time, relating to or given by Debtor to secure
obligations under the following:
(a) Other Liens imposed by law or that arise by operation of law in the
ordinary course of bwiness from the date of creation thereof, in each case
only for amounts not yet due or which are being contested in good faith by
appropriate proceedings and with respect to which adequate reserves or
other appropriate provisions are being maintained;
(b) Liens incurred pursuant to services rendered by a depositary under any
account control agreement or an escrow agent under an escrow agreement,
(c) Liens incurred or deposits made in the ordinary course of business
(including without limitation, surety bonds and appeal bonds) in
connection with workers' compensation, unemployment insurance and
other types of social security benefits;
(d) Liens imposed by law for taxes (other than payroll taxes or levies/fines
from the Intemal Revenue Service or Franchise Tax Board or similar
entity), assessments or charges of any govemmental authority for claims
not yet due or which are being contested in good faith by appropriate
proceedings and with respect to which adequate reserves or other
appropriate provisions are being maintained by such Person; and
(e) a Lien granted to secure the obligations of Debtor to Secured Party under
that certain Amended and Restated Transaction Confirmation No. 2, dated
as of May 7, 2014, to the Base Contract for Purchase and Sale of Natural
Gas, dated as of March 2,2012, as modified by the Special Provisions
thereto.
1.5 "Collateral" has the meaning assigned to such term in Section 2. l.
The meanings given to terms defined herein shall be equally applicable to both the
singular and plural forms of such terms.
Security Agreement - A&R Transaction Confirmation No. 2 page 2
3
Grant of Security Interest. To secure the full and punctual performance of the
Obligations when due, Debtor hereby grants and pledges to Secured Party, subject to the
terms herein, any applicable laws and the terms of the Supply Agreement, a continuing
Lien on and first priority security interest in, and, as a part of such grant, pledge,
assignment, transfer and delivery, hereby assigns to Secured Party as collateral secunty
(whether now owned or at any time hereafter acquired or now existing or hereafter
existing or created), all of its right, title and interest in and to the following (collectively,
the "Collateral"):
(a) The Supply Agreement and all rights of Debtor to receive Product (as
defined in the Supply Agreement) or any other rights under the Supply Agreement up to
the maximum volume of Product (as defined in the Supply Agreement) Debtor is entitled
to purchase for delivery to Secured Party under the A&R Transaction Confirmation,
including any amendment, restatement, modification or replacement thereof;
(b) all general rights, intangibles, books and records and accounts of Debtor in
connection with or arising out of the Supply Agreement; and
(c) the proceeds andproducts ofthe foregoing.
Securitv for Oblieations. This Security Agreement secures the payment and
performance of the Obligations.
Prior to full satisfaction of the Obligations by Debtor:
(i) Debtor may only assign the Supply Agreement (a) together with this Security
Agreement and the A&R Transaction Confirmation and (b) to an assignee that is
deemed a permitted assignee under both the A&R Transaction Confirmation and
the Supply Agreement in accordance with, and in the manner set forth in, the
A&R Transaction Confirmation and Supply Agreement, respectively;
(ii) Debtor may not amend the Supply Agreement in a manner that diminishes or
limits the Third-Party Contract Rights without the prior written consent of
Secured Pa.ty;
(iii) Debtor shall retain all rights and obligations under the Supply Agreement prior to
the occunence of an Event of Default on the part of Debtor;
(i") Debtor shall remain liable under the Supply Agreement to which it is a party, to
perform all of the obligations urdertaken by it thereunder, all in accordance with
and pursuant to the terms and provisions thereof, and Secured Party shall have no
obligation or liability under the Supply Agreement by reason of or arising out of
this Security Agreement or any other document related thereto; and
4.
4.r
(v) Secured Party shall not be required or obligated in
fulfill any obligations of Debtor under the Supply
Securitv Agreement - A&R Transaction Contirmation No. 2
any manner to perform or
Agreement or to make any
page 3
2
4.2
payment, or to make any inquiry as to the nature or sufficiency of any payment
received by Secured Parfy, or present or file any claim, or take any action to
collect or enforce the payment of any amounts which may have been assigned to
Secured Party or to which Secured Party may be entitled at any time or times in
connection with this Security Agreement or the Supply Agreement.
As set forth in the Third-Party Contract Rights, upon the occurrence and continuation of
any "event of default" under the Supply Agreement, the Secured Party may remedy any
such default by giving prior written notice of such intent to Debtor and to the applicable
party to the Supply Agreement. Any curing by Secured Party of Debtor's default under
the Supply Agreement shall not be automatically construed as an assumption by Secured
Party of any obligations, covenants or agreements of Debtor under such Supply
Agreement, and Secured Party shall not incur any liability to Debtor or any other person
as a result of any actions undertaken by Secured Party in curing or attempting to cure any
such default. This Security Agreement shall not be deemed to release or to affect in any
way the obligations of Debtor under the Supply Agreement.
f,'urther Assurances. Debtor will, at any time and from time to time, promptly execute
and deliver all further instruments and documents and take all further action that may be
reasonably necessary or that the Secured Party may reasonably request in order to (i)
perfect and protect the security interest granted hereunder, (ii) enable the Secured Party
to exercise and enforce its nghts and remedies hereunder in respect of the Collateral; or
(iii) otherwise effect the purposes of this Security Agreement, including, without
limitation, executing and filing (to the extent, if any, that Debtor's signature is required
thereon) or authenticating the filing of, such financing or continuation statements, or
amendments thereto, as may be necessary or desirable or that the Secured Party may
reasonably request in order to perfect and preserve the security interest purported to be
created hereby. Further, Debtor hereby authonzes Secured Party to file financing
statements, without notice to Debtor, with all appropriate jurisdictions to perfect or
protect Secured Party's interest or rights hereunder.
Power of Attorney. Debtor hereby constitutes md irrevocably appoints Secured Party,
with full power of substitution and revocation by Secured Parry, as Debtor's true and
lawful attomey-in-fact, for the purpose from time to time of carrying out the provisions
of this Security Agreement and taking any action and executing any instrument that
Secured Party deems necessary or advisable to accomplish the purposes of this Security
Agreement, including, without limitation, (a) to affix to certificates and documents
representing any Collateral the endorsements or other instruments of transfer or
assignment delivered with respect thereto and to transfer or cause the transfer of the
Collateral, or any part thereof; (b) to exercise all of the rights, remedies and powers
granted to the Secured Party in this Security Agreement in order to more fully vest in the
Secured Party the rights and remedies provided for herein; and (c) pay, contest or settle
any Lien, charge, encumbrance, security interest, and adverse claim in or to the
Collateral, or any judgment based thereon, or otherwise take any action to terminate or
discharge the same.
6
Security Agreement - A&R Transaction Conhrmation No. 2 page 4
7
The power of attomey granted pursuant to this Security Agreement and all authority
hereby conferred are granted and conferred solely to protect the Secured Party's interest
in the Collateral and shall not impose any duty upon the Secured Party to exercise any
power. This power of attomey shall be irrevocable as one coupled with an interest until
all Obligations have been fully and finally satisfied by Debtor. Any power of attorney
granted hereunder shall be in addition to the terms of any other power of attomey set
forth in any agreement or document.
Reoresentations. Warranties and Covenants of Debtor. Debtor represents, warrants
and covenants to Secured Party as follows:
7.1 Except for Permitted Liens, Debtor has not and shall not permit or allow any
Lien of any kind or nature whatsoever to attach to all or any part of the Collateral
and will not permit all or any part of the Collateral to be attached, replevied,
levied on, gamished or made the subject of litigation, nor shall Debtor assign any
of its interest in said Collateral, nor shall Debtor perform any acts or execute any
other instruments which might prevent Secured Party from fully exercising its
rights tnder any of the terms, covenants and conditions of this Security
Agreement, except for Permitted Liens. In the event of attachment of any Lien
that is not a Permitted Lien, to all or any part of the Collateral, Debtor will cause
such lien to be released within three (3) business days of leaming of its existence.
7.2 Debtor is and will be the absolute owner or lessee of the Collateral, as applicable,
free and clear of any adverse lien, security interest or encumbrance other than
Permitted Liens. Debtor will protect and defend the Collateral against all claims
and demands of all persons and entities at any time claiming any right, title or
interest of any kind or nature in all or any part of the Collateral adverse to the
right, title and interest of Debtor and/or Secured Party in the Collateral.
7.3 Debtor is a limited liability company duly organized and validly existing under
the laws of the State of Delaware, wrth the power to conduct its business as
presently conducted. The execution, delivery and performance by Debtor of this
Security Agreement are within Debtor's powers, have been duly authori z-ed and,
giving effect to any applicable laws that would render ineffective any prohibition
or restriction on the grant of a security interest in the Collateral, are not in
conffavention of (i) any applicable law, (ii) Debtor's operating agreement as
amended through the date of this Security Agreement or (iii) any agreement or
judicial order or decree to which Debtor is a party or by which Debtor or any of
its property is bound.
7.4 Upon reasonable notice by Secured Parfy to Debtor, Debtor will, during normal
business hours, from time to time but no more than once per calendar year, allow
Secured Party or its authorized agent to examine the books and records of Debtor
to verify the preservation and continued existence of the Collateral.
7.5 Debtor represents and warrants that except for the financing statements filed for
the benefit of Secured Party and/or filed in connection with any Permitted Liens,
Security Agreement - A&R Transaction Contirmation No. 2 page )
no financing statement covering the Collateral or any proceeds thereof, which has
not been terminated, is on file in any public office.
7.6 Debtor shall pay or cause to be paid all taxes, levies, assessments and other
charges of every kind or nature which may be levied or assessed against the
Collateral; provided however, that Debtor shall not be required to pay any tax,
charge, or assessment that is not yet past due or is being contested in good faith
by appropriate proceedings diligently conducted by or on behalf of Debtor.
7.7 If Debtor shall fail to pay any tax, levy, assessment or other charge against the
Collateral, the Secured Party may, at its option, pay such tax, levy, assessment or
other charge. Debtor agrees to reimburse the Secured Party on demand for any
such payment by the Secured Parry and/or at the Secured Party's request apply it
as set-off against any sums owed by the Secured Party under the A&R
Transaction Confirmation. The amount of any such payment shall be an
additional Obligation secured by this Security Agreement and shall be part of the
"Obligations."
7.8 To the knowledge of Debtor following reasonable inquiry, no Event of Default (as
defined under the Supply Agreement) exists or is continuing with respect to the
Supply Agreement.
7.9 Debtor shall use its reasonable efforts, to the extent within its control, to assure
that the Supply Agreement remains in full force and effect and is fully performed
in accordance with the terms thereof. Debtor shall not dispose of the Supply
Agreement other than by way of an assignment permrtted under Section 4 hereof
or full performance by Debtor of all obligations thereunder.
7.10 The Supply Agreement and this Security Agreement are legal, valid and binding
obligations of the Debtor, enforceable against Debtor in accordance with their
respective terms, except as may be limited by applicable bankruptcy, insolvency,
moratorium, reorganization or other similar laws affecting the enforcement of
creditors' rights and subject to general equitable principles.
Secured Partv's Duties. The powers conferred on Secured Party hereunder are solely to
protect its interest in the Collateral and shall not impose any duty upon it to exercise any
such powers. Except for the safe custody of any Collateral in its possession and the
accounting for benefits actually received by it hereunder, Secured Party shall have no
duty as to any Collateral or any rights, obligations or control with respect to the Supply
Agreement. Secured Party shall be deemed to have exercised reasonable care in the
custody and preservation of any Collateral in its possession if such Collateral is accorded
treatment substantially equal to that which Secured Party accords its own property.
Events of Default. The occurrence of any one or more of the following shall constitute
an "Event of Default" under this Security Agreement:
9.1 the occurrence and continuation of an Event of Default on the part of Debtor
under the Supply Agreement, which has not been waived by Supplier or cured by
9
Security Agreement - A&R Transaction ConfirmationNo. 2 page 6
8
l0
Debtor wrthin longer of (a) the time period (if any) specified in such agreement
for waiver and/or cure and (b) thirty (30) days;
9.2 any representation, warranty or other statement of fact contained in this Security
Agreement by Debtor proves to have been false, misleading or incomplete in any
material respect at the time when such warranty, representation or statement was
made or fumished to Secured Party and such representation, warranty or other
statement of fact continues to be false, misleading or incomplete thirty (30) days
following receipt of notice from Secured Party;
9.3 if prior to termination of this Security Agreement, this Security Agreement shall
cease to be in full force and effect or any Lien created in favor of the Secured
Party hereunder shall cease to constitute a valid perfected Lien on the Collateral
(subject only to the Permitted Liens), to the extent the foregoing is caused by
Debtor, or Debtor disposes of any or all of the Collateral in any manner that is not
permitted pursuant to Section 4 hereof; or
9.4 upon the failure to obtain the release of any Lien that is not a Permitted Lien
within the time specified in Section 7.1 hereof.
Remedies on Default. Secured Party shall have the following rights and remedies upon
the occurrence and during the continuance of an Event of Default in accordance wrth and
subject to the terms of this Section l0:
10.1 Upon the occurrence and during the continuance of an Event of Default, Secured
Party shall have the right and power to enforce all rights and remedies available to
Secured Party under applicable laws in respect of the Supply Agreement in
accordance with the Third-Party Contract Rights; in each case to the extent any
deliveries to Secured Party under the Supply Agreement remain to be made by
Debtor.
10.2 In addition to the rights and powers granted in Section l0.l hereof, upon the
occurrence and during the continuance of an Event of Default:
(a) Debtor hereby consents to and grants Secured Party the right to (i)
substitute itself for Debtor and perform the duties of Debtor under the
Supply Agreement and (ii) exercise any rights or remedies of Debtor with
respect to the Supply Agreement on behalf of Debtor, subject to the terms
of the A&R Transaction Confirmation and the Supply Agreement;
provided that notwithstanding anything in this Security Agreement to the
contrary, nothing wrthin this Security Agreement or the execution of the
transactions contemplated herein shall effect, cause or permit a novation
of the Debtor that is not consented to in writing by the applicable
courterparty; and
(b) Debtor hereby additionally consents to and grants Secured Party the nght
to cure any defaults of Debtor and perform any and all obligations of
Seourity Agreement - A&R Transaction Conhrmation No. 2 page 7
ll
Debtor under the Supply Agreement in accordance with and in the manner
provided for by the Third-Party Contract Rights.
10.3 Upon the occurrence and during the continuance of an Event of Default, Secured
Party shall have the right, without notice or demand, to do any or all of the
following:
(i) make any payments and do any acts it considers necessary or reasonable to
protect the Collateral and/or its security interest in the Collateral. Secured
Party may take and maintain possession of any part of the Collateral, and
pay, purchase, contest, or compromise any Lien which appears to be prior
or superior to its security interest and pay all expenses incurred; and
(ii) exercise all rights and remedres available to Debtor at law or in equity.
IO.4 IN NO WAY SHALL SECURED PARTY'S EXERCISE OF ANY OF TI{E
REMEDIES PROVIDED I{EREIN RESTRICT TI{E SECURED PARTY FROM
EXERCISING TI{E THIRD-PARTY CONTRACT RIGHTS UNDER TI{E A&R
TRANSACTION CONFIRMATION AND TI{E SUPPLY AGREEMENT.
Notices. All notices, demands and communications between the parties conceming this
Security Agreement shall be in writing and shall be delivered, or mailed by registered or
certified mail with postage prepaid, or telegraphed, addressed in each case as follows and
shall be deemed to have been given or made when: (i) by certified mail the retum receipt
is signed or refusal to accept the notice is noted thereon; or (ii) by ovemight courier or
hand delivery upon receipt or refusal to accept:
If to Debtor:Element Markets Renewable Energy, LLC
3555 Timmons Lane, Suite 900
Houston, TX77027
Attn: Contract Administration
Fax: 281-207-7211
City of Vemon, Gas & Electric Department.
Attention: Carlos Fandino, Jr.
Director of Gas & Electric
4305 S. Santa Fe Avenue
Vemon, CA 90058
Fax 323-826-1408
If to Secured Party:
Either party, at any time, by written notice given to the other in accordance with this
Section, may designate a different address to which such communications shall thereafter
be directed.
t2
This Security Agreement shall remain in full force and effect and be binding in
Securirv- Agreement - A&R Transaction Confirmation No. 2 page 8
accordance with and to the extent of its terms upon Debtor and the successors and assigns
thereof, and shall inure to the benefit of the Secured Party and their respective successors,
endorsees, transferees and assigns until the Obligations shall have been satisfied in full, at
which time this Security Agreement shall terminate. In connection with any termination
or release pursuant to the foregoing, the Secured Party shall execute and deliver to Debtor
or authorize the filing of, at Debtor's expense, all documents that Debtor shall reasonably
request to evidence such termination or release. Any execution and delivery of
documents pursuant to this Section shall be without recourse to or warranty by the
Secured Party.
13. Miscellaneous.
13.l Remedies Not Exclusive. Subject to the limitations herein, it is understood and
agreed that the remedies granted to the Secured Party herein shall not be deemed
exclusive of any other remedies possessed by the Secured Party under the
Purchase Agreement or at law or in equity, but shall be deemed additional and
cumulative thereto.
13.2 GOVERNING LAW. THIS SECURITY AGREEMENT AND TI# RIGI{TS
AND OBUGATIONS OF THE PARTIES I{EREI.INDER SHALL BE
GOVERNED BY, AND CONSTRUED AND INTERPRETED IN
ACCORDANCE WITII THE LAW OF TI{E STATE OF CALIFORMA WITH
VENUE FOR ANY DISPUTE IN LOS ANGELES CALIFORNIA.
13.3 Assignment. Debtor may not assign, transfer or delegate any of its rights or
obligations urder this Security Agteement without the prior written consent of the
Secured Pu.ty; provided that such consent will not be unreasonably withheld,
delayed or conditioned by Secured Party.
13.4 Severability Any provision of this Security Agreement that is prohibited or
unenforceable shall be ineffective to the extent of such prohibition or
unenforceability without invalidating the remaining provisions hereof. The parties
hereto shall endeavor in good-faith negotiations to replace the invalid, illegal or
unenforceable provisions with valid provisions the economic effect of which
comes as close as possible to that of the invalid, illegal or unenforceable
provlsrons.
13.5 Integration. This Security Agreement represents the agreement of the parties
with respect to the terms of the security interest of Secured Party in the Collateral
and there are no promises, undertakings, representations or warranties by the any
party hereto relative to the subject matter hereof not expressly set forth or referred
to herein.
Security Agreement - A&R Transaction Conhrmation No. 2 page 9
f3.6 Amendments in Writingi No Waiver; Cumulative Remedies.
(a) None of the terms or provisions of this Security Agreement may be
waived, amended, supplemented or otherwise modified except by a
written instrument executed by the Debtor and the Secured Party.
(b) Secured Party shall not by my act (except by a written instrument
pursuant to Section 13.6 hereof), or delay, indulgence, omission or
otherwise, be deemed to have waived any right or remedy hereunder or to
have acquiesced in any default or Event of Default or in any breach of any
of the terms and conditions hereof. No failure to exercise, nor any delay in
exercising, on the part of the Secured Party, any right, power or privilege
hereunder shall operate as a waiver thereof except to the extent such
failure to exercise or delay in exercising such right operates as a waiver of
such right under the terms of the A&R Transaction Confirmation or
Security Agreement, as applicable. No single or partial exercise of any
right, power or privilege hereunder shall preclude any other or further
exercise thereof or the exercise of any other right, power or privilege. A
waiver by the Secured Party of any right or remedy hereunder on any one
occasion shall not be construed as a bar to any right or remedy that the
Secured Party would otherwise have on any future occasion except to the
extent explicitly provided in this Section 13.6(b).
(c) The rights, remedies, powers and privileges herein provided are
cumulative, may be exercised singly or concurrently and are not exclusive
of any other rights or remedies provided by law.
13.7 Section Headings. The Section headings used in this Security Agreement are for
convenience of reference only and are not to affect the construction hereofor be
taken into consideration in the interpretation hereof.
13.8 Counterparts. This Security Agreement may be executed by one or more of the
parties to this Security Agreement on any number of separate counterparts
(including by facsimile or other electronic transmission), and all of said
counterparts taken together shall be deemed to constitute one and the same
rnstrument.
13.9 Successors and Assigns. The covenants and agreements herein contained by or
on behalf of the Debtor shall bind Debtor, Debtor's legal representatives,
successors and assigns and all persons who become bound as a debtor to this
Security Agreement and shall inure to the benefit of the Secured Party, and its
successors and assigns.
ISTGNATURE PAGE FOLLOWSI
Security Agreement - A&R Transaction Contirmation No. 2 page l0
u
By,
IN WTINESS WHEREOF. eacl of the rrrdersiped has caused this Security Ageemmt to be
duly executed and delivered by its duly authorized officer as ofthe &y and year 6rst above
writleD.
DEBTOR:REIIEWABLE ENERGY,LLC
SECLTRED PARTY: CITY oF vERNoN, cAS & ELECTRIC DEPARTMENT
Nme: Culos Fandino
Title: Direclor of Gas & Electric Deparbrent
ATTEST:
Arl. Bdcia- Deputv Citv Clett
APPROVED AS TO FORM:
H.Eta Patel City AtlonEy
Title: Seuior Vice hesident
REGF-n\/ED
FEB 2 4 2015
CW CLERKS (]FIICE STAFF REPORT
VERNON GAS & ELECTRIC DEPARTMENT
March 3,2015
Honorable Mayor and CiQ Council
Nl L.A,K
Carlos Fandino, Director of Vernon Gas & Etectric 4
R,ECEIVED
FEB 2 5 2015
CITY ADMINISTRATION
DATE:
FROM:
RE:Approving the Issuance of a Notice Inviting Bids for the Procurement and
Installation of Allison Turbine Control System Upgrade
Recommendation
It is recommended that the City Council:
1. Find that approval of the proposed issuance of a Notice Inviting Bid is exempt under
the California Environmental Quality Act (CEQA) in accordance with CEQA
Guidelines Section 15061(bX3), the general rule that CEQA only applies to projects
that may have an effect on the environment, because the system upgrade referenced
herewith merely augments the existing control system and improves efficiency and
reliability of energy produced in Vernon; and
2. Approve the issuance of a Notice Inviting Bids entitled "Turnkey Design, Equipment,
Fabrication, Testing, Operational and Ready-in-Service Control System Upgrade for
Two Existing Aero-Derivative Gas Turbines Used for Power Generation" in
substantially the same form as attached to this staff report. Staff estimates that the total
purchase price will be between $400,000 and $500,000; but the exact price will not be
determined until the bids have been received and reviewed.
Background
Vemon Gas & Electric (VG&E) owns and operates two (2) Rolls-Royce 571K Allison industrial
aero-derivative gas turbines used for power generation. These two turbines provide a value to
the City of Vernon in the form of Non-Spin Ancillary Service but, more importantly, fulfill a
portion of the City's Resource Adequacy (RA) requirements. Each turbine has operated on
average approximately 20 hours per year; however, when they are called to service, a less than
ten (10) minute start to full load is required for acceptance by the California Independent System
Operator (CAISO). The RA fulfillment is based on reaching full load (about 6 MW's per
turbine) in less than ten (10) minutes after receipt of a Dispatch notice by CAISO. If the turbine
does not reach its full load within the required time limit, it is considered a "Failed Start Event"
which is unacceptable to the CAISO. As a result of a failed start, the City of Vernon may incur a
penalty by the CAISO, and the RA payment to the City of Vernon is also at risk. An aging
system with antiquated analog and manual controls compounds the potential for system failure.
The City, therefore, is taking measures to replace the existing control system with a new design
to minimize the likelihood of RA penalties and subjection to deductions of payments by
maximizing the perfornance of the system. With a system upgrade, the City hopes to eliminate,
or at least mitigate, any financial risk. The Allison Turbine System is a critical component
within the Gas & Electric Department and its reliability is imperative to VG&E's successful
operation.
Staff is requesting Council approval to issue a notice inviting bids for "turnkey" design,
engineering, procurement of any and all required equipment, and construction services to
guarantee a safe, reliable, functional, fully automated push button control system permitting
startup and synchronization for each of the two existing aero-derivative gas turbines used for
power generation.
To encourage the greatest number of possible bidders, consistent with his authority under Vernon
Municipal Code $ 2.17.20, the City Administrator has waived the requirement that bidders
security be provided in this instance because the contract instead requires liquidated damages
should the successful bidder fail to perform as required by the contract. As such, the form of bid
for this procurement conforms to the requirements of the Vernon Competitive Bidding and
Purchasing Ordinance and, thereby includes all processes and provisions required by the Good
Governance Reform efforts.
Fiscal Impact
An amount of $500,000 for the Allison Turbine system upgrade has been incorporated in the Gas
& Electric Department's proposed Capital Budget for fiscal year 2015-2016, with work
tentatively slated to begin in October 2015.
Issuance of the Notice Inviting Bids does not obligate the City to purchase a system upgrade, but
may allow the City to do so. It is expected that, at the conclusion of the bid process, City staff
will return to request the City Council's approval to award a contract to the lowest responsible
bidder, and to authorize the related expenditure of at that time.
Attachments
BID FORM
AND
PROJECT SPECIFICATIONS
FOR
ALLISON TURBINE CONTROL SYSTEM UPGRADE
IN THE CITY OF
VERNON, CALTFORNTA
Contract No. LP-0999
Bid Opening Date: April 9, 2015 - 2:00 p.m.
Tentative Construction Start Date: October 5, 2015
CITY OF VERNON
DEPARTMENT OF GAS & ELECTRIC
4305 SANTA FE AVENUE
VERNON, CA 900s8
(323) s83-8811
TABLE OF CONTENTS
PAGE
NOTICE INVmNG 8IDS............. .......... NrB-1
BIDDER'S PROPOSAL....... ...................... Bp-l
PART I........... INSTRUCTIONS TO BIDDERS
I.1 GENEML INSTRUCTIONS ................,.. I-1
I-1.01 General Bid Requirements ... ... ... .. . ... ... ... ... .. . I- 1
I-1.02 Bidder's Guarantee........ ............................. I-1
I-1.03 Bidder Must Make Thorough Investigation..... ....................... I-1
I-1.04 Acceptance of Conditions ............................ I-1
I-1.05 Truth and Accuracy of Representation...................... ............ I-1
I-1.06 City Changes to the Bid Documents....... .............................. I-1
I-1.07 Notice Regarding Disclosure of Contents of Document................................... I-1
I-1.08 Award of Bid and Determination of Responsiveness ...................................... I-2
I-1.09 Ineligibility to Contract... ............................. I-2
I-1.10 Errors and Omissions.. ........I-2
I-1.11 Patent Fees; Patent, Copyright, Trade Secret and Trademark Fees................. I-2
I-1.12 Taxes.... ............................ I-2
I-1.13 Local Bidders; Refund of Sales and Use Tax ......................... I-2
I-1.14 Indemnity in the event of bid dispute.... ....... .I-3
I-2 SPECIAL CITY REQUIREMENTS ............... .................... r-3
I-2.01 Equal Employment Oppoftunity in Contracting... ................... I-3
I-2.01.1 Policy.. ............................ I-3
I-2.01.2 Comp1iance.................. ............................ I-3
I-2.01.3 Required Forms............... ......................... I-3
I-2.02 Affidavit of Non-Collusion by Bidder......... ............................ I-3
I-2.03 Vernon Livlng Wage Ordinance......... ........... I-3
I-3 GENERAL SPECIFICATIONS..................... .................... I-3
I-3.01 Bid Proposal Quantities......... ......................I-3
I 3.02 Registration and Qualifications of Contractors............................................... I-3
I-3.03 Standard Specifications.... ............................ I-4
I3.04 Subcontracts................... ........................... I-4
I-3.05 Non-Dlscrimination.......... ............................ I-4
I 3.06 Protection of Existing Facilitles........... ........... I-4
I-3.07 Contract Bonds.............. ............................. I-4
I-3.08 Termination of Contract.. ............................. I-4
I-3.09 Liability Insurance......... .............................. I-5
I-3.10 Partial Payment........... ........ I-5
I-3.11 Security Deposits in Lieu of Retention ........... I-5
I-3.12 Worker's Compensation Cetification...... ....... I-5
I-3.13 Sample Contract ................. I-5
I-3.14 Special Conditions - Prevailing Wages and Employment of Apprentices............ I-5
I-3.15 Retention ... I-6
I-3.16 Trade names and "or approved equal" provision ..........,............ I-6
I-3.17 Notice to Contractor..... . ....... I-6
ATTACHMENT TO PART I
PART II - SPECIAL PROVISIONS - SPECIFIC FOR THIS PROJECT
il-1.01 Highlights of Relevant Facts Relating to Control System Upgrade.............. il-1
II-1.02 Issues or Problems to be Addressed ....... il-l
II-1.03 Scope of Work.. ............ U-1
II-1.04 Specifications ...............II-7
[-1.05 Length of Contract.................... ............ II-7
II-1.06 Delays and Eltensions of l''ime............ ...........................II-7
II-1.07 Quality of Work ............ II-7
II-1.08 Liquidated Damages.......... .................... II-7
II-2.01 Scheduling ofWork............ ................... II-7
Il-2.02 Requirements - General.......... ............... II-8
II-3.01 Character of Workers ............................II-8
II-4.01 Examination of the Site .........................II-8
PART III - TECHNICAT SPECIFICATIONS
ilI-1.01
III-1.02
uI-1.03
uI-1.04
uI-1,05
ilI-1.06
III-1.07
Standard Plans
APPENDIX A - Forms to be Completed by Bidder
APPENDIX B - Samole Contract
Certifi cate of Insurance
NOTICE INVITING BIDS
For
ALLISON TURBINE CONTROT SYSTEM UPGMDE
in the
city of vernon, california
Sealed bids must be received prior to 2:0O p,m,, Aprit 9, 2015, by the City Clerk of Vernon, 4305 Santa Fe
Avenue, Vernon, CA 90058, for the Allison Turbine Control System Upgrade in the City of Vernon, California.
Copies of the Specifications are available at no charge at the Department of Gas & Electric, City of Vernon, 4305
Santa Fe Avenue, Vernon, CA 90058, between the hours of 7:00 a.m. and 5:30 p.m. Monday through Thursday.
A non-refundable fee of $20.00 will be charged if mailing is requested by calling (323) 583-8811. elt 825.
A pre-bid meeting is scheduled for March 23, 20t5, at 10:00 a.m. in the Department of Gas & Electric, 4305
Santa Fe Avenue, Vernon, CA 90058. This meeting is to answer any questions regarding the project
specifications.
Each subcontractor, under the prime bidder, must hold an active subcontractor's license corresponding to the
type of work the subcontractor is preforming. Each subcontractor may only preform the type of work
corresponding to the active license.
All bids must be accompanied by bids security in the amount of five percent (50/o) of the bid prices, in the form
of cash, cashier's check, money order, or surety bond.
Refer to the Specifications for complete details and bid requiremenLs. Specifications and this notice shall be
considered a part of any contract made pursuant thereto.
Mark Whitworth
City Administrator
Dated: (Authorized by City Attorney)
Published:
NIB.1
BIDDEtrS PROPOSAL
FOR
ALLISON TURBINE CONTROL SYSTEM UPGRADE
in the City of Vernon, California
Bid Opening: 2:00 p.m., April 9, 2015, City Clerk's Office,4305 Santa Fe Avenue, Vernon
To the Honorable City Council of the City of Vernon, California
In response to the Notice Inviting Bids for ALLISON TURBINE CONTROL SYSTEM UPGMDE, the undersigned
bidder proposes to the City of Vernon all labor, materials, methods and processes, tools implements and
machinery which are necessary and required for the performance of the work mentioned in said Notice Inviting
Bids in accordance with the Speciflcations therein referred to at the prices listed on pages BP-z through BP-3
inclusive.
Each bidder !08! bid on the items shown in the Bidder's Proposal. If any bidder makes any
alteration, interlineation or deviation in any of the printed matter of the proposal or if the
signature of the bidder is incomplete, the bid will be considered informal and may be rejected.
The price bid shall include any and all charges required under the California Retail Sales Act of 1933 as
amended and the California Use Tax Act of 1935.
In case of a discrepancy between the unit prices and items totals, the unit prices shall prevail, and in the case
of a discrepancy between item totals and the grand total, the item totals shall prevail, The grand total will be
subject to adjustment by the City in the event of a discrepancy. The contract award shall be made on the basis
of the grand total as described about from among responsive and responsible bidders.
Based on the bids received and the City's budget at the time of contract award, the City reserves the right to
delete items or to change quantities of bid items.
BP-1
BIDDER'S PROPOSAL FOR
ALLISON TURBINE CONTROL SYSTEM UPGRADE
B!D
ITEM
#
DESCR!PTION
QUANTITY
NEEDED
BY CITY Cost
t Mobilization and Demobilization
1 s
2
Design & Engineering
A. Review existing protection and control drawings.
B. Design a new protection, control, metering and
automation control system.
C. New drawings of controls and interconnection to
existing facilities.
1 s
3
Protection & Relays SCADA Ready
lncludes all engineering and design (Refer to Part ll Special
Provisions - Specific to this Project)
A. All protective devices to be replaced with SEL-700GT
auto sync relay.
B. lncorporate existing SEL-300G as part of the new
protection scheme.
C. Engage services of Schweitzer Engineering Services to
provide all programing and testing for the SEL-700GT
relay including relay setting calculations and testing
all relay elements used as part of the relay scheme.
E. Communication interface to be SCADA ready
1 S
4
Voltage Control
lncludes all engineering and design (Refer to Part ll Special
Provisions - Specific to this Project)
A. Existing controls replaced with Basler Digital
Excitation Control System which includes, but is not
limited to the voltage regulator, power factor
controller and diode protection unit.
B. Replace the existing synchronizer and utilize the auto
synchronizer on the SEL-700GT Relay.
C. Remove all analog gauges and meters on panel and
replace with new gauges and meters on the new
control cablnet.
1 s
5
Fuel Control
lncludes all engineering and design (Refer to Part ll Special
Provisions - Specific to this Project)
New engine analog gauges shall be installed including the
following; N1 Gas Generator, N2 Power Turbine and
Measured Gas Temperature (MGT).
The fuel control shall be bid out for the options below:
A. Remove and send the existing Precision Engine
Controls Corporation (PECC) PECC-TCSD to the
manufacturer for a health check and new cards
purchased.
B. Remove and send the existing PECC-TCSD to the
manufacturer for a health check and card upgrades.
C. Remove the existing PECC-TSD to the manufacturer
for a health check. card upsrades and a full set of
1 s
spares.
D. Remove the existing PECC-TCSD and install a new
PECC-TCSD or City approved equivalent.
6
Unit Sequencing Control
lncludes all engineering and design (Refer to Part ll Special
Provisions - Specific to this Project)
A. Retrieving all data, ladder logic codes and
information from the existing GE PLC for the
successful installation of the new PLC.
B. Remove the existing PLC and replace with an Allen
Bradley PLC for unit sequencing and monitoring of
the skid, drive train and safety protection including
but not limited to the following:
o Turbine auxiliaries
o Gearbox and associated auxiliaries
o Generator and associated auxiliaries
o Gas systems for leaks and monitoring
Two new HMI's shall be installed to communicate
with alldevices.
Replace existing temperature monitoring system of
the MGT's.
C
D
1 s
7
Control Cabinets
lncludes all engineering and design (Refer to Part ll Special
Provisions - Specific to this Project)
A. Remove old cabinet and controls and replace with
new cabinet and controls per this agreement.
1 s
8
Remote Station
lncludes all engineering and design (Refer to Part ll Special
Provisions - Specific to this Project)
A. lnstall remote control station in the control room per
this agreement.
1 S
9
Misc. Equipment and Spare Parts
A. Contractor shall supply all other equipment required
for a turnkey project.
B. Spare parts shall be listed and provided.
C. Special tools shall be listed and provide.
t S
10
Special Software and Applications Requirements
A. Provide licensed and most updated applications.
B. Hardware, software, driver, and applications licenses
and manuals.
C. Historical storage and retrieval/retrieval/trending of
process values, events and alarms, with online data
storage for up to three (3) years.
D. Ensure ability to connect remotely for future
integration and support.
1,S
11
lnstallation and Commissioning Services
A. Following the receipt of Notice to Proceed,
coordinate a kick-off meeting with the City
1_s
Project Management team to review conceptual
design and project work plan.
B. Provide for Factory Acceptance Testing and reports.
C. Furnish, deliver and install the configured and factory
test accepted designed.
D. Field test, commission and deliver including SEL
Support during commissioning.
E. Prior to project close out, provide all final
documentation including but not limited to as-built
drawings, user manuals, and system configurations.
t2
Field Service and Training
A. The Contractor shall provide field service to
complete wiring. lnspection, testing and
energization as long as needed. The Contractor
shall engage services of Schweitzer Engineering
Laboratories (SEL) Engineering Services to
provide commissioning support for the SEL-
700GT relay.
B. The Contractor shall provide two (2) weeks of hands-
on training to City field and operation crews, as well
as engineers, during the installation phase and at a
later date shall provide at least one (1) week of
classroom and other hands-on training to City field,
operations and engineering personnel as a part of
this contract.
t s
13
Maintenance and Technical Support Services
A. Provide a three (3) year technical and
software/hardware support within 24 hours respond
and annual recertification services
1 s
TOTAL s
Undersigned Bidder agrees to commence work within calendar days from the date of issuance of a
Notice to Proceed and proposes and agrees to have all work completed calendar days from the time
the contract begins.
Undersigned Bidder acknowledges receipt of the following addenda issued for the above project. If no addenda
have been received, write "none". FAILURE TO ACKNOWLEDGE RECEIPT OF ANY ADDENDA ISSUED
WILL RENDER THE CONTACTOR'S BID NON-RESPONSIVE.
List of addenda Received:
PLEASE SEE PART r SECTTON 2.01.3 REQUIRED FORMS.
Bidder shall execute the following (Appendix "A"):
Page
1. Identity Confirmation BP-(a)
2. Subcontractor Listing BP-(b)
3. Affidavit of Non-Collusion BP-(c)
4. Living Wage Compliance Certification BP-(d)
5. Certificate of Equal Opportunity Practices FORMS M-t,2,3
City of Vernon.
Bidder's Proposal
Respectf u I ly Su bm itted,
(If a Bidder is a corporation,
it's seal must be impressed hbreon)
California State Contractor's License No.
Authorized Signatory
California Corporation No.
by
BP-3
PART I
INSTRUCIONS TO BIDDERS
r-1 GENERAL INSTRUCTIONS
I-1.01 General Bid Rquirements - To be considered, a Bidder must follow the format for bids in the Specifications.
Bids must be binding and firm. Any bid may be withdrawn before bid opening, but not for 90 days after openlng.
I-1.02 Bidder's Guarantee - Bid security in the amount of five percent (5olo) of the bid price, in the form of cash,
cashier's check, money order or surety bond, meeting City requirements, must accompany all bids. If the Bidder
to whom the contract is awarded shall for flfteen ( 15) calendar days after such award fail or neglect to enter into
the contract and file the required bonds, the City may deposit in its treasury said bid security and, under no
circumstances, shall it be returned to the defaulting Bidder.
I-1.03 Bidder Must Make Thorough Investigation - It is the Bidder's responsibility to examine the location of the
proposed wor( to fully acquaint itself with the Specifications and the nature of the work to be done. Bidders
shall have no claim against the City based upon ignorance of the nature and requirements of the project,
misapprehension of site conditions, or misunderstanding of the Specifications or contract provisions.
I-1.04 Acceptance of Conditions - By submitting a bid, each Bidder expressly agrees to and accepts the following
conditions:
I-1.04.1 All parts of the Instructions to Bidders and Specifications will become part of the Contract between the
selected Bidder and the City;
I-1.04.2 The City may require whatever evidence is deemed necessary relative to the Bidder's financial stability
and ability to complete this project;
I-1.04.3 The City reserves the right to request further information from the Bidder, either in writing or orally, to
establish any stated qualifications;
I-1.04.4 The City reserves the right to solely judge the Bidder's representations, and to solely determine whether
the Bidder is qualified to undertake the project pursuant to the criteria set forth herein. The Bidder by submitting
a bid, expressly acknowledges and agrees that the judgment of the City as to whether or not the Bidder is qualified
to perform the project, shall be final, binding and conclusive;
I-1.04.5 The City reserves the right to reject all bids, waive any irregularity in any of the bids, or cancel or delay
the project at any time;
I-1.04.5 This bidding process does not commit the City to award any contract, and the City is not liable for any
costs incurred by the Bidder in the preparation and submission of a bid.
I-1.05 Truth and Accuracv of Reoresentation - False, incomplete or unresponsive statements in connection with
the bid may be sufficient cause for rejection of a Bidder.
I-1.06 CiW Changes to the Bid Documents - The City reserves the right to change any part of these Instructions
to Bidders and Specifications any time prior to the bid opening. Any changes shall be in the form of addenda,
will become a part of the bid documents and of the contract. Addenda shall be made available to each Bidder.
A Bidder's failure to address the requirements of the addenda may result in the bid not being considered. If the
City determines that a time extension is required for the submission of the bid, the addenda will give the new bid
opening date.
I-1.07 Notice Regarding Disclosure of Contents of Document - All bids accepted by the City shall become the
exclusive property of the City. Upon opening, all bids accepted by the City shall become a matter of public
I-1
record and shall be regarded as public, with the exception of those elements of each bid which are ldentified by
the Bidder as business or trade secrets and plainly marked as "trade secret," "confidential," or "proprietary." Each
element of a bid which a Bidder desires not to be considered a public record must be clearly marked as set forth
above, and any blanket statement (i,e., regarding entire pages, documents, or other non-specific designations)
shall not be sufficient and shall not bind the City in any way whatsoever. If disclosure is required under the
California Public Records Act or otherwise by law (despite the Bidder's request for confidentiality), the City shall
not in any way b€ liable or responsible for the disclosure of any such records or part thereof.
I-1.08 Award of Bid and Determination of Resoonsiveness - The contract shall be awarded to the lowest
responsive and responsible Bidder, In determining whether a Bidder is responsive and responsible, the following
shall be considered,
I-1.08.1 The quality of the material offered;
I-1.08.2 The ability, capacity and skill of the Bidder to perform the contract or provide the material or services;
I-1.08.3 Whether the Bidder can perform the contract or provide the service promptly, or within the time specified,
without delay or interference;
I-1.08.4 The sufficiency of the Bidder's financial resources and the effect thereof on their ability to perform the
contract or provide the material or services;
I-1.08.5 The character, integrity, reputation, judgment, experience and efficiency of the Bidder;
I-1.08.6 The quality and timeliness of the Bidder's performance on previous purchase orders or contracts for the
City;
I-1.08.7 Litigation by the Bidder on previous purchase orders or contracts with the City;
I-1.08.8 The ability ofthe Bidder to provide future maintenance and service where such maintenance and service
is essential.
I-1.09 Inelioibility to Contract - Pursuant to Sections 7777.7 and 1777.7 of the California Labor Code, any
Contractor that has been found by the State Labor Commissioner to be in violation of the Labor Code Section
entitled "Public Works" shall be ineligible to bid on or be awarded a contract for this project. The period of
debarment shall be not less than one year and up to three years as determined pursuant to Section 7777.7 of the
Labor Code, In submitting its bid, the Bidder certifies that it is aware of these provisions and is eligible to bid on
this contract. The successful Bidder shall also be prohibited from performing work on this project with a
subcontractor who is ineligible to perform work on a public works project pursuant to Section 1777,1 or 7777,7
of the Labor Code. In submitting its bid, the Bidder certifies that it has investigated the eligibility of each and
every subcontractor it intends to use on this project and has determined that none is ineligible to perform work
pursuant to the above provisions of law.
I-1.10 Errors and Omissions - Bidders shall not be allowed to take advantage of any errors or omissions in the
Instructions to Bidders or Specifications. Full instructions will be given if such error or omission is discovered and
timely called to the attention of the City. In submitting its bid, the Eidder certifies that it is aware of these
provisions and is eligible to bid on this Contract.
I-1.11 Patent Fees; Patent. Coovright. Trade Secret and Trademark Fees - Each Bidder shall include in the price
bid any patent fees, royalties and charges on any patented article or process to be furnished or used in the
prosecution of the Work.
I-1.12 Taxes - Price bid shall include all federal, state, local, and other taxes.
I-1.13 Local Bidders: Refund of Sales and Use Tax - For the purpose of determining the lowest Bidder on a
contract for materials and supplies only, 1olo of that portion of the bid subject to sales or use tax shall be deducted
from any bid where it is determined that if such Bidder were awarded the contract, the City would receive a
refund of the 1ol0.
1-2
I-1.14 Indemnitv in the event of a bid dispute - Based upon the bidder's submission of this bid and the City's
acceptance of same, the bidder will be required to indemnify, defend and hold harmless at its expense, including
the provision of legal counsel, the City. its agents, employees and officeE from liability, claims, demands, damages
and costs if such dispute or action arises solely upon the award of the bid in compliance with State, Federal and
local laws.
I.2 SPECIAL CITY REQUIREMENTS
NOTICE
THERE IS AN APPENDIX 'A' OF FORMS IN THESE SPECIFICATIONS WHICH A BIDDER MUST COMPLETE TO
ESTABLISH COMPUANCE WITH A NUMBER OF SPECIAL CITY OF VERNON REQUIREMENTS, INCLUDING, BUT
NOT UMITED TO, EQUAL EMPLOYMENT OPPORTUNITY AND AFFIDAVIT OF NON.COLLUSION. THESE FORMS
AND THEIR INSTRUCTIONS SHOULD BE CONSIDERED AN INTEGML PART OF THE SPECIFICATIONS AND
FAILURE TO COMPLETE THEM MAY BE GROUNDS, IN THE SOLE DISCRENON OF THE CITY, FOR REJECilON OF
ANY BIDDER.
I-2.01 Equal Emoloyment OpportuniW in Contracting
I-2.01.1 Policv - The City of Vernon is committed to a policy of Equal Opportunity Contracting. Qualified firms
including small businesses and businesses owned by women, minorities, and disabled persons are encouraged to
submit bids or proposals. Contractors expressly agree to comply with the City's ordinances and regulations
regarding Equal Oppoftunity Employment as well as regulations that may be mandated by the source of the funds
supporting this contract.
I-2,01.2 Compliance - To the extent permitted by law, the Contractor expressly agrees to establish compliance
with the Equal Employment Opportunity Practices Provisions of federal and state law.
I-2.01.3 Reouired Forms - No contract shall be awarded until the Bidder has submitted to the City or has on file
with the City a nondiscrimination ceftification acceptable to the City.
I-2.02 Afridavit of Non-Collusion bv Bidder - The City requires that each Eidder execute and submit to the City
with their Bid, the Affidavit of Non-Collusion included in Appendix '4."
I-2.03 Vernon Livino Waqe Ordinance - This contract is subject to the Bidder, or Subcontractor, if any, working
on City service contracts of any amount, as to all employees spending time on City contracts shall observe the
City's Living Wage Ordinance and all requirements thereof at all times on City contracts. The Current Living
Wage Standards are set forth in Exhibit "A". Upon request, certified payroll shall be provided to the City.
I-3 GENERAL SPECIFICATIONS
I-3.01 Bid Prooosal Quantities - The quantities contained in the bid documents are approximate only, and are for
the sole purpose of comparing bids. The City may, in accordance with the Standard Specifications, order more
or less work or material as necessary in the City's sole discretion. Payment will be made for the amount of work
or material actually provided as determined by the City and accepted at the unit or lump sum prices noted in the
bid, where applicable, and those prices shall govern.
I-3.02 Reoistration and Oualifications of Contractors - Before submitting bids, Contractors shall be licensed in
accordance with the Business and Professions Code Section 7000 et. seq. and each Contractor shall insert his
license number on the Bidder's Proposal.
In submitting this bid, the Bidder warrants that it has work experience comparable to that which is to be
performed. Prior to award of a contract, the City may request of any Bidder, a statement setting forth their work
experience of a nature comparable with that which is to be performed. Such statement shall describe the work
performed over the period of three (3) years next preceding the date of said statement, and shall give the owner,
location, and contract price, together with the dates of beginning and completion of such work. This statement
of experience shall be submitted within seven (7) calendar days after the City's notification to so submit. Failure
to submit an adequate statement can result in rejection of the bid as non-responsive.
I-3
I-3.03 Standard Soecifications - In connection with contracts related to the subject "Bidder's Proposal," and except
as otherwise provided below, all work shall be done in accordance with the provisions of the 2012 edition of
'STANDARD SPECIFICATIONS FOR PUBLIC WORKS CONSTRUCTION" (commonly known as the "GREENBOOK"),
including Supplements, prepared and promulgated by Public Works Standards, Inc., a mutual benefit corporation.
I-3.04 Subcontracts - In addition to the information to be listed by the Bidder with the bid pursuant to Section
2-3, entitled "Subcontracts," of the Standard Specifications, the Bidder shall provide for each subcontractor listed
a brief description of the work to be subcontracted (see Page BP-(b) of the Bidder's Proposal). After bids have
been received. no substitution of subcontractors in place of those listed in the bid or addition of subcontractors
for work in excess of one-half of one percent of the total bid price will be permitted without the written consent
of the City Engineering Manager. The sole grounds for said consent shall be the exceptions listed in Chapter 4 of
the Public Contract Code.
Pursuant to California Labor Code 51021.5, the Contractor must not willingly and knowingly enter into any
agreement with any person, as an independent contractor, to provide any services in connection with the Work
where the services provided or to be provided requires that such person hold a valid contractor's license issued
pursuant to California Business and Professions Code 587000 et seq. and such person does not meet the burden
of proof of his/her independent contractor status pursuant to California Labor Code 52750.5. In the event that
the Contractor shall employ any person in violation of the foregoing, the Contractor shall be subject to the civil
penalties under California Labor Code 51021.5 and any other penalty provided by law. In addition to the penalties
provided under California Labor Code 51021.5, the Contractor's violation of this Paragraph or the provisions of
California Labor Code 51021.5 shall be deemed an event of the Contractor's default. The Contractor must require
any Subcontractor of any tier performing or providing any portion of the Work to adhere to and comply with the
foregoing provisions.
Pursuant to the provisions of Labor Code Section 1777.1, the Labor Commissioner publishes and distributes a list
of contractors ineligible to perform work as a subcontractor on a public works project. This list of debarred
contractors is available from the Department of Industrial Relations website at:
http://www.dir.ca.qov/dlse/debar.html. The Contractor must not employ, hire, use or subcontract with any of
the listed debarred contractors.
Pursuant to Labor Code 1725.5, Contractor and any Subcontractors who bid or work on this project with
the City must register and pay an annual fee to the DIR. This project is subject to compliance monitoring
and enforcernent by the DIR.
I-3.05 Non-Discrimination - In the performance of this Contract, the Contractor must not discriminate against any
employee, subcontractor, or applicant for employment because of race, religious creed, color, national origin,
ancestry, physical disability, mental disability, medical condition, marital status, sex, age, or sexual orientation of
any person, to refuse to hire or employ the person or to refuse to select the person for a training program leading
to employment, or to bar or to discharge the person from employment or from a training program leading to
employment, or to discriminate against the person in compensation or in terms, conditions, or privileges of
employment. Violations may also result in the imposition of penalties referred to in Labor Code S 1735.
I-3.06 Protection of Existing Facilities - Except where otherwise provided for, the repair or replacement of existing
improvements that are damaged, injured, or removed as a result of the work shall be reflected in associated unit
or lump sum prices noted in the Bidder's Proposal.
I-3.07 Contract Bonds - The Bidder to whom a contract is awarded shall file the bonds specified by Section 2-4,
"Contract Bonds," of the Standard Specifications before execution of the contract. The term "Contract Price" shall
be deemed to mean the total contract "not to exceed" amount consisting of the base bid stated in the Bidder's
Proposal plus such additional amounts provided for adjustments to the estimated quantities contained in the
Bidder's Proposal and for extra work covered by approved change orders, if any.
I-3.08 Termination of Contract - Section 6-5, entitled "Termination of Contract," of the Standard Specifications is
modified to read: "The City may terminate this contract in whole or in part at any time, for any cause or without
cause, upon fifteen (15) calendar days written notice to the Contractor."
r-4
If the contract is thus terminated by the City for reasons other than the Contractort failure to perform its
obligations, the City shall pay the Contractor a prorated amount based on the services satisfactorily completed
and accepted prior to the effective date of termination. Such payment shall be the Contractor's exclusive remedy
for termination without cause.
I-3.9 Liabilitv Insurance - Evidence of insurance coverage shall be provided in the manner specified in Section
7.13 Insurance of the City's Sample Contract, Appendix B.
I-3.10 Paftial Payment - Payment shall be due the Contractor within thirty (30) calendar days after receipt of an
itemized statement for work performed during the progress payment period.
I-3.11 Securiw Deposits in Lieu of Retention - Pursuant to Section 22300 of the Public Contract Code, the
Contractor may substitute securities for any monies withheld to ensure performance under the contract. At the
request and expense of the Contractor, securities equivalent to the amount withheld shall be deposited with the
City, or with a State or Federally chartered bank in California as the escrow agent, who shall then pay such monies
to the Contractor. Upon satisfactory completion of the contract, the securities shall be returned to the Contractor,
Alternatively, the Contractor may request and the City shall make payment of retentions earned directly to the
escrow agent at the expense of the Contractor. At the expense of the Contractor, the Contractor may direct the
investment of the payments into securities and the Contractor shall receive the interest earned on the investments
upon the same terms provided for in this section for securities deposited by the Contractor. Upon satisfactory
completion of the contract, the Contractor shall receive from the escrow agent all securities, interest, and
payments received by the escrow agent from the City. The Contractor shall pay to each subcontractor, not later
than 20 days after receipt of the payment, the respective amount of interest earned, net of costs attributed to
retention withheld from each subcontractor, on the amount of retention withheld to ensure the performance of
the Contractor.
Securities eligible for investment under this section shall include those listed in Section 15430 of the Government
Code, bank or savings and loan certificates of deposit, interest bearing demand deposit accounts, standby letters
of credit, or any other security mutually agreed to by the Contractor and the City. The Contractor shall be the
beneficial owner of any securities substituted for monies withheld and shall receive any interest thereon.
The escrow agreement to be used shall be null, void, and unenforceable unless it is substantially similar to the
form specified by Section 22300(e) of the Public Contract Code.
I-3.12 Worker's Compensation Certification - California Labor Code 55 1860 and 3700 provide that every
Contractor will be required to secure the payment of compensation to its employees. In accordance with the
provisions of California Labor Code S 1861, the Contractor, in submitting a bid, hereby certifies as follows:
"I am aware of the provisions of California Labor Code 5 3700 which requires every employer to be insured
against liability for worker's compensation or to undertake self-insurance In accordance with the provisions of that
code, and I will comply with such provisions before commencing the performance of the Work of this Contract."
I-3.13 Samole Contract - A sample of the contract the successful Bidder will be required to enter into with the
City is attached hereto as Appendix "B" and by this reference incorporated herein and made a part of these
Specifications.
I-3.14 - The Contractor certlfies by
submission of a bid that they have not been found by the Labor Commissioner to be in violation of Prevailing
Wage laws as outlined in the California Labor Code g 1777.1. The Contractor shall adhere to the provisions of
Section U70-1777 of the Labor Code and Section 7-2 entitled "Labor," of the Standard Specifications.
The Contractor shall comply with and adhere to the "Special Conditions - Payment of Prevailing Wages and
Employment of Apprentices" attached to Part I of these Project Specifications.
I-5
Attention is directed to Section A of this attachment which states, in part, that if there is a difference between
the Vernon Living Wage and Prevailing Wage rates for similar classifications of labor, the Contractor and his
subcontractors shall pay not less than the highest wage rate.
I-3.15 Retention - In addition to any other withholdings permitted by law, a sum equal to five percent (50/o) of
all sums otherwise due to Contractor as progress payments shall be withheld by City from each progress
payment ("Retention") and retained until such time as it is due at the completion of the work. A higher
Retention amount may be approved by the City Council where project is deemed "substantially complex."
I-3.16 Trade names and "or approved equal" provision - Whenever in the Specifications or Drawings the name
or brand of a manufactured article is used it is intended to indicate a measure of quality and utility or a
standard. Except in those instances where the product is designated to match others in use on a pafticular
improvement either completed or in the course of completion, the Contractor may substitute any other brand or
manufacture of equal appearance, quality, and utility on approval of the City, provided the use of such brand or
manufacture involves no additional cost to the City,
I-3.17 Notice to Contractor - City shall promptly inform Contractor of any third party claims related to this
Contract.
I-6
ATTACHMENT TO PART I
SPECIAL CONDITIONS - PAYMENT OF PREVAIUNG WAGES AND EMPLOYMENT OF APPRENTICES
A. Determination of Prevailing wage Rates
City has obtained from the Director of the Department of Industrial Relations (DIR) pursuant to the Labor Code
determinations of the generally prevailing rates of per diem wages and the prevailing rate for holiday and overtime
work in the locality in which the Work is to be performed. Copies of these determinations, entitled "PREVAILING
WAGE SCALE". are maintained at the City's offices, are available during City's normal business hours and are also
available on the Internet at www.dir.ca.gov/DlR/S&R/statistics research.html. If there is a difference in the
Vernon Living Wage rates and the California prevailing wage for similar classifications of labor, the Contractor and
Subcontractors shall pay not less than the highest wage rates. The wage rate for any classiflcation not listed, but
which may be required to execute the Work, shall be commensurate and in accord with specified rates for similar
or comparable classifications for those performing similar or comparable duties. Holidays shall be as defined in
the collective bargaining agreement applicable to each particular craft, classification or type of worker employed
under the Contract. Per diem wages include employer payments for health and welfare, pensions, vacation, travel
time and subsistence pay, apprenticeship or other training programs authorized by California Labor Code $3093,
and similar purposes when the term "per diem wages" is used herein. Holiday and overtime work, when permitted
by law, must be paid for at the rate of at least one and one-half (1%) times the above specified rate of per diem
wages, unless otherwise specified. In accordance with Section 1773.2 of the California Labor Code, the Contractor
must post a schedule showing all applicable prevailing wage rates at appropriate and conspicuous locations on
the job site where they can easily be seen by workers.
B. Payment of Prevailing Wage Rates
1. Statutory Requirements - The Project is subject to the provisions of Labor Code $$1720 et seq. and
the requirements of Title 8 of the California Code of Regulations 5515000 et seq., which govern the
payment of prevailing wage rates on public works projects. The Contractor and Subcontractors of any
tier shall be governed by and required to comply with these statutes and regulations in connection with
the Project. Pursuant to Labor Code 91771, the Contractor and all Subcontractors of any tier must pay
not less than the prevailing wage rates to all workers employed in execution of the Contract. Contractor
and Subcontractors must comply with applicable statutes and regulations, including but not limited to
Labor Code 9E L77L, 7775, 7777.5, 7873 and 1815.
2, Weekly Payments to Employees - Contractor and all Subcontractors of any tier must pay each worker
on the Project, unconditionally and not less often than once each week, the full amounts that are due
and payable for the period covered by the particular payday in accordance with the prevailing wage scale
determination, regardless of any contractual relationship which may be alleged to exist between the
Contractor, Subcontractor and such laborers. Thus, an employer must establish a fixed workweek and
an established payday. On each payday, each worker must receive all sums due at the end of the
preceding workweek and must be provided with an itemized wage statement.
3. Classifications - City shall require that any class of laborers or mechanics, including apprentices and
trainees, which are not listed in the General Wage Determinations and which are to be employed under
this Contract, shall be classified conformably to such wage determinations. In the event the City does
not concur in the Contractor's proposed classification or reclassification of a particular class of laborers
and mechanics (including apprentices and trainees) to be used, the question, accompanied by the
recommendation of the City's Poect Representative, shall be referred to the State Director of Industrial
Relations for determination.
4, Fringe Benefit Cash Equivalent - City shall require, whenever the minimum wage rate prescribed for
a class of laborers or mechanlcs includes a fringe benefit which is not expressed as an hourly wage and
the Contractor is obligated to pay a cash equivalent of such a fringe benefit, an hourly cash equivalent
thereof must be established, In the event the interested parties cannot agree upon cash equivalent of
the fringe benefit, the questions, accompanied by the recommendation of the City's Project
Representative, shall be referred to the State Director of Industrial Relations for determination.
C. Penalty for Prevailing Wage Rate Underpayment
Pursuant to Labor Code 51775, the Contractor must. as a penalty, forfeit Fifty Dollars ($50.00) to the City for
each calendar day or portion thereof, for each worker paid less than the prevailing wage rates as determined by
the Director of the Department of Industrial Relations for such work or craft in which such worker is employed
for the Work by the Contractor or by any Subcontractor, of any tier, in connection with the Work. The difference
between prevailing wage rates and the amount paid to each worker each calendar day, or portion thereof, for
which each worker paid less than the prevailing wage rate, must be paid to each worker by the Contractor.
D. withholding
The City shall upon its own action or upon written request of an authorized representative of the Department of
Labor or DIR, withhold or cause to be withheld from the Contractor under this Contract so much of the accrued
payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices,
trainees, and helpers, employed by the Contractor or any Subcontractor the full amount of wages required by the
Contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper,
employed or working on the site of the Work, all or part of the wages required by the Contract, the City may,
after written notice to the Contractor, take such action as may be necessary to cause the suspension of any
further payment, advance, or guarantee of funds until such violations have ceased.
E. certified Payroll Records and Basic Payroll Records
The Contractor and Subcontractors of any tier must maintain Certified Payroll Records and "Basic Payroll Records",
defined as time cards, front and back copies of canceled checks, cash receipts, trust fund forms, daily logs,
employee sign-in sheets, accounting ledgers, tax forms and/or any other record maintained for the purposes of
repofting payroll, during the course of the Work and must preserve them for a period of three (3) years after
completion of the Project for all trades workers executing the Work of the Contract. Certified Payroll Records
must be submitted at the times designated in Paragraph F below or upon request as described in Paragraph G
below. City reserves the right to require Contractor to routinely submit Basic Payroll Records may be requested
by the City at any time and must be provided within ten (10) calendar days following the receipt of the request.
F. Submittal of Certified Payroll Records
Pursuant to Labor Code 51776, the Contractor and each Subcontractor of any tier must maintain an accurate,
weekly payroll record showing the employee full name, address, social security number, work classification,
amount paid per hour, straight time, overtime and holiday hours worked each day and weekly totals, the actual
per diem wages paid to each person employed for the Work, and the gross/net wages paid for this Project/all
projects, as well as the Contractor name and address, Project name and location, and dates of payroll. If
payments are made to any third party trust, funds or plans for health and welfare, pension or vacation trusts,
those payments must be stated on the Certified Payroll Record. The basic wage rate paid per hour plus the
employer contributions for benefits, including training fund contributions, must at least equal the prevailing wage
rate for that classification.
The Contractor must maintain and submit its Certified Payroll Records and those of its Subcontractors. City
reserves the right to require Contractor to submit to the City each week, no later than seven (7) calendar days
after the payday for the week covered, the Certified Payroll Records of Contractor and its Subcontractors of every
tier. If there is no Work on a given week or on a given day, the Certified Payroll Record must indicate "no work"
for that week or day(s). The Certified Payroll Records must account for each day of the week including Saturdays,
Sundays and holidays. Contractor and Subcontractors of every tier must write "final" on the last submitted
Certified Payroll Record for the Poect.
The Certified Payroll Records must be verified by a written declaration made by a person with authority to
represent the reporting entity, under penalty of perjury, that the information contained in the payroll record is
true and correct and that the reporting entity has complied with the requirements of California Labor Code 551771,
1811, and 1815 for any Work performed by his, her or its employees on the Project.
Contractor agrees that submission of Certified Payroll Records as well as all related or subsequent requests for
supporting document made by City shall be a condition precedent to Contractor's receipt of a progress, final, or
retention payment. The City shall withhold any portion of the progress, final, or retention payment up to and
including the entire payment until the Certified Payroll Records requirement is met by the Contractor or its
Subcontractor. If the Contractor or any Subcontractor is determined to have failed to pay workers in compliance
with the applicable prevailing wage sections of the Labor Code, the City shall continue to withhold progress, final,
or retention payments until sufficient funds have been withheld for payment of wages to workers and all applicable
penalties.
G. Making Certified Payroll Records Available Upon Request
Pursuant to Labor Code 9U76, in addition to its obligation to deliver certified payroll records to the City on a
weekly basis as set forth above. the Contractor must also make payroll records available for inspection at all
reasonable hours at the principal office of the Contractor on the following basis: (i) a ceftified copy of an
employee's payroll record must be made available for inspection or furnished to such employee or his/her
authorized representative on request; (ii) a certified copy of all payroll records must be made available for
inspection or furnished upon request to the City, the Division of Labor Standards Enforcement and the Division of
Apprenticeship Standards of the Department of Industrial Relations; (iii) a certified copy of payroll records must
be made available upon request to the public for inspection or copies thereof made; provided, however, that a
request by the public must be made through either the City, the Division of Apprenticeship Standards, or the
Division of Labor Standards Enforcement. If the requested payroll records have not been previously provided to
the City, the Division of Apprenticeship Standards or the Division of Labor Standards Enforcement, the requesting
party must, prior to being provided the records, reimburse the cost of preparation by the Contractor,
Subcontractors and the entity through which the request was made; and the public may not be given access to
such records at the principal office of the Contractor; (iv) the Contractor must file a certified copy of the payroll
records with the entity that requested such records within ten ( 10) calendar days after receipt of a written requesu
(v) any copy of records made available for inspection as copies and furnished upon request to the public or any
public agency by the City, the Division of Apprenticeship Standards or the Division of Labor Standards Enforcement
shall be marked or obliterated in such a manner as to prevent disclosure of an individual's name, address and
social security number. The name and address of the Contractor or any Subcontractor, of any tier, performing a
part of the Work must not be marked or obliterated. The Contractor must inform the City of the location of payroll
records, including the street address, City and county and must, within five (5) Working Days, provide a notice of
a change or location and address.
H. Forfeiture for Failure to Comply with Written Record Request Laws
The Contractor or Subcontractor shall have ten ( 10) calendar days in which to comply, subsequent to receipt of
written request regarding Certified Payroll Records or Basic Payroll Records. In the event Contractor or a
Subcontractor fails to strictly comply after such 10-day period, the Contractor or Subcontractor shall, as a penalty
to the City, forfeit Twenty-Five Dollars ($25.00) for each calendar day, or portion thereof, for each worker, until
strict compliance is effectuated. Upon the request of the Division of Apprenticeship Standards or the Division of
Labor Standards Enforcement, these penalties shall be withheld from any portion of the Contract Price then or
thereafter due the Contractor. A Contractor is not subiect to a penalty assessment pursuant to this paragraph
due to the failure of a Subcontractor to comply with this section.
I. Hours of Work
1. Limits on Hours of Work - Pursuant to Labor Code 51810, eight (8) hours of labor shall constitute a
legal day's work. Pursuant to Labor Code 51811, the time of service of any worker employed at any time
by the Contractor or by a Subcontractor, of any tier, upon the Work or upon any part of the Work, is
limited and restricted to eight (8) hours during any one calendar day and forty (40) hours during any one
calendar week, except as hereafter provided. Notwithstanding the foregoing provisions, work performed
by employees of Contractor or any Subcontractor, of any tier, in excess of eight (8) hours per day and
forty (40) hours during any one week, shall be permitted upon compensation for all hours worked in excess
of eight (8) hours per day at not less than one and one-half (1y2) times the basic rate of pay.
2. Penalty for Excess Hours - Pursuant to Labor Code 551813 and 1815, the Contractor shall pay to the
City a penalty of Twenty-five Dollars ($25.00) for each worker employed in the execution of the Contract
by the Contractor or any Subcontractor, of any tier, for each calendar day during which such worker is
required or permitted to work more than eight (8) hours in any calendar day and forty (40) hours in any
one calendar week, in violation of the provisions of the California Labor Code, unless compensation to the
worker so employed by the Contractor is not less than one and one-half (1Yz) times the basic rate of pay
for all hours worked in excess of eight (8) hours per day.
3. Contractor Responsibility For Cost of Excess Hours - Any Work performed by workers necessary to
be performed after regular working hours or on Sundays or other holidays must be performed without
adjustment to the Contract Price or any other additional expense to the City.
J, Responsibility for Subcontractors' Payment of Prevailing wages
Pursuant to Labor Code 51774, the Contractor is responsible for ensuring that all Subcontractors of any tier comply
with requirements for payment of prevailing wages. Contractor is responsible for Labor Code violations by
Subcontractors of any tier. The agreement executed between the Contractor and each Subcontractor must
contain a copy of the provisions of Labor Code 55 1777, 7775, 1777.5, 1813 and 1815, at a minimum, Contractor
must monitor each Subcontractor's payment of prevailing wage rates. Upon becoming aware of the failure of any
Subcontractor of any tier to pay its workers the specified prevailing wage, the Contractor must diligently take
action to halt and rectify the failure, including, without limitation, retaining sufficient funds due to the
Subcontractor to cover the underpayment. Before making final payment to any Subcontractor, the Contractor
must obtain an affidavit from the Subcontractor, signed under penalty of perjury, which states that the
Subcontractor has paid the specified, determined prevailing wage rate to its employees for the Project, as well as
any amounts due pursuant to Labor Code 91813. Contractor must provide copies of such affidavits to the City
and provide Contractor's affidavit that it has paid the specified, determined prevailing wage rate to its employees
for the Project, as well as any amounts due under Labor Code 91813.
K. Statement of Employer Payments
Within five (5) calendar days of signing the Contract or Subcontract, as applicable, the Statement of Employer
Payments (DSLE Form PW 26) must be completed and submitted to the City by each Contractor and Subcontractor
who pays benefits to a third party trust, plan or fund for health and welfare benefits, vacation funds or makes
pension contributions. The form must contain, for each worker classification, the fund or trust name, address,
administrator, and amount per hour contributed and frequency of contributions. Training fund contributions must
also be reported on this form. In February and August of each year during the Project, the Contractor and
Subcontractors of any tier must verify changes in wage rates for any trade classifications used on the Project.
Thereafter, Contractor and its Subcontractors must submit a new Statement of Employer Payments to the City
which reflects any changes in wages and benefits.
L, Apprentices
1. Apprenticeship Committee Contract Award Information - Pursuant to Labor Code 51777.5 and
Title I California Code of Regulations 5230, Contractor and Subcontractors of any tier who are not already
approved to train by an apprenticeship program sponsor must, within ten (10) calendar days of signing
the Contract or Subcontract, as applicable, but in any event prior to the first day in which the Contractor
or Subcontractor has workers employed on the Project, submit contract award information. This
information may be a Public Works Contract Award Information form (DAS form 140). The contract award
information must be provided to the appropriate local apprenticeship committees whose geographic area
of operation include the area of the Project and can supply apprentices to the Project. Contractor and
Subcontractors must also submit a copy of the form to the City which must include, in addition to other
information, an estimate of journeymen hours to be performed under the Contract or Subcontract, the
number of apprentices to be employed, and the approximate dates the apprentices will be employed.
Failure to provide contract award information, which is known by the Contractor or Subcontractor, shall
be deemed to be a continuing violation for the duration of the Contract.
2. Employment of Apprentices - Labor Code 57777.5 and Title 8 California Code of Regulations 55200 et
seq. provide detailed requirements for employing apprentices on public works. The responsibility of
complying with Section U77.5 and the regulations lies exclusively with the Contractor. When the
Contractor of Subcontractor employs workers in any Apprenticeable Craft or Trade, the Contractor and
Subcontractor must employ apprentices in at least the ratio set forth in Labor Code Section U77.5.
Every apprentice employed to perform any of the Work must be paid the prevailing rate of per diem wages
for apprentices in the trade to which such apprentice is registered, and such individual must be employed
only for the work of the craft or trade to which such individual is registered.
Only apprentices, as defined in California Labor Code 53077, who are in training under apprenticeship
standards and written apprenticeship agreements under California Labor Code 553070 et seq. are ellgible to
be employed for the Work. The employment and training of each apprentice shall be in accordance with
either of the following:
(1) The apprenticeship standards and apprentice agreements under which such apprentice is training; or
(2) The rules and regulations of the California Apprenticeship Council, including regulation Section 230.1
(3), which requires that apprentices employed on public projects can only be assigned to perform work of the
craft or trade to which the apprentice is registered and that the apprentices must at all times work with or
under the direct supervision of journeyman/men.
3. Apprenticeship Certificate and Request for Dispatch of Apprentices
a. When the Contractor or any Subcontractor of any tier in performing any of the Work employs workers
in any Apprenticeable Craft or Trade, as defined in Paragraph L(4), the Contractor and such
Subcontractor may apply to the loint Apprenticeship Committee administering the apprenticeship
standards of the craft or trade in the area of the site of the Work for a certificate approving the
Contractor or such Subcontractor under the apprenticeship standards for the employment and training
of apprentices in the area or industry affected, provided, however, that the approval as established
by the Joint Apprenticeship Committee or Committees shall be subject to the approval of the
Administrator of Apprenticeship. The loint Apprenticeship Committee or Committees, subsequent to
approving the Contractor or Subcontractor, shall arrange for the dispatch of apprentices to the
Contractor or such Subcontractor in order to comply with California Labor Code S1777.5, There shall
be an affrmative duty upon the Joint Apprenticeship Committee or Committees, administering the
apprenticeship standards of the crafts or trades in the area of the site of the Work, to ensure equal
employment and affirmative action and apprenticeship for women and minorities. Contractors or
Subcontractors shall not be required to submit individual applications for approval to local Joint
Apprenticeship Committees provided they are already covered by the local apprenticeship standards.
b. Contractors who are not already approved to train apprentices must request dispatch of required
apprentices from one of the applicable Apprentices Committees whose geographic area of operation
includes the site of the Project by giving the committee actual notice of at least forty-eight (48) hours
(excluding Saturdays, Sundays and holidays) before the date on which one or more apprentices are
required. Contractors and Subcontractors may use DAS form 142 to make the request for
apprentices. However, if a non-signatory Contractor declines to abide by and comply with the terms
of a local commi$ee's standards, the Apprenticeship Committee shall not be required to dispatch
apprentices to such Contractor. Conversely, if in response to a written request, an Apprenticeship
Committee does not dispatch any apprentice to a contractor who has agreed to employ and train
apprentices in accordance with either the Apprenticeship Committee's Standards or the California
Apprenticeship Counsel Regulations ('l'ltle 8, Section 230 ef seq.) within 72 hours of such request
(excluding Saturdays, Sundays and holidays) the contractor shall not be considered in violation of
Section 230.1 as a result of failure to employ apprentices for the remainder of the Project, provided
the contractor has made the request in enough time to meet the required ratio. If an Apprenticeship
Committee dispatches fewer apprentices than the Contractor or Subcontractor requested, the
Contractor or Subcontractor shall be considered in compliance if the Contractor employs those
apprentices who are dispatched, provided that, where there is more than one Apprenticeship
Committee able and willing to unconditionally dispatch apprentices, a Contractor or Subcontractor
who is not a participant in an apprenticeship program has requested dispatch from at least two
committees,
4. Ratio of Apprentices to Journeymen
a. The ratio of Work performed by apprentices to journeymen, who shall be employed in the Work, may
be the ratio stipulated in the apprenticeship standards under which the loint Apprenticeship Committee
operates, but in no case shall the ratio be less than one hour of apprentice work for every five hours
of labor performed by a journeyman, except as otherwise provided in California Labor Code 51777.5.
The ratio of apprentice work to journeyman work shall apply during any day or portion of a day when
any journeyman is employed at the site of the Work and shall be computed on the basis of the hours
worked during the day by journeymen so employed. Any Work performed by a journeyman in excess
of eight hours per day or 40 hours per week shall not be used to calculate the ratio. The Contractor
must employ apprentices for the number of hours computed as above before the end of the Contract
or subcontract, as applicable. The Contractor must, however, endeavor, to the greatest extent
possible, to employ apprentices during the same time period that the journeymen in the same craft or
trade are employed at the site of the Work. Where an hourly apprenticeship ratio is not feasible for a
particular craft or trade, the Division of Apprenticeship Standards, upon application of a Joint
Apprenticeship Committee, may order a minimum ratio of not less than one apprentice for each five
journeymen in a craft or trade classification.
b. The Contractor or any Subcontractor covered by this Paragraph and California Labor Code 51777.5,
that has agreed to be covered by an Apprenticeship Program's standards, upon the issuance of the
approval certificate, or that has been previously approved in such craft or trade, must employ the
number of apprentices or the ratio of apprentices to journeymen stipulated in the apprenticeship
standards, but in no event less than the 1-to-5 hourly ratio. Upon proper showing by the Contractor
that it employs apprentices in such craft or trade in the State of California on all of its contracts on
an annual average of not less than one apprentice to each five journeymen, the Division of
Apprenticeship Standards may grant a certificate exempting the Contractor from the 1-to-5 hourly
ratio as set forth in this Paragraph and California Labor Code 91777.5.
5. Exemption - The requirement to employ apprentices shall not apply to contracts of general contractors,
or to contracts of specialty contractors not bidding for work through a general or prime contractor,
involving less than Thirty Thousand Dollars ($30,000.00) or twenty (20) Working Days. The term
"Apprenticeable Craft or Trade," as used herein shall mean a craft or trade determined as an
Apprenticeable occupation in accordance with rules and regulations prescribed by the Apprenticeship
Council.
6. Contributions to Trust Funds - The Contractor or any Subcontractor of any tier who performs any of
the Work by employment of journeymen or apprentices in any Apprenticeable Craft or Trade shall
contribute to the California Apprenticeship Council in the same amount that the Director determines is
the prevailing amount of apprenticeship training contributions in the area of the Poect. Contractor or
any Subcontractor, of any tier, may take as a credit for payments to the Council any amounts paid by the
Contractor or Subcontractor to an approved apprenticeship program that can supply apprentices to the
Project. Contractors who do not contribute to an apprenticeship program must submit their contributions
to the California Apprenticeship Council. Training Fund contributions are due and payable on the 15th
day of the month for work performed during the preceding month. Training contributions to the California
Apprenticeship Council shall be paid by check and shall be accompanied by a Completed Training Fund
Contribution form (CAC-2). Contractors who contribute to an apprenticeship program are entitled to a
full credit in the amount of those contributions. The Division of Labor Standards Enforcement is
authorized to enforce the payment of such contributions to such fund(s) as set forth in California Labor
Code 9 227 . Such contributions shall not result in an increase in the Contract Price.
7. Contractor's Compliance - The responsibility of compliance with this Paragraph for all Apprenticeable
Trades or Crafu is solely and exclusively that of the Contractor. All decisions of the Joint Apprenticeship
Committee(s) under this Paragraph are subject to the provisions of California Labor Code 53081. In the
event the Contractor willfully fails to comply with the provisions of this Paragraph and California Labor
Code 51777.5, pursuant to California Labor Code 51777.7, the Contractor shall: (i) be denied the right
to bid on any public works contract for a period of one (1) year from the date the determination of non-
compliance is made by the Administrator of Apprenticeship; and (ii) fodeit, as a civil penalty, One Hundred
Dollars ($100.00) for each calendar day of noncompliance. Notwithstanding the provisions of California
Labor Code 57727, upon receipt of such determination, the City shall withhold such amount from the
Contract Price then due or to become due. Any such determination shall be issued after a full
investigation, a fair and impartial hearing, and reasonable notice thereof in accordance with reasonable
rules and procedures prescribed by the California Apprenticeship Council. Any funds withheld by the City
pursuant to this Paragraph shall be deposited in the General Fund or other similar fund of the City. The
interpretation and enforcement of California Labor Code 551777.5 and 7777.7 shall be in accordance with
the rules and procedures of the California Apprenticeship Council,
EXHIBIT A
LIVING WAGE PROVISIONS
Minimum Livino waoes:
A requirement that Employers pay qualifying employees a wage of no less than $10.30 per hour with health
benefits, or $11.55 per hour without health benefits.
Paid and Unoaid Davs Off:
Employers provide qualif,ing employees at least twelve compensated days off per year for sick leave, vacation,
or personal necessity, and an additional ten days a year of uncompensated time for sick leave.
No Retaliation:
A prohibition on employer retaliation against employees complaining to the City with regard to the employer's
compliance with the living wage ordinance. Employees may bring an action in Superior Court against an
employer for back pay, treble damages for willful violations, and attorney's fees, or to compel City officials to
terminate the service contract of violating employers.
PART II
SPECIAL PROVISIONS - SPECIFIC FOR THIS PROJECT
II-1.01 Highlights of relevant Facts- Vernon Gas & Electric (VG&E) is requesting lump sum (flxed price) bids for
a Contractor to provide TURNKEY design, engineering, procurement and construction services for all works and
provide two each safe, reliable, functional, operational and ready-in-service control systems for the two existing
aero-derivative gas turbines used for power generation (Gonzales Unit l and 2) including but not limited to voltage
control, fuel control, unit sequencing control, remote operating station and other miscellaneous equipment,
hardware and software necessary located at 4990 Seville, Vernon CA 90058. The upgrade must be designed to
auatantee a fully automated push button control individual turbine startup and synchronization in less than 10
minutes for each turbine in individual or two back to back sequential starts if ordered by CalISO. The Contractor
must be willing to guarantee the design so that the full load operation is reached in less than ten (10) minutes.
Under no circumstances shall the Contractor be relieved of their operational ten minute start and full load
guarantee due to their strict adherence to the suggestions stated in this document which is only a suggested
guide. The Contractor is solely responsible for the execution of this contract.
II-1.02 Issues or Problems to be Addressed - VG&E owns and operates two (2) Rolls-Royce 571K Allison industrial
aero-derivative gas turbines used for power generation. These two turbines provide a value to the City of Vernon
in the form of Non-Spin Ancillary Service but more importantly provide a part of the City's Resource Adequacy
(RA) requirements. Each turbine has operated on average approximately 20 hours per year however when they
arecalledona less ten (10) minute start to full load is required for acceptance bythe CalISO. The RA requirement
is based on reaching full load (about 6 MW's per turbine) in less than ten (10) minutes after receipt of a Dispatch
notice by CalISO. If the turbine starts does not reach full load in less that or exactly in ten (10) minutes the City
of Vernon may incur a penalty by the CaIISO and the RA payment to the City of Vernon is at risk. The CaIISO
considers a start of greater than (10) minutes a start failure and it is not accepted. The term "Failed Start Event"
will be used throughout this section - special provisions to describe such an event. The City therefore wants to
replace the existing control system with a new design to minimize the potential for an RA penalty and subjection
to a deduction of the yearly payment due to a start failure, The Cify wants to eliminate or at least minimize this
financial income risk.
The construction window for this project is from October 2015 to March 2015. The City has a preferred installation
time of 100 working days for both units. Each unit will be upgraded independently of each other so one unit may
stay in service at all times. It is expected that the Design, Construction and testing of the Control Cabinets be
done well in advance of the construction window starting from the Notice to Proceed date.
The existing operating and control systems for the turbines have become obsolete and spare parts are no longer
manufactured, The existing control and protection systems for the turbine-generator train need to be removed
once at a time and replaced with a new modern operating system capable of starting, sequencing and coming up
to full load automatically and in less than ten (10) minutes with either a single turbine or two turbines in a
sequential manner. This will assure the existing turbines remain in service, due to their ability to reach full load
in less than ten (10) minutes, and the City will not be subject to a "Failed Start Event", penalty and the RA
payment put at risk.
II- 1.03 Scope of Work - VG&E is requesting bids for a Contractor to provide a turnkey design and guarantee a
fully automated push button control system for startup and synchronization in less than ten (10) minutes for the
tlvo existing aero-derivative gas turbines power generation Gonzales Unit l and 2 including but not limited to:
1) Minimum System Requirements:
A. The design, engineering, procurement and construction, Contractor shall furnish all work for replacing
the existing obsolete control system and designing and providing a safe, reliable, functional, operational
and ready-in-service new control system for each of the Gonzales units 1 and 2 turbines including but
not limited to the PLC, HMI, Voltage Control, Fuel Control, Unit Sequencing Control, Remote Operating
Station, Protection relays, Meters, Gauges, prints and other miscellaneous equipment, hardware and
software necessary.
B. The Contractor shall be responsible for the design, engineering, procurement, construction,
management, new settings, startup, operator training, testing and commissioning of the Project,
II-1
D.
including necessary modifications to the existing Gonzales control system. The Contractor shall provide
all materials, equipment, machinery, tools, labor, transportation, construction administration and other
related services, including all licenses and permits necessary to complete the Project in accordance with
this agreement. The Contractor must achieve mechanical completion of the project, and conduct a
performance test proving that the project meets the minimum performance levels.
The Control Cabinets shall be fully completed and tested prior to arriving to the job site. The City may
elect to have the testing witnessed at the factory but shall not be responsible for acceptance of the test
or cabinet design, engineering or construction which is the sole responsibility of the contractor.
The City of Vernon's work schedule is from 5:30 am to 5:00 pm, Monday through Thursday. The
Contractor will report to the site at 6:30 am. Any after hour overtime work required by the Contractor,
shall be paid by the Contractor. The Contractor is responsible for the overtime of its own crews.
The successful Contractor shall provide three hard copies of the complete design with all
documentation, plus one copy in electronic format.
Drawings, including specific one-line, elementary diagrams, wiring diagrams, and any other drawings
required for the City specific installation, will be furnished with the appendix. Such drawings are hereby
made a part of this Specification.
The Contractor is required to review all related City plans and documents necessary for design of
Gonzales Control System Upgrade and related facilities in detail and prior to bidding the project. Any
conflict or obstructions shall be brought to City's attention and mutually agreed on prior to final award.
The City may provide a Project Manager for coordination purposes but under no circumstances shall
this City representative relieve the Contractor from any obligation contained in the contract.
The Contractor may use the services of other vendors and subcontractors, however the Contractor
assumes the risk for the entire work scope.
2) DESIGN:
The Contractor shall thoroughly review and verify the existing protection and control drawings, manuals
and other documentation and compare to the existing equipment controls facilities for accuracy.
A new protection, control, metering and automation control system with new PLC will be designed
based upon the drawings and City's existing documentation. The Contractor shall perform complete
work regardless of possible omissions or errors in any City provided drawings, documentation,
standards, material lists, and this Specification. Miscellaneous material items that are missing shall be
furnished by the Contractor, at no additional cost to the City, to produce completely working protection,
metering, control, and automation systems in conformify with the intent of the Work and this
Specification. The City's Project Manager shall have the final authority in determining the Contractor's
responsibility to complete all work in conformance with the drawings and this Specification. The City's
Project Manager shall have the final authority to direct the Contractor to correct any and all work that
has been improperly performed, at no additional cost to the City or relieve the Contractor of any
obligation(s) regarding the less than ten (10) minutes full load start guarantee.
3) PROTECTION:
Replace all protective devices with a Schweitzer microprocessor-type SEL-700GT with auto sync relay.
Provide and install new wiring for protection, controls and metering systems. Provide and install new
multimode 2 pair of Fiber Optic cables from the SEL-700GT to existing SEL-RTAC in the basement
utilizing serial connection to the Fiber Optic converters to integrate the relay with existing SCADA
system. This new relay shall be configured to serve as the access point for all other I/O's in the new
control system to the existing SCADA.
An existing SchweiEer SEL-300G is located in the basement and used for monitoring and remain as
part of the new protection scheme. Additional wiring will be required for the 700GT and a count of the
inputs and outputs is required to the relay as part of this design.
The Contractor shall engage services of Schweitzer Engineering Laboratories (SEL) Engineering services
to provide all programming and testing for the SchweiEer SEL-700GT relay including relay setting
calculations and testing all relay elements used as part of the relay scheme.
E.
F.
H.
I.
A.
B.
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C.
4) VOLTAGE CONTROL
A. Remove the existing voltage controls and replace with Basler or City approved equivalent Digital
Excitation Control System which includes, but is not limited to the voltage regulator, power factor
controller and diode protection unit.
B. Replace the existing synchronizer and utilize the auto synchronizer on the SEL-700GT Relay.
C. Remove all analog gauges and meters on panel and replace with new gauges and meters on the new
control cabinet.
5) FUEL CONTROL
The fuel control shall be bid out for the options fulow:
A. The first option shall be to remove and send the existing Precision Engine Controls Corporation (PECC)
PECC-TCSD to the manufacturer for a health check and new cards purchased.
B. The second option shall be to remove and send the existing PECC-TCSD to the manufacturer for a
health check and card upgrades
C. The third option shall be remove the existing PECC-TSD to the manufacturer for a health check, card
upgrades and a full set of spares.
D. The fourth option shall be remove the existing PECC-TCSD and install a new PECC-TCSD or City
approved equivalent.
E. New engine analog gauges shall be installed including the following; N1 Gas Generator, N2 Power
Turbine, and Measured Gas Temperature (MGT).
6) UNIT SEQUENCING CONTROL
A. The Contractor shall be responsible for communication, retrieving all data, ladder logic codes and
information from the existing GE PLC for the successful installation of the new PLC. The Contractor is
responsible for providing any tool and software required for communicating with the existing GE PLC.
B. The existing PLC shall be removed and replaced with an Allen Bradley or City approved equivalent. The
contractor shall be responsible for preparing the new PLC code based on the existing algorithm. The
pLC for unit sequencing and monitoring of the skid, drive train and safety protection including but not
limited to the following:
. Turbine auxiliaries
. Gearbox and associated auxiliaries
. Generator and associated auxiliaries
. Fire systems to detect fire
. Gas Systems for leaks and monitoring
C. Two new HMI's shall be installed to communicate with all devices. One will be installed on the control
room and the second will replace the existing Nematron on the skid.
D. Replace existing temperature monitoring system of the MGT'S. This is the scanner for the separate
individual thermal couples (9 channels type k).
7) CONTROL CABINET
A. A new control cabinet shall be engineered and designed to replace the existing control cabinet.
The old cabinet and controls shall be disconnected and removed and replaced with a new cabinet with
new controls. The new controls will consist of all controls for Manual and Auto functions. The Manual
and Auto controls will include but may not be limited to:
o Manual and Auto synchronization
. Manual and Auto loading
. pLC and all gauges, switches, SchweiEer SEL-700GT relay, test switches and manual controls.
II.3
. The controls shall be self-ramping up to temperature control.
. The controls shall be capable of black start operation.
. All engines controls SHALL BE SIMULATED and tested with the new control cabinet prior to
installation at the site.
8) REMOTE STATION
A. A remote control station shall be installed in the control room with a new HMI screen room for controls
and monitoring purposes.
B. Nelt to the screen new hard wired pushbutton controls shall be installed for start, stop and emergency
stop controls plus three indicator lights:o Ready to start indication. Alarm indication. Shut down indication
9) OTHER EQUIPMENT AND ITEMS OF WORK
The work shall also include but not limited tq the following items required for a complete installation:
A. All necessary Federal, State, County, and City permits/Licenses.
B. All wiring, conduit, and cable trays behveen individual items of Contractor furnished equipment as
specified in this specification.
C. Equipment nameplates and mimic diagrams.
D. Special Tools
E. All required spare parts
F. Factory testing and test reports,
G. Complete project documentation.
H, Design, construction and as-built drawings.
I. On-site field service engineering.
J. On-site training.
K. All training manuals, construction manuals, maintenance manuals, and legally licensed programming
and driver software for PLC, HMI and other programmable devices proposed.
L. Project management.
M. Field-testing and commissioning.
N. All works and installation as deemed necessary to complete the package.
10) LIMITING DIMENSIONS
The Contractor shall contain equipment within the specified area, providing the necessary space above
and alongside of the equipment to allow for removal and maintenance.
11) COMMISSIONING TESTS, INSPECTIONS AND QUAUTY ASSURANCE
A. The contractor shall provide engineering installation, commissioning tests, inspection, and quality
assurance reports for each piece of equipment. The Contractor shall document all tests, inspections,
quality assurance processes and results for the City's review and approval. The Contractor shall make
any corrections as necessary at no additional cost to the Cify. The Contractor will prepare a
performance test plan for the commissioning and start up guarantee testing which will be subject to
review and approval by the City of Vernon designated representative.
B. The Contractor shall engage services of SchweiEer Engineering Laboratories (SEL) engineering services
to provide all programming and testing for the Schweitzer SEL-700GT relay including relay
setting calculations (if required) and testing all relay elements used as part of the relay scheme (pushing
current, applying voltage, and trip testing to verify element pickup).
C. All actuators shall be stroked, properly checked and calibrated to ensure proper function and
coordination with control system.
tr-4
D. All communication with the new PLC and engine fuel controller PECC-TCSD shall be engineered and
tested for proper operation.
12) ROUTTNE TESTS
Prior to assembly, all individual components shall be tested as described in the following paragraphs.
All tests shall be performed according to the current industry standards which shall be provided by the
Contractor in their bib submittal for review by the City. These test standards shall be included in the
contract documents.
13) CONTROL CABTNETS
A. The general assembly shall be inspected with a visual inspection for corrections, obvious defects, neat
wiring, and proper component identification.
B. All engine controls will be simulated prior to installation at the site.
C. The Contractor shall verify all connections are tight, accessible and in compliance with this specification.
D. The contractor shall perform an equipment list check wlth verification of all components against the
engineering bill of material list and the detailed drawings.
E. The Contractor shall perform a nametag check for proper component labels, terminal block marking
strip labels, control panel nameplates, and relay rack nameplates.
F. The Contractor shall check all devices with tests of the coil voltages and contact configuration on all
relays, and tests of the switches and pressure switches to veriry conformity with the NO and NC
positions as shown on the elementary diagrams.
G. The Contractor shall check the heater resistance.
H. The Contractor shall perform a wiring check with point-to-point checks verifying that all connections
are correct and tight.
I. The electrical continuity of each conductor shall be tested per the elementary diagrams and ensure that
all jumpers are installed.
l. The Contractor shall make a check of all wire markers.
K. The Contractor shall perform a meggertestofall control wires between each terminal pointand cabinet
ground to ensure integrify of wiring and device insulation (omit sensitive electronic devices).
L. The Contractor shall perform functional tests on all control circuits for simulating and verifying the
proper operation of the equipment (including energizing each protection relay and control device,
monitoring the operation of contacts, lights etc.). The Contractor shall check all DC and AC power
circuits prior to energizing any equipment.
M. The Contractor shall check that all equipment grounds are properly grounded.
N. The overall appearance shall be inspected for neatness and checked that it has been vacuumed, cleaned
and touched up where necessary by the Contractor.
O. The Contractor shall prepare the equipment for shipment including an inspection for cleanliness;
checking for proper packaging and protective covering'
P. The Contractor shall verify and test all alarm and SCADA circuits.
Q. The Contractor shall veriry any cutout switches for power on and power off.
R. The Contractor shall test all equipment as indicated under the description of the various manufactures'
materials, instruction manuals, and as further outlined or implied in this Specification.
S. The Contractor shall test all material for proper mechanical operation.
14) RELAYS AND PROTECTION METERS
The Contractor shall provide install and commission the relays and related equipment shown on the
Drawings.
II-5
D.
15) EI{GINEERING REQUIREMENTS
The Contractor shall assign a single Project Manager to manage and coordinate all commercial and
technical aspects of the pOect. The Contractors Project Manager shall submit weekly progress reports,
and maintain the master project schedule. Project schedule needs to be in Microsoft Project format.
The Contractor shall provide drawings, documentation, and instruction manuals submitted in
accordance with the requirements set forth in this specification. The Contractor shall include a
transmittal letter with all submitted drawings, documents, and reports. All drawings shall be submitted
to the City as both hard copy and in AutoCAD updated and as-built before final acceptance.
The Contractor shall use City standard title block. fonts, line types and thickness, layout, etc. on all
drawing, unless the City's Poect Manager gives prior approval to the Contractor.
The following drawings shall be submitted (hard copy) for review and comment by the City within six
(6) weeks of the Contractor issuing a Purchase Order for equipment:
. Panel Layout with parts list
. HMI screen layout
. Interconnection block diagram
. Control flow chart
. Single-line Diagram
. Elementary Schematic Drawings
' I/O list
. Wiring Diagrams
Elementary and wiring diagram drawings shall be drawn according to City standards in AutoCAD.
Schematics shall show contract developments for all relays and control switches. Each device shall be
identified by a unique function number, conforming to ANSI C37.2 and the City's standards. A complete
circuit shall be shown on a drawing in it's entirely for each voltage device.
The City shall review each drawing, and return the drawing to the Contractor marked:
> Noted with Comment,
> comments WITH CHANGES NOTED, or
> MAKE CHANGES AS NOTED.
The Contractor shall revise and resubmit the drawings until the City returns the drawings marked:
. Approved for construction
Permanent nameplates shall be provided to identify each component of the control panel. Nameplates
shall be engraved in black and white lamacoid. Engraved lettering shall be in the English language,
and a minimum of y4" high and U8" thick. Letters shall be white with a black background. Warning
labels shall be provided on each compartment with an external circuit. Warning labels shall be red
background with white letteB.
16) FIELD SERVICE AND TRAINING
The Contractor shall provide field seruice (labor and equipment) to complete wiring. Inspection, testing
and energization as long as needed. The Contractor shall engage services of Schweitzer Engineering
Laboratories (SEL) Engineering Services to provide commissioning support for the SEL-700GTrelay.
The Contractor shall provide two (2) weeks of hands-on training to City field and operation crews, as
well as engineers, during the installation phase and at a later date shall provide at least one (1) week
of classroom and other hands-on training to City field, operations and engineering personnel as a part
of this contract. If the City determines it requires additional training after the three weeks it may be
provided on a separate "Time &Materiaf'Rate basis by the Contractor.
The Contractor should expect several field, operations, and engineering personnel to be present at the
Gonzales Control System Upgrade job site during the entire construction (installation) process
witnessing the work scope.
F.
G.
II-6
17) STATEMENT OF READINESS
Following completion of the field inspections, adjustments and tests, the Contractor's Project Manager
shall submit a signed statement to the City's Project Manager stating that the complete Control
System has been properly installed, adjusted and tested, and is ready for operational testing to
demonstrate guarantee conditions of repeated ten (10) minute starts in a fully automated mode has
been achieved.
18) EXPERIENCE AND WARRANTY
The Contractor and equipment manufacturers shall have at least five (5) years' experience in the
manufacture of similar design, of control systems and other equipment. The Contractor shall also
provide at least three (3) year warranties on all equipment executed from the date that a ceftificate of
successful operation of the control system, in accordance with this Specification, is issued by the City.
The Contractor shall replace, free of all expense to the City, any defective work and equipment during
the warranty period within thirty (30) days, or within such reasonable time approved in writing by the
City.
A. The contractor shall guaranty and be subject to liquidated damages if any turbine fails to reach full load
in less than ten (10) minutes following an initiation of auto start during the three year warranty period
if the cause of such failure is deemed to have been caused SOLELY by any component in the control
system provided under the contract. Any demonstrated and mutually agreed operator error shall
relieve the contractor of the failed start penalty for that particular start.
II-1.03 Specifications - Except as otherwise provided, installation and payment for all the work shall conform to
the ..GREENBOOK" STANDARD SPECIFICAIONS FOR PUBLiC WORKS CONSTRUCTION (2012 Edition).
II-1.04 Length of Contract - All work in this project shall be completed within one hundred (100) working
calendar days for both units starting from the Notice to Proceed, It is expected that the design, construction
and testing oi the control cabinets will be done well in advance of the construction window starting from the
Notice to Proceed date.
II-1.05 Delays and Extensions of Tlme - The provisions of Section 6-6 entitled "Delays and Extensions of Time"
of the Standard Specifications shall apply except as modified and supplemented below.
The second paragraph of subsection 6-6.1 is hereby deleted and the following paragraph shall be inserted in its
place:
No extension of time will be granted for a delay caused by the inability of the Contractor to obtain
materials, equipment and labor, except as authorized by the City Operation Manager. The length
of contract time stipulated includes any time which may be required to obtain materials, equipment
and labor, and the Contractor in submitting a bid shall be deemed to have ascertained the
availability of materials, equipment and labor and considered same in his proposed construction
schedule.
II-1.06 Oualiw of Work - The provisions of Section 4-1.1 entitled "Materials and Workmanship" of the Standard
Specifications (2012) shall apply. In addition, any work deemed unacceptable by the City Operation Manager,
whether a cause is determined or not shall be repaired or replaced by the Contractor at its expense.
II-1.07 Liouidated Damages - In accordance with Section 6-9 of the Standard Specincations (2012), for each
consecutive calendar day required to complete the work in excess of the time specified herein for its completion,
as adjusted in accordance with Section 6-6 of the Standard Specifications (2012), the Contractor shall pay to the
Cify, or have withheld from monies due it, the sum of $1,500.00.
tr-7
II-2.01 Schedulino of Work - The Contractor shall submit its work schedule to the City Operation Manager at the
pre-construction meeting. This schedule must be reviewed and accepted by the City Operation Manager before
the Contractor will be permitted to begin work. The Contractor shall give 48 hours'notice to the City Operation
Manager prior to the start of the work.
II-2.02 Reouirements - General:
1. All construction shall conform to Sections 6-1 and 5-2 of the Standard Specifications and shall proceed in a
smooth, efficient, timely and continuous manner. As such, once construction is started in a work area, the
Contractor will be required to work continuously in that work area until construction has been completed and
the work area is open and accessible to both vehicular and pedestrian traffic in a manner approved by the City
Operation Manager before the next stage of work will be allowed to begin.
II-3.01 Character of Workers - If any subcontractor or person employed by the Contractor shall appear to the
City Operation Manager to be incompetent, intemperate, troublesome, or acts in a disorderly or otheMise
objectionable manner, he shall be immediately discharge from the project on the requisition of the City operation
Manager, and such person shall not be reemployed on the work. If said individual has an ownership interest in
the contracting entity, the City Operation Manager will serve written notice upon the Contractor and the Surefy
providing the faithful performance bond, in accordance with Section 6-4, "Default by Contractor," of the Standard
Specifications, demanding complete and satisfactory compliance with the Contract.
II-4.01 Examination of the Site - The bidders are required to examine the site and judge for themselves the
location, physical conditions, substructures, and surroundings of the proposed work.
II-8
PART III
TECHNICAL SPECIFICATION
III-1.01 General
A. The intent of this specification is to define the technical requirements for the control system upgrade.
This specification covers the design, manufacture, supply, testing, transportation, installation supervislon,
and commissioning of the associated equipment.
III-1.02 Electrical Eouipment
The Contractor shall furnish a separate local control cabinet for the local control of each Unit. They shall be placed
in suitably designed and fabricated cabinets and connected by means of multi-conductor cables. Each cabinet
shall be completely fabricated and wired to the terminal blocks specified herein for control and monitoring.
A. All control cabinets shall be completely wired, tested, and ready for installation. The Contractor shall
provide the necessary cutouts and space to allow sufficient cable access for remote control and protection
functions. Wiring shall conform to all NEC requirements. Wire ampacity and insulation shall meet the
requirements for control circuits. The wiring shall be neatly arranged and secured to the cabinet panels
or suppofted by suitable brackets as required. Splicing of wires is not acceptable. All external wiring
shall terminate on terminal blocks with numbering strips to identiry each terminal. All required jumpers
are to be located opposite the field terminations on the terminal block. Each terminal screw shall carry
no more than two wires. Terminal blocks shall be suitably mounted, not less than 6-inches above the
bottom panel, The terminal strips shall be mounted vertically, unless otherwise specified or shown on
the drawings. Terminal blocks shall be arranged in a series of rows. Cabinet internal wiring and external
wiring shall be segregated from one another by the row of terminal blocks. No devices, or other material,
shall obstruct access to the terminal blocks for connections of terminals or for installation of control cables.
The Contractor shall terminate all wiring with brazed barrel, insulated ring tongue terminals only.
B. Atl protection and PLC/HMI equipment shall be mounted.
C. The cabinet shall have two doors hinged on the left and right side, equipped with a three-point latching
system, operated with a single handle. The operating handle shall have provisions for locking the door
shut. Hinges for doors and swing panels shall not permit sagging due to the weight of the door or panel.
Each cabinet door shall be dust-tight and gasket NEMA 12 construction. The left cabinet door shall have
the Generator Controls, the right cabinet door shall have the engine and sequencing controls. The controls
for the turbine shall contain but are not limited to:
1. Switches AC side, Volt meter Generator, Volt meter Bus, Amp Meter, sync switch, voltage raise lower,
governor raise lower, 86 lockout, breaker control, manual auto switch.
2. One SEL-700GT relay.
3. On the right side of the Turbine Panel; Gas meter, power turbine meter, MGT meter, HMI, start
button, stop button, emergency stop button, auto manual switch.
4. One (1) red (CLOSED) and one (1) green (OPEN) LED indicating light for each circuit breaker.
5. GE, type EB-25 terminal blocks shall be used for all external control wire connections for circuit
breakers and switches. A maximum of two (2) wires per terminal are permitted.
6. One (1) 15 A, 130VDC, two-pole breaker for the protection/isolation of control power.
7. Terminal blocks (GE, type EB-25) and terminations for all wires associated with electrical interlocking
schemes.
III-1
8. Terminal blocks (GE, type EB-25) for alarm circuits and miscellaneous remote control functions.
III-1.03 Scooe
A. The scope of work (work) as defined herein, shall pertain to the design, and construction of the protection,
metering, and controls, per this Specification. Programming of all relays, computers, and programmable
logic controllers (PLC), etc. shall be done by the Contractor.
B. The Contractor shall design the protection, control, metering and communication interface for SCADA.
Automation systems in accordance with the City's existing standards, drawings, facilities, and
documentation. The Contractor shall perform complete work regardless of possible omissions in any City
provided drawings, documentation, standards, material lists, and this Specification. Miscellaneous
material items that are missing shall be furnished by the Contractor, at no additional cost to the City, to
produce completely working protection, metering, and control Automation systems in conformity with the
intent of the Work and this Specification. The City's Project Manager shall have the final authority in
determining the Contractor's responsibility to complete all work in conformance with the drawings and
this Specification. The City's Project Manager shall have the flnal authority to direct the Contractor to
correct any and all work that has been improperly performed, at no additional cost to the City.
The following shall be considered in the design and wiringi
1. The wiring shall be no smaller the No. 14 AWG, stranded copper for control and No. 10 AWG for current
leads except when directed otheMise by the City's Project Manager. All wires shall meet the requirements
of the "Control and Secondary Wiring" subsection of the latest revision of ANSI Standard C37.20. In
addition to the types of wires given in this standard publication, wire insulated with cross-linked
thermosetting polyethylene insulation suitable for 600V operation (ICEA Pub. No. 5-66-524) is approved
by the City. All wires used shall be clearly and properly tagged with wire destination included in the
tagging. The material and procedure are subject to the approval of the City's Project Manager.
2. Miscellaneous accessory equipment not shown on the drawings, documentation, standards, or this
Specification, but required for proper operation of the protection, and metering Automation systems, or
by the intent of the Specification, such as small resistors, fuses, capacitors, terminal blocks, etc. shall be
furnished by the Contractor (at no additional cost to the City) and mounted with the necessary brackets,
wiring, mounting, etc. subject to the approval of the City's Project Manager.
3. Terminal blocks shall be provided for all connections leaving the racks. Terminal blocks shall have screw
terminals, barriers between terminals, high flame-retarding properties, mechanical toughness and high
electrical strength. Each conductor shall be identified at each end with "Brady Quick Labels" or approved
equivalent.
III-1.04 Protection. Metering. and Controls
The Contractor shall purchase equipment and perform the design, installation and commissioning for the
Schweitzer microprocessor-type SEL-700GT relay for each of the Turbines. The protection elements of the SEL-
700GT relay shall include but not limited to the existing solid state protection currently in place.
(1) Over Frequency relay - 81O
(1) Under Frequency relay - 81U
(1) Reverse Power Relay - 32R
(1) Reverse KVAR Relay - 32R
(1) Overvoltage Relay - 59
(1) Under voltage Relay - 27
(1) Ground Overvoltage Relay - 59G
(1) Under Voltage/Phase Sequence Relay - 27147
II]-2
(1) Differential Relay - 87G
(1) Overcurrent Relay - 51/27R
(1) Negative Sequence Relay - 46Q
The installation of sufficient test switches, terminal blocks, and other devices shall be considered in the design
of the protective, metering. and control schemes according to the City's standards, drawings, and documentation,
as well as the City's Project Manager.
III-1.05 Equipment
The Contractor shall provide the following equipment by part number. The Contractor is still responsible to
purchase and install all other equipment and software for a complete turnkey system, as stated in this
Specification. The Contractor shall obtain approval from the City before the purchase of any equipment since
part numbers and/or models could change since the publishing of this Specification.
PROTECTION RELAYS
MODEL ORDER NUMBER
SEL-700GT 0700G02M30x74850300
FUNCNON
Generator Protection Relay
III-1.05 Other Eouipment
The Contractor shall supply all other equipment required for a turnkey project. If any other equipment is identified
as required throughout the course of work, the equipment shall be purchased, installed and commissioned by the
Contractor and not cause any additional cost to the City. The identifying of this equipment by either the City or
the Contractor does not eliminate the requirement that the Contractor is responsible for a turnkey working system.
The omission of any equipment shall not cause any additional cost to the City.
III-1.07 Penalw and Liouidated Damages for a Failed Start Event
The Contractor shall guaranty and be subject to liquidated damages if any turbine fails to reach full load in less
than ten (10) minutes following an initiation of auto start during the three (3) year warranty period if the cause
of such failure is deemed to have been caused SOLELY by the new control system provided under the contract.
Any demonstrated and mutually agreed operator error shall relieve the contractor of the failed start penalty for
that pafticular start. Although it is not possible to calculate and determine the actual financial loss to the City of
Vernon for a'failed start event'due to a control system failure to reach full load in less than ten (10) minutes and
the intention is not to attempt to recover actual losses as assessed by the CaIISO against the City for such event
a penalty of 5olo of the total contract value shall be assessed per failed start event and considered as liquidated
damages. The total damages shall be capped at 200/0 of the total contract price.
III-3
APPENDIX A
Forms to be submitted bv Bidder
BIDDER'S CHECKLIST
TO THE BIDDER:
The following list is provided for the convenience of both you and the City and to help eliminate errors and omissions
which may render your bid unacceptable. Please check all appropriate boxes and submit with your bid.
D IDENTITY CONFIRMATION BP-(a)
! SUBCONTRACTOR LTSTTNG BP-(b)
! AFFIDAVIT OF NON-COLLUSION (SIGNED BY BIDDER) BP-(c)
tr LrvrNG WAGE COMPLTANCE CERTTFICATION BP-(d)
! CERTIFICATE OF EQUAL OPPORTUNITY PRACTICES FORMS LA-1,2,3
Bids are to be signed and submitted in TRIPLICATE. Bidder must submit bids in
AN ORIGINAL AND TWO COPIES.
All bids shall be enclosed in sealed envelopes, distinctly marked "Bid" with the title
of the bid and the bidder's name and address appearing on the outside.
Bids should be addressed to:
City Clerk
City of Vernon
4305 Santa Fe Avenue
Vernon, CA 90058
Mail sufficiently early or deliver in person before the time and day listed in the
Notice Inviting Bids. Bids must be received in the City Clerk's Office before that
time.
APPENDIX..A'"
IDENTITY CONFIRMATION
Contractor's Name
Office Address
If an individual, so state
If a partnership, corporation or firm, so state, giving the names and addresses of
individuals constituting the organization.
If a corporation, give the following information:
Name of President
Name of Secretary
Organized under the laws of the State of
Name and address of local representative
Telephone:
Fax:
(Here attach a certificate in form to confirm 1) the identity of the bidder or officer who signs above, 2) the
fact that he is the officer named, and 3) his authority to bind the bidder).
BP-(a)
APPENDIX "A"
SUBCONTRACTOR LISTING
SUBCONTRACTOR LIfiNG
Contractor
Name(s) Address License No. Description of Work
BP-(b)
AFFIDAVIT OF NON-COLLUSION BY CONTRACTOR
STATE OF CALTFORNTA )
)ss
couNTY oF LOS ANGBLES )
APPENDIX..A"
, being first duly sworn deposes
and says that he/she is
of
(lnsert name ofbidder)
who submits herewith to the City of Vernon a proposal;
That all statements of fact in such proposal are true;
That such proposal was not made in the interest of or on behalf of any undisclosed person, partnership, company,
association, organization or corporation;
That such proposal is genuine and not collusive or sham;
That said bidder has not, directly or indirectly by agreement, communication or conference with anyone attempted
to induce action prejudicial to the interest of the City of Vemon, or of any other bidder or anyone else interested
in the proposed contract; and further
That prior to the public opening and reading ofproposals, said bidder:
a. Did not directly or indirectly, induce or solicit anyone else to submit a false or sham proposal;
b. Did not directly or indirectly, collude, conspire, connive or agree with anyone else that said bidder or
anyone else would submit a false or sham proposal, or that anyone should refrain from bidding or
withdraw his proposal;
c. Did not, in any manner, directly or indirectly seek by agreement, communication or conference with
anyone to raise or fix the proposal price ofsaid bidder or ofanyone else, or to raise or fix any overhead,
profit or cost element of his proposal price, or of that of anyone else;
d. Did not, directly or indirectly, submit his proposal price or any breakdown thereof, or the contents
thereof, or divulge information or data relative thereto, to any corporation, partnership, company,
association, organization, bid depository, or to any member or agent thereof, or to any individual or
group of individuals, except the City of Vemon, or to any person or persons who have a partnership or
other financial interest with said bidder in his business.
I certify under penalty of perjury that the above information is correct.
(llsert "Sole Owner". "Partner", "President, "Secretary", or other proper title)
Title:By:
Date:
BP-(c)
APPENDIX..A"
LIVING WAGE COMPLIANCE CERTIFICATION
This contract is subject to the City of Vernon's Living Wage Ordinance, Vernon Municipal Code Chapter2 Article XVIII.
The Ordinance requires that contractors providing labor or services to the City under contracts in excess of $25,000:
I Pay no less than ten dollars and thirty cents ($10.30) per hour with medical benefits, or eleven dollars and fifty-five
cents ($ I I .55) per hour without medical benefits to all employees who spend any of their time providing labor or
delivering services to the City of Vernon. Additionally, in July lst of each year thereafter the Living Wage rate shall be
adjusted by the change in the Federal Bureau of Labor Statistics Consumer Price Index, for the Los Angeles area, for
the most recently available 12 month period. Accordingly, current City contractors will be required to adjust wage
rates no later than July lst, to remain in compliance.
o Notify employees who spend any of their time providing labor or delivering services to the City of Vernon who rnake
less than twelve dollars ($ 12) per hour of their possible right to the federal Earned Income Tax Credit (EITC) under $
32 of the Internal Revenue Code of 1954,26 U.S.C. $ 32, and making available to such employees forms required to
secure advance EITC payments.
The selected contractor will be required to evidence compliance with the Living Wage Ordinance by submitting payroll
records as requested by the City. Each record shall include the fulI name of each employee performing labor or providing
services under the contract; job classification; rate ofpay and benefit rate.
Provisions of the Living Wage Ordinance may be waived in a bona fide collective bargaining agreement, but only if the
waiver is explicitly set forth in clear and unambiguous terms. If this provision applies, you must provide a copy of the
collective bargaining agreement to the City.
I do hereby certify and declare under penalty of perjury that if awarded the contract for which this bid/proposal is made
will comply with the
(Narne of Company)
requirements of the Vernon Living Wage Ordinance, Vernon Municipal Code Chapter 2 Article XVIII and the rules and
regulations promulgated thereunder. I understand that failure to comply with the provisions of the Vernon Living Wage
Ordinance may result in termination of the contract as well as other penalties as stated in Vernon Municipal Code Chapter 2
Article XVIIL
(Name)(Title)
(Signature)(Date)
Please return this form with your bid/proposal. Questions concerning the Living Wage Ordinance should be
directed to the Department of Finance - Purchasing Division 323.583.881 l.
BP-(d)
APPENDIX..A'
CERTIFICATE OF EQUAL OPPORTUNITY PRACTICES
Purchasing & Payables Division
4305 Santa Fe AvenueVernon, CA 90058
(323) s83-881 I Fax (323) 826-1433
Intemet: www.cityofvernon.ors/departments/finance
Article I. Affidavit of Equal Opportunity Employment &
Non-segregation (Form AA- I )
Article II. Vendor List Questionnaire (Forms AA-2 & 3)
In order to be placed to the City's vendor list and be eligible to receive City business, you must provide the
following information except where indicated as "optional". By submitting this form you are declaring under
penalty of perjury under the laws of the State of California and the laws of the United States that the information
is true and correct. Furthermore, you are certifying that your firm will adhere to equal opportunity employment
practices to assure that applicants and employees are not discriminated against because of their race, religion,
color, national origin, ancestry, disability, sex or age. And, your firm does not and will not maintain or provide
for its employees any segregated facilities at any of its establishments, and that it
Name of Company.
Address
Business Telephone.
Fax number
(optional)
City State
Contact Person E-mail Address
(optional)
Tax ID Number (or Social Security Number)
Remit Address (if different)
Please state clearly and concisely the type(s) ofgoods and services your company provides:
The following section is OPTIONAL and is for statistical reporting purposes only. Ownership (please check all
that apply):
African-American Asian Armenian_ Hispanic_ Native American
Disabled Female
zip
M-1 FORM
APPENDIX "A-
Proiect Workforce Utilization (f,'orm AA-2)
This form is to be i&luded in all bid documents for gojects involving labor or scrvices valued at $25,000 or morc'
in each job classiicahon as well as lhe number of new hires, if any, as a result oftlns contract.
Name of Company:
Job Titles/Classification Estimated number of existing staff to be employed in this
classification if awarded the contract
Estimated number of new hires to be employed in this
classification if awarded the contract
Are any current employees or potential
new hires Vernon residents? Ifso, how
many?
AA.2 FORM
APPENDIX..A"
Current Permanent Workforce Utilization (Form AA-3)
OPTIONAL
Name of Company:Project:
Complaion ofthis form is OPTIONAI. Any infomEtion supplied by v€rdors is for reporting purposes only and will not be factored into the awald of any contract.
IDstructioE : Please indicate the number of employees in each Job Classifrcation beloflging to the following groups.
White
(not of Hispanic
oriein)
African-American
(not of Hispanic
oriein)
Hispanic Asian/Pacific
Islander
Native
American
Armenian Male Female
CLASSIFICATION
Officials/
Managers
Professionals
Technicians
Office/Clerical
Skilled Craft Workers
Operators
(semi-skilled)
Laborers
Service Workers
TOTAL
AA-3 FORM
APPENDIX B
Sample Contract
LABOR AND MATERIALS CONTMCT BETWEEN THE CITY OF VERNON AND
[CONTRACTOR'S NAME]
COVER PAGE
Contractor: [insert name of contractor]
Responsible Principal of Contractor: [insert name, title]
Notice lnformation - Contractor: [insert name of contractor]
[insert street address]
[insert city, state, zip code]
Attention: [insert name, title]
Phone: [insert phone number]
Facsimile: [insert fax number]
Notice lnformation - City: City of Vernon
4305 Santa Fe Avenue
Vernon, CA 90058
Attention: [insert department head]
[insert department head title]
Telephone: (323) 583-8811 ext. [insert]
Facsimile: [insert fax number]
Commencement Date: [insert commencement date]
Termination Date: linsert termination date], unless extended
pursuant to Section 1
Consideration: Total not to exceed $linsert amount] (includes all
applicable sales tax); and more particularly
described in Exhibit B
Records Retention Period Three (3) years, pursuant to Section 8.3
LABOR AND MATERIALS CONTRACT BETWEEN THE CITY OF VERNON AND ICONTRACTOR'S
NAME]
THIS Contract is made between the CITY OF VERNON ("City"), a California charter City and
California municipal corporation, and [Contractor's Name], a [State incorporated in] corporation
("Contractor")
The City and Contractor agree as follows:
'l .0 Contractor shall furnish all necessary and incidental labor, material, equrpment,
transportation and services as described in, and strictly in accordance with, and subject to all terms
and conditions set forth in Specifications for as more fully set forth in
the Scope of Services, attached hereto and incorporated herein as Exhibit "A".
2.0 All work shall be done in a manner satisfactory to the City's Director of Community
Service and Water ("Director"), or the Director's designee, in writing, and shall be of highest quality
with respect to
ln the event Contractor fails to perform satisfactorily the City shall advise Contractor in
writing, and Contractor shall have thirty (30) days to cure such failure to satisfactorily perform. lf
Contractor fails to so cure its performance within said 30 days, the City may, at its option, terminate
this Contract for default without further liability, other than payment to Contractor for work performed
satisfactorily prior to the date of termination.
3.0 Conkactor shall commence work upon the signing of this contract and shall perform
work requested in writing by Director.
4.0 ln consideration of satisfactory and timely Performance of requested work, the City
shall pay Contractor as follows:
ln the first three years of this Contract, a grand total amount not to exceed
Dollars ($000,000).
5.0 Concurrently with the execution of this Contract, Contractor shall furnish bonds of a
surety satisfactory to the City, as provided in the specifications and Notice lnviting Bids. The cost of
the bonds shall be paid by Contractor.
6.0 GENEML TERMS AND CONDITIONS.
6.1 INDEPENDENTCONTMCTOR,
6.1.1 lt is understood that in the performance of the services herein provided
for, Contractor shall be, and is, an independent contractor, and is not an agent or employee of City
and shall furnish such services in its own manner and method except as required by this Contract.
Further, Contractor has and shall retain the right to exercise full control over the employment,
direction, compensation and discharge of all persons employed by Contractor in the performance of
the services hereunder. Contractor shall be solely responsible for, and shall indemnify, defend and
save City harmless from all matters relating to the payment of its employees, including compliance
with social security, withholding and all other wages, salaries, benefits, laxes, exactions, and
regulations of any nature whatsoever.
6.1 .2 Contractor acknowledges that Contractor and any subcontractors,
agents or employees employed by Contractor shall not, under any circumstances, be considered
employees of the City, and that they shall not be entitled to any of the benefits or rights afforded
employees of City, including, but not limited to, sick leave, vacation leave, holiday pay, Public
Employees Retirement System benefits, or health, life, dental, longterm disability or workers'
compensation insurance benefits,
6.2 CONTRACTOR NOT AGENT. Except as the City may authorize in writing,
Contractor and its subcontractors shall have no authority, express or implied, to act on behalf of or
bind the City in any capacity whatsoever as agents or otherwise.
6.3 OWNERSHIP OF WORK. All reports, drawings, plans, specifications, computer
tapes, floppy disks and printouts, studies, memoranda, computation sheets and other documents
prepared by Contractor in furtherance of the work shall be the sole property of City and shall be
delivered to City whenever requested. Contractor shall keep such documents and materials on file
and available for audit by the City for at least three (3) years after completion or earlier termination of
this Contract. Contractor may make duplicate copies of such materials and documents for its own
files or for such other purposes as may be authorized in writing by the City.
6.4 CORRECTION OF WORK. Contractor shall promptly correct any defective,
inaccurate or incomplete tasks, deliverables, goods, services and other work, without additional cost
to the City. The performance or acceptance of services furnished by Contractor shall not relieve the
Contractor from the obligation to correct subsequently discovered defects, inaccuracy or
incompleteness.
6.5 WAIVER. The City's waiver of any term, condition, breach or default of this
Contract shall not be considered to be a waiver of any other term, condition, default or breach, nor of
a subsequent breach of the one waived.
6.6 SUCCESSORS. This Contract shall inure to the benefit of, and shall be binding
upon, the parties hereto and their respective heirs, successors and/or assigns.
6.7 NO ASSIGNMENT. Contractor shall not assign or transfer this Contract or any
rights hereunder without the prior written consent of the City and approval by the City Attorney, which
may be withheld in the City's sole discretion. Any unauthorized assignment or transfer shall be null
and void and shall constitute a material breach by the Contractor of its obligations under this Contract.
No assignment shall release the original parties or otherwise constitute a novation.
6.8 COMPLIANCE WITH LAWS. Contractor shall comply with all Federal, State,
County and City laws, ordinances, rules and regulations, which are, as amended from time to time,
incorporated herein and applicable to the performance hereof.
6.9 ATTORNEY'S FEES. lf any action at law or in equity is brought to enforce or
interpret the terms of this Contract, the prevailing party shall be entitled to reasonable attorney's fees,
costs and necessary disbursements in addition to any other relief to which such party may be entitled.
7.O INTERPRETATION.
7.1 APPLICABLE LAW. This Contract, and the rights and duties of the parties
hereunder (both procedural and substantive), shall be governed by and construed according to the
laws of the State of California.
7.2 ENTIRE AGREEMENT. This Contract, including any Exhibits attached hereto,
constitutes the entire agreement and understanding between the parties regarding its subject matter
and supersedes all prior or contemporaneous negotiations, representations, understandings,
correspondence, documentation and agreements (written or oral).
7.3 WRITTEN AMENDMENT. This Contract may only be changed by written
amendment signed by Contractor and the City Manager or other authorized representative of the City,
subject to any requisite authorization by the City Council. Any oral representations or modifications
concerning this Contract shall be of no force or effect.
7.4 SEVEMBILITY. lf any provision in this Contract is held by any court of
competent jurisdiction to be invalid, illegal, void, or unenforceable, such portion shall be deemed
severed from this Contract, and the remaining provisions shall nevertheless continue in full force and
effect as fully as though such invalid, illegal, or unenforceable portion had never been part of this
Contract.
7 .5 ORDER OF PRECEDENCE. ln case of conflict between the terms of this
Contract and the terms contained in any document attached as an Exhibit or otherwrse incorporated
by reference, the terms of this Contract shall strictly prevail. The terms of the City's Specifications
shall control over the Contractor's bid.
7.6 CHOICE OF FORUM. The parties hereby agree that this Contract is to be
enforced in accordance with the laws of the State of California, is entered into in the City of Vernon
and that all claims or controversies arising out of or related to performance under this Contract shall
be submitted to and resolved in a forum within the County of Los Angeles at a place to be determined
by the rules of the forum.
7.7 DUPLICATE ORIGINALS. There shall be two (2) fully signed copies of this
Contract, each of which shall be deemed an original.
7.8 TIME OF ESSENCE. Time is strictly of the essence of this Contract and each
and every covenant, term and provision hereof.
7.9 AUTHORITY OF CONTMCTOR. The Contractor hereby represents and
warrants to the City that the Contractor has the right, power, legal capacity and authority to enter into
and perform its obligations under this Contract, and its execution of this Contract has been duly
authorized.
7.10 ARBITRATION OF DISPUTES. Any dispute for under $25,000 arising out of or
relating to the negotiation, construction, performance, non-performance, breach or any other aspect of
this Contract, shall be settled by binding arbitration in accordance with the Commercial Rules of the
American Arbitration Association at Los Angeles, California and judgment upon the award rendered
by the Arbitrators may be entered in any court having jurisdiction thereof. The City does not waive its
right to object to the timeliness or sufficiency of any claim filed or required to be filed against the City
and reserves the right to conduct full discovery.
7.11 INDEMNITY.
7.11.1 Contractor agrees to indemnify, hold harmless and defend (even if the
allegations are false, fraudulent or groundless), to the maximum extent
permitted by law, the City, its City Council and each member thereof,
and its officers, employees, commission members and representatives,
from any and all liability, loss, suits, claims, damages, costs, judgments
and expenses (including attorneys fees and costs of litigation) which in
whole or in part result from, or arise out of, or are claimed to result from
or to arise out of:
A. any activity on or use of City's premises or facilities or any
performance under this Contract; or
B. any acts, errors or omissions (including, without limitation,
professional negligence) of Contractor, its employees,
representatives, subcontractors, or agents in connection with the
performance of this Contract.
7.11.2 This agreement to indemnify includes, but is not limited to, personal
injury (including death at any time) and property or other damage
(including, but without limitation, contract or tort or patent, copyright,
trade secret or trademark infringement) sustained by any person or
persons (including, but not limited to, companies, or corporations,
Contractor and its employees or agents, and members of the general
public). The sole negligence or willful misconduct of City, its employees
or agents other than Contractor or Contractor's subcontractors are
excluded from this indemnity agreement.
7.12 RELEASE. Contractor agrees to release and covenants not to sue the City, its
City Council and each member thereof, and its officers, employees, commission members and
representatives for any damage or injury (including death) to itself, its officers, employees, agents and
independent contractors damaged or claiming to be damaged from any performance under this
Contract.
7.13 INSUMNCE. Contractor shall, at its own expense, procure and maintain
policies of insurance of the types and in the amounts set forth below, for the duration of the Contract,
including any extensions thereto. The policies shall state that they afford primary coverage.
7.1 3.'1 Automobile Liability with minimum limits of at least
$100,000/300,000/50,000 if written on a personal automobile liability
form, for using a personal vehicle; or an amount of $500,000 including
owned, hired, and non-owned liability coverage if written on a
Commercial automobile liability form.
7.13.2 Genetal Liability with minimum limits of at least $1,000,000 combined
single limits written on an lnsurance Services Office (lSO)
Comprehensive General Liability "occurrence" form or its equivalent for
coverage on an occurrence basis. Premises/Operations and Personal
lnjury coverage is required. The City of Vernon, its directors,
commissioners, officers, employees, agents and volunteers must be
endorsed on the policy as additional insureds as respects liability arising
out of the Contractor's performance of this Contract.
A. lf Contractor employs other contractors as part of the services
rendered, Contractor's Protective Coverage is required.
Contractor may include all subcontractors as insureds under its
own policy or shall furnish separate insurance for each
subcontractor, meeting the requirements set forth herein.
B. Blanket Contractual Coverage.
C. Products/Completed Operations coverage.
7.13.3 Contractor shall comply with the applicable sections of the California
Labor Code concerning workers' compensation for injuries on the job.
Compliance is accomplished in one of the following manners:
A. Provide copy of permissive self-insurance certificate approved by
the State of California; or
B. Secure and maintain in force a policy of workers' compensation
insurance with statutory limits and Employer's Liability lnsurance
with a minimal limit of $1,000,000 per accident. The policy shall
be endorsed to waive all rights of subrogation against City, its
directors, commissioners, officers, employees, and volunteers for
losses arising from performance of this Contract; or
C. Provide a "waiver" form certifying that no employees subject to
the Labor Code's Workers' Compensation provision will be used
in performance of this Contract.
7 .13.4 Each insurance policy included in this clause shall be endorsed to state
that coverage shall not be cancelled except after thirty (30) days' prior
written notice to City.
7.13.5 lnsurance shall be placed with insurers with a Best's rating of no less
than B:Vlll.
7.1 3.6 Prior to commencement of performance, Contractor shall furnish City
with a certificate of insurance for each policy. Each certificate is to be
signed by a person authorized by that insurer to bind coverage on its
behalf. The certificate(s) must be in a form approved by City. City may
require complete, certified copies of any or all policies at any time.
7.13.7 Failurc to maintain required insurance at all times shall constitute a
default and material breach. ln such event, Contractor shall immediately
notify City and cease all performance under this Contract until further
directed by the City. ln the absence of satisfactory insurance coverage,
City may, at its option: (a) procure insurance with collection rights for
premiums, attorney's fees and costs against Contractor by way of setoff
or recoupment from sums due Contractor, at City's option; (b)
immediately terminate this Contract; or (c) self insure the risk, with all
damages and costs incurred, by judgment, settlement or otherwise,
including attorney's fees and costs, being collectible from Contractor, by
way of set-off or recoupment from any sums due Contractor.
7.14 NOTICES. Any notice or demand to be given by one party to the other shall be
given in writing and by personal delivery or prepaid first-class, registered or certified mail, addressed
as follows. Notice simply to the City of Vernon or any other City department is not adequate notice.
lf to the City:
City of Vernon
4305 Santa Fe Ave.
Vernon, CA 90058
With a Copy to:
lf to the Contractor:
Any such notice shall be deemed to have been given upon delivery, if
personally delivered, or, if mailed, upon receipt or upon expiration of three (3) business days from the
date of posting, whichever is earlier. Either party may change the address at which it desires to
receive notice upon giving written notice of such request to the other party.
7."t5 TERMINATION FOR CONVENIENCE (Without Cause). City may terminate
this Contract in whole or in part at any time, for any cause or without cause, upon fifteen ('15) calendar
days' written notice to Contractor. lf the Contract is thus terminated by City for reasons other than
Contractor's failure to perform its obligations, City shall pay Contractor a prorated amount based on
the services satisfactorily completed and accepted prior to the effective date of termination. Such
payment shall be Contractor's exclusive remedy for termination without cause.
7.16 DEFAULT. ln the event either party materially defaults in its obligations
hereunder, the other party may declare a default and terminate this Contract by written notice to the
defaulting party. The notice shall specify the basis for the default. The Contract shall terminate unless
such default is cured before the effective date of termination stated in such notice, which date shall be
no sooner than ten (10) days after the date of the notice.
Termination for cause shall relieve the terminating party of further liability or
responsibility under this Contract, including the payment of money, except for payment for services
satisfactorily and timely performed prior to the service of the notice of termination, and except for
reimbursement of (1) any payments made by the City for service not subsequently performed in a
timely and satisfactory manner, and (2) costs incurred by the City in obtaining substitute performance.
7.17 ASSIGNMENT OF ANTITRUST CAUSES OF ACTION. Contractor hereby
agrees to assign to the City all rights, title and interest in and to all causes of action it may have under
Section 4 of the Clayton Act (15 U.S.C. Sec 15) or under the Cartwright Act Chapter 2 (Commencing
with Section 16700) or pa/ 2 oI Division 7 of the Business and Professions Code, or any similar or
successor provisions of Federal or State law, arising from purchases of goods, services or materials
pursuant to this Contract or the subcontract. This assignment shall be made and become effectlve at
the time the City tenders final payment to the Contractor, without further acknowledgment by the
parties.
8.0 ADDITIONALASSURANCES
8.1 EQUAL EMPLOYMENT OPPORTUNITY PRACTICES. Contractor certifies and
represents that, during the performance of this contract, the contractor and any other parties with
whom it may subcontract shall adhere to equal opportunity employment practices to assure that
applicants and employees are treated equally and are not discriminated agarnst because of their race,
religion, color, national origin, ancestry, disability, sex, age, medical condition, marital status.
Contractor further certifies that it will not maintain any segregated facilities. Contractor further agrees
to comply with The Equal Employment Opportunity Practices provisions as set fo(h in Exhibit "E".
8.2 VERNON BUSINESS LICENSE. Contractor shall obtain, and pay any and all
costs associated therewith, any Vernon Business License which may be required by the Vernon
Municipal Code.
8.3 MAINTENANCE AND INSPECTION OF RECORDS.
The City, or its authorized auditors or representatives, shall have access to and
the right to audit and reproduce any of the Contractois records to the extent the City deems
necessary to insure it is receiving all money to which it is entitled under the Contract and/or is paying
only the amounts to which Contractor is properly entitled under the Contract or for other purposes
relating to the Contract.
The Contractor shall maintain and preserve all such records for a period of at
least 3 years after termination of the Contract.
The Contractor shall maintain all such records in the City of Vernon. lf not, the
Contractor shall, upon request, promptly deliver the records to the City of Vernon or rermburse the
City for all reasonable and extra costs incurred in conducting the audit at a location other than the City
of Vernon, including, but not limited to, such additional (out of the City) expenses for personnel,
salaries, private auditors, travel, lodging, meals and overhead.
8.4 CONFLICT. Contractor hereby represents, warrants and certifies that no
member, officer or employee of the Contractor is a director, officer or employee of the City of Vernon,
or a member of any of its boards, commissions or committees, except to the extent permitted by law.
8.5 ENFORCEMENT OF WAGE AND HOUR LAWS. Eight hours labor constitutes
a legal day's work. The Contractor, or subcontractor, if any, shall forfeit twenty-five dollars ($25) for
each worker employed in the execution of this Agreement by the respective Contractor or
subcontractor for each calendar day during which the worker is required or permitted to work more
than 8 hours in any one calendar day and 40 hours in any one calendar week in violation of the
provisions of Sections 1810 through 1815 of the California Labor Code as a penalty paid to the City;
provided, however, work performed by employees of contractors in excess of 8 hours per day, and 40
hours during any one week, shall be permifted upon compensation for all hours worked in excess of 8
hours per day at not less than 1/z times the basic rate of pay.
8.6 LIVING WAGES. Contractor, or Subcontractor, if any, working on City service
contracts of any amount, as to all employees spending time on City contracts shall observe the City's
Living Wage Ordinance and all requirements thereof at all times on City contracts. The Current Living
Wage Standards are set forth in Exhibit "D". Upon request, certified payroll shall be provided to the
City.
[Signatures Begin on Next Page].
lN WITNESS WHEREOF, the Parties have signed this Agreement as of the date stated
in the introductory clause.
City of Vernon, a California charter City [CONTMCTOR'S NAME, a [State
and California municipal corporation incorporated inl corporation
W. Michael McCormick, Mayor Name:
ATTEST:
Title:
By:
Name:
Ana Barcia, Deputy City Clerk Ti,e:
APPROVED AS TO FORM:
Hema Patel, City Attorney
By:
EXHIBIT A
SCOPE OF SERVICES
EXHIBIT B
PROPOSAL
EXHIBIT C
SCHEDULE OF WORK
EXHIBIT D
LIVING WAGE PROVISIONS
Ulnjgutr-tlv!!.slrys :
A requirement that Employers pay qualifying employees a wage of no less than $10.30 per hour with
health benefits, or $11.55 per hour without health benefits.
Paid and Unpaid Davs Off:
Employers provide qualifying employees at least twelve compensated days off per year for sick leave,
vacation, or personal necessity, and an additional ten days a year of uncompensated time for sick
leave.
No Retaliation:
A prohibition on employer retaliation against employees complaining to the City with regard to the
employer's compliance with the living wage ordinance. Employees may bring an action in Superior
Court against an employer for back pay, treble damages for willful violations, and attorney's fees, or to
compel City officials to terminate the service contract of violating employers.
c.
D.
EXHIBIT E
EQUAL EMPLOYMENT OPPORTUNITY
PMCTICES PROVISIONS
Contractor certifies and represents that, during the performance of this Agreement, the contractor
and each subcontractor shall adhere to equal opportunity employment practices to assure that
applicants and employees are treated equally and are not discriminated against because of their
race, religious creed, color, national origin, ancestry, handicap, sex, or age. Contractor further
certifies that it will not maintain any segregated facilities.
Contractor agrees that it shall, in all solicitations or advertisements for applicants for employment
placed by or on behalf of Contractor, state that it is an "Equal Opportunity Employer" or that all
qualified applicants will receive consideration for employment without regard to their race,
religious creed, color, national origin, ancestry, handicap, sex or age.
Contractor agrees that it shall, if requested to do so by the City, certify that it has not, in the
performance of thrs Agreement, discriminated against applicants or employees because of their
membership in a protected class.
Contractor agrees to provide the City with access to, and, if requested to do so by City, through
its awarding authority, provide copies of all of its records pe(aining or relating to its employment
practices, except to the extent such records or portions of such records are confidential or
privileged under state or federal law.
Nothing contained in this Agreement shall be construed in any manner as to require or permit any
act which is prohibited by law.
Ceftificate of Insurance
CONTRACT/ PURCHASE ORDER/ PERMIT/
INSURANCE REQUIREM ENTS
Insurance policies for persons having a contract, purchase order, or permit other than for
equipment purchase without installation, with the City of Vernon shall comply with the
following City requirements:
1. The ACCORD Ceftificate of Liability Insurance form is an acceptable format for
submitting insurance information. If you do not have your insurance information in
this format please, contact the department below.
2. The City of Vernon shall be given 30 days written notice of cancellation or material
change. The certiflcate submitted will not be approved if it contains "best effort"
modifiers or if it relieves the insurer from responsibility for failure to give notice.
(See examples on the next page).
3. City of Vernon, its councilmembers, commissioners, offlcers, employees and
agents, shall be named as an additional insured on general commercial policies.
And the City of Vernon shall be the certificate holder.
4. Minimum general liability insurance limits shall be as follows: Combined single limit
of $1,000,000 per occurrence.
Note: The Specification or Request for Quote may provide for lesser or greater
requirements depending on the potential risk involved.
5. Minimum automobile liability insurance limits shall be $100,000 combined single
limits unless vehicles are not involved.
6. Workers' compensation insurance in statutory amounts. A separate Certificate of
Insurance may be submitted. City need not be endorsed as an additional insured.
7. Insurance certificate(s) shall be provided verifying required insurance.
Specific inquiries should be addressed to:
City of Vernon
Paul Kiehl, Risk Manager
Risk Management Department
4305 Santa Fe Avenue Vernon, CA 90058
(323)s83-88 1 1 FAX (323) 862- 1438
CANCELLATION NOTICE DEFECTS
Insurance certificates submitted to the City of Vernon should not contain any of the following
defects in the cancellation notices:
1) "Best efforts" modifiers. "Best effofts" modiflers such as:
a) Company will endeavor to mail.
b) It is the intention of the company to mail.
c) Company intends to notify.
d) Company will make every effort to mail.
The Clty requires a positive commitment to notify rather than a best efforts non-binding
pr0mrse.
2) Exculpatory clauses. Exculpatory clauses which relieve the insurer from liability for
failure to notiry such as:
a) but undertakes no responsibility by reason of any failure to do so.
b) but failure to mail such notice shall lmpose no obligation or liability of any kind
upon the company.
c) company assumes no responsibility for any mistake, or for failure to give such
notice.
3) Unmodified Accord form. The Accord form is not acceptable unless the cancellation
notice ls modified as follows:
Should any of the above described policies be cancelled before the expiration date
thereof, the issuing company will endeavor to mail days written notice to
the certiflcate holder named to the left, but failure to mail such notice shall impose no
obligation or liability of any kind upon the company, its agents or representatives.
REQUEST FOR WAVIER
OF WORKERS COMPENSATION INSURANCE
If insured has no employees or employees who are subject to the labor code, please sign the
following affidavit:
I cetify that in the performance of the work under the permit license
agreement, purchase order, or contract wath the City of Vernon which is the
subject matter of this certification, I shall not, in any manner, employ any
penson or contract with any penion so that any worker on said work would
become subject to the workerc' compensation laws of the State of
California.
Name Date
Vendor/Permittee
City of Vernon INSURANGE
Name of Co:
Project Title:
1. PLEASE PROVIDE THE BELOW LISTED DOCUMENTS TO YOUR PROJECT MANAGER.
2. PLEASE SUBMIT THESE IN ONE (1) PACKAGE WHEN YOU HAVE ALL DOCUMENTS IN
HAND. ALONG WTH THIS CHECK LIST. BECAUSE THEY WILL BE FORWARDED OVER AS
A GROUP TO OUR RISK MANAGER FOR APPROVAL:
lnclude on one or two Acord forms with the coverage limits, policy numbers, and dates for:
A.ElGeneral Lrablrtyt Combined Single Limit of $1,000,000 per occurrence.lJ Additional lnsured Endorsement form(s) Naming as Additional lnsured ("City of
Vernon, its Council Members, Commissioners, officers, employees and agents.")
Please provide either this: E CG 20 10 11 85;
or both of these forms E CG 20 1O )fi )fi (for ongorng operations) AND
E CO ZO 37 XX XX (fot completed operations).
Q Endorsement Waiver of the Right of Subrogation for Generat Liability against the
City of Vernon.
E Coverage XCU is required if applicable
e.E futo Liability: $1OO,OOO combined single limits unless vehicles are not invotved.
C.E Worker's Compin statutory amounts. A separate certificate may be submitted. The City
need not be named as additional insured.
E Endorsement Waiver of the Right of Subrogation for Worker's Comp against the
City of Vernon.
Note: The Specification or Request for lnsurance may be amended by the City, to require less or
greater requirements depending on the potential risk involved.
RECEIVED
FEB 2 q 20t5
RHGEIVEM
DATE:
TO:
PREPARED BY:
APPROVED BY:
RE:
March 3,2015
Honorable Mayor and City Council
Rafael Contreras, Project Engineer Pc'
Samuel Kevin Wilson ector of Public Works, Water and Development
Services
Approval of a Program Supplement No. M002 Rev. 2 to Administering
Agency-State Agreement with Caltrans for Federal-Aid Project No. 07-5139,
the Atlantic Blvd. Bridge Rehabilitation and Widening Project
Recommendation
It is recommended that the City Council:
1. Find that the work associated with the proposed agreement in this staff report is
within the Initial StudyAvlitigated Negative Declaration prepared for this project
pursuant to the provisions under the California Environmental Quality Act (CEQA)
in accordance with Section 15063.
2. Approve the Program Supplement No. M002 Rev. 2 to Administering Agency-State
Agreement (the "Agreement") for Federal-Aid Project No. 07-5139, the Atlantic
Blvd. Bridge Rehabilitation and Widening Project (the "Project"), Federal Project
No. DBPL02-5139(010),with Caltrans, in substantially the same form as submitted
with this staff report, to provide $1,163,018.61 in federal funds for the engineering
design, right way acquisition support and coordination services as described below,
and authori ze the Mayor and City Clerk to execute the agreement on behalf of the
City.
Background
The City of Vemon has received a grant of federal funds for the widening of Atlantic Blvd. Bridge. These
included Highway Bridge Program GBP) and Congressional appropriations for 807o of the project design
cost and 88.53% of the right of way acquisition and support cost. Federal funds require the City to provide
CITY ADMINISTR
STAFF REPORT
CIT RKS, WATERAND DEVELOPMENT SERVI
a local match to fund the remaining portion of the project cost. The City has allocated Metro Measure R
funds to cover the majority of the City's local match.
As required by Caltrans, any city or county, which are receiving federal and/or state funds are required to
execute a Master Administering Agency-State Agreement for Federal-Aid Projects. A Master Ageement
is an agreement between the city and the state defining the general terms and conditions which must be met
to receive federal-aid or state funds. To supplement the Master Ageement a Program Supplement will be
executed for each project and covers project specific rules and regulations, which are called special
covenants.
On March 5,2003,the City Council of the City of Vemon adopted Resolution No. 8167 approving and
authorizing the execution of Program Supplement No. M002 to the Agreement providing for special
covenants allowing initial funding for the Project.
On July 212008,the City Council approved the Program Supplement No. M002 Rev. 1 to the
Agreement providing for special covenants allowing additional funding for future phases of the
Project.
Discussion
As the project developed into the draft95o/o design level, some project elements require modifications
escalating the project cost and requiring additional partial right of way acquisitions. City staffhas secured
additional HBP federal funding for the Project.
On September 18,2014, the City received State "Authorization to Proceed," authorizing the additional
funds and allowing the City to proceed with the engineering and right of way acquisitions phases of the
Project. As required by Caltrans, in order for the City to remain in compliance with the Agreement and
eligible for reimbursement of federal funds, the City must execute the Program Supplement No. M002
Rev. 2 for the additional authorized funds. The federal funds require a matching contribution of
$150,681.39. The approved federal funds and matching share are showing below:
Design Engineering
Reimbursement
Ratio 88.53%
Right of Way Acquisition
Support Reimbursement
Ratio 88.53%
Total
Federal Funds $88,530.00 $1,074,488.61 $1,163,018.61
City's Matchine Share $11,470.00 $139,211.39 $150,681.39
Total $100,000.00 $1,213,700.00 $l,313,700.00
Fiscal Impact
The City's matching share has been included in the approved department budget.
Additional Attachments :
Caltrans Master Agreement
Program Supplement No. M002 Rev. I
PROGRAM SUPPLEMENT NO. M002 Rev.2
to
ADMINISTERING AGENCY.STATE AGREEMENT
FOR FEDERAL-AID PROJEGTS NO 07-5139
Adv Project lD
0700001 1 97
Date:
Location:
Project Number:
E.A. Number:
Locode:
November 21,2014
O7-LA-O.VER
DBPL02-5139(010)
07-932107
51 39
This Program Supplement hereby adopts and incorporates the Administering Agency-State Agreement for FederalAid
which was entered into between the Administering Agency and the State on 09/28198 and is subject to all the terms and
conditions thereof. This Program Supplement is executed in accordance with Article I of the aforementioned Master
Agreement under authority of Resolution No.approved by the Administering Agency on
(See copy attached).
The Administering Agency further stipulates that as a condition to the payment by the State of any funds derived from
sources noted below obligated to this PROJECT, the Administering Agency accepts and will comply with the special
covenants or remarks set forth on the following pages.
PROJECT LOCATION:
Atlantic Blvd over LA River
TYPE OF WORK: Bridge Rehabititation & Widening LENGTH: 0.0(MtLES)
OTHERHYlO
M00't
Q060
L1 C0
H060
LYlO
$136,876.00
$1,163,019.00
$282,270.00
$177,060.00
$376,167.00
$583,045.00
LOCAL
$518,21 1.0
CITY OF VERNON
By
Title
Date
Attest
STATE OF GALIFORNIA
Department of Tra ns portation
By
Chief, Office of Project lmplementation
Division of Local Assistance
Date
Accoununs orrc* ftalnflutYYC-ox" il 2l lV $2,718,437.00
I hereby certify upon my personal knowledge that budgeted funds are available for this encumbrance:
Program Supplement 07-5139-M002-R2- ISTEA Page 1 of4
STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION
PROGRAM SUPPLMENT AND CERTIFICATION FORM
PSCF (REV 01/2010)
Clains Audits
3301 "C" Street, Rm 404
Sacramento, CA 95816
Department of Transportation
REQUISITION NUMBER / CONTRACT NUMBER
cT-2660- 075139002M1
Page _ of _
T NUMBER:
0700001 1 97
Encumbrance Document
CITY OF VERNON
LocalAssistance
CONTRACT AMOUNT:
CHAPTER
ADANOtirlorindividualswithsensorydisabilities,thisdocumentisavailableinalternateformats Forinformalion,call (9i5) 654-64.toofTDD(9i6)-3SBoorwrite
Records and Forms Management, 1 120 N. Slreet, MS-89, Sacramento, CA 95814.
07-LA-0-VER
D8PL02.5139(010)
1112112014
SPECIAL COVENANTS OR REMARKS
1. ThC ADMINISTERING AGENCY W|II rCiMbUrSE thE STATE fOr thE ADMINISTERING
AGENCY share of costs for work requested to be performed by the STATE.
2. The ADMINISTERING AGENCY will advertise, award and administer this project in
accordance with the current published Local Assistance Procedures Manual.
3, All project repair, replacement and maintenance involving the physical condition and the
operation of project improvements referred to in Article lll MAINTENANCE, of the
aforementioned Master Agreement will be the responsibility of the ADMINISTERING
AGENCY and shall be performed at regular intervals and as required for efficient
operation of the completed project improvements.
4. The ADMINISTERING AGENCY is required to have an audit in accordance with the
Single Audit Act and OMB A-133 if it receives a total of $500,000 or more in federal funds
in a single fiscal year. The federal funds received under this project are a part of the
Catalogue of Federal Domestic Assistance (CFDA) 20.205, Highway Planning &
Research. OMB A-133 superceded OMB A-128 in 1996. A reference to OMB A-128 in
a Master Agreement (if any) is superceded by this covenant to conform to OMB A-133.
5. The ADMINISTERING AGENCY agrees that payment of Federal funds wlll be limited to
the amounts approved by the Federal Highway Administration (FHWA) in the Federal-Aid
Project Authorization/Agreement or AmendmenVModification (E-76) and accepts any
resultant increases in ADMINISTERING AGENCY funds as shown on the Finance Letter,
any modification thereof as approved by the Division of Local Assistance, Office of Project
lmplementation.
6. As a condition for receiving federal-aid highway funds for the PROJECT, the
Administering Agency certifies that NO members of the elected board, council, or other
key decision makers are on the Federal Government Exclusion List. Exclusions can be
found at www.sam.gov.
7. STATE and ADMINISTERING AGENCY agree that any additional funds which might be
made available for new phase(s) of work by future Federal obligations may be
encumbered on this PROJECT by use of a STATE approved "Authorization to Proceed"
and Finance Letter. ADMINISTERING AGENCY agrees that Federal funds available for
reimbursement will be limited to the amounts obligated by the Federal Highway
Administration.
ADMINISTERING AGENCY agrees that
specific phase(s) with an "Authorization
phase(s) of this project prior to receiving
for that phase(s) unless no further State
phase(s).
it will only proceed with work authorized for
to Proceed" and will not proceed with future
an "Authorization to Proceed" from the STATE
or Federal funds are needed for those future
9. Any state and Federal funds that may have been encumbered for this project are
o
Program Supplement 07-5139-M002-R2- ISTEA Page 2 of 4
07-LA-0-VER
DBPL02-5139(010)
11t21t2014
SPECIAL COVENANTS OR REMARKS
available for disbursement for limited periods of time. For each fund encumbrance the
limited period is from the start of the fiscal year that the specific fund was appropriated
within the State Budget Act to the applicable fund Reversion Date shown on the State
approved project finance letter. Per Government Code Section 16304, all project funds
not liquidated within these periods will revert unless an executed Cooperative Work
Agreement extending these dates is requested by the ADMINISTERING AGENCY and
approved by the California Department of Finance.
ADMINISTERING AGENCY should ensure that invoices are submitted to the District
Local Assistance Engineer at least 75 days prior to the applicable fund Reversion Date to
avoid the lapse of applicable funds. Pursuant to a directive from the State Controller's
Office and the Department of Finance; in order for payment to be made, the last date the
District Local Assistance Engineer can forward an invoice for payment to the
Department's Local Programs Accounting Office for reimbursable work for funds that are
going to revert at the end of a particular fiscal year is May 15th of the particular fiscal
year. Notwithstanding the unliquidated sums of project specific State and Federal funding
remaining and available to fund project work, any invoice for reimbursement involving
applicable funds that is not received by the Department's Local Programs Accounting
Office at least 45 days prior to the applicable fixed fund Reversion Date will not be paid.
These unexpended funds will be irrevocably reverted by the Department's Division of
Accounting on the applicable fund Reversion Date.
10. 'ADMINISTERING AGENCY certifies that neither the ADMINISTERING AGENCY nor its
principals are suspended or debarred at the time of the execution of this agreement.
ADMINISTERING AGENCY agrees that it will notify the STATE immediately, in the event
a suspension or a debarment happened after the execution of this agreement."
11. The Administering Agency shall not discriminate on the basis of race, religion, age,
disability, color, national origin, or sex in the award and performance of any Federal-
assisted contract or in the administration of its DBE Program lmplementation Agreement.
The Administering Agency shall take all necessary and reasonable steps under 49 CFR
Part 26 to ensure nondiscrimination in the award and administration of Federal-assisted
contracts. The Administering Agency's DBE lmplementation Agreement is incorporated
by reference in this Agreement. lmplementation of the DBE lmplementation Agreement,
including but not limited to timely reporting of DBE commitments and utilization, is a legal
obligation and failure to carry out its terms shall be treated as a violation of this
Agreement. Upon notification to the Administering Agency of its failure to carry out its
DBE lmplementation Agreement, the State may impose sanctions as provided for under
49 CFR Part 26 and may, in appropriate cases, refer the matter for enforcement under 18
U.S.C. 1001 and/or the Program Fraud Civil Remedies Act of 1986 (31 U.S,C. 3801 et
seq.).
12. ADMINISTERING AGENCY agrees, as a minimum, to submit invoices at least once every
six months commencing afier the funds are encumbered for each phase by the execution
of this Project Program Supplement Agreement, or by STATE's approval of an applicable
Finance Letter. STATE reserves the right to suspend future authorizations/obligations for
Program Supplement 07-5139-M002-R2- ISTEA Page 3 of 4
07-LA-o-VER
DBPL02-5139(010)
1',|121t2014
SPECIAL COVENANTS OR REMARKS
Federal aid projects, or encumberances for State funded projects, as well as to suspend
invoice payments for any on-going or future project by ADMINISTERING AGENCY if
PROJECT costs have not been invoiced by ADMINISTERING AGENCY for a six-month
period.
lf no costs have been invoiced for a six-month period, ADMINISTERING AGENCY
agrees to submit for each phase a written explanation of the absence of PROJECT
activity along with target billing date and target billing amount,
ADMINISTERING AGENCY agrees to submit the final report documents that collectively
constitute a "Report of Expenditures" within one hundred eighty (180) days of PROJECT
completion. Failure of ADMINISTERING AGENCY to submit a "Final Report of
Expenditures" within 180 days of PROJECT completion will result in STATE imposing
sanctions upon ADMINISTERING AGENCY in accordance with the current Local
Assistance Procedures Manual.
13. Award information shall be submitted by the ADMINISTERING AGENCY to the District
Local Assistance Engineer within 60 days of project contract award and prior to the
submittal of the ADMINISTERING AGENCY'S first invoice for the construction contract.
Failure to do so will cause a delay in the State processing invoices for the construction
phase. Please refer to Section 15.7 "Award Package" of the Local Assistance
Procedures Manual.
Program Supplement 07-51 39-M002-R2- ISTEA Page 4 of 4
,MASIER AGREEMENT
ADMINISTERING AGENCY.STATE AGREEMENT FOR
FEDEML.AID PROJECTS
07 City of Vernon
District AdministeringAgency
Agreement No. 07-5139R
This AGREEMENT, is entered into effective tnis 9lh aay ot Noveubef, 2009, by and
between the City of Vernon, hereinafter referred to as "ADMINISTERING AGENCY," and the
State of California, acting by and through its Department of Transportation (Caltrans), hereinafter
referred to as "STATE, and together referred to as "PARTIES" or individually as a "PARTY."
RECITALS:
'l . WHEREAS, the Congress of the United States has enacted the lntermodal Surface
Transportation Efflciency Act (ISTEA) of 1991 and subsequent Transportation Authorization Bills
to fund kansportation programs. These transportation programs include, but are not limited to, the
Surface Transportation Program (STP), the Congestion Mitigation and Air Quality lmprovement
Program (CMAO), the Transportation Enhancement Program (TE), Highway Safety lmprovement
Program (HSIP) and the Highway Bridge Program (HBP) (collectively the 'PROGRAMS"); and
2. WHEREAS, the Legislature of the State of California has enacted legislation by which certain
federal-aid funds may be made available for use on local transportation related projects of public
entities qualified to act as recipients of these federal-aid funds in accordance with the intent of
federal law; and
3. WHEREAS, before federal-funds will be made available for a specific program project,
ADMINISTERING AGENCY and STATE are required to enter into an agreement to establish
terms and conditions applicable to the ADMINISTERING AGENCY when receiving federal funds
for a designated PROJECT facility and to the subsequent operation and maintenance of that
completed facility.
NOW, THEREFORE, the PARTIES agree as follows:
Page 1 of 26
ARTICLE'I - PROJECT ADMINISTRATION
1. This AGREEMENT shall have no force or effect with respect to any program project unless and
until a project-specific Program Supplement to this AGREEMENT for federal-aid projects,
hereinafter referred to as "PROGRAM SUPPLEMENT", has been fully executed by both STATE
and ADMINISTERING AGENCY.
2. The term'PROJECT", as used herein, means that authorized transportation related project and
related activities financed in part with federal-aid funds as more fully-described in an
"Authorization/ Agreement Summary" or "AmendmenUModification Summary', herein refered to
as "E-76" or "E-76 (AMOD)' document authorized by STATE or the Federal Highway
Administration (FHWA).
3. The E-76IE-76(AMOD) shall designate the party responsible for implementing PROJECT, type
of work and location of PROJECT.
4. The PROGMM SUPPLEMENT sets out special covenants as a condition for the
ADMINISTERING AGENCY to receive federal-aid funds fromithrough STATE for designated
PROJECT. The PROGRAM SUPPLEMENT shall also show these Federal Funds that have been
initially encumbered for PROJECT along with the matching funds to be provided by
ADMINISTERING AGENCY and/or others. Execution of PROGMM SUPPLEMENT by the
PARTIES shall cause ADMINISTERING AGENCY to adopt all of the terms of this AGREEMENT
as though fully set forth therein in the PROGMM SUPPLEMENT. Unless otherwise expressly
delegated in a resolution by the governing body of ADMINISTERING AGENCY, and with written
concurrence by STATE, the PROGMM SUPPLEMENT shall be approved and managed by the
governing body of ADMINISTERING AGENCY.
5. ADMINISTERING AGENCY agrees to execute and return each project-specific PROGRAM
SUPPLEMENT within ninety (90) days of receipt. The PARTIES agree that STATE may suspend
future authorizations/obligations and invoice payments for any on-going or future federal-aid
project performed by ADMINISTERING AGENCY if any projeclspecific PROGRAM
SUPPLEMENT is not returned within that ninety (90) day period unless otherwise agreed by
STATE in writing.
6. ADMINISTERING AGENCY further agrees, as a condition to the release and payment of
Federal Funds encumbered for the PROJECT described in each PROGRAM SUPPLEMENT, to
comply with the terms and conditions of this AGREEMENT and all of the agreed-upon Special
Covenants or Remarks incorporated within the PROGRAM SUPPLEMENT, and
Cooperative/Contribution Agreement where appropriate, defining and identifying the nature of the
specific PROJECT.
7. Federal, State and malching funds will not participate in PROJECT work performed in advance
of the approval of the E-76 or E-76 (AMOD), unless otherwise stated in the executed project-
specific PROGMM SUPPLEMENT. ADMINISTERING AGENCY agrees that it will only proceed
with the work authorized for that specific phase(s) on the projeclspecific E-76 or E-76 (AMOD).
ADMINISTERING AGENCY further agrees to not proceed with future phases of PROJECT prior to
receiving an E-76 (AMOD) from STATE for that phase(s) unless no Further Federal funds are
needed or for those future phase(s).
Page2ol 26
8. That PROJECT or portions thereof, must be included in a federally approved Federal Statewide
Transportation lmprovement Prograrn (FSTIP) prior to ADMINISTERING AGENCY submitting the
"Request for Authorization".
9. ADMINISTERING AGENCY shall conform to all State statutes, regulations and procedures
(including those set forth in the Local Assistance Procedures Manual and the Local Assistance
Program Guidelines, hereafter collectively referred to as "LOCAL ASSISTANCE PROCEDURES')
relating to the federal-aid program, all Title 23 federal requirements, and all applicable federal
laws, regulations, and policy and procedural or instructional memoranda, unless otherwise
specifically waived as designated in the executed project-specific PROGRAM SUPPLEMENT.
10. lf PROJECT is not on STATE-owned right of way, PROJECT shall be constructed in
accordance with LOCAL ASSISTANCE PROCEDURES that describes minimum statewide design
standards for local agency streets and roads. LOCAL ASSISTANCE PROCEDURES for projects
off the National Highway System (NHS) allow STATE to accept either the STATE's minimum
statewide design standards or the approved geometric design standards of ADMINISTERING
AGENCY. Additionally, for projects off the NHS, STATE will accept ADMINISTERING AGENCY-
approved standard specifications, standard plans, materials sampling and testing quality
assurance programs that meet the condltions described in the then current LOCAL ASSISTANCE
PROCEDURES.
11. lf PROJECT involves work within or partially within STATE-owned right-of-way, that
PROJECT shall also be subject to compliance with the policies, procedures and standards of the
STATE Project Development Procedures Manual and Highway Design Manual and where
appropriate, an executed cooperative agreement between STATE and ADMINISTERING
AGENCY that outlines the PROJECT responsibilities and respective obligations of the PARTIES.
ADMINISTERING AGENCY and its' contractors shall each obtain an encroachment permit
through STATE prior to commencing any work within STATE rights of way or work which affects
STATE facilities.
12. When PROJECT is not on the State Highway System but includes work to be performed by a
railroad, the contract for such work shall be prepared by ADMINISTERING AGENCY or by
STATE, as the PARTIES may hereafter agree. ln either event, ADMINISTERING AGENCY shall
enter into an agreement with the railroad providing for future maintenance of protective devices or
other facilities installed under the contract.
13. lf PROJECT is using STATE funds, the Department of General Services, Division of the State
Architect, or its designee, shall review the contract PS&E for the construction of buildings,
structures, sidewalks, curbs and related facilities for accessibility and usability. ADMINISTERING
AGENCY shall not award a PROJECT construction contract for these types of improvements until
the State Architect has issued written approval stating that the PROJECT plans and specifications
comply with the provisions of sections 4450 and 4454 of the California Government Code, if
applicable. Further requiremenls and guidance are provided in Title 24 of the Califomia Code of
Regulations.
14. ADMINISTERING AGENCY will advertise, award and administer PROJECT in accordance
with the current LOCAL ASSISTANCE PROCEDURES unless othenirrise stated in the executed
project-specific PROGRAM SUPPLEMENT.
Page 3 of 26
15. ADMINISTERING AGENCY shall provide or arrange for adequate supervision and inspectionof each PROJECT. While consultants may perform supervision and inspection work for
PROJECT with a fully qualified and licensed engineer, ADMINISTERING AGENCY shall provide a
full-time employee to be in responsible charge of each PROJECT.
16. ADMINISTERING AGENCY shall submit PROJECT-specific contract award documents to
STATE's District Local Assistance Engineer within sixty (60) days after contract award. A copy of
the award documents shall also be included with the submittal of the first invoice for a construction
contract by ADMINISTERING AGENCY to: Department of Transportation, Division of Accounting
Local Programs Accounting Branch, MS #33, PO Box 942874, Sacramento, California g4274-
0001.
17. ADMINISTERING AGENCY shall submit the final report documents that collectively constitute
a "Report of Expenditures" within one hundred eighty (180) days of PROJECT completion. Failure
by ADMINISTERING AGENCY to submit a "Report of Expenditures" within one hundred
eighty(180) days of project completion will result in STATE imposing sanctions upon
ADMINISTERING AGENCY in accordance with the current LOCAL ASSISTANCE
PROCEDURES.
18. ADMINISTERING AGENCY shall comply with: (i) section 504 of the Rehabilitation Act of 1973
which prohibits discrimination on the basis of disability in federally assisted programs; (ii) the
Americans with Disabilities Act (ADA) of 1990 which prohibits discrimination on the basis of
disability inespective of funding; and (iii) all applicable regulations and guidelines issued pursuant
to both the Rehabilitation Act and the ADA.
19. The Congress of the United States, the Legislature of the State of California and the Governorof the State of California, each within their respective jurisdictions, have prescribed certain
nondiscrimination requirements with respect to contract and other work financed with public funds.
ADMINISTERING AGENCY agrees to comply with the requirements of the FAIR EMPLOYMENT
PMCTICES ADDENDUM (Exhibit A attached hereto) and the NONDISCR|MINAT|ON
ASSUMNCES (Exhibit B attached hereto). ADMINISTERING AGENCY further agrees that any
agreement entered into by ADMINISTERING AGENCY with a third party for performance of
PROJECT-related work shall incorporate Exhibits A and B (with third party's name replacing
ADMINISTERING AGENCY) as essential parts of such agreement to be enforced by that third
party as verified by ADMINISTERING AGENCY.
Page 4 of 26
ARTICLE II- RIGHTS OF WAY
1. No contract for the construction of a federal-aid PROJECT shall be awarded until all necessary
rights of way have been secured. Prior to the advertising for construction of PROJECT,
ADMINISTERING AGENCY shall certify and, upon request, shall furnish STATE with evidence
that all necessary rights of way are available for construction purposes or will be available by the
time of award of the construction contract.
2. ADMINISTERING AGENCY agrees to indemnify and hold STATE harmless from any liability
that may result in the event the right of way for a PROJECT, including, but not limited to, being
clear as certified or if said right of way is found to contain hazardous materials requiring treatment
or removal to remediate in accordance with Federal and State laws. The furnishing of right of way
as provided for herein includes, in addition to all real property required for the PROJECT, title free
and clear of obstructions and encumbrances affecting PROJECT and the payment, as required by
applicable law, of relocation costs and damages to remainder real property not actually taken but
injuriously affected by PROJECT. ADMINISTERING AGENCY shall pay, from its own non-
matching funds, any costs which arise out of delays to the construction of PROJECT because
utility facilities have not been timely removed or relocated, or because rights of way were not
available to ADMINISTERING AGENCY for the orderly prosecution of PROJECT work.
3. Subject to STATE approval and such supervision as is required by LOCAL ASSISTANCE
PROCEDURES over ADMINISTERING AGENCY's right of way acquisition procedures,
ADMINISTERING AGENCY may claim reimbursement from Federal Funds for expenditures
incurred in purchasing only the necessary rights of way needed for the PROJECT after crediting
PROJECT with the fair market value of any excess property retained and not disposed of by
ADMINISTERING AGENCY.
4. When real property rights are to be acquired by ADMINISTERING AGENCY for a PROJECT,
said ADMINISTERING AGENCY must carry out that acquisition in compliance with all applicable
State and Federal laws and regulations, in accordance with State procedures as published in
State's current LOCAL ASSISTANCE PROCEDURES and STATE's Right-of-Way Manual,
subject to STATE oversight to ensure that the completed work is acceptable under the Federal
Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended.
5. Whether or not federal-aid is to be requested for right of way, should ADMINISTERING
AGENCY, in acquiring right of way for PROJECT, displace an individual, family, business, farm
operation, or non-profit organization, relocation payments and services will be provided as set
forth in 49 CFR, Part 24. the public will be adequately informed of the relocation payments and
services which will be available, and, to the greatest extent practicable, no person lawfully
occupying real property shall be required to move from his/her dwelling or to move his/her
business or farm operation without at least ninety (90) days written notice from ADMINISTERING
AGENCY. ADMINISTERING AGENCY will provide STATE with specific assurances, on each
portion of the PROJECT, that no person will be displaced until comparable decent, safe and
sanitary replacement housing is available within a reasonable period of time prior to displacement,
and that ADMINISTERING AGENCY's relocation program is realistic and adequate to provide
orderly, timely and efficient relocation of PROJECT- displaced persons as provided in 49 CFR,
Page 5 of 26
6. ADMINISTERING AGENCY shall, along with recording the deed or instrument evidencing title
in the name of the ADMINISTERING AGENCY or their assignee, shall also record an Agreement
Declaring Restrictive Covenants (ADRC) as a separate document incorporating the assurances
included within Exhibits A and B and Appendices A, B, C and D of the AGREEMENT, as
appropriate.
Page 6 of 26
: Part24
ARTICLE III - MAINTENANCE AND MANAGEMENT
1. ADMINISTERING AGENCY will maintain and operate the property acquired, developed,
constructed, rehabilitated, or restored by PROJECT for its intended public use until such time as
the parties might amend this AGREEMENT to othenivise provide. With the approval of STATE,
ADMINISTERING AGENCY or its successors in interest in the PROJECT property may transfer
this obligation and responsibility to maintain and operate PROJECT property for that intended
public purpose to another public entity.
2. Upon ADMINISTERING AGENCY's acceptance of the completed federal-aid construction
contract or upon contractor being relieved of the responsibility for maintaining and protecting
PROJECT, ADMINISTERING AGENCY will be responsible for the maintenance, ownership,
liability, and the expense thereof, for PROJECT in a manner satisfactory to the authorized
representatives of STATE and FHWA and if PROJECT falls within the jurisdictional limits of
another Agency or Agencies, it is the duty of ADMINISTERING AGENCY to facilitate a separate
maintenance agreement(s) between itself and the other jurisdictional Agency or Agencies
providing for the operation, maintenance, ownership and liability of PROJECT. Until those
agreements are executed, ADMINISTERING AGENCY will be responsible for all PROJECT
operations, maintenance, ownership and liability in a manner satisfactory to the authorized
representatives of STATE and FHWA. lf, within ninety (90) days after receipt of notice from
STATE that a PROJECT, or any portion thereof, is not being properly operated and maintained
and ADMINISTERING AGENCY has not satisfactorily remedied the conditions complained of, the
approval of future federal-aid projects of ADMINISTERING AGENCY will be withheld until the
PROJECT shall have been put in a condition of operation and maintenance satisfactory to STATE
and FHWA. The provisions of thls section shall not apply to a PROJECT that has been vacated
through due process of law with STATE's concurrence.
3. PROJECT and its facilities shall be maintained by an adequate and well-trained staff of
engineers and/or such other professionals and technicians as PROJECT reasonably requires.
Said operations and maintenance staff may be employees of ADMINISTERING AGENCY, another
unit of government, or a contractor under agreement with ADMINISTERING AGENCY. All
maintenance will be performed at regular intervals or as required for efficient operation of the
complete PROJECT improvements.
Page 7 oI 26
ARTICLE IV - FISCAL PROVISIONS
1. All contractual obligations of STATE are subject to the appropriation of resources by the
Legislature and the allocation of resources by the California Transportation Commission (CTC).
2. STATE'S financial commitment of Federal Funds will occur only upon the execution of this
AGREEMENT, the authorization of the project-specific E-76 or E-76 (AMOD), the execution of
each project-specific PROGRAM SUPPLEMENT, and STATE's approved finance letter.
3. ADMINISTERING AGENCY may submit signed duplicate invoices in arrears for reimbursement
of participating PROJECT costs on a monthly or quarterly progress basis once the project-specific
PROGRAM SUPPLEMENT has been executed by STATE.
4. ADMINISTERING AGENCY agrees, as a minimum, to submit invoices at least once every six
(6) months commencing after the funds are encumbered on either the project-speciflc PROGRAM
SUPPLEMENT or through a proiect-specific finance lefter approved by STATE. STATE reserves
the right to suspend future authorizationsiobligations, and invoice payments for any on-going or
future federal-aid project by ADMINISTER|NG AGENCY if PROJECT costs have not been
invoiced by ADMINISTERING AGENCY for a six (6) month period
5. lnvoices shall be submitted on ADMINISTERING AGENCY letterhead that includes the address
of ADMINISTERING AGENCY and shall be formatted in accordance with LOCAL ASSISTANCE
PROCEDURES.
6. lnvoices must have at least one copy of supporting backup documentation for costs incunedand claimed for reimbursement by ADMINISTERING AGENcy. Acceptable backup
documentation includes, but is not limited to, agency's progress payment to the contractors,
copies of cancelled checks showing amounts made payable to vendors and contractors, and/or a
computerized summary of PROJECT costs.
7. Payments to ADMINISTERING AGENCY can only be released by STATE as reimbursement of
actual allowable PROJECT costs already incurred and paid for by ADMINISTERING AGENcy.
8. An lndirect Cost Rate Proposal and Central Service Cost Allocation Plan and related
documentation are to be provided to STATE (Caltrans Audits & lnvestigations) annually for review
and approval prior to ADMINISTERING AGENCY seeking reimbursement of indirect cost incuned
within each fiscal year being claimed for federal reimbursement.
9. once PRoJEcr has been awarded, srATE reserves the right to de-obligate any excess
Federal Funds from the construction phase of PROJECT if the contract award amount is less than
the obllgated amount, as shown on the PROJECT E-76 or E-76 (AMOD).
10. STATE will withhold the greater of either two (2) percent of the total of all Federal Funds
encumbered for each PROGRAM SUPPLEMENT or $40,000 untit ADMINISTER|NG AGENCY
submits the Final Report of Expenditures for each completed pRoGMM SUPPLEMENT
PROJECT.
Page 8 of 26
11. The estimated total cost of PROJECT, the amount of Federal Funds obligated, and the
required matching funds may be adjusted by mutual consent of the PARTIES hereto with a
finance letter, a detailed estimate, if required, and approved E-76 (AMOD). Federal-aid funding
may be increased to cover PROJECT cost increases only if such funds are available and FHWA
concurs with that increase.
12. When additional federal-aid funds are not available, ADMINISTERING AGENCY agrees that
the payment of Federal Funds will be limited to the amounts authorized on the PROJECT specific
E-76 I E-76 (AMOD) and agrees that any increases in PROJECT costs must be defrayed with
ADMINISTERING AGENCY's own funds.
13. ADMINISTERING AGENCY shall use its own non-Federal Funds to finance the local share of
eligible costs and all expenditures or contract items ruled ineligible for financing with Federal
Funds. STATE shall make the determination of ADMINISTERING AGENCY's cost eligibility for
federal fund financing of PROJECT costs.
14. ADMINISTERING AGENCY will reimburse STATE for STATE's share of costs for work
performed by STATE at the request of ADMINISTERING AGENCY. STATE's costs shall include
overhead assessments in accordance with section 8755.1 of the State Administrative Manual.
15. Federal and state funds allocated from the State Transportation lmprovement Program (STIP)
are subject to the timely use of funds provisions enacted by Senate Bill 45, approved in 1997, and
subsequent STIP Guidelines and State procedures approved by the CTC and STATE.
16. Federal Funds encumbered for PROJECT are available for liquidation for a period of seven (7)
years from the beginning of the State fiscal year the funds were appropriated in the State Budget.
State funds encumbered for PROJECT are available for liquidation only for five (5) years from the
beginning of the State fiscal year the funds were appropriated in the State Budget. Federal or
state funds not liquidated within these periods will be reverted unless an Cooperative Work
Agreement (CWA) is submitted by ADMINISTERING AGENCY and approved by the Califomia
Department of Finance (per Government Code section 16304). The exact date of fund reversion
will be reflected in the STATE signed finance letter for PROJECT.
17. Payments to ADMINISTERING AGENCY for PROJECT-related travel and subsistence (per
diem) expenses of ADMINISTERING AGENCY forces and its contractors and subcontractors
claimed for reimbursement or as local match credit shall not exceed rates authorized to be paid
rank and file STATE employees under current State Department of Personnel Administration
(DPA) rules. lf the rates invoiced by ADMINISTERING AGENCY are in excess of DPA rates,
ADMINISTERING AGENCY is responsible for the cost difference, and any overpayments
inadvertently paid by STATE shall be reimbursed to STATE by ADMINISTERING AGENCY on
demand within thirty (30) days of such invoice.
18. ADMINISTERING AGENCY agrees to comply with Office of Management and Budget (OMB)
Circular A-87, Cost Principles for State and Local Governments, and 49 CFR, Part 18, Uniform
Administrative Requirements for Grants and Cooperative Agreements to State and Local
Governments.
Page I of 26
19- ADMINISTERING AGENCY agrees, and will assure that its contractors and subcontractors willbe obligated to agree that (a) Contract Cost Principles and Procedures, 48 CFR, Federal
Acquisition Regulations system, chapter 1, part 31, et seg., shall be used to determine the
allowability of individual PROJECT cost items and (b) those parties shall comply with federal
administrative procedures in accordance with 49 CFR, Part 18, Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local Governments. Everysub-recipient receiving PROJECT funds as a contractor or sub-contractor under this
AGREEMENT shall comply with Federal administrative procedures in accordance with 4g CFR,Pari 18, Unlform Administrative Requirements for Grants and Cooperative Agreements to Stateand Local Governments.
20. Any PROJECT costs for which ADMINISTERING AGENCY has received payment or creditthat are determined by subsequent audit to be unallowable under OMB Circular A-AZ, +A CfR,chapter 1 , Part 31 or 49 cFR, Part 18, are subject to repayment by ADMINIsTERING AGENCYto STATE' Should ADMINISTERING AGENCY fail to reimburse moneys due STATE within thirty30 days of demand, or within such other period as may be agreed in writing between thePARTIES hereto, srATE is authorized to intercept and withhold future payments dueADMINISTERING AGENCY from STATE or any third-party source, including but not limited to,the State Treasurer, the State Controller and the CTC.
21 . Upon written demand by STATE, any overpayment to ADMINISTERING AGENCy of amounts
invoiced to STATE shall be returned to STATE,
22. should ADMINISTERING AGENcy fail to refund any moneys due srATE as provided
hereunder or should ADMINISTERING AGENCY breach thii AGREiMENT by faiting to complete
PROJECT without adequate justification and approval by STATE, then, within thirty 30 days ofdemand, or within such other period as may be agreed to in writing between tfte pARilES,
STATE, acting through the State Controller, the State Treasurer, or iny other public entity oragency, may withhold or demand a transfer of an amount equal to the amount paid by o1. o*"d toSTATE from future apportionments, or any other funds due ADMINISTERING AGENCY from theHighway Users Tax Fund or any other sources of funds, and/or may withhold approval of futureADMINISTERING AGENCY federal-aid projects.
23. Should ADMINISTERING AGENCY be declared to be in breach of this AGREEMENT orotherwise in default thereof by STATE, and if ADMINISTERING AGENCY is constituted as a joint
powers authority, special district, or any other public entity not directly receiving funds through theState Conkoller, STATE is authorized to obtain reimbursement from whatever sources of fundingare available, including the withholding or transfer of funds, pursuant to Article lV - 22, from thoseconstituent entities comprising a joint powers authority or by bringing of an action againstADMINISTERING AGENCY or its constituent member entities, to recover all funds providEd by
STATE hereunder.
24. ADMINISTERING AGENCY acknowledges that the signatory party represents theADMINISTERING AGENCY and further warrants that there is nothing within a Joint powers
Agreement' by which ADMINISTERING AGENCY was created, if any exists, that would restrict orothenvise limit srATE's ability to recover state funds improperly spent by ADMINI5TERING
AGENCY in contravention of the terms of this AGREEMENT.
Page 10 of 26
,i,
ARTICLE V
AUDITS, THIRD PARTY CONTRACTING, RECORDS RETENTION AND REPORTS
1. STATE reseryes the right to conduct technical and financial audits of PROJECT work and
records when determined to be necessary or appropriate and ADMINISTERING AGENCY agrees,
and shall require its contractors and subcontractors to agree, to cooperate with STATE by making
all appropriate and relevant PROJECT records available for audit and copying as required by
paragraph three (3) of ARTICLE V.
2. ADMINISTERING AGENCY, its contractors and subcontractors shall establish and maintain an
accounting system and records that properly accumulate and segregate incurred PROJECT costs
and matching funds by line item for the PROJECT. The accounting system of ADMINISTERING
AGENCY, its contractors and all subcontractors shall conform to Generally Accepted Accounting
Principles, enable the determination of incuned costs at interim points of completion, and provide
support for reimbursement payment vouchers or invoices sent to or paid by STATE.
3. For the purpose of determining compliance with Title 21, Califomia Code of Regulations,
Chapter 21 , section 2500 et seq., when applicable, and other matters connected with the
performance of ADMINISTERING AGENCY's contracts with third parties, ADMINISTERING
AGENCY, ADMINISTERING AGENCY's contractors and subcontractors, and STATE shall each
maintain and make available for inspection and audit all books, documents, papers, accounting
records, and other evidence pertaining to the performance of such contracts, including, but not
limited to, the costs of administering those various contracts. All of the above referenced parties
shall make such AGREEMENT and PROGMM SUPPLEMENT materials available at their
respective ofiices at all reasonable times during the entire PROJECT period and for three (3)
years from the date of final payment to ADMINISTERING AGENCY under any PROGRAM
SUPPLEMENT. STATE, the California State Auditor, or any duly authorized representative of
STATE or the United States, shall each have access to any books, records, and documents that
are pertinent to a PROJECT for audits, examinations, excerpts, and transactions and
ADMINISTERING AGENCY shall furnish copies thereof if requested.
4. ADMINISTERING AGENCY is required to have an audit in accordance with the Single Audit Act
of OMB Circular A-133 if it receives a total of $500,000 or more in Federal Funds in a single fiscal
year. The Federal Funds received under a PROGRAM SUPPLEMENT are a part of the
Catalogue of Federal Domestic Assistance (CFDA) 20.205, Highway Planning and Research.
5. ADMINISTERING AGENCY agrees to include all PROGRAM SUPPLEMENTS adopting the
terms of ihis AGREEMENT in the schedule of projects to be examined in ADMINISTERING
AGENCY's annual audit and in the schedule of projects to be examined under its single audit
prepared in accordance with OMB Circular A-133.
6. ADMINISTERING AGENCY shall not award a construction contract over 910,000 or other
contracts over $25,000 (excluding professional service contracts of the type which are required to
be procured in accordance with Government Code sections 4525 (d), (e) and (f) on the basis of a
noncompetitive negotiation for work to be performed under this AGREEMENT without the prior
written approval of STATE. Contracts awarded by ADMINISTERING AGENCY, if intended as
local match credit, must meet the requirements set forth in this AGREEMENT regarding local
match funds.
Page 11 ot 26
7. Any subcontract entered into by ADMINISTERING AGENCY as a result of this AGREEMENT
shall contain all of the provisions of ARTICLE lV, FISCAL PROVISIONS, and this ARTTCLE V,
AUDITS, THIRD-PARTY CONTMCTING RECORDS RETENTION AND REPORTS, and shatt
mandate that travel and per diem reimbursements and third-party contract reimbursements to
subcontractors will be allowable as PROJECT costs only after those costs are incurred and paid
for by the subcontractors.
8. To be eligible for local match credit, ADMINISTERING AGENCY must ensure that local match
funds used for a PROJECT meet the fiscal provisions requirements outlined in ARTICLE lV in the
same manner as required of all other PROJECT expenditures.
9. ln addition to the above, the pre-award requirements of third-party contractor/consultants with
ADMINISTERING AGENCY should be consistent with LOCAL ASSISTANCE PROCEDURES.
Pagel2of 26
ARTICLE VI -FEDERAL LOBBYING ACTIVITIES CERTIFICATION
1. By execution of this AGREEMENT, ADMINISTERING AGENCY certifies, to the best of the
signatory officer's knowledge and belief, that:
A. No federal or state appropriated funds have been paid or will be paid, by or on behalf of
ADMINISTERING AGENCY, to any person for influencing or attempting to influence an officer or
employee of any STATE or federal agency, a member of the State Legislature or United States
Congress, an officer or employee of the Legislature or Congress, or any employee of a Member of
the Legislature or Congress in connection with the awarding of any STATE or federal contract,
including this AGREEMENT, the making of any STATE or federal loan, the entering into of any
cooperative contract, and the extension, continuation, renewal, amendment, or modification of any
STATE or federal contract, grant, loan, or cooperative contract.
B. lf any funds other than federal appropriated funds have been paid, or will be paid, to any
person for influencing or attempting to influence an officer or employee of any federal agency, a
member of Congress, an officer or employee of Congress or an employee of a member of
Congress in connection with this AGREEMENT, grant, local, or cooperative contract,
ADMINISTERING AGENCY shall complete and submit Standard Form-LLL, "Disclosure Form lo
Rep Lobbying," in accordance with the form instructions.
C. This certification is a material representation of fact upon which reliance was placed when this
AGREEMENT and each PROGRAM SUPPLEMENT was or will be made or entered into.
Submission of this certification is a prerequisite for making or entering into this AGREEMENT
imposed by Section 1352, Title 31 , United States Code. Any party who fails to file the required
certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000
for each such failure.
2. ADMINISTERING AGENCY also agrees by signing this AGREEMENT that the language of this
certification will be included in all lower tier sub-agreements which exceed $100,000 and that all
such sub-recipients shall certity and disclose accordingly.
Page 13 of 26
ARTICLE VII - MISCELLANEOUS PROVISIONS
1. ADMINISTERING AGENCY agrees to use all State funds reimbursed hereunder only for
transportation purposes that are in conformance with Article XIX of the California State
Constitution and the relevant Federal Regulations.
2. This AGREEMENT is subject to any additional restrictions, limitations, conditions, or any statute
enacted by the State Legislature or adopted by the CTC that may affect the provisions, tLrms, or
funding of this AGREEMENT in any manner.
3. ADMINISTERING AGENCY and the officers and employees of ADMtNtsTERtNG AGENcy,
when engaged in the performance of this AGREEMENT, shall act in an independent capacity and
not as officers, employees or agents of STATE or the federal government.
4. Each project-specific PROGMM SUPPLEMENT shall separately establish the terms and
funding limits for each described PROJECT funded under the AGREEMENT. No federal or state
funds are obligated against this AGREEMENT.
5. ADMINISTERING AGENCY certifies that neither ADMINISTERING AGENCY nor its principals
are suspended or debarred at the time of the execution of this AGREEMENT. ADMINISTEdING
AGENCY agrees that it will notify STATE immediately in the event a suspension or a debarment
occurs after the execution of this AGREEMENT.
6. ADMINISTERING AGENCY warrants, by execution of this AGREEMENT, that no person orselling agency has been employed or retained to solicit or secure this AGREEMENT upon anagreement or understanding for a commission, percentage, brokerage, or contingent fee,excepting bona fide employees or bona fide established commerciil or selling lgencies
maintained by ADMINISTERING AGENCY for the purpose of securing business. For breach or
violation of this wananty, STATE has the right to annul this AGREEMENT without liability, pay
only for the value of the work actually performed, or in STATE's discretion, to deduct froh tneprice of consideration, or othenvise recover, the full amount of such commission, percentage,
brokerage, or contingent fee.
7. ln accordance with Public Contract Code section 10296, ADMINISTERING AGENCy hereby
certifies under penalty of perjury that no more than one final unappealable finding of contempt of
court by a federal court has been issued against ADMINISTERING AGENCy within the immediate
preceding two (2) year period because of ADMINISTERING AGENCY's failure to comply with an
order of a federal court that orders ADMINISTERING AGENCY to comply with an order of the
National Labor Relations Board.
B. ADMINISTERING AGENCY shall disclose any financial, business, or other relationship withsrATE, FHWA or FTA that may have an impact upon the outcome of this AGREEMENT.
ADMINISTERING AGENCY shall also list current contractors who may have a flnancial interest in
the outcome of this AGREEMENT.
9. ADMINISTERING AGENCY hereby certifies that it does not now have nor shall it acquire any
financial or business interest that would conflict with the performance of PROJECT under thii
Page 14 ol 26
J,AGREEMENIT.
10. ADMINISTERING AGENCY warrants that this AGREEMENT was not obtained or secured
through rebates, kickbacks or other unlawful consideration either promised or paid to any STATE
employee. For breach or violation of this warranty, STATE shall have the right, in its discretion, to
terminate this AGREEMENT without liability, to pay only for the work actually performed, or to
deduct from the PROGMM SUPPLEMENT price or otherwise recover the full amount of such
rebate, kickback, or other unlawful consideration.
1 1 . Any dispute conceming a question of fact arising under this AGREEMENT that is not disposed
of by agreement shall be decided by the STATE's Contract Officer who may consider any written
or verbal evidence submitted by ADMINISTERING AGENCY. The decision of the Contract
Officer, issued in writing, shall be conclusive and binding on the PARTIES on all questions of fact
considered and determined by the Contract Officer.
12. Neither the pending of a dispute nor its consideration by the Contract Officer will excuse
ADMINISTERING AGENCY from full and timely performance in accordance with the terms of this
AGREEMENT.
13. Neither ADMINISTERING AGENCY nor any officer or employee thereof is responsible for any
injury, damage or liability occurring by reason of anything done or omitted to be done by, under or
in connection with any work, authority or jurisdiction arising under this AGREEMENT. lt is
understood and agreed that STATE shall fully defend, indemnify and save harmless the
ADMINISTERING AGENCY and all of its officers and employees from all claims, suils or actions
of every name, kind and description brought forth under, including, but not limited to, tortuous,
contractual, inverse condemnation and other theories or assertions of liability occurring by reason
of anything done or omitted to be done by STATE under this AGREEMENT.
14. Neither STATE nor any offlcer or employee thereof shall be responsible for any injury, damage
or liability occurring by reason of anything done or omitted to be done by ADMINISTERING
AGENCY under, or in connection with, any work, authority or jurisdiction arising under this
AGREEMENT. lt is understood and agreed that ADMINISTERING AGENCY shall fully defend,
indemnify and save harmless STATE and all of its officers and employees from all claims, suits or
actions of every name, kind and description brought forth under, including, but not limited to,
tortuous, contractual, inverse condemnation or other theories or assertions of liability occuning by
reason of anything done or omifted to be done by ADMINISTERING AGENCY under this
AGREEMENT.
15. STATE reserves the right to terminate funding for any PROJECT upon written notice to
ADMINISTERING AGENCY in the event that ADMINISTERING AGENCY fails to proceed with
PROJECT work in accordance with the project-specific PROGRAM SUPPLEMENT, the bonding
requirements if applicable, or otherwise violates the conditions of this AGREEMENT and/or
PROGRAM SUPPLEMENT, or the funding allocation such that substantial performance is
significantly endangered.
Page 15 of 26
16. No termination shall become effective if, within thirty (30) days after receipt of a Notice of
Termination, ADMINISTERING AGENCY either cures the default involved or, if nol reasonably
susceptible of cure within said thirty (30) day period, ADMINISTERING AGENcy proceedi
thereafter to complete the cure in a manner and time line acceptable to STATE. Any such
termination shall be accomplished by delivery to ADMINISTERING AGENCY of a Notice of
Termination, which notice shall become effective not less than thirty (30) days afler receipt,
specifying the reason for the termination, the extent to which funding of work under this
AGREEMENT is terminated and the date upon which such termination becomes effective, if
beyond thirty (30) days after receipt. During the period before the effective termination date,
ADMINISTERING AGENCY and STATE shall meet to attempt to resolve any dispute. ln the event
of such termination, STATE may proceed with the PROJECT work in a manner deemed proper bySTATE. lf STATE terminates funding for PROJECT with ADMINISTERING AGENCY, STATEshall pay ADMINISTERING AGENCY the sum due ADMINISTERING AGENcy under the
PROGMM SUPPLEMENT and/or STATE approved finance letter prior to termination, provided,
however, ADMINISTERING AGENCY is not in default of the terms and conditions of this
AGREEMENT or the project-specific PROGMM SUPPLEMENT and that the cost of pROJECT
completion to srATE shall first be deducted from any sum due ADMINISTERING AGENCY.
17. ln case of inconsistency or conflicts with the terms of this AGREEMENT and that of a project-
specific PROGMM SUPPLEMENT, the terms stated in that PROGRAM SUPPLEME||T shatt
prevail over those in this AGREEMENT.
18. without the wrltten consent of srATE, this AGREEMENT is not assignable by
ADMINISTERING AGENCY either in whole or in part.
19. No alteratlon or variation of the terms of this AGREEMENT shall be valid unless made in
writing and signed by the PARTIES, and no oral understanding or agreement not incorporated
herein shall be binding on any of the PARTIES.
lN wlrNESS WHEREOF, the PARTIES have executed this AGREEMENT by thetr duly
authorized officers.
City of Vernon
ATION
h,"r, Or." of Project lmplementation
@
I
City of Vernon
Representative Name & Title
(Authorized Governing Body Representative)
Date /o lq /oq
STATE OF CALIFORNIA
Division of Local Assistance
Page 16 of 26
EXHIBIT A
EXHIBIT A
FAIR EMPLOYMENT PRACTICES ADDENDUM
1. ln the performance of this Agreement, ADMINISTERING AGENCY will not discriminate against
any employee for employment because of race, color, sex, sexual orientation, religion, ances-try or
national origin, physical disability, medical condition, marital status, political affiliition, family ind
medical care leave, pregnancy leave, or disability leave. ADMINISTERING AGENCY wili take
affirmative action to ensure lhat employees are treated during employment without regard to their
race, sex, sexual orientation, color, religion, ancestry, or national origin, physical disability, medical
condition, marital status, political affiliation, family and medical caie leave, pregnancy leave, ordisability leave. Such action shall include, but not be limited to, the followiig: employment;
upgrading; demotion or transfer; recruitment or recruitment advertising; layoff or termination; ratesof pay or other forms of compensation; and selection for training, including apprenticeship.
ADMINISTERING AGENCY shall post in conspicuous places, available to employees for
employment, notices to be provided by STATE setting forth the provisions of this Fair Employment
section.
2. ADMINISTERING AGENCY, its contractor(s) and all subcontractors shall comply with theprovisions of the Fair Employment and Housing Act (Govemment Code Section 129ti-0 et seq.),and lhe applicable regulations promulgated thereunder (Califomia code of Regulations, Tifle 2,Section 7285.0 et seq.). The applicable regulations of the Fair Employment and Housing
!911issjon lmplementing Government code, section 12900(a-f), set forth in chapter 5 oI
Division 4 of Title 2 of the California Code of Regulations are incorporated into this AGREEMENTby reference and made a part hereof as if set forth in full. Each of the ADMINISTERING
AGENCY'S contractors and all subcontractors shall give wriften notice of their obligations underthis clause to labor organizations with which thiy have a collective bargaining or other
agreements, as appropriate.
3. ADMINISTERING AGENCY shall include the nondiscrimination and compliance provisions ofthis clause in all contracts and subcontracts to perform work underthis AGREEMENT.
4. ADMINISTERING AGENCY will permit access to the records of employment, employment
advertisements, application forms, and other pertinent data and records by STATE, the State Fair
Employment and Housing Commission, or any other agency of the State tf California designated
by STATE, for the purposes of investigation to ascertain compliance with the Fair Employment
section of this Agreement.
5. Remedies for Willful Violation:
(a) STATE may determine a willful violation of the Fair Employment provision to have occurred
upon receipt of a final judgment to that effect from a court in an action to which ADMINISTERING
AGENCY was a party, or upon receipt of a written notice from the Fair Employment and Housing
Commission that it has investigated and determined that ADMINISTERING AdENCy has violated
the Fair Employment Practices Act and had issued an order under Labor Code Section 1426
which has become final or has obtained an injunction under Labor code Section 1429.
Page 17 ot 26
(b) For willful violation of this Fair Employment Provision, STATE shall have the right to terminate
this Agreement either in whole or in part, and any loss or damage sustained by STATE in securing
the goods or services thereunder shall be borne and paid for by ADMINISTERING AGENCY and
by the surety under the performance bond, if any, and STATE may deduct from any moneys due
or thereafter may become due to ADMINISTERING AGENCY, the difference between the price
named in the Agreement and the actual cost thereof to STATE to cure ADMINISTERING
AGENCY's breach of this Agreement.
Page 18 of 26
EXHIBIT B
EXHIBIT B
NONDISCRIMINATION ASSURANCES
ADMINISTERING AGENCY HEREBY AGREES THAT, as a condition to receiving any federal
financial assistance from the STATE, acting for the U.S. Department of Transportation, it will
comply with Title Vl of the Civil Rights Act of 1964, 78 Stat. 252, 42 U.S.C. 2000d-42 U.S.C.
2000d-4 (hereinafter referred to as the ACT), and all requirements imposed by or pursuant to Title
49, Code of Federal Regulations, Department of Transportation, Subtitle A, Offlce of the
Secretary, Parl 21 , "Nondiscrimination in Federally-Assisted Programs of the Department of
Transportation - Effectuation of Title Vl of the Civil Rights Act of 19M" (hereinafter referred to as
the REGULATIONS), the Federal-aid Highway Act of 1973, and other pertinent directives, to the
end that in accordance with the ACT, REGULATIONS, and other pertinent directives, no person in
the United States shall, on the grounds of race, color, sex, national origin, religion, age or
disability, be excluded from participation in, be denied the benefits of, or be otheruise subjected to
discrimination under any program or activity for which ADMINISTERING AGENCY receives
federal financial assistance from the Federal Department of Transportation. ADMINISTERING
AGENCY HEREBY GIVES ASSUMNCE THAT ADMINISTERING AGENCY will promptly take
any measures necessary to effectuate this agreement. This assurance is required by subsection
21 .7(a\ (1 ) of the REGULATIONS.
More specifically, and without limiting the above general assurance, ADMINISTERING AGENCY
hereby gives the following specific assurances with respect to its federal-aid Program:
1. That ADMINISTERING AGENCY agrees that each "program" and each "facility" as defined in
subsections 21.23 (e) and 21 .23 (b) of the REGULATIONS, will be (with regard to a 'program")
conducted, or will be (with regard to a "facility") operated in compliance with all requirements
imposed by, or pursuant to, the REGULATIONS.
2. That ADMINISTERING AGENCY shall insert the following notification in all solicitations for bids
for work or material subject to the REGULATIONS made in connection with the federal-aid
Program and, in adapted form, in all proposals for negotiated agreements:
ADMINISTERING AGENCY hereby notifies all bidders that it will affirmatively insure that in any
agreement entered into pursuant to this advertisement, minority business enterprises will be
afforded full opportunity to submit bids in response to this invitation and will not be discriminated
against on the grounds of race, color, sex, national origin, religion, age, or disability in
consideration for an award.
3. That ADMINISTERING AGENCY shall insert the clauses of Appendix A of this assurance in
every agreement subject to the ACT and the REGULATIONS.
4. That the clauses of Appendlx B of this Assurance shall be included as a covenant running with
the land, in any deed effecting a transfer of real property, structures, or improvements thereon, or
interest therein.
Page 19 of 26
5. That where ADMINISTERING AGENCY receives federal financial assistance to construct a
facility, or part of a facility, the Assurance shall extend to the entire facility and facilities operated in
connection therewith.
6. That where ADMINISTERING AGENCY receives federal financial assistance in the form, or for
the acquisition, of real property or an interest in real property, the Assurance shall extend to rights
to space on, over, or under such property.
7. That ADMINISTERING AGENCY shall include the appropriate clauses set forth in Appendix C
and D of this Assurance, as a covenant running with the land, in any future deeds, leases, permits,
licenses, and similar agreements entered into by the ADMINISTERING AGENCY wiih other
parties:
Appendix C;
(a) for the subsequent transfer of real propefi acquired or improved under the federal-aid
Program; and
Appendix D;
(b) for the construction or use of or access to space on, over, or under real property acquired, or
improved under the federal-aid program.
8. That this assurance obligates ADMINISTERING AGENCY for the period during which federal
financial assistance is extended to the program, except where the federal financial issistance is toprovide, or is in the form of, personal property or real property or interest therein, or structures, or
improvements thereon, in which case the assurance obligates ADMINISTERING AGENCy or any
transferee for the longer of the following periods:
(a) the period during which the property is used for a purpose for which the federal flnancial
assistance is extended, or for another purpose involving the provision of similar services or
benefits; or
(b) the period during which ADMINISTERING AGENCY retains ownership or possession of the
property.
9. That ADMINISTERING AGENCY shall provide for such methods of administration for the
program as are found by the U.S. Secretary of Transporlation, or the official to whom he delegates
specific authority, to give reasonable guarantee that ADMINISTERING AGENCY, other recipients,
sub-grantees, applicants, sub-applicants, transferees, successors in interest, and otherparticipants of federal financial assistance under such program will comply with all requirements
imposed by, or pursuant to, the ACT, the REGULATIoNS, this Assurance and the Agreement.
10. That ADMINISTERING AGENCY agrees that the United States and the State of California
have a right to seek judicial enforcement with regard to any matter arising under the ACT, the
REGULATIONS, and this Assurance.
Page2l ol 26
11. ADMINISTERING AGENCY shall not discriminate on the basis of race, religion, age, disability,
color, national origin or sex in the award and performance of any STATE assisted contract or in
the adminishation on its DBE Program or the requirements of 49 CFR Part 26. ADMINISTERING
AGENCY shall take all necessary and reasonable steps under 49 CFR Part 26 to ensure non
discrimination in the award and administration of STATE assisted contracts. ADMINISTERING
AGENCY'S DBE Race-Neutral lmplementation Agreement is incorporated by reference in this
AGREEMENT. lmplementation of this program is a legal obligation and failure to carry out its
terms shall be treated as a violation of this agreement. Upon notification to the recipient of its
failure to carry out its approved DBE Race-Neutral lmplementation Agreement, STATE may
impose sanctions as provided for under 49 CFR Part 26 and may, in appropriate cases, refer the
matter for enforcement under 18 USC 1001 and/or the Program Fraud Civil Remedies Act of 1985
(31USC 3801 es seq.)
THESE ASSURANCES are given in consideration of and for the purpose of obtaining any and all
federal grants, loans, agreements, property, discounts or other federal financial assistance
extended after the date hereof to ADMINISTERING AGENCY by STATE, acting for the U.S.
Department of Transportation, and is binding on ADMINISTERING AGENCY, other recipients,
subgrantees, applicants, sub-applicants, transferees, successors in interest and other participants
in the federal-aid Highway Program.
Page 21 ot 26
APPENDIX A TO EXHIBIT B
During the performance of this Agreement, ADMINISTERING AGENCY, for itself, its assignees
and successors in interest (hereinafter collectively referred to as ADMINISTERING AGENCY)
agrees as follows:
(1) Compliance with Regulations: ADMINISTERING AGENCY shall comply with the regulations
relative to nondiscrimination in federally assisted programs of the Department of Trans[ortation,
Title 49, code of Federal Regulations, part21, as they may be amended from time to time,
(hereinafter refered to as the REGULATIONS), which are herein incorporated by reference and
made a part of this agreement.
(2) Nondiscrimination: ADMINISTERING AGENCY, with regard to the work performed by it duringthe AGREEMENT, shall not discriminate on the grounds of race, color, sex, national origin]
religion, age, or disability in the selection and retention of sub-applicants, including procurements
of materials and leases of equipment. ADMINISTERING AGENCY shall not pirticipate either
directly or indirectly in the discrimination prohibited by Section 21.5 ot the REGULATTONS,
including employment practices when the agreement covers a program set forth in Appendix B of
the REGULATIONS.
(3) Solicitations for Sub-agreements, lncluding Procurements of Materials and Equipment: ln all
solicitations either by competitive bidding or negotiation made by ADMINISTERING AGENCy for
work to be performed under a Sub-agreement, including procurements of materials or leases of
equipment, each potential sub-applicant or supplier shall be notified by ADMINISTERING
AGENCY of the ADMINISTERING AGENCY's obligations under this Agreement and the
REGULATIONS relative to nondiscrimination on the grounds of race, color, or national origin.
(4) lnformation and Reports: ADMINISTERING AGENCY shall provide all information and reports
required by the REGULATIONS, or directives issued pursuant thereto, and shall permit access to
ADMINISTERING AGENCY's books, records, accounts, other sources of information, and its
facilities as may be determined by STATE or FHWA to be pertinent to ascertain compliance withsuch REGULATIONS or directives. Where any information required of ADMINISTERING
AGENCY is in the exclusive possession of another who fails or refuses to furnish this information,
ADMINISTERING AGENCY shall so certify to STATE or the FHWA as appropriate, and shall set
forth what efforts ADMINISTERING AGENCy has made to obtain the information.
(5) Sanctions for Noncompliance: ln the event of ADMINISTERING AGENCY's noncompliance
with the nondiscrimination provisions of this agreement, STATE shall impose such agreement
sanctions as it or the FHWA may determine to be appropriate, including, but not limited to:
(a) withholding of payments to ADMINISTERING AGENCY under the Agreement within a
reasonable period of time, not to exceed g0 days; and/or
(b) cancellation, termination or suspension of the Agreement, in whole or in part.
Page2? of 26
(6) lncorporation of Provisions: ADMINISTERING AGENCY shall include the provisions of
paragraphs (1 ) through (6) in every sub-agreement, including procurements of materials and
leases of equipment, unless exempt by the REGULATIONS, or directives issued pursuant thereto.
ADMINISTERING AGENCY shall take such action with respect to any sub-agreement or
procurement as STATE or FHWA may direct as a means of enforcing such provisions including
sanctions for noncompliance, provided, however, that, in the event ADMINISTERING AGENCY
becomes involved in, or is threatened with, litigation with a sub-applicant or supplier as a result of
such direction, ADMINISTERING AGENCY may request STATE enter into such litigation to
protect the interests of STATE, and, in addition, ADMINISTERING AGENCY may request the
United States to enter into such litigation to protect the interests of the United States.
Page23 of 26
. }\rrEt\ut^ t Iu trxnltst I u
The following clauses shall be included in any and all deeds effecting or recording the transfer ofPROJECT real property, struclures or improvements thereon, or interest therein irom the United
States.
(GRANTING CLAUSE)
NOW, THEREFORE, the U.S. Department of Transportation, as authorized by law, and upon thecondition that ADMINI
constructed thereon, , iJ:.|,?"JAdministration of fede
Federat Hishway Admi :l J}irrand in compliance with the Regulations pertaining to and effectuating the provisions of Tile Vl ofthe civil Rights Act of 1964 (78 stat. 2s2;42 u.s.c. 2oood to 2oo:od-4), does hereby remise,release, quitclaim and convey unto the ADMINISTERING AGENCY all the'right, tifle, and interestof the U.S. Department of Transportation in, and to, said lands described ir;Exhibit ,'A, attachedhereto and made a part hereof.
(HABENDUM CLAUSE)
TO HAVE AND TO HOLD said lands and interests therein unto ADMINISTERING AGENCy andits successors forever, subject, however, to the covenant, conditions, restrictions and reservationsherein contained as follows, which will remain in effect for the period ouring wnicn the realproperty or structures are used for a purpose for which federal financial assistance is extended orfor another purpose involving the provision of slmilar services or benefits and shall be binding onADMINISTERING AGENCy, lts successors and assigns.
ADMINISTERING AGENCY, in consideration of the conveyance of said lands and interests inlands, does hereby covenant and agree as a covenant running with the land for itself, itssuccessors and assigns,
the grounds of race, color, sex, national origin, religion, age or
articipation in, be denied the benefits of, or be otherwiselubjecled to
any facility located wholly or in part on, over, or under suth lands
(2) lhat ADMINISTERING AGENCY shall use the lands and interests in lands so conveyed, incompliance with all requirements imposed by or pursuant to Title 4g, Code of Federal Regulations,Department of Transportation, Subtitle A, Office of the Secretary, part 21, Non-discrimination infederally-assisted programs of the Department of Transportation - Effectuation of Tifle Vl of theCivil Rights Act of 1964, and as said Regulations may be amended (;) and
(3) that in the event of breach of any of the above-mentioned nondiscrimination conditions, theU.S. Department of Transportation shall have a right to re-enter said lands and facilities on saidland, and the above-described land and facilities shall thereon revert to and vest in and becomethe absolute propefi of the U.S. Department of Transportation and its assigns as such interestexisted prior to this deed..
* Reverter clause and related language to be used only when it is determined that such a clause is
Page 24 ol 26
necessary in order to eftectuate the.purposes of Title.Vl of the Civil Rights Act of.1964.
APPENDIX C TO EXHIBIT B
The following clauses shall be included in any and all deeds, licenses, leases, permits, or similar
instruments entered into by ADMINISTERING AGENCY, pursuant to the provisions of Assurance
7(a) of Exhibit B.
The grantee (licensee, lessee, permittee, etc., as appropriate) for himself, his heirs, personal
representatives, successors in interest, and assigns, as a part of the consideration hereof, does
hereby covenant and agree (in the case of deeds and leases add 'as covenant running with the
land") that in the event facilities are constructed, maintained, or otherwise operated on the said
property described in this (deed, license, lease, permit, etc.) for a purpose for which a U.S.
Department of Transportation program or activity is extended or for another purpose involving the
provision of similar services or benefits, the (grantee, licensee, lessee, permittee, etc.), shall
maintain and operate such facilities and services in compliance with all other requirements
imposed pursuant to Title 49, Code of Federal Regulations, U.S. Department of Transportation,
Subtitle A, Oflice of Secretary, Pari 21 , Nondiscrimination in federally-assisted programs of the
Department of Transportation - Effectuation of Title Vl of the Civil Rights Act of 1964, and as said
Regulations may be amended.
(lnclude in licenses, leases, permits, etc.)*
That in the event of breach of any of the above nondiscrimination covenants, ADMINISTERING
AGENCY shall have the right to terminate the (license, lease, permit etc.) and to re-enter and
repossess said land and the facilities thereon, and hold the same as if said (license, lease, permit,
etc.) had never been made or issued.
(lnclude in deeds)-
That in the event of breach of any of the above nondiscrimination covenants, ADMINISTERING
AGENCY shall have the right to re-enter said land and facilities thereon, and the above-
described lands and facilities shall thereupon revert to and vest in and become the absolute
property of ADMINISTERING AGENCY and its assigns.
" Reverter clause and related language to be used only when it is determined that such a clause is
necessary in order to effectuate the purposes of Title Vl of the Civil Rights Act of 1964.
Pagezs of 26
APPENDIX D TO EXHIBIT B
The following shall be included in all deeds, licenses, leases, permits, or similar agreements
entered into by the ADMINISTERING AGENCY, pursuant to the provisions of AssuranCe 7 (b) of
Exhibit B.
The grantee (licensee, lessee, permittee, etc., as appropriate) for himself, his personal
representatives, successors in interest and assigns, as a part of the consideration hereof, does
hereby.covenant and agree (in the case ofdeeds, and leases add "as a covenant running with theland") that:
(1).no person on the ground of race, color, sex, national origin, religion, age or disability, shall beexcluded from participation in, denied the benefits of, or otherwiselubjec-ied to discrimination inthe use of said facilities;
ction of any improvements on, over, or under such land and the furnishing ofperson on the ground of race, color, sex, national origin, religion, agJ or
uded from participation in, denied the benefits of, or otherwise Ue suOl6cteO
(3) that the (grantee, licensee, lessee, permittee, etc.,) shall use the premises in compliance withthe Regulations.
(lnclude in licenses, leases, permits, etc.)*
That in the event of breach of any of the above nondiscrimination covenants, ADMINISTERINGAGENCY shall have the right to terminate the (license, lease, permit, etc.) and to re-enter andrepossess said land and the facilities thereon, and hold the same as if said (license, lease, permit,
etc.) had never been made or issued.
(lnclude in deeds)*
That in the event of breach of any of the above nondiscrimlnation covenants, ADMINISTERING
AGENCY shall have the righl to re-enter said land and facilities thereon, .and the above-described lands and facilities shall thereupon revert to and vest in and become the absoluteproperty of ADMINISTERING AGENCY, and its assigns.
* Reverter clause and related language to be used only when it is determined that such a clause is
necessary in order to effectuate the purposes of rifle Vl of the civil Rights Act of 1964.
Page26 of 26
SUPPLEUErT NO. U002 Rev. 1
to
ADMINISTERING AGENCY.STATE AGREEMENT
FOR FEDERAI-AID PROi'ECTS NO. 07-5139
Date lJune 02,2008
Locat.Ion ! 07-LA-0-VER
ProJ ect Nurnber ! DBPL02-5139(010)
E,A. Nunber:07-932107
This Program Supplement hereby incorporates the A&ninistering Agency-State Agleement for Federal Aid which was enter€d into
between the Administering Agency and the State on 0928/98 and is subject to all the terms and conditions thereof. This Program
Supplement is executed in accordaoce with Article I ofthe aforemeniioned Master Agreement under authority of Resolutior No.
9 b''l O , approved by the Administering Agency onO|f zt 12mA (See copy attached).
The Administering Agency further stipulates that as a condition to the paymeDt by Sute ofany firnds derived fiom sources noted
below obligated to this project, the Administering Agency accepts and will comply with the Special covenants or Remarks setfoih
on the following pages.
PRO.'ECT LOCATIO}| !
Atlaotic Blvd over LA River
?YPE OF WORX: Bridge Rehabilitation & WideDin8 IJENGTB:0 o.trr.Es)
H060 $376,167.00HYlo $r 36,876.00Lrco s177,060.00
LOCAI,
$273,50E.00
EBtiEated Coat
$ 1,452,838.00
VERNON
By
Date
Attes c
T1t 1e
IJY1 O
$206,957.00 .'''
EQE El^rd J
STATE OF CALIFORNTA
Departmen ot TranEportatlol
certlfy upoB hy
Accoulting Of fleer
Chapt6E
kaoxLcdga lo! thl!.Ec!)llbrrDce!
111
171
379
17t
262042
262042
224060
224060
892-F
892-F
892-F
892-F
2001
2001
2002
200'1
2660-102-890
2660-t02-E90
2660-102-890
2660-102-890
IORM:
2007-2008
2007-2008
2002-2003
2007-2008
s1,r 79,330.00
343,833.00
376,t6'1.00
20_30.010.680
20-30.010,600
20.30.010.300
20.30.010.300
c
c
c
C
282,270.00 ,-.
177 ,060 .00 --
n4/ z4 o
Program Suppl,eaenL 07- 5139 -H002-R1 ISIEA Page 1 of 5
I beleby
Date
06n9t2008
. sPEerar eovEll4llEs oR: REuARxs
1-. T.he ADMINf,STERING .ueiJltCv wiLl r.oi.arbrlrse Ehe STATE foli tshd
Ao- l,rfNltSf"snfN.e' .$B-EIIciIr ,,bhare 'gf ,e:otgt's, fg,li worh r,egllqsGe.q to; be
.per.f.orrred liy; !hg. ETAtE,
2. Tlre ADMINI-SIIE8'INC AGENCY wiLt, advErti,ee, award, aud ,adnini'gtar
this pEojrec'ts in, ace.qlid.arlce with :Ehe ,qurrent pu.blish-e.d .Irgee1
.AseistsaBcig: iiroe.FdureB Manua1 .
,3. Al,I proJee.t repait,, ::I?gtr':traeelne!1t,, Arrd uaiutsenaDee l'avoLv-l4g the
physic.ai coadition and tbe opera-tign, of, projec:t ioprovesentg
A
6.
cO iiOR, REUeiS,Ks
?.
',IOa,:*
' : .'rlfur.i'friiiFr'
:a::iii,. -., ,
: ,.ai_:',1
rri :.r-?j:
i+;i;r.; u{i*(:.,;; ill&:l-..t1n,t llr', i.,
. - , j. .. .j.+.i!,i:r 'tr:.;'. 1.
il
Page 5 of 5
RECEIVED
FEB 2 q 20t5ne#tr_'fiD
{frsf;:*
DATE:
TO:
PREPARED BY:
APPROVED BY:
RE:
March 3,2015
Honorable Mayor and City Council
Vincent A. Rodrigu ic Works Project Coordinator
,,)
Samuel Kevin Wilson, Director of Public Works, Water and Development
Seruices
Request for Approval to Advertise a Notice Inviting Bids for Citywide
Traffic Signal Maintenance Contract No. CS-0541
Recommendation
It is recommended that the City Council:
1. Find the approval of the notice inviting bids proposed in this staffreport is
categorically exempt under the Califomia Environmental Quality Act (CEQA) in
accordance with CEQA Guidelines Section 15301, Existing Facilities Class 1,
maintenance, because this project only consists of maintenance and repair of the
City's traffic signals; and
2. Approve and authorize the advertisement of a Notice Inviting Bids for Citywide
Traffic Signal Maintenance, Confract No. CS-0541, in substantially the same form as
submitted herewith.
Background
The City of Vernon currently owns and operates 4l traffic signals. The City is seeking a
Contractor to inspect and perform maintenance on the traffic signals on a monthly basis. In
addition, they must be capable of performing emergency repairs on damaged or non-functioning
equipment at all locations including repair or replacement of failed components and the
emergency replacement of equipment damaged by vehicular accidents. This extraordinary work
will be performed on an on-call basis available 24 hours a day,7 days a week.
Currently, Aegis ITS is the contractor maintaining the City's traffic signals. Pursuant to
Resolution No. 2012-46 approved by the City Council on April 3,2012, the City entered into a
CITY ADMINISI
STAFF REPORT
PUBLIC WORKS, WATER AND DEVELOPMENT SERVI
three-year services agreement with Aegis ITS effective May 1,2012 to perform the traffic signal
maintenance and repairs.
Under the Competitive Bidding Ordinance, each contract must be rebid every three years.
The Notice Inviting Bids will be posted on the City's website, published in the Vernon Sun
newspaper, and be advertised as follows:
1. Bid America
2. Bidboard Construction Contract Advertising
3. McGraw-Hill Construction
4. Reed Construction Data
Fiscal Impact
The cost for traffic signal maintenance is budgeted in the Street Operations-Public Works
portion of the budget. This contract will be for three years at an estimated cost of $1 10,000.00
per year.
City of Vernon
REQUEST FOR BIDS
CITYWIDE TRAFFIC SIGNAL MAINTENANCE
CONTRACT NO. CS.O541
FOR THE
DEPARTMENT OF
Public Works, Water and Development Services
CITY OF VERNION, CALIFORNIA
4305 SANTA FE AVENUE
VERNON, CA 90058
6rc
TABLE OF CONTENTS
NOTICE INVITING BIDS
PAGE
NtB 2-5
rTB 6-18INSTRUCTIONS TO BIDDERS
BIDDING FORMS
Pre-Bid site lnspection Certification
lncumbency BF-11
Bidder's Statement of Qualifi cations 8F.15
BF-23
BF-24
BF.28
8F.31
BF-32
Bidder's Experience Form
Contractor Safety Questionnaire
Designation of Subcontractors
Questionnaire Regarding Subcontractors
Specialty Contractor or Subcontractor Statement of Qualifications
Conhactor's Affidavit of Non-collusion .............................8F-34
lnsurance Requirement Certification. ................................8F-36
STANDARD FORM OF CONTRACT
LtvlNG WAGE COMPLIANCE CERTTFTCATTON ............. ..............40
CERTIFICATE OF EQUAL OPPORTUNITY PRACTICES ...............41
PROJECT WORKFoRCE UTILIZATION FORM ............. ...............42
CURRENT PERMANENT WORKFORCE UTTLTZATTON FoRM ................ ..................43
CONTMCT EXHIBITS:
Exhibit A - General Conditions
ARTICLE 1. PRELIMINARY PROVISIONS GC-1
Definitions
Representatives
Permits, lnspections, Plan Checks, and Similar Govemmental Approvals and
Utilities
Licenses
Allowances
Waiver
BF.2
1.0'1
1.02
1.03
1.04
1,05
1.06
TABLE OF CONTENTS
PAGE i
1.07 Data to be Furnished by the Contractor
1.08 Conhact Drawings
1.09 Specifications and Drawings
1.10 Precedence of Contract Documents
1.11 Notice of Conflicts
1.12 Reports
1.13 Lines, Grades, and Measurements
1.14 Right of Way
1.15 Contractor'sOperations/StorageYard
ARTICLE 2. PERFORMANCEOFTHEWORK
2,01 Performance of Work-General
2.02 No Assignment or Delegation
2.03 Standard of Performance
2.04 Defective Work
2.05 City's Right to Carry Out the Work
2,06 Communications and Notices Regarding the Work
2.07 lndependentContractor
2.08 Emergency Work
2.09 Subcontractors
210 Use of Facilities Prior to Completion of Conhact
2.11 Cooperation With Other Work Forces
2.12 Agreements With Properly Owners
2.13 Protection of Property
214 Contractor's Responsibilities for Losses or Liabilities
2.15 Warranty and Corrections
2.16 Cleaning and Environmental Controls
2.17 Water Pollution Control
2.18 Solid Waste Disposal and Diversion
2.19 Recycled, Reusable and Recyclable Products
ARTICLE 3. TIME OF COMMENCEMENTAND COMPLETION
3.01 Commencemenl, Prosecution, and Completion ofWork
3.02 Cig's Discretion to Extend Time
3.03 SubstantialCompletion
3.04 Delays and Extensions of Time for Contractor
3.05 ClimaticCondiiions
3.06 Completion and Acceptance
3.07 LiquidatedDamages
ARTICLE 4. CONSTRUCTION SCHEDULES
4.01 Baseline Project Schedule
4.02 Schedule Updates
4.03 NoncompensableExtraordinaryMeasures
GC-11
GC-25
GC-29
TABLE OF CONTENTS
PAGE ii
4.04 Condition of Payment
ARTICLE 5. SUSPENSION OR TERMINATION OF CONTRACT
5.01 Termination by the Conhactor
5.02 Termination by the City for Cause
5.03 Partial Deletion or Suspension of Work by the City
5.04 Termination by the City for Convenience
5,05 Contractor's Duties Upon Termination for Cause or Convenience
ARTICLE 6. CHANGES
6.0'l City's Right to Order Changes
6.02 ApplicableProvisions
6.03 Notice of Scope Change
6.04 Change Orders
6.05 Construction Change Directive (Field Dhective)
6.06 Pricing Changes in the Work
6.07 City Originated Request for ltemized Change Order Proposal Request
6.08 Contractor Originated Change Order Requesi (COR)
6.09 City Originated Unilateral Work Directive (Unilateral)
ARTICLE 7. CONTRACT PAYMENTS AND CI.AIMS
7 .01 General
7.02 Schedule of Values for Payments
7.03 Applications for Payment
7 .04 Progress Payments
7.05 Final Payment
7.06 Miscellaneous
7.07 Payments by Contractor
7.08 Payments Withheld
7.09 Substitution of Securities
7.10 Claims
ARTICLE 8. MATERIALS AND EQUIPMENT
8.01 General
8.02 Quality and WorkmanshiP
8.03 Trade Names and "0r Approved Equal" Provision
8.04 Approval of Materials
8.05 Ordering Materials and Equipment
8.06 Authority of the Director
8.07 lnspection
8.08 lnlringement of Patents
ARTICLE9. SUBMITTALS
9.01 General
9.02 Product Handling
9.03 Schedule of Submittals
GC-32
GC-37
GC-45
GC-58
GC-61
TABLE OF CONTENTS
PAGE iii
9.04 Shop Drawings
9.05 Colors
9.06 Manufacture/sLiterature
9.07 Substitutions
9.08 Manuals
9.09 As-Built Drawings
9.10 SubmittalsQuantities
9.1 'l ldentification of Submittals
9.12 Schedule of Submittals
9.13 Coordination of Submittals
9.14 Timing for Submittals
9.15 Approval by City
9.16 Changes to Approved Submittals
ARTICLE 10. SAFETY
10.01 Protection of Persons and Property
10.02 Protection from Hazards
10.03 Differing Site Conditions
10.04 TratficRegulation
10.05 Traffic Control Devices
10.06 Execution
10.07 Flagging
10.08 Pedestrian Canopies or Barricade Payments
ARTICLE 11. INDEMNITY
11 .01 lndemnity
11.02 Enforcement
1 1.03 No Limitations
ARTICLE 12. INSURANCE
12.01 Condition to Commencement
12.02 Minimum Coverage and Limits
12.03 Conditions Regarding Insurance Coverage and Limits
12.04 lnsurance Obligation is Separate from lndemnity Obligation
ARTICLE,I3, BONDS
'13.01 Required Bonds
13.02 Power of Attorney
13.03 Approved Surety
13.04 RequiredProvisions
'13.05 New or Additional Sureties
13.06 Waiver of Modifications and Alterations
13.07 Approval of Bonds
ARTICLE 14. LABOR PROVISIONS
14.01 Working Hours
GC.66
GC.71
GC--73
GC-74
bu-/ 0
TABLE OF CONTENTS
PAGE iv
14.02 Cost of Overtime Construction Services and lnspections
14.03 Compliance with State Labor Code
14.04 Wage Rates
14.05 ApprenticeshipStandards
14.06 Employment of Apprentices
14.07 Character of Workers
'14.08 No Smoking
ARTICLE 15, DISPUTE RESOLUTION
15.01 Submission of Claims
GC-80
15.02 Claims Dispute Resolution Process
15.03 No Waiver
ARTICLE 16. ACCOUNTING RECORDS
16.01 Maintenance of Records
16.02 Access to Records
GC-82
16.03 Contractor Noncompliance - Withholding
'16.04 Specific Enforcement by City
ARTICLElT. MISCELLANEOUSPROVISIONS GC-83
17.01 Compliance with Applicable Laws
17.02 Ownership of Design Documents
17.03 Amendments
17 .04 Waiver
17.05 lndependentGontractor
17.06 Successorc and Assigns
17 .07 Survival
'17.08 Limitation on Third Pafi Beneficiaries
17.09 Personal Liability of City Employees
17.10 No Estoppel
17.11 Governing Law
17.12 FurtherAssurances
17.13 Severability
17.14 Headings
17 .15 Entire Agreement
17.16 Counterparts
Exhibits to Exhibit A-General Conditions:
Performance Bond '............. ".....Exhibit I
Payment Bond .Exhibit 2
Maintenance Bond .. '.....'.'..'......'Exhibit 3
lnsurance Requirements ................ ....'. ". '.. '.. '.. '...'Exhibit 4
TABLE OF CONTENTS
PAGE V
Exhibit B - Specia! Provisions - Specific for This Project
Attachments to Exhibit B- Special Provisions
Monthly Preventative Maintenance Tasks
Exhibit C - Living Wage Provisions
Exhibit D - Equal Employment Opportunity Practices Provisions
IEND 0F TABLE 0F CoNTENTSI
SP 1-9
Traffic Signal I aarfianc Attachment "B"
Attachment "C"
TABLE OF CONTENTS
PAGE vi
NOTICE INVITING B!DS
For
CITYWIDE TRAFFIC SIGNAL MAINTENANCE
CONTRACT NO. CS-0541
in the
City of Vernon, California
Bids are to be sigued and submitted in TRIPLICATE. ONE ORIGINAL AND TWO COPIES of
sealed bids must be received prior to 2:00 p.m., March 25r2015,by the City Clerk, City of
Vernon, 4305 Santa Fe Avenue, Vernon, CA 90058, ("Bid Deadline").
All bids shall be enclosed in sealed envelopes, distinctly marked 66Bid" with the title of the
bid and the bidder's name address appearing on the outside.
Mail sufficiently early or deliver in person before 2:00 p.m. on the day listed in the Notice
Inviting Bids. Bids must be received in the City Clerk's Office before that time. At the bid
opening, the City Clerk shall open bid packages and acknowledge the receipt of Bids. Once
all bid packages are opened and announced, the Bid Forms will be made available for
public review.
NO LATE BIDS WILL BE ACCEPTED
The bids shall be clearly titled. Copies of the Bid Documents, Plans and Specifications are
available at no charge at the Public Works, Water and Development Services Department
Counter, City of Vemon, 4305 Santa Fe Avenue, Vernon, between 7 a.m. and 5:30 p.m., Monday
through Thursday. A non-refundable fee of $20.00 will be charged if mailing is requested by
calling (323) 583-881 1, extension 259.
Pre-Bid Meeting:
A pre-bid meeting to answer any questions regarding the project plans and specifications is
scheduled for March 12, 2015 at 10:00 am in the Department of Public Works, Water and
Development Services ,4305 Santa Fe Avenue, Vernon, Califomia. This meeting is to answer
any questions regarding the project plans and specifications.
Attendance is not mandatory.
City of Vernon Contact Person: Vince Rodriguez"
;one: (323) 583-88 11 ext.220
Facsimile: (323) 826-1 43 5
Email : vrodriguez@ci.verrron.ca.us
NOTICE INVITING BIDS CONTRACT NO. CS-0541
Mandatory Qualifications for Bidder and Designated Subcontractors:
A Bid may be rejected as non-responsive if the Bidder fails to meet the essential requirements for
qualification.
General Scope of Work:
Contractor shall fumish labor, materials, equipment, services, and specialized skills to perform
work involved in the Project. The Work in the Bid is defined in the Project Drawings and
Specifications and will generally include the following:
Contractor shall fumish labor, materials, equipment, services, and specialized skills to perform
work involved in the Project. The Work in the Bid is defined in the Project Drawings and
Specif,rcations and will generally include:
Scope of Work - The proposed project will consist of ongoing and regular field preventative
maintenance and repair of traffic signal equipment, as further described in this special provision,
and other related equipment by truly trained and qualified personnel. In addition, The Contractor
shall provide Emergency Service response for the repair of the City's forty-one (41) signalized
intersections on a 24-how a day,7 days per week basis, including all holidays.
The work shall be done in accordance with Contract No. CS-0541 Specifications; "Greenbook"
Standard Specifications for Public Works Construction (2015 Edition), State of California
Department of Transportation (Caltrans) Standard Plans (2010 Edition) and the State of
California Department of Transportation (Caltrans) Standard Specifications (2010 Edition).
In the event of any conflicts, the Contract Specifications shall prevail.
Mandatory Qualifications for Bidder and Designated Subcontractors:
A Bid may be rejected as non-responsive if the Bid fails to document that Bidder meets the
essential requirements for qualification. As part of the Bidder's Statement of Qualifications,
each Bid must establish that:
Bidder satisfactorily completed at least three (3) prevailing wage public contracts in California;
each comparable in scope and scale to this Project, within three (3) years prior to the Bid
Deadline and with a dollar value in excess of the Bid submitted for this Project.
Other Bidding Information :
1. Number of Contract calendar days: 365 calendar days
2. Amount of Liquidated Damages:
a. $ 100.00 per hour late on emergency call-outs.
b. $ 500.00 for each day past the first seven (7) working days of the month for
non-completion of the preventative maintenance.
3. Required Construction Staging - Not a part of this contract.
4. Intermediate Completion Milestones : The Contractor shall perform Monthly
Maintenance during the first seven (7) working days of each month.
NOTICE INVITING BIDS CONTRACTNO. CS-054I2
5. Bidding Documents. Bids must be made on the Proposal Form contained herein.
6. Engineer's Estimate. An Engineer's Estimate of the cost of construction of this Work has
been prepared. Said estimate is in the range of $30.000.00 to $35.000.00 for the total annual
preventative maintenance.
7. Time of Completion. This Work must be completed within 365 calendar days from the
date of commencement as established by the City's written Notice to Proceed.
8. Acceptance or Rejection of Bids. The City reserves the right to reject any and all bids, to
award all or any individual partlitem of the bid, and to waive any informalities, irregularities or
technical defects in such bids and determine the lowest responsible bidder, whichever may be in
the best interests of the City. No late bids will be accepted, nor will any oral, facsimile or
electronic bids be accepted by the City.
9. Contractor's License. At the time of the Bid Deadline and at all times during
performance of the Work, including full completion of all corrective work during the Correction
Period, Contractor must possess a California contractors license or licenses, current and active,
of the classification required for the Work, in accordance with the provisions of Chapter 9,
Division 3, Section 7000 et seq. of the Business and Professions Code. ln compliance with
Public Contract Code Section 3300, the City has determined that the Bidder must possess the
following license(s): C-10, Electrical Contractor and D-31, Pole Installation and Maintenance
Contractor from California State License. The Bidder will not receive a Contract award if at the
time of submitting the bid, the Bidder is unlicensed, does not have all of the required licenses, or
one or more of the licenses are not current and active. If the City discovers at the time of the Bid
Deadline that Contractor is unlicensed, does not have all of the required licenses, or one or more
of the licenses are not current and active, the City may reject the Bid, cancel the award, declare
the Bid Bond as forfeited, keep the Bid Bond's proceeds, and exercise any one or more of the
remedies in the Contract Documents in addition to those provided by law.
10. Subcontractors' Licenses and Listing. Bidders must list each Subcontractor whom the
Bidder must disclose under Public Contract Code Secti on 4104 (Subcontractor Listing Law), and
the Bidder must provide all of the Subcontractor information that Section 4104 requires (name,
address, license number, and portion of the Work). An inadvertent error in the license number
will not be considered nonresponsive if it is corrected within 24 hours after the bid opening. In
addition, the City requires the Bidder to list the dollar value of each Subcontractor's labor or
services. The City reserves the right to review and disqualifu any proposed Subcontractor. The
City's disqualification of a Subcontractor does not disqualify a Bidder. In such case, prior to and
as a condition to award of the Contract, the successful Bidder shall substitute a properly licensed
and qualified Subcontractor- without an adjustment of the Bid Amount. At the time of the Bid
Deadline and at all times during performance of the Work, each listed Subcontractor's license
must be current and active for the portion of the Work listed and shall hold all specialty
certifications required for such Work.
11.
Authorizations: The City will apply and pay for all necessary Governmental Approvals and
Utility Fees.
12. Bid Forms and Security: Each Bid must be made on the Bid Forms obtainable at the
Department of Public Works, Water and Development Services. Each Bid shall be accompanied
NOTICE INVITING BIDS CONTRACT NO. CS-05413
by a cashier's check or certified check drawn on a solvent bank, payable to "City of Vemon," for
an amount equal to five percent (5%) of the total maximum amount of the Bid. Altematively, a
satisfactory corporate surety Bid Bond for an amount equal to five percent (5%) of the total
maximum amount of the Bid may accompany the Bid. Said security shall serve as a guarantee
that the successful Bidder will, within fifteen (15) calendar days after the date of the award of the
contract, enter into a valid contract with the City for said Work in accordance with the Contract
Documents.
13. Bid Irevocability. Bids shall remain open and valid for ninety (90) calendar days after
the Bid Deadline.
14. Substitution of Securities. Pursuant to California Public Contract Code Section22300,
substitution of securities for withheld funds is permitted in accordance therewith.
15. Prevailing Wages. This Project is a "public work" as defined in California Labor Code
Section 1720. Contractor awarded this Contract and all Subcontractors of any tier shall not pay
less than the minimum prevailingrate of per diem wages for each craft, classification, or type of
worker needed to perform the Work. The Director of Industrial Relations of the State of
California, pursuant to the California Labor Code, and the rates determined by the California
Director of lndustrial Relations are available online at www.dir.ca.gov/DlSR/PWD/.
16. Payroll Records. Pursuant to SB 854, Contractor and any Subcontractors shall furnish
electronic certified payroll records directly to the Labor Commissioner (aka Division of Labor
Standards Enforcement).
17. Annual Fee to the Department of lndustrial Relations (DIR). Pursuant to Labor Code 1725.5,
Contractor and any Subcontractors who bid or work on this project with the City must register and
pay an annual fee to the DIR. This project is subject to compliance monitoring and enforcement
bythe DIR.
Mark Whitworth
City Administrator
Dated: (Authorized by City Attorney)
Published:
NOTICE INVITING BIDS CONTRACT NO. CS-054I4
Project:
City of Vernon
Instructions for Bidders
Citvwide Traffic Sienal Maintenance
For the Department of Public Works, Water and Development Services
The City staff contact for prospective bidders is:
Vince RodriCuez. Public Works Project Coordinator. Department of Public Works, Water and
Development Services,4305 Santa Fe Avenue, Vernon, CA 90058 (323) 583-8811Ext.220.
Bid opening date and time: March 25,2015 ("Bid Deadline")
Bids will be received and opened at the Office of the City Clerk,4305 Santa Fe Avenue, Vernon,
cA 90058
The bid must be received by the City Clerk prior to the time set for bid opening. A bid received
by the City Clerk after the time set for the bid opening is a non-responsive bid and shall not be
considered.
GENERAL BID REOUIREMENTS
To be considered, a bidder must strictly follow the format for bids in the specifications. Bids
must be binding and firm. Any bids may be withdrawn before bid opening, but bids shall remain
open and valid for ninety (90) calendar days after the Bid Deadline.
I. CONTRACTORS LICENSE
The Bidder must possess a valid State of California Contractors License in the
classification(s) specified in the Notice Inviting Bids at the time of the Bid Deadline and
at all times during the performance of the Work, except as otherwise provided in
California Business and Professions Code Section 7028.15.
2. INTERPRETATION OF BIDDING DOCUMENTS, SPECIFICATIONS AND
ADDENDA
A. If any Bidder contemplating submitting a Bid is in doubt as to the true meaning of
any part of the Bidding Documents, or who finds discrepancies, elrors or
omissions therein or who finds variances in any of the Bidding Documents with
applicable law, such Bidder shall at once submit a written request for an
interpretation or correction thereof to the City's representative identified in the
Notice Inviting Bids, or other designated individual. All Bidders shall submit
such written requests to City not less than ten (10) calendar days prior to the Bid
Deadline. The person or entity submitting the request shall be responsible for its
prompt delivery to City's Contact Person identified in the Notice Inviting Bids.
INSTUCTIONS TO BIDDERS CONTRACT NO. CS-05415
J.
4.
Any interpretation or correction will be made only by Addendum issued by the
City and a copy of such Addendum will be delivered to all Interested Bidders of
record. Any Addenda so issued must be acknowledged in the Bid and the cost of
performing Work described in the Addenda shall be included in the Bid. Bidder's
failure to acknowledge receipt of all Addenda may result in rejection of the Bid as
nonresponsive. No person is authorized to render an oral interpretation or
correction of any Bidding Documents and no Bidder may rely on any such oral
interpretation or corection issued by the City. The City shall not be responsible
for any other explanation or interpretation of the Drawings or Specifications, or
for any oral instructions. City reserves the right to extend the Bid Deadline by
issuing an Addendum to Interested Bidders no later than72 hours prior to the Bid
Deadline. Bidders shall use complete sets of Bidding Documents in preparing
Bids; City shall not assume responsibility for errors or misinterpretations resulting
from the use of incomplete sets of Bidding Documents.
B. Copies of Addenda will be made available for inspection wherever Bidding
Documents are on file for that purpose. Each Bidder shall ascertain prior to
submitting a Bid that the Bidder has received all Addenda issued and the Bidder
shall acknowledge their receipt in the Bid.
OBTAINING DRAWINGS AND DOCUMENTS
Bidder may secure Bidding Documents only from the location specif,red in the
Notice lnviting Bids. City will maintain a list of persons who obtained a copy of
these Specifications ("Interested Bidders"). Only lnterested Bidders will receive
Addenda, if so issued.
BID FORMS - SUBMITTAL
A. The Bids shall be made on the forms provided herein with all blank spaces
properly filled in.
B. The phraseology shall not be changed, and no additions shall be made to the items
mentioned herein. Unauthorized conditions, exemptions, limitations, or provisions
attached to a Bid will render it informal and may cause its rejection. All forms
requiring specific information shall be completed with all applicable information
for a Bid to be considered responsive.
C. Include all Bid Forms, properly executed, and intact on forms provided. Enclose
the Bid Forms in a sealed envelope; tlpe or print on the envelope "BIDS for"
followed by the title and Specification Number and the date and time of the Bid
Deadline, and the Bidder's name and address. The envelope may be mailed, hand
delivered, or delivered by courier or package delivery service.
D. One Original Bid and two copies shall be hand delivered, delivered by courier or
package delivery service to the City Clerk, City of Vernon,4305 Santa Fe
Avenue, Vemon, CA 90058.
INSTUCTIONS TO BIDDERS CONTRACT NO. CS-054I6
5.
E. Bids received after the Bid Deadline or at any place other than the Office of the
City Clerk will not be considered.
BID FORMS - AUTHORIZED SIGNATURES
A. The full name, business address, zip code, and business telephone number, with
area code of the individual, partnership, joint venture, or corporation submitting
the Bid shall be tlpewritten or legibly printed on the Bid Forms. The Bidder shall
sign the form with his/her usual wet ink signature.
B. Sole Proprietorship: An individual shall sign.
C. Partnership (General or Limited): A partner shall sign for a partnership; the
partner shall give the names and addresses of all partners.
D. Corporation: An officer shall sign for a corporation. The corporate name must
be attested by the corporate seal. The names and titles of the president and all
officers of the corporation who are authorized to sign the Bid Forms must be
listed in an authenticated lncumbency Certificate signed by the corporate
secretary. A signature other than a corporate officer's will be accepted only if an
authenticated lncumbency Certifi cate is attached.
E. Joint Venture: Bidders shall use the appropriate section(s) listed above in B-D,
based on their applicable situation.
BID FORMS _ SCHEDULE OF BID PRICES
A. The Bidder shall include in hisftrer Bid price(s) any and all expense or costs that
may be necessary to complete the project in accordance with the requirements of
the Contract. The cost of all mobilization, preparatory work and operations for the
multiple movements of personnel, equipment, supplies, and incidentals to the
various project sites must be included in the various bid items, and no extra
compensation will be paid to Contractor.
B. The Bidder shall state for each item on the Schedule of Bid Prices form, in clearly
legible figures, the Base Bid, the alternates, and the unit price and item total or
lump sum, as the case may be, for which he/she proposes to supply labor,
materials, and equipment and to perform the Work. Bids must not contain any
erasures, interlineations, strike-throughs or other corrections unless the same are
suitably authenticated by affixing in the margin immediately opposite such
erasure or correction the initials of the person(s) signing the Bid. If any Bid, or
portion thereof, is determined by the City to be illegible, ambiguous or
inconsistent, City may reject such a Bid as being non-responsive.
C. In the case of a unit price item, the amount set forth, as the item total shall be the
product of the estimated quantity times the unit price Bid. In the event of a
discrepancy between the unit price Bid and the item total, the unit price shall
prevail; however, if the unit price is ambiguous, unintelligible, or uncertain for
6.
INSTUCTIONS TO BIDDERS CONTRACTNO. CS-054I7
1.
any cause, or is omitted, or is the same amount as the entry for the item total, then
the item total shall prevail and shall be divided by the estimated quantity for the
item and the price thus obtained shall be the unit price. Where so indicated by the
makeup of the Bid Form, sums shall be expressed in both words and figures, and
in case of discrepancy between the two, the amount written in words shall govern.
D. All requested Alternates, if any, shall be Bid. See the Schedule of Bid Prices for
more information and the list of Bid Alternates, if any. If no change in the Base
Bid is required, enter "No Change."
BID SECURITY
A. Each Bid shall be accompanied by cash or a cashier's check or a certified check,
drawn on a responsible bank doing business in the United States payable to the
City, or a satisfactory Bid Bond in favor of the City executed by the Bidder as a
principal and a California admitted surety company (as defined by California
Code of Civil Procedure $$995.120 and 995.311) as surety ("Bid Security").
B. All bonds must be issued by a California admitted surety insurer with the
minimum A.M Best Company Financial strength rating of "A:VII" or better.
Bonds issued by a California admitted surety not listed on Treasury Circular 570
will be deemed accepted unless specifically rejected by the City. Bonds issued
from admitted surety insurers not listed in Treasury Circular 570 must be
accompanied by all documents enumerated in California Code of Civil Procedure
Section 995.660. A11 such bonds must be accompanied by a power of attorney
from the surety company authorizing the person executing the bond to sign on
behalf of the company. If the bonds are executed outside the State of California,
all copies of the bonds must be countersigned by a California representative of the
surety. The signature of the person executing the bond on behalf of Surety must
be acknowledged by a Notary Public as the signature of the person designated in
the power of attorney.
C. Bid Security shall be in an amount not less than 5Yo of the Base Bid. Any Bid
submitted without Bid Security will be rejected as non-responsive. The Bid
Security shall be given as a guarantee that the successful Bidder will execute the
Contract and will provide the insurance, bonds and other required forms within
fourteen (14) calendar days after award of the Contract. Bidders will be entitled
to return of Bid Security except when a successful Bidder forfeits its Bid Security.
A forfeit may occur, for example, if the successful Bidder withdraws its Bid prior
to the expiration of ninety (90) calendar days after award of the Contract; attempts
to withdraw its Bid when the requirements of Public Contract Code $ 5l0l et seq.
are not met; or refuses or fails to execute the Contract and provide the required
bonds, insurance or certificates within fourteen (14) calendar days after award of
the Contract. In any one or more of these events, if City awards the Contract for
the Work to the next lowest responsible Bidder, the amount of the original lowest
Bidder's security shall be applied to the Contract Price differential between the
lowest Bid and the second lowest Bid. Any surplus will be returned to the original
INSTUCTIONS TO BIDDERS CONTRACT NO. CS-054I8
lowest Bidder. If the City rejects all other Bids presented and re-advertises, the
lowest Bidder's Bid Security may be used to offset the City's cost of re-
advertising and receiving new Bids. In that case, the surplus if any, will be
retumed to the original lowest Bidder.
The Bid Security shall be held for ninety (90) calendar days after the award of the
Contract or until posting by the successful Bidder of the payment and
performance bonds, proof of insurance, return of executed copies of the Contract
and necessary certification(s), whichever first occurs, after which time the Bid
Security will be returned to all Bidders.
If a Bid Bond is to be submitted, Bidder shall use the form entitled "Bid Bond"
contained in the Bidding Documents, which Bid Bond shall be properly executed
and acknowledged by the Bidder and by a corporate surety authorized to transact
such business in the State of California.
Any alteration of said form of Bid Bond, or imperfection in the execution thereof,
as herein required, will render it informal and may, at the option of the City, result
in the rejection of the Bid under which the Bid Bond is submitted.
8. BIDDER'S AND SPECIALTY CONTRACTORS' STATEMENTS OF
QUALIFICATIONS
Each Bidder shall be required to complete, execute and submit with its Bid, the
form entitled "Bidder's Statement of Qualifications." Subcontractors listed must
satisfy the mandatory qualifications described in the Specialty Contractor or
Subcontractor Statement of Qualifications applicable to the Work to be performed
by each Subcontractor and Bidder must submit the completed forms with the Bid.
Notwithstanding the provisions of Paragraph22herein, the Bidder's Statement of
Qualifications and the Specialty Contractor or Subcontractor Statement of
Qualifications shall not be public records. A11 information required by a Bidder's
or Specialty Contractor Statement of Qualifications shall be completely and fully
provided. If no information is to be filled in a blank space, then write "none."
Any Bid not accompanied by a Bidder's Statement of Qualifications and
Specialty Contractor or Subcontractor Statement of Qualifications form
completed with all information required may render the Bid non-responsive. If
the City determines that any information provided by a Bidder in the Bidder's or
Specialty Contractors or Subcontractor Statement of Qualifications is false or
misleading, or is incomplete so as to be false or misleading, the City may reject
the Bid submitted by such Bidder as being non-responsive-
A responsible Bidder is a Bidder who has demonstrated the attribute of
trustworthiness, as well as quality, fitness, capacity and experience to
satisfactorily perform fully the requirements of the contract documents. In
selecting the lowest responsible Bidder, consideration will be given not only to
the Bidder's financial standing but also to the general competency of the Bidder
for the performance of the work covered by the Bid including, but not limited to,
D.
E.
F.
A.
B.
INSTUCTIONS TO BIDDERS CONTRACT NO. CS-054I9
9.
the experience of the Bidder in construction of public buildings for public
agencies. By submitting a Bid, each Bidder agrees that the City, in determining
the successful Bidder and its eligibility for the award, may consider the Bidder's
experience with similar types of construction projects and facilities, conduct and
performance under other contracts, financial condition, reputation in the industry,
and other factors which could affect the Bidder's performance of the work.
DESIGNATION OF SUBCONTRACTORS
A. Subcontractor Listing. On the Designation of Subcontractors form, the Bidder
shall list each Subcontractor whom the Bidder must disclose under the Subletting
and Subcontracting Fair Practice Act, Public Contract Code Section 4104. The
Bidder shall provide: each Subcontractor's name, the trade and type of work that
the Subcontractor will perform, the location (address) of the Subcontractor's place
of business, each Subcontractor's license number, and the dollar value of each
Subcontractor's labor or services. If additive Alternate Bid Items are included in
the Bidding Documents, the Bidder shall identify each Subcontractor performing
additive Alternate Bid Items, when such Work - or the combination of base
Contract Work and Alternate Work - exceeds one-half of one percent of the total
Bid Amount.
B. Subcontractors' Licenses. At the time of the Bid Deadline and at all times during
performance of the Work, each listed Subcontractor shall possess a current and
active California Contractor's license appropriate for the portion of the Work
listed for such Subcontractor, and hold atl specialty certifications required for
such Work.
C. Disqualification of a Subcontractor. The City has the right to review the
suitability and qualifications of any Subcontractor proposed by the Bidder. As
part of this review, the City may request a Bidder to submit additional information
about one or more of the listed Subcontractors-including, but not limited to--a
statement detailing the Subcontractor's experience with pertinent information as
to similar projects and other evidence of the Subcontractor's qualifications. If
requested, the Bidder shall provide the information to the City within the time
specified in the City's written request. After due investigation, if the City has a
reasonable objection to any proposed Subcontractor, the City may, before giving
the notice of award, require the apparent successful Bidder to submit an
acceptable substitute. The City's disqualification of a Subcontractor does not
disqualiff a Bidder. However, prior to and as a condition to award of the
Contract, the successful Bidder shall substitute a properly licensed and qualified
Subcontractor without an adjustment of the Bid Price.
D. Work of Subcontractors. The organization or arrangement of the Specifications
and Drawings do not limit the extent of the Work for the Contract Documents.
Accordingly, all Bidders are encouraged to disseminate all of the Specifications,
Drawings and other Contract Documents to all persons or entities submitting sub-
bids to the Bidder. The omission of any portion or item of Work from the Bid or
INSTUCTIONS TO BIDDERS 10 CONTRACT NO. CS-054I
10.
from sub-bids, which is reasonably inferable from the Contract Documents, will
not be a basis for adjustment of the Contract Price or the Contract Time.
E. Ineligible Subcontractors. The successful Bidder is prohibited from performing
Work on the Project with any Subcontractor who is ineligible to perform work on
a public works project pursuant to California Labor Code Sections 1777.1 or
1177.7. In submitting its Bid, the Bidder certif,res that it has investigated the
eligibility of each and every listed Subcontractor and has determined that none is
ineligible to perform work pursuant to the above code provisions.
CONTRACTOR'S NONCOLLUSION AFFIDAVIT
A Noncollusion Affidavit in the form provided by the City shall be signed under penalty
of perjury, certiffing that the Bid is not the result of and has not been influenced by
collusion. Bidder shall submit this form with its Bid. Any Bid made without such
affidavit, or believed to be made in violation of the requirements set forth in the affidavit
form, may be rejected.
INSURANCE REQUIREMENTS
The Bidder shall submit to its insurance company or insurance agent the lnsurance
Requirements in this Specification and the Contract Documents. The insurance
company's underwriter or agent must complete the Insurance Requirements
documentation which states that the insurer's underwriter or agent will furnish the City
with the required insurance documents within fourteen (14) days after the Bidder's
having been notified of the Contract's award. The Bidder shall submit this form with its
Bid. Any Bid made without this statement, or made with an incomplete statement, may
be rejected.
EXAMINATION OF DRAWINGS, SPECIFICATIONS, AND SITE OF WORK
A. The Bidder shall examine carefully the site of the Work contemplated and the
Drawings and Specifications. The submission of a Bid will be conclusive
evidence that the Bidder has investigated and is satisfied as to the conditions to be
encountered, as to the character, quality, and quantities of Work to be performed
and materials to be fumished, the difficulties to be encountered, and to the
requirements of the Drawings, Specifications, and other Contract Documents. The
Bidder shall ascertain the locations of the existing utility services, and other
underground facilities, and provide for carrying out its operations so as to cause
the minimum possible inconvenience to the occupants of properties along any
streets affected. All Work and costs involved in the safeguarding of the properties
of others shall be at the expense of the Bidder to whom the Contract may be
awarded.
B. The Bidder hereby certifies that it has examined the local conditions, has read
each and every clause of the Contract Documents, and that it has included all
costs necessary to complete the specified Work in its Bid prices, and the Bidder
agrees that if it is awarded the Contract, it will make no claim against the City
11.
12.
1lINSTUCTIONS TO BIDDERS CONTRACT NO. CS-054I
13.
based upon ignorance of local conditions or misunderstanding of any of the
provisions of the Contract. Should the conditions turn out otherwise than the
Bidder anticipated, the Bidder agrees to assume all risks incident thereto.
PRICES AND PAYMENTS
Approximate quantities listed in the Schedule of Bid Prices are estimates given for
comparing Bids, and no claim shall be made against the City for excess or deficiency
therein, actual or relative. Payment at the prices agreed upon will be in full for the
completed Work and will cover materials, supplies, labor, tools, equipment, and all other
expenditures incident to a satisfactory compliance with the Contract, unless otherwise
specifically provided.
PERMIT FEES
City of Vernon shall obtain all Governmental Approvals and Utility Fees as required for
the construction of the project. The Bidder shall not include the direct cost associated
with obtaining any permits and its fees, except as otherwise noted in the project
specifications.
15. SUBSTITUTIONS
No requests for substitution of any material, device, product, equipment, fixture, form, or
type of construction shall be considered by City prior to award of the Contract. Bidders
shall submit all requests for substitution and substantiating data, within seven (7)
calendar days from the date of the Notice to Proceed. Bidder shall refer to the
appropriate provisions of the General Conditions for additional information regarding
substitutions. Authorization of a substitution is solely within the discretion of the City.
RETURN OF IMPROPER BIDS
Bids submitted after the Bid Deadline are non-responsive and shall be returned to the
Bidder unopened. Oral, telephonic, telegraphic, facsimile or electronically transmitted
Bids shall not be considered unless the Notice Inviting Bids expressly permits such
means of transmittal.
WITHDRAWAL OF BIDS
Bidder may withdraw its Bid either personally or by written request any time prior to the
scheduled Bid Deadline by notice to the City's Contact Person designated in the Notice
Inviting Bids. If such notice is written, it shall be signed by the Bidder and shall be date-
stamped and time-stamped by the City upon receipt. Withdrawn Bids may be
resubmitted before the Bid Deadline provided that they are in fuIl conformance with
these Instructions to Bidders. Once submitted, all Bids are irrevocable, except as
otherwise provided by law. Requests for withdrawal of Bids after the Bid Deadline shall
be made only in accordance with California Public Contract Code $ 5100, et seq. Bidder
agrees by submitting a Bid that such Bid shall remain open, is irrevocable, and may not
be modified, withdrawn, or cancelled for a period of ninety (90) days after award of the
14.
16.
17.
INSTUCTIONS TO BIDDERS t2 CONTRACT NO. CS-054I
18.
Contract.
OPENING AND EVALUATION OF BIDS
A. Bid Opening and Tabulation. The Bids shall be opened and read in public after
the Bid Deadline has expired at the time and location listed in the Notice lnviting
Bids. A tabulation of all Bids received will be available for public inspection at
the Office of the Director of Community Service & Water, 4305 Santa Fe
Avenue, Vernon, CA during regular business hours for a period of not less than
thirty (30) calendar days following the Bid Deadline. The City reserves the right
to accept or reject any or all Bids and be the sole judge regarding the suitability of
the products, services or supplies offered; and/or to waive any irregularities or
informalities in any Bids or in the bidding process. The City further reserves the
right to purchase all or fewer than all items or quantities of each item listed in the
Bidding Documents. The award of the Contract, if made by the City, shall be to
the lowest responsive and responsible Bidder. If Bid Alternate Items are called
for, the lowest Bid shall be determined according to Paragraph 20 below.
B. Evaluation of Bids.
1. Mandatory Qualifications. A Bid shall be rejected as non-responsive if the
Bidder fails to document in the Bid that Bidder meets the essential
requirements for qualification described in the Notice Inviting Bids. As
part of the Bidder's Statement of Qualifications each Bidder must
establish that it, as the current entity: (1) has successfully completed at
least 3 similar projects involving similar work within the last 3 years with
a cost equal to or in excess of the Bidder's Bid; and (2) has successfully
completed at least 3 public works projects.
2. Responsive Bid. A responsive Bid is a Bid which conforms, in all
material respects, to the Bidding Requirements and Contract Documents.
3. Responsible Bidder. A responsible Bidder is a Bidder who has
demonstrated the attribute of trustworthiness, as well as quality, fitness,
capacity and experience to satisfactorily perform fully the requirements of
the Contract Documents.
4. Competency of Bidders. In selecting the lowest responsible Bidder,
consideration will be given not only to the financial standing but also to
the general competency of the Bidder for the performance of the Work
covered by the Bid including, but not limited to, the experience of the
Bidder in construction of public works for public agencies. By submitting
a Bid, each Bidder agrees that the City, in determining the successful
Bidder and its eligibility for the award, may consider the Bidder's
experience with similar types of construction projects and facilities,
conduct and performance under other contracts, financial condition,
reputation in the industry, safety record and protocols and other factors
INSTUCTIONS TO BIDDERS 13 CONTRACT NO. CS-0541
19.
which could affect the Bidder's performance of the Work.
AWARD OF CONTRACT
The City reserves the right to reject any or all Bids and to waive any or all information or
technical defects, as the interest of the City may require. Award of Contract or rejection
of Bids will be made by the City within ninety (90) calendar days following the Bid
Opening.
BASIS OF AWARI)
A. A Contract will be awarded to the lowest responsive and responsible Bidder
meeting all requirements set forth in these Bidding Documents.
B. City reserves the right in its sole discretion to select any, all, or none of the Bid
Alternates at the time of award of the Contract, regardless of whether such Bid
Alternates were used in the analysis to determine the lowest Bid.
EXECUTION OF CONTRACT
Within fourteen (14) calendar days after being notified by City that it has been awarded
the Contract, Contractor shall deliver to the City the following documents:
A. Three (3) copies of the Contract in the form included herein, properly executed by
Contractor and, if Contractor is a corporation, evidence of its corporate existence
and that the persons signing the Contract are authorized to do so. A11 signatures
must be notarized.
B. Properly executed copies of the (a) Performance Bond (b) Labor and Material
(Payment) Bond and (c) Maintenance Bond in accordance with the requirements
set forth in Article 13 of the General Conditions and in the form shown on
Exhibits 1,2 and 3 attached thereto. All signatures must be notarized.
C. Properly executed policies of all of the following: (a) the Commercial General
Liability Insurance, (b) the Automotive Liability Insurance, and (c) Professional
Liability, if required, and (e) the corresponding endorsements for each policy in
accordance with the requirements set forth in Article 12 of the General
Conditions.
In the event that the fourteenth calendar day falls on Saturday, Sunday, a legal holiday for
the State of California, or on days when City Hall is closed, the aforesaid documents shall
be delivered by the following Working Day.
After receipt of said documents within said time period or any extension thereof granted
by the City, the City shall execute the Contract and return one (1) of said three (3) copies
to Contractor for its files.
20.
2t.
l4INSTUCTIONS TO BIDDERS CONTRACT NO. CS-054I
22.PUBLIC RECORDS
City seeks to conduct its business openly. Except as set forth in paragraph 8.A., upon
opening, all Bids shall become a matter of public record and shall be regarded as public,
with the exception of those elements of each Bid that are identified by the Bidder and
plainly marked as "trade secret," "conftdential," or "proprietary," including any
Statement of Qualifications and financial statements to be submitted by Bidders. Each
element of a Bid which a Bidder desires not to be considered a public record must be
clearly marked as set forth above, and any blanket statement (i.e. regarding entire pages,
documents, or other, non-specific designations) shall not be sufficient and shall not bind
the City in any way whatsoever. If City receives a request from a third party to make a
Bid available for inspection and copying, the City will notify the Bidder of the request. If
a Bidder instructs the City that the information is not to be released, City will withhold
the information, provided, the Bidder expeditiously seeks a protective order from a court
of competent jurisdiction to prevent such release. If disclosure is required under the
California Public Records Act or otherwise by law (despite the Bidder's request for
confidentiality), the City shall not in any way be liable or responsible for the disclosure of
any such records or part thereof.
Bidder shall indemnify, defend (including Bidder's providing and paying for legal counsel
for City), and hold harmless City, its officers, agents, employees, and representatives from
and against all liability, claims, suits, demands, damages, fines, penalties, costs, or
expenses arising out of or alleging City's refusal to publicly disclose one or more records
that Bidder identifies as protectable, or asserts is protectable.
PREVAILING WAGE RATES A}[D EMPLOYMENT OF APPRENTICES
A. Prevailing Wage Rates. The Bidder and all Subcontractors shall utilize the
relevant prevailing wage rate determinations in effect on the first advertisement
date of the Notice Calling for Bids in preparing the Bid Proposal and all
component price quotations, provided, however, that when Davis Bacon wage
rates apply, such rates are subject to increase by written notice, issued by
Addendum not less than 10 calendar days before the Bid Deadline. Pursuant to
California Labor Code Section 1770 et seq., the Director of the Department of
Industrial Relations of the State of California and the United States Secretary of
Labor have determined the general prevailing wage rates in the locality in which
the Work is to be performed. Said rate schedules are available on the Internet at
www.dir.ca.goviDlSR/PWD/. The wage rate for any classification not listed, but
which may be required to execute the Work, shall be commensurate and in accord
with specified rates for similar or comparable classifications for those performing
similar or comparable duties. To comply with California Labor Code Section
1713.2, Contractor shall post, at appropriate and conspicuous locations on the job
site, a schedule showing all applicable prevailing wage rates and shall also
comply with the requirements of California Labor Code Sections 1773 et seq.
B. Apprenticeship Committee Contract Award Information. Pursuant to Califomia
Labor Code g 1777.5 and Title 8 of the California Code of Regulations $ 230,
23.
INSTUCTIONS TO BIDDERS l5 CONTRACT NO. CS-054I
Contractor and Subcontractors of any tier who are not already approved to train
by an apprenticeship program sponsor shall, within ten (10) calendar days of
signing the Contract or subcontract, as applicable, but in any event prior to the
first day in which Contractor or Subcontractor has workers employed on the
Project, submit the Public Works Contract Award lnformation form (DAS Form
140) to the appropriate local apprenticeship committees whose geographic area of
operation include the area of the Project and who can supply apprentices to the
Project. City reserves the right to require Contractors and Subcontractors to
submit a copy of said forms to the City.
C. Statement of Employer Fringe Benefit Payments. Within five (5) calendar days
of signing the Contract or subcontract, as applicable, the Statement of Employer
Payments (DLSE Form PW 26) shall be completed for each Contractor and
Subcontractor of any tier who pays benefits to a third party trust, plan or fund for
health and welfare benefits, vacation funds or makes pension contributions. The
form must contain, for each worker classification, the fund, plan or trust name,
address, administrator, the amount per hour contributed and the frequency of
contributions. Training fund contributions shall also be reported in this form. City
reserves the right to require Contractors and Subcontractors to submit a copy of
said forms to the City.
D. Notice to Subcontractors. Bidders shall notiff all potential Subcontractors
submitting price quotations for portions of the Work of the requirements
concerning payment of prevailing wage rates, payroll records, hours of Work, and
employment of apprentices.
24. SPECIAL CITY REQUIREMENTS
Special City forms and their instructions are an integral part of these specifications and
failure to submit same may be grounds, in the sole discretion of the City, for rejection of
any Bidder.
A. Living Wage Ordinance And Prevailing Wage Where Applicable. Contractor,
and Subcontractors, if any, shall comply with the terms and conditions of
Ordinance No. 1187, the City's Living Wage Ordinance. Upon request, certified
payroll documents shall be provided to the City. If there is a difference between
the Vernon Living Wage rates and the Califomia Prevailing wage rates for the
same classification of labor, Contractor and subcontractor shall not pay less than
the highest wage rate for that classification.
B. Equal Employment Opportunity In Contracting. The City of Vernon is committed
to a policy of equal opportunity in contracting. Qualified firms including small
businesses and businesses owned by women, minorities, and disabled persons are
encouraged to submit bids or proposals. Contractors expressly agree to comply
with the City's ordinances and regulations regarding Equal Opportunity
Employment as well as regulations that may be mandated by the source of the
funds supporting the Contract. Contractor certifies and represents that during the
INSTUCTIONS TO BIDDERS t6 CONTRACT NO. CS-054I
25.
performance of this Contract, it and any other parties with whom it may
subcontract shall adhere to equal employment opportunity practices to assure that
applicants, employees and recipients of service are treated equally and are not
discriminated against because of their are not discriminated against because of
their race, religion, religious belief, color, national origin, citizenship, ancestry,
disability, sex, age, medical condition, pregnancy, sexual orientation or marital
status. Contractor certifies that it will not maintain any segregated facilities.
Contractor shall comply with all applicable Federal and California laws including,
but not limited to, the California Fair Employment and Housing Act (California
Government Code Section 12900, et seq.), Califomia Labor Code Section 1735,
and The Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et seq.).
Contractor shall require like compliance by all Subcontractors employed on the
Work.
BID PROTEST PROCEDURES
A. Any Bidder submitting a Bid directly to the City and eligible for award of the
Contract may file a protest if the Bidder complies with all of the following
requirements and conditions:
B.
l. The Bid protest is in writing;
2. A protest based upon alleged defects or improprieties in the Contract
Documents is filed with the City prior to the Bid Deadline;
3. All other protests are to be filed and received by the City no more than five (5)
calendar days following the City's notice of intent to award the Contract; and
4. The written Bid protest sets forth, in detail, all grounds for the Bid protest,
including without limitation: all facts, supporting documentation, legal
authorities, and argument in support of the grounds for the Bid protest. All
factual contentions must be supported by competent, admissible, and credible
evidence.
Any matters not set forth in the written Bid protest will be deemed waived. Any
Bid protest not conforming to the foregoing requirements and conditions will be
rejected by the City as invalid.
Bid Dispute Indemnification. In the event of a Bid dispute based upon the
Bidder's submission of this Bid and the City acceptance of same, the Bidder shall
indemnify, defend (with counsel acceptable to City), and hold harmless the City,
its City Council members, employees, and agents from liability, claims, demands,
damages, and costs arising therefrom if such dispute or action arises solely upon
the award of a Contract in compliance with federal, state, and local laws.
IEND OF DOCUMENT]
C.
INSTUCTIONS TO BIDDERS t7 CONTRACT NO. CS-054I
BIDDING FORMS
BIDDING FORI\4S
BIDDER'S PROPOSAL
The undersigned submits this Bid in response to the Notice lnviting Bids issued by the City to construct the Work of
the following Project in accordance with the Contract Documents:
PROJECT: Citvwide Traflic Siqnal Maintenance. Contract No. CS-0541
A. Enclosed herewith and by this reference incorporated herein and made a part of this Bidde/s Bid are the
following completed forms:
1. Bidder's Proposal
2. Schedule of Bid Prices
3. lncumbenry Certificate
4. Bid Security in the following form (check one):
E cashier's check E Certified Check E Bid Bond n Cash
5. Bidde/s Statement of Qualifications
6. Experience Form
7. Statement of Violations of Federal, State or Local Law, if applicable
8. ContractorSafetyQuestionnaire
9. Designation of Subcontractoc
10. Specialty Contractor Statement of Qualifications
11. Contractor's Affldavit of Noncollusion
12. lnsuranceRequirementsAffidavit
13. Statement of Disqualification or Debarment.
14. Pre-Bid Site lnspection Certification.
B, Acknowledgment of Addenda. The Bidder shall acknowledge the receipt of all Addenda by attaching a
signed copy of all Addenda, and by listing all Addenda received and attached in the space below.
lf an Addendum or Addenda have been issued by the City and not attached and noted above as being
received by the Bidder, the Bid may be rejected.
C. lnspection of the Work and Contract Documents. Bidder certifles that it has carefully examined and is fully
familiar with all of the provisions of the Bidding Documents and said Bidding Documents mntain sufflcient
detail regarding the Work to be performed; that it has notifled City of any enors or omissions in the Bidding
Documents and/or any unusual site conditions; and that it has carefully checked allwords, prices, and
BF 10f38
BIDDING FORMS
statements in this Bidding Document. Bidder hereby certifies that he/she and his/her Subcontractors have
inspected the site and related Drawings and Specifications of Work and fully acquainted themselves with all
conditions and matters which may in any way affect the Work, time of completion or the costs thereof.
Bidder also certifies he/she has observed the designated Contractor Work areas and access routes, if
disclosed or shown, as part of the Work in this Contract.
SITE lNSPECTION - CERTIFICATION:
Person(s) who inspected site of the proposed Work for your firm:
Date of lnspectionName:
Title:
Name: Date of lnsPection
Title:
D. Bidder agrees that all costs of Work shown in the Bidding Documents, including work reasonably inferable
therefrom and necessary thereto, are included in his/her Bid. All Work shown in the Contract Documents for which a
speciflc line item is not provided in the Bidding Form is included in the Bidde/s Total Base Bid Price.
E. Forfeiture of Bid Security. Bidder further agrees that, in case of his/her default in executing the required
Contract and the required bonds, or furnishing the required insurance, the money payable under the Bid Security
accompanying this Bid shall be applied by the City towards payment of the damage to the City on account of such
default, as provided in the Bidding Documents.
F. Period of lrrevocability. Bidder agrees that this Bid shall remain open and shall not be withdrawn for a
period of not less than ninety (90) calendar days from the date of award of Contract, or until rejected by the City,
whichever period is shorter.
G. Bid Dispute lndemnification. ln the event of a Bid dispute based upon the Bidde/s submission of this Bid and
the City acceptance of same, the Bidder shall indemnifo, defend (with counsel acceptable to City), and hold harmless
the City, its City Council members, employees, and agents from liability, claims, demands, damages, and costs arising
therefrom if such dispute or action arises solely upon the award of a Contract in compliance with federal, state, and local
laws.
emplovee of the Citv of Vernon.
I hereby certify under penalty of perjury under the laws of the State of California that the representations made herein
are true and correct.
Executed this _ day of
Bidde/s Proposal
Respectfully Submitted,
cty
BF2of38
BIDDING FORMS
NAME OF BIDDER
COMPANY
NAME:
ADDRESS:
CONTACT PERSON:
TELEPHONE NUMBER:FM NUMBER:
E-MAIL:
CALIFORNIA STATE CONTRACTOR'S LICENSE NUMBER:
EXPIMTION DATE:
TM IDENTIFICATION NO.:
SURETY COMPANY:
All Bid forms must be signed where so indicated by the person or persons duly authorized to sign on behalf of the
Bidder. By signing the Bid, the person signing is deemed to represent that he or she has authority to bind the Bidder.
Failure to sign the Bidde/s Proposal may invalidate the Bid.
BIDDER'S PROPOSAL - SIGNATURE(S):
Form of Entity of Bidder:
Please check the appropriate signature block below and fill in all related information.
l-l sor. Proprietorship:
By:
Tte:
Printed name of person signing
Signature
List All d/b/a's:
l-l p.rtnership: E GeneralPartner E timiteo Partner
Title:
Printed Name of person signing
By:
Signature
BF3of38
BIDDING FORMS
l-l Corporation:
By:Corporate Offi cer Title:
Printed Name of person signing
Signature
By:
l---l ,o,n, venture: I corporation ! Partnership
E lndividuat E otner
Title:
Printed Name of person signing
Signature
Name of all Joint Venturers:
[f the Bidder is a corporation or a limited liability company, enter state or county of incorporation in addition to the
business address and include an incumbency certificate executed by a Secretary thereof in the form set forth herein
listing each officer with signing authority and his/her corresponding office. lf the Bidder is a partnership or joint
venturer stating that the respective partner or joint venturer agrees to be held jointly and severally liable for any and
all of the duties and obligations of the Bidder under the Bld and under any contract arising therefrom. Attach
evidence to the Bid Proposal Form that the individual signing has authority to do so.l
BF4of38
BIDDING FORMS
SCHEDULE OF BID PRICES
PROJECT: Citvwide Traffic Siqnal Maintenance. Contract No. CS-0541
BIDDER'S NAME:
BASE BID
Pursuant to and in compliance with your Notice lnviting Bids and Contract Documents relating to the Project including
all Addenda (attach signed copies), Bidder, having become thoroughly familiar with the terms and conditions of the
Contract Documents and with local conditions affecting the performance and the costs of the Work at the place
where the Work is to be done, hereby proposes and agrees to fully perform the Work within the time stated in strict
accordance with the Contract Documents (includlng the furnishing of any and all labor, materials, tools, expendable
equipment, and utility and transportation services necessary to fully perform the Work and complete it in a
workmanlike manner) for the Grand Total of:
Dollars
(Also, enter Total at top of page 10 of 38)
Proposed Construction Costs Breakdown
SECTION I!. EXTRAORDINARY MAINTENANCE
A. Material: Contractor's cost for the supply plus (+1 15% per the Green Book
B. Labor: Contractor's hourly rates (including all fringe benefits, markup, overhead, etc.) for all
job classifications involved in extraordinary maintenance.
SEGTION I. ROUTINE MAINTENANCE
Bid
Item
No.
Description Unit otv Unit Price
Per Month
Total Cost
Per Year
1
Routine Maintenance-lnspection and Cleaning per
Attachment "C",
EA 41 $$
Bid
Item
No.
Classification Title Unit
Hours
Per
Year
Straight
Time
Total Cost
Per Year
2 Signal Maintenance Superintendent HR 5 $$
3 Engineering Technician HR 10 $$
4 Laboratory Technician HR 10 $$
5 Traffic Signal Technician- Lead (IMSA Level lll Certified)HR 120 $$
6 Traffic Signal Technician- (IMSA Level ll Certified)HR 80 $$
BF5of38
BIDDING FORMS
7 Utility Technician- Lead (Certified)HR 30 $$
8 Utility Technician HR 30 $$
SUBTOTAL FOR BID ITEMS NO.2 THROUGH NO. 8 $
SUBTOTAL FOR BID ITEMS NO.9 THROUGH NO. 15 $
Bid
!tem
No.
CLASSIFICATIONS TITLE Unit
Hours
Per
Year
Overtime Total Cost
Per Year
I Signal Maintenance Superintendent HR 5 $$
10 Engineering Technlcian HR 10 $$
11 Laboratory Technician HR 10 $$
12 Traffic Signal Technician- Lead (IMSA Level lll Certified)HR 120 $$
13 Traffic Signal Technician- (IMSA Level ll Certifled)HR 80 $$
14 Utility Technician- Lead (Certifi ed)HR 30 $$
15 Utility Technician HR 30 $$
Bid
Item
No.
Labor and Material Unit Qty Per
Year Unit Price TotalCost
Per Year
16 lnstall 6' diameter traffic loop (4 or less)EA 12 $$
17 lnstall 6' diameter traffic loop (more than 4)EA 12 $$
18 Furnish and lnstall 6' diameter bike loop (4 or less)EA 12 $$
19 Furnish and lnstall 6' diameter bike loop (more than 4)EA 12 $$
20 Furnish and lnstall No. 5 pullbox EA 4 $$
21 Furnish and lnstall No. 6 pullbox EA 4 $$
22 Furnish and install LED Countdown Pedestrian Head-
(Dialight)EA 12 $$
23 Furnish and install video detection camera (lteris
Vantage Edge 2)- Connect @ mast arm EA 2 $$
24
Furnish and install video detection camera (lteris
Vantage Edge 2) - Connect @ mast arm with new cable
to cabinet.
EA 2 $$
25 Furnish and install video detection camera (Autoscope
Solo Pro)- Connect @ mast arm EA 2 $$
BF6of38
26
Furnish and install video detection camera (Autoscope
Solo Pro) - Connect @ mast arm with new cable to
cabinet.
EA 2 $$
27 Furnish and install ADA push button.EA 10 $$
28 Furnish and install ADA push button assembly complete
with signs.
EA 8 $$
29 Furnish and install handhole cover (Small Plastic oval or
rectangular).
EA 4 $$
30 Furnish and install handhole cover (Small Galvanized
oval or rectangular).
EA 4 $$
31
Furnish and install handhole cover (Large Plastic oval or
rectangular).
EA 8 $$
32
Furnish and install handhole cover (Large Galvanized
oval or rectangular).
EA 8 $$
33 Furnish and install 3 section 12" head on shaft EA 4 $$
34 Furnish and install 5 section 12'head on shaft EA 2 $$
35 Furnish and install 3 section 12'head on mast arm EA 2 $$
36 Furnish and install 5 section 12' doghouse with mast
arm mount
EA 2 $$
37 Furnish and install NEMA conflict monitor EA 4 $$
38 Furnish and install 24 volt power supply EA 4 $$
39 Furnish and install8'LED Red Ball (Dialight)EA 10 $$
40 Furnish and install 8' LED Yellow Ball (Dialight)EA b $$
41 Furnish and install 8'LED Green Ball (Dialight)EA 10 $$
42 Furnish and install 12'LED Red Ball (Dialight)EA 24 $$
43 Furnish and install 12'LED Yellow Ball (Dialight)EA 8 $$
44 Furnish and install 12' LED Green Ball (Dialight)EA 24 $$
45 Furnish and install 12'LED Red Arrow (Dialight)EA 4 $$
46 Furnish and install 12' LED Yellow Anow (Dialight)EA 2 $$
47 Furnish and install 12" LED Green Arrow (Dlalight)EA 4 $$
48 Furnish and Install 72"x18" ISNS Panel (GreenMhite)EA 12 $$
49 Conduct Safety Light and ISNS Night Survey (Monthly)EA 12 $$
50 lnstall City furnished regulatory sign on signal mast arm EA 50 $$
51 Replace Type 1-A (10')pole.EA 4 $$
52 Adjust alignment of signal head on pole.EA 10 $$
BIDDING FORMS
BF7of38
BIDDING FORMS
53 Adjust alignment of signal head on mast arm.EA 4 $$
54
Furnish and install Type 332 cabinet with 170 ATC
McCain controller per Los Angeles County Specifications
(complete in place with all necessary equipment)
including turn-on.
EA 2 $$
55
Furnish and install Type P1 or M1 cabinet with ASC/2S-
2100 Econolite controller per Los Angeles County
Specifications (complete in place with all necessary
equipment) including turn-on.
EA 2 $$
56 Furnish and install 170 ATC McCain controller EA 2 $$
57 Furnish and install ASC/2S-2100 Econolite controller EA 2 $$
SUBTOTAL FOR BID ITEM NO. 16 THROUGH NO. 57 $
(LABORAND MATERIAL)
SUBToTAL BrD rrEM NO.58 THROUGH NO.64 (EQUIPMENT) $
Bid
Item
No.
Equipment Unit Qty.Per
Year Unit Price Total Cost
Per Year
58 Pick-up truck TRIP 80 $$
59 Hydraulic service bucket truck TRIP 120 $$
60 Hydraulic Boom Truck TRIP 5 $$
61 Compressor with tools TRIP 5 $$
62 Crane Truck TRIP 5 $$
63 Concrete Saw TRIP 5 $$
64 Water Truck TRIP 1 $$
BF8of38
BIDDING FORMS
SECTION III. CONTRACT PROPOSAL COST SUMMATIONS
GRAND TOTAL BtD TTEMS NO. 1 THROUGH NO 64 (USED FOR BID PURPOSES ONLY):
Dollars ($
(Also, enter Total at top of page 6-38)
Bid is for comparison purposes. Actual pay to the Contractor for emergency work will be based on actual time and
materials based on unit prices provided. All unit prices shall include all overhead costs and profits.
All other work items, labor, materials, tools and incidentals which are not speciflcally listed in the above bid items, but
are necessary to complete the prolect per specifications, and all other applicable standards and codes are
considered to be included in the above bid items.
lf there is a discrepancy between (1) the "Grand Total" shown immediately above, (2) any of the "tota! costs"
shown in the far right column above, or (3) the individual Unit Price, then the Unit price shall control over the
total cost, and the total cost shall contro! over the total. lf, however, the unit price is ambiguous,
unintelligible, or uncertain for any cause, or is omitted, or is the same amount as the entry for the item total,
then the item tota! shall prevail and shall be divided by the estimated quanti$ for the item and the price thus
obtained shall be the unit price.
Bidder shall exclude the cost of Permit Fees from Bidde/s Base Bid sum.
BF9of38
BIDDING FORMS
Respectfully submltted :
License Number
(SEAL - if Bid is by a corporation)
Attest
Date of Expiration
Amount of Certified or Cashie/s Check or Bid Bond
Name of Bonding Company
BF 10 of 38
BIDDING FORMS
INCUMBENCY CERTIFICATE
Print legibly the names and title of the president and all officers of the Company who are authorized to sign the Bid
Forms:
PRESIDENT'S & OFFICERS' NAME:
The undersigned hereby certifies to the City of Vernon that he/she is the duly elected and acting Secretary of
(the "Company'), and that, as such, he/she is authorized to execute
this lncumbency Certificate on behalf of the Company, and further certifies that the persons named above are the
duly elected, qualifled and acting officers of the Company, holding on the date hereof, the titles and positions set forth
opposite their names and are authorized to sign the Bid Forms.
lN WITNESS WHEREOF, the undersigned has executed this lncumbency Certificate this _ day of
Secretary's Name-Printed
Secretary's Signature
T TLE:
20-.
BF 11 of38
BIDDING FORMS
Bond No.:
Premium Amount: $
Bond's Effective Date:
BID BOND
RECITALS:
1. The City of Vernon, California ("City'), has issued a Notice lnviting Bids for the Work described as follows:
Contract No. CS-0541: Citywide Traffic Signal Maintenance in Vernon, CA. ("Project').
2. ln response to the Notice lnviting Bids,
(Name, address, and telephone of Contractor)
("Principal"),
has submitted the accompanying Bid for the Project.
3. Principal is required under the terms of the Specification-and all Bidding Documents referenced in it-to furnish a
bond with the Bid.
4. The Specification, including all its amendments and supplements, and Principal's Bid are incorporated into this Bond
and made a part of it by this reference.
OBLIGATION:
THEREFORE, for value received, We, Principal and
(Name, address, and telephone of Surety)
("Surety"),
a duly admitted surety insurer under California's laws, agree as follows:
By this Bond, We jointly and severally obligate and
successors, and assigns to pay City the penal sum of
bind ourselves, and our respective heirs, executors, administrators,
Dollars ($ )('the Bonded Sum'), this
amount comprising not less than FIVE PERCENT (5%)TEll+EReEN++0%) of Principal's Base Bid, in lawtul money of
the United States of America.
The California Licensed Resident Agent for Surety is:
(Name, address, and telephone)
Registered Agent's California Department of lnsurance License No.
THE CONDITION OF THIS BOND'S OBLIGATION lS THAT, if: (1) Principal does not (a) withdraw its Bid for the period
specified in the Bidding Documents, or-if no period is specified-for ninety (90) calendar days afier City awards the
Contract for the Project, or (b) attempt to withdraw its Bid when the requirements of California Public Contract Code $5101
ef seq., or any successor legislation, are not met; or (2) City awards Principal the Contract in response to Principal's Bid,
and within the time and manner specified by the Specification or Contract Documents or-if no period is specified-within
fourteen (14) calendar days after the Contract's award, Principal (a) signs and delivers to City the Contract, in accordance
with the Bid as accepted, (b) furnishes the required bonds for not only Principal's faithful performance and proper
fulfillment of the Contract, but also Principal's payment for labor and materials used in the Project, and (c) furnishes the
required insurance, then this obligation bemmes null and void. Otherwise, this Bond remains in full force and effect, and the
following terms and conditions apply to this Bond:
1. Surety's obligations under this Bond are separate, independent from, and not contingent upon any other surety's
guaranteeing that upon City's awarding the Contract to Principal, the Principal will enter into the Contract with City.
2. No right of action accrues on this Bond to any entity other than City or its successors and assigns.
3. lf an action at law or in equity is necessary to enforce or interpret this Bond's terms, Surety must pay- in addition to the
Bonded Sum- City's reasonable attorneys'fees and litigation costs, in an amount the court fixes.
BF 12 of38
BIDDING FORMS4. Surety shall mail City written notice at least 30 days before: (a) the effective date on which the Surety will cancel, terminate,
or withdraw from this Bond; or (b) this Bond becomes void or unenforceable for any reason.
0n the date set forth below, Principal and Surety duly executed this Bond, with the name of each party appearing
below and signed by its representative(s) under the authority of its governing body.
Date:
PRINCIPAL:SURETY:
(Company Name)(Company Name)
By:
Its:
By:
(Signature)(Signature)
(Name)(Name)
(Title) (Title)
Address for Serving Notices or Other Documents: Address for Serving Notices or Oher Documents:
CORPORATE SEAL CORPORATE SEAL
. EIIDENCEMUSTBEATTACHEDOFTHENm/oRfNOFAMPERSOI'JSrGM^TGASATTORNEY-IMFACT.. THE ATTORNEy-,IV-FAC7S STG JATURE MUST BE NOTARIZED.. A CORPOMIE SE4[ MUST BE T,I|PRESSED OI', THIS FORM WHEN THE PRINCIPAI- OR THE SURETy, OR
BO'TH, ARE A CORPORANON.
(Title)
BF 13 of38
BIDDING FORMS
BOND ACKNOWLEDGMENT
FOR
SURETY'S ATTORNEY.IN.FACT
STATE OF CALIFORNIA
COUNTY OF
On this _ day of 20-,
before me,(name), a Notary Public for said County, personally
appeared (name), who proved to me on the basis of
satisfactory evidence to be the person whose name is subscribed to this instrument as the attorney in fact of
, and acknowledged to me that he/she subscribed the name of
thereto as principal, and his/he own name as attorney in fact.
I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing
paragraph is true and correct.
Notary Public
SEAL
SS.
BF 14 of 38
BIDDER'S STATEMENT OF QUALIFICATIONS
1, ORGANIZATION1.1 How many years has your organization been in business as a Contractor?
1.2 How many years has your organization been in business under its present name?.
1.2.1 Under what other names has your organization operated?
1.3 lf your organization is a corporation, answer the following:
1.3.1 Dateof incorporation/organization:
1.3.2 State of incorporation/organization:
1.3.3 Corporate lD number:
1.3.4 Name of President
1.3.5 Agent for Service of Process:
1.4 lf your organization is a partnership, answer the following:
1.4.1 Dateoforganization/formation:
1.4.2 Type of partnership (lf applicable):
1.4.3 Name(s) of general partne(s):
1.4.4 List all states in which you are registered and state lD numbers for each:
1.5 lf your organization is individually owned, answer the following:
1.5.1 Date of organization:
1.5.2 Name of owner:
1.6 lf the form of your organization is other than those listed above, describe it and name the
principals:
2, LICENSING
2.1 List jurisdictions in which your organization is legally qualified to do business, indicate registration
or license numbers, and category of license, if applicable.
BF '15 of 38
3.
3.1
2.2 List jurisdictions in which your organization's partnership or trade name is filed.
2.3 List any licensing suspensions and/or violations assessed against your organization within the past
five years.
EXPERIENCE
List the categories of Work that your organization normally performs with its own
personnel.
3.2 0n the Experience Form, list the project information that establishes that Bidder
meets the essential requirements for qualification set forth in the Mandatory
Qualifications paragraph of the Notice lnviting Bids for this Project.
3.3 Have Subcontractors performing any of the Work complete the Specialty
Contractors' Statements of Qualifications (or Bidder to complete if self-performing).
0n a separate sheet, list projects to which your flrm or business has been awarded a
government contract since your firm or business has been in existence (giving the name
and address of the project, the government agency, contact name and phone number, the
contract amount, and contract's starting date and ending date).
On a separate sheet, list the experience and present mmmitments of the key individuals
of your organization.
CLAIMS; LAWSUITS; CRIMINAL ACTS
For the following questions, the term "owne/ does not include owners of stock in your flrm if your
firm is a publicly-traded corporation.
4.1 ln the past five (5) years, have, you, your firm or any of its owners, partners, officers, or
employees been a defendant in court, or participated in an arbitration or mediation, on a
matter related to:
4.1.1 The performance, non-performance, default, violation, or breach of a contract or
agreement?
EYes tr Ho
4.1.2 A vehicle collision or accident involving your firm's employees?
34
3.5
4
BF 16 of 38
Eves tr No
4.1.3 Damage to real property adsing out of your services or operations?
Eves tr No
4.1.4 Employment-related litigation brought by an employee of your firm?
Eves D No
4.1.5 Payment to a subcontractor or supplier?
EYES tr No
4.'1.6 Defectlve, deficient, or substandard work?
EYes D No
lf the answer to any questions in 4.1.1 to 4.1 .6 is YES, identify the name of the person or
entity that sued (i.e., "the plaintiff) or was involved in the mediation or arbitration; list the
date, court, court address, and case number; describe the facts and circumstances giving
rise lo the lawsuit, mediation, or arbitration; and set forth the outmme or dispositlon.
Attach additional sheets as necessary.
4.2 Have you or your firm ever flled a claim for damages or a lawsuil, or requesled arbitration
or mediation, against a govemment entity or a Client?
E ves trrc
lf YES, identify the government entity or client; list the date, murt and case number;
describe the facts and circumstances about the claim for damages, or the lawsuit, or both;
and set forth the outcome or disposition. Attach additional sheets as necessary.
4.3 Are there any pending or outstanding judgments or liens againsl you, your firm, or any of
its owners, partners, officers, or employees?
Eves tr to
lf YES, identify the name of the person or entity entitled to payment; list the date court and
case number; descrlbe the facts and circumstances giving rise to the judgment or lien;
and set forth the amount of the judgment or lien. Attach additional sheets if necessary.
4.4 ln the past five (5) years, has any government entity ever: (a) investigated, cited,
disciplined, or assessed any penalties against you, your firm, or any of its owners,
partners, officers, or employees, or (b) determined or concluded that your firm or any of its
owners, partners, officers, or employees violated any laws, rules, or regulations?
Eyes tr No
BF '17 of 38
lf YES, identify the government entity; list the date, and describe the facts and
circumstances about each instance. Attach additional sheets as necessary.
4.5 ln the past five (5) years, have you, your firm or any of its owners, partners, officers or
employees been convicted of a crime related to the bidding of a government contract, the
awarding of a government contract, or the performance of a government contract?
("Convicted" includes a verdict of guilty by a judge or jury, a plea of guilty, a plea of nolo
contendere, or a forfeiture of bail.)
EYes tr Ho
lf YES, identify the government entity; list the date, court and case number; describe the
facts and circumstances about each instance; and set forth the penalty or punishment
imposed. Attach additional sheets as necessary.
4.6 ln the past five (5) years, have you, your firm, or any of its owners, partners, officers or
employees been convicted of a crime involving embezzlement, theft, fraud, forgery,
bribery, deceptive or unlaMul business practices, perjury, falsifying or destroying records
or evidence, or receiving stolen property, or making or submitting a false claim?
Eves tr no
lf YES, identiff the crime or offense; list the date, court and case number; describe the
facts and circumstances about each instance; and set forth the penalty or punishment
imposed. Attach additional sheets as necessary.
4.7 Have you or, if Bidder is a corporation, any principal of the corporation ever been
convicted of a felony?
Eves n Ho
lf YES, please explain the details of that conviction and, if so, whether you or said officer
have served his or her sentence.
4.8 ln the past five (5) years, has a government entity determined or concluded that you, your
firm, or any of its owners, partners, officers or employees made or submitted a false claim
(including a false claim for payment), or made a material misrepresentation?
EYes tr uo
lf YES, identify the government entity, and describe the facts and circumstances about
each instance. Attach additional sheets as necessary.
4.9 Have you or your company ever been charged by any governmental agency for failure to
follow safety procedures? lf YES, please explain.
Eves E Ho
BF 18 of 38
4.10 Has any governmental agency ever submitted a complaint against you or your firm to the
California State Labor Commission for failure to submit certified payrolls? lf your answer is
"Yes', please provide the details of such complaint.
Eves tr uo
5. FIRM'S OPERATIONAL STATUS
5.1. ln the past seven (7) years, has yourfirm, oranyone else acting on behalf of yourfirm,
filed for bankruptcy, insolvency, receivership, or reorganization?
Eves tr uo
lf YES, list the flling date, identify the court and case number; describe the facts and
circumstances giving rise to each instance; and set forth the disposition or current status.
Attach additional sheets as necessary.
5.2. ln the past five (5) years, has your firm had an consolidations, mergers, acquisitions,
closings, layoffs or staff reductions?
Eves tr no
lf YES, list the filing date, and describe the facts and circumstances about each instance.
Attach additional sheets as necessary.
5.3. ls your firm in the process of, or in negotiations toward: (a) consolidating, merging,
selling, or closing its business, or (b) laying off employees or reducing staff?
Eves tr xo
lf YES, describe the transaction; list the anticipated date for completing the transaction,
laying off employees, or reducing staff; and describe the facts, circumstances, and reason
for taking the action. Attach additional sheets as necessary.
6. BIDDING;DEBARMENT;CONTMCTPERFORMANCE
6.1. Has a government entity ever debaned, disqualified, removed, suspended, or otherwise
prevented you or your firm from bidding on, contracting, or completing a construction
prolect?
Eves E Ho
lf YES, identify the name of the government entity, list the date, and describe the facts
and circumstances about each instance, and state the reason for the government entity's
action against your firm. Attach additional sheets as necessary.
6.2. Has a government entity ever rejected your firm's Bid or Proposal on the ground that you
or your firm is a 'non-responsible' bidder or proposer?
BF 19 of 38
EYes tr Ho
lf YES, identity the name of the government entity, list the date, describe the facls and
circumstances about each instance, and state the reason or basis for the government
entity's determining that your firm was a "non-responsible' bidder. Attach additional
sheels as necessary.
6.3. Have you or your firm ever failed to fulfill or perform - either partially or completely - a
contract or an agreement with a government entity or a client?
Eves tr no
lf YES, identiry the name of the government entity or client, list the date, and describe the
facts and circumstances about each instance. Attach additional sheets as necessary.
6.4. ln the past five (5) years, have you or any officer or principal of your flrm been an officer of
another firm which failed to perlorm a contract or agreement?
Eves tr ro
lf YES, list the dale, and describe the facts and circumstances about each instance.
Attach additional sheets as necessary.
6,5. Has your firm ever advised a government entity or a client, while your firm was under
contract with the government enlity or client, that your firm muld not (or would not) fullill or
perform - either partially or completely - the contract or the agreement based on the
prices that your flrm had originally submitted in a Bid or a Proposal?
Eyes tr Ho
lf YES, list the date, identify the name of the government enlity or client, and describe the
facts and circumstances about each instance. Attach additional sheets as necessary.
6.6. Has your firm ever requested a government entity or a client, while your firm was under
contract with the government entity or client, to renegotiate one or more terms of the
existing contract or agreement?
Eves tr Ho
lf YES, identify the name of the government entity or client, list the date, and describe the
facts and circumstances about each instance. Attach additional sheets as necessary.
6.7. Has your firm ever requested a government entity or a client, while your flrm was under
contract with the govemment entity or client, to: (a) cancel the contract or agreement, or
(b) release or discharge your firm form the contract or agreement?
Eves tr Ho
BF 20 ol38
lf YES, identify the name of the government entity or client, list the date, and describe the
facts and circumstances about each instance. Attach additional sheets as necessary.
6.8. Has a government entity or a client ever terminated, suspended, or non-renewed your
firm's contract or agreement before its completion?
Eyes E uo
lf YES, identify the name of the government entity, list the date, and describe the facts
and circumstances about each instance. Attach additional sheets as necessary.
6.9. Has a government entity or a client ever notified or advised your firm that your firm's
performance under a contract or agreement was poor, sub-standard, deficient, or non-
compliant?
EYes n Ho
lf YES, identify the name of the government entity or client, list the date, and describe the
facts and circumstances about each instance. Attach additional sheets as necessary.
6.10. ln the past five (5) years, has your firm paid, or has your firm been assessed, liquidated
damages on a contract or agreement?
EYes n xo
lf YES, identify all such contracts/projects by owner, owner's address, the date of
completion of the project, amount of liquidated damages assessed, and all other
information necessary to fully explain the assessment or payment of liquidated damages.
Attach additional sheets as necessary.
7. INSURANCE AND BONDS
7 .1. ln the past ten years, has an insurance company or a surety company:
7 .1.1. Refused to insure your firm for liability coverage?
Eves tr no
7 .1.2. Canceled or non-renewed your firm's insurance coverage?
Eves tr Ho
7 .1.3. Refused to issue your firm a bond?
Eves tr Ho
7 .1.4. Canceled or revoked a bond obtained by your firm?
Eves tr Ho
BF 21 of 38
lf the answer to any questions in 7.1 .1 to7.1.4 is YES, identify the name of the insurance
company or surety company, list the date, and describe the facts and circumstances
about each instance. Attach addition sheets as necessary.
7.2 ln the past ten (10) years, has an insurance company or surety company made any
payments on your flrm's behalf as a result of a default, to satisfy any claims against a
performance bond, payment bond, or maintenance bond issued on your firm's behalf?
Eves tr uo
lf YES, identify each contract completed or amount of each claim, the name and
telephone number of the claimant, the date, grounds and cunent status of the claim, and if
resolved, the method, nature, and amount of the resolution. Attach addition sheets as
necessary.
8. SURETY
8.1 lf a performance and/or payment bond is required by this bid, identify the bonding
company if anangements for the bond have been made; if not, identify the bonding
company for the Contracto/s most recent project:
8,2 Name and address of agent:
Alt of the above statements as to experience, financial qualifications, and available plant and equipment are
submitted in conjunction with the proposal, as a part thereof, and the truthfulness and accuracy of the
information is guaranteed by the Bidder.
I hereby certify under penalty of perjury under the laws of the state of California that the representation made
herein are true and correct.
Signature of Bidder.
BF 22o138
BIDDING FORMS
BIDDER'S EXPERIENCE FORM
PROJECT NAME: Citywide Traffic Siqnal Maintenance Contract No. CS-0541
COMPANY NAME:
'*Please use additional sheets ifnecessary
lnviting Bids for this Prolect.
CONTRACT CONTRACT CONTRACT
START DATE END DATE $ AMOUNT PROJECI NAME
All of the above statements a3 to experlence are submitted in conjunclion yrith the proposal, a3 a part thereol, and the truthfuln$3 and accuracy of the
informatlon ls gu8ranteed by the Bidder. I hereby certify under penalty ot perjury under lhe laws o, the stats of Calitomis th8t the repros€ntsllon made hereln
are hue and Gorrect.
Signature of Bidder.
Print name:
ADDRESS
CONTACT PHONE
CONTACT NAME NUMBER
State of California Contracto/s License No..Contractor's License expiration date
BF 23 of 39
BIDDING FORMS
CONTRACTOR SAFETY QUESTIONNAIRE
Company Name:
Primary Type of Work:
Person Completing Form:
Title:Phone Number:
Date:
SAFETY PERFORMANCE
1. List your company's lnterstate Experience Rating Modifier (ERM)1 for the three most recent years.
2. List your company's number of injuries/illnesses from your OSHA 300 logs for the three most recent years.20 20 20
a. Fatalities
b. 0SHA recordable incidents
c. Lost work day incidents
d. Total lost work days
e. Total hours worked
3. Please provide copies of the following items (a-g); and ltems (d-g) for each listed Subcontractor
a). OSHA 300 logs for the most recent three years e). Training Plans
and current year-to{ate
b). Veriflcation of ERM from your insurance carrier f). Training Certificates for Employees
c). lnjury/lllness Report g). Emergency Response Training
d). Complete written Safety Program
4. Company Safety Contact:
a. Name
b. Phone
' ERM = applies to workers' compensation policies. lt compares the experience of this contractor to others of similar size, type and
ratio. Used against annual premium. lt has a direct correlation to how much the contractor pays in workers'comp premium.
20-20-
20
BF 24 of 39
CONTRACTOR SAFETY QUESTIONNAIRE (continued)
SAFETY PROGRAM
SAFETY PROGRAI\,I DOCUMENTATION
a. Do you have a written safeg program manual?
1.Circle One
Yes No
BIDDING FORMS
1) Last revision date
b. Do you have a written safety lleld manual? Yes
c. Are all workers given a booklet that contains work rules,
responsibilities, and other appropriate information? Yes
2. POLICY AND MANAGEMENT SUPPORT
a. Do you have a safety poliry statement from an officer of Yes
the company?
b. Do you have a disciplinary process for enforcement Yes
of your safety program?
c. Does management set corporate safety goals? Yes
d. Does executive management review:
! Accident reporls? Yes
E Safety statistics? Yes
I lnspection reports? Yes
e. Do you safety pre-qualify subcontractors? Yes
f. Do you have a written policy on accident reporting Yes
and investigation?
g. Do you have a lightduty, return-to-work policy? Yes No
h. ls safety part of your supervisol's performance evaluation? Yes No
i. Do you have a penonal protective equipment (PPE) policy? Yes No
j. Do you have a written substance abuse program? Yes No
lf yes, does it lnclude (check all applicable boxes):
I Pre-employment testing n Return{cduty testing
fl Random testing ! Disciplinary process
f] Reasonable cause testing I Alcoholtesting
E Post accident testing n National lnstitute on Drug Abuse
E Panel Screen
k. Does each level of management have assigned safety Yes No
duties and responsibilities?
No
No
No
No
No
BF 25 of 39
3.TRAINING AND ORIENTATION
a. Do you conduct safety orientation training for eachemployee? Yes
b. Do you conduct site safety orientation for every Yes
person new to the job site?
c. Does your safety program require safety training meetings? Yes
for each supervisor (foreman and above)?
How often?! weekly E Monthly flQuarterly ! Annually E otner.
d. Do you hold tool box/tailgate safety meetings
focused on your specific work operations/exposures?
How often?
[] weekly E oaity E Otner
e. Do you require equipment operation/certiflcation training?Yes No
BIDDING FORMS
No
No
4 ADMINISTMTION AND PROCEDURES
a. Does your written safety program address
administrative procedures?
lf yes, check which apply:
-
Pre projecUtask Planning
-
Record keePing
-
Safety committees
HMCOM
-
Substance abuse Prevention
Return-to-work
b. Do you have project safety committees?
c. Do you conduct job site safety inspections?
How often?
extinguishers, etc.)?
d. Do you investigate accidents?
How are they reported?
fltotat company
fl By project
! By foreman
Yes No
Yes No
-
Emergency procedures
_ Audits/inspections
-
Accident investi gations/reporti ng
-
Training documentation
-
Hazardous work permits
-
Subcontractor prequalifi cation
Yes No
Yes No
E oalty E Weekly E Monthly E Otner
Do these inspections includes a routine safety
inspection of equipment (e.9., scaffold, ladders, fire
Yes No
Yes No
! By superintendent
! By project manager
! ln accordance with OSHA
e. Do you discuss safety at all preconstruction and progress meetings?Yes No
BF 26 of 39
BIDDING FORMS
f. Do you perform rigging and lifting checks prior to lifting? Yes No
E for personnel E for equipment E Heavy lifts (more than 10,000 lbs.)
5 WORK RULESa. Do you periodically update work rules?Yes No
When was the last update?
b. What work practices are addressed by your work rules?
E CPR/first aid ! Access--+ntrances/stairs
E Barricade , signs, ! Respiratory protection
and signals
! Blasting E Materialhandling/storage
f] Communications I Temporary heat
E Compressed air and gases ! Vehicle safety
E Concrete work E Traffic control
E Confined-space entry E Site visitor escorting
E Cranes/rigging and hoisting E puUtic protection
E Electrical grounding I .-l Equipment guards and grounding
! Environmentalcontrols and E Monitoring equipment
Occupational health
! Emergency procedures E Flammable material handling/storage
! fire protection and prevention fl Site sanitation
E Floor and wall openings ! Trenching and excavating
E fatt protection E Lockout/fagout
! Houseke ping fl Energized/pressurized equipment
E Ladders and scaffolds
E MechanicalequipmenU
mai ntenance/pre-op checks/
operation
! WetOing and cutting (hot work) !
6. OSHA INSPECTIONS
a. Have you been inspected by OSHA in the last three years?
b. Were these inspections in response to complaints?
c. Have you been cited as a result of these inspections?
lf yes, describe the citations (add additional sheets if necessary):
trtrtr
Other _
Personal protective equipment
Tools, power and hand
Electrical power lines
Yes No
Yes No
Yes No
BF 27 of 39
BIDDING FORMS
DESIGNATION OF SUBCONTRACTORS
NAME OF BIDDER:
Each Bidder must list, on the form provided on the next page, each Subcontractor who will perform work or labor or render
service to the Contractor in or about the construction of the Work or improvement, or a Subcontractor licensed in the State of
California who, under subcontract to the Contractor, specially fabricates and installs a portion of the Work or improvement
according to detailed drawings contained in the Drawings and Specifications, in an amount in excess of one-half of one
percent of the Contracto/s Base Bid Amount. Each Subcontractor must have an active and current license, and all requisite
specialty certifi cations, when listed.
Bidder must provide the following information for EACH Subconkactor.
1. The name of the Subcontractor;
2. The trade and type of work that the Subcontractor will perform;
3. Location (address) of Subcontractor's place of business;
4. Subcontractor's license number; and any specialty licenses; and
5. Dollar value of the Work that the Subcontractor will perform.
Subletting or subcontracting of any portion of the Work in excess of one-half of one percent of the Contracto/s Base Bid to
which no Subcontractor was designated in the original Bid shall only be permitted in cases of public emergency or necessity,
and then only after a finding reduced to writing as a public record of the City setting forth the facts constituting the emergency
or necessity.
lf the Contractor violates any of the above provisions the Contractor may be in breach of this Contract and the City may
exercise the option, in its own discretion, to (1)cancel this Contract, or (2)assess the Contractor a penalty in an amount not
more than ten percent (10%) of the amount of the subcontract involved, and this penalty shall be deposited in the fund out of
which the prime Contract is awarded.
lf the Contractor fails to specify a Subcontractor, or if the Contractor specifles more than one Subcontractor for the same trade
or type of Work to be performed under the Contract in excess of one-half of one percent of the Contracto/s Base Bid Amount,
then the Contractor agrees that he/she is fully qualified to perform that Work himself/herself, and that he/she shall perform that
Work himself/herself. lf after award of Contract, the Contractor subcontracts any such Work, the Contractor will be subject to
the statutory penalties.
DESIGNATION OF SUBCONTRACTORS FORM
IS ON THE FOLLOWING PAGE
BF 28 of 39
BIDDING FORMS
DESIGNATION 0F SU BCONTRACTORS (continued)
Please type or legibly print (attach additional sheets as necessary).
License
Number
Dollar ($)
ValueName of Subcontractor
Trade and
Type of Work
to be
Performed
Business Location
BF 29 of 36
BIOOING FORMS
The Contractor shall not:
A. Substitute any person as Subconkactor in place of the Subcontractor listed in the original Bid, except
that the City may consent to the substitution of anolher person as Subcontractor in any of the following
situations:
1. When the Subcontractor listed in the Bid, after having had a reasonable opportunity to do so, fails
or refuses to execute a written contract for the scope of Work specified in the Submnkactods bid
and at the price specified in lhe Subcontracto/s bid, when that writlen contract, based upon lhe
general terms, conditions, Drawings and Specifications for the Project or the terms of Contracto/s
written Bid, is presented to the Subcontractor by the Conkactor;
2. When the listed Subcontractor becomes insolvent or the subject of an order for relief in bankruptcy;
3. When the listed Subcontractor fails or refuses to perform his/her subconhact;
4. When the listed Subcontractor fails or refuses to meet the bond requirements of the Contractor as
set forth in Public Contract Code Section 4108;
5. When the Contractor demonstrates to the City that the name of the Subcontractor was listed as the
result of an inadvertent clerical error;
6. When the listed Subconkactor is not licensed pursuant to the Contractors License Law;
7. When the City determines that the Work performed by the listed Submntractor is substantially
unsatisfactory and not in substantial accordance with the Drawings and Specifications, or that the
Subcontractor is substantially delaying or disrupting the progress of the Work;
8. When the listed Subcontractor is ineligible to work on a public works project pursuant to Section
1777.1 or 1777.7 ot the Labor Code; or
9. When the City determines that the listed Subcontractor is not a responsible mntractor.
B. permit any subcontract to be voluntarily assigned or transferred or allow it to be performed by anyone
other than the original Subcontractor listed in the original Bid, without the mnsent of the City.
C. Other than in lhe performance of'change orders" causing changes or deviations from the original
Contract, sublet or submntract any portion of the Work in excess of one-half of one percent of the
Conkactor's Base Bid Amount as to which his/her original Bid did not designate a Subcontractor.
Prior to approval of the Contractor's request for a Subcontractor substitution, the City shall give notice in writing to the
listed Subcontractor of the Contractor's request to substitute and of the reason for the request. The notice will be
served by certified or registered mail to the lasl known address of the Subcontractor. The listed Subcontractor who
has been so notified shill have five (5) Working Days within which to transmit to the City written objections to the
substitution. Failure to file these written objections shall constitute the listed Subcontractot's consent to the
substitution. lf written objections are filed, the City shall give notice in wrlting of at least flve (5) Working Days to the
listed Subcontractor of a hearing by the City on the Contractor's request for substitution.
The Contractor, as a condition to asserting a claim of inadvertent clerical error in the listing of a Subcontractor, shall
within two (2) Working Days after the time of the Bid Deadline, give written notice to the City and copies of such
notice to both the Subcontractor he/she claims to have listed in error and the intended Subcontractor who had bid to
the Contractor prior to the Bid Deadline.
BF 30 of 36
BIDDING FORMS
QUESTIONNAIRE REGARDING SUBCONTRACTORS
Bidder shall answer the following questions and submit with his/her Contract proposal.
1. Were bid depository or registry services used in obtaining subcontractors bid flgures in order to compute
your bid?YesE NoE
2. lf the answer to No. 1 is "Yes', please forward a copy of the rules of each bid depository you used with this
questionnaire.
3. Did you have any source of subcontractors' bids other than bid depositories?
4. Has any person or group threatened you with subcontractor boycotts, union boycotts, or other sanctions to
attempt to convince you to use the services or abide by the rules of one or more bid depositories?
Yes E No fI
5. lf the answer to No. 4 is nYes', please explain the following details:
(a) Date:(b) Name of person or group:(c) Job involved (if applicable):(d) Nature of the threats:(e) Additionalcomments:
(Use additional paper if necessary)
6. Was a conscious effort made to recruit or provide equal opportunity for bids by minority or project area
subcontractors? Yes fl No fI
7. Was a conscious effort made to recruit and hire project area lower-income residents?YesE NoE
Please submit statement.
8. We declare under penalty of perjury that the foregoing is true and correct.
Dated this _ day of 20
All of the above statements as to experience, flnancial qualifications, and available plant and equipment are
submitted in conjunction with the proposal, as a part thereof, and the truthfulness and accuracy of the information is
guaranteed by the bidder
Name of company
By:
Title
BF 31 of 36
BIDOING FORMS
SPECIALTY CONTRACTOR OR SUBCONTRACTOR STATEMENT OF
QUALIFIGATIONS
As part of its Bid, Bidder shall submit this Statement of Quallflcations for the Submntractor that will perform any portion
of the work This information shall provide evidence to indicate successful experience in providing any traffic signal
related work mmparable to lhat specified in the Projecl Drawings and Specifications. Referenced qualifications shall
demonstrate experience as a successful installer of traffic signal and related electrical work.
A Bid may be rejected as non-responsive if Bidder fails to provide this completed form with the Bid or submits this form
wilh inaccurate information.
Mandatory qualifications:
Specialty Contractor (or Bidder, if self-performing) shall pssess a valid C-10 Electrical and/or D-3'l Pole lnstallation and
lVaintenance California Contractors License at the time of the Bid Deadline and at all times during performance of the
Work and shall establish that it satisfactorily mmpleted at least three (3) public mntracts for mnsfuction and/or
maintenance of a signalized inlersection ) in Califomia; each comparable in scope and complexity to this P@ect, within
three (3) years prior to the Bid Deadline.
Specialty Contractor Name:
Project Manager / Foreman:
Phone No:E-mail:
C0MPARABLE PROJECTS (Provide three (3) projects as required above)
1. Poect Name:
Address:
Date Completed:
Reference / Contact Name:
Reference / Contact Phone No:
Description of work performed:
2. Project Name:
Address:
Date Completed:
Reference / Contact Name:
Reference / Contact Phone No:
Description of work performed:
BF 32 of 36
BIDDING FORMS
3. Project Name:
Address:
Date Completed:
Reference / Contact Name:
Reference / Contact Phone No:
Description of work performed:
4. Project Name:
Address:
Date Completed:
Reference / Contact Name:
Reference / Contact Phone No:
Description of work performed:
BF 33 of 36
BIDDING FORMS
CONTRACTOR'S AFFIDAVIT OF NONCOLLUSION
STATE OF CALIFORNIA
COUNTY OF
2.
3.
4
being first duly sworn, deposes and says:
1. That he/she is the (Title of office if a corporation, "sole owner," "Partner,"
or other proper title) of (hereinafter called
'Contracto/') who has submitted to the Ci$ of Vernon a Bid for the construction of the Gitywide Traffic
Signal Maintenance;
That said Bid is genuine; that the same is not sham; that all statements of fact therein are true;
That said Bid is not made in the interest or behalf of any person, partnership, company, association,
organization, or corporation not named or disclosed;
That Contractor did not, directly or indirectly induce, solicit, agree, collude, conspire or contrive with
anyone else to submit a false or sham bld, to refrain from bidding, or withdraw his/her bid, to raise or fix
the Bid price of Contractor or of anyone else, or to raise or fix any overhead profit, or cost element of
Contracto/s price or the price of anyone else; and did not attempt to induce action prejudicial to the
interests of the City of Vernon, or of any other Bidder, or anyone else interested in the proposed
Contract;
That the Contractor has not in any manner sought by collusion to secure for himself an advantage over
any other Bidders or induce action prejudicial to the interests of the City of Vernon or of any other
Bidder, or anyone else interested in the proposed Contract;
That the Contractor has not accepted any bid from any Subcontractor or material supplier through any
bid depository, the bylaws, rules or regulations of which prohibit or prevent the Contractor from
considering any bid from any Subcontractor or material supplier, which is not processed through said
bid deposiiory, or which prevent any Subcontractor or material supplier from bidding to any Contractor
who does not use the facilities of or accept bids from or through such bid depository;
That the Contractor did not, directly or indirectly, submit the Contracto/s Bid price or any breakdown
thereof, or the contents thereof, or divulge information or data relative thereto, to any corporation,
partnership, company, association, organization, bid depository, or to any member or agent thereof, or
6.
7
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BF 34 of 36
)
)
)
5.
BIDDING FORMS
to any individual or group of individuals, except to the City of Vernon, or to any person or persons who
have partnership or other financial interest with said Contractor in his/her business.
I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct.
Dated this day of _ at ,
Contractor (Please Print)
Contractods Signature
CONTMCTOR'S SIGNATURE MUST BE NOTARIZED
BF 35 of 36
Monthffear City
BIDDING FORMS
THE BTDDER'S TNSURANCE C0MPANY(S) OR TNSURANCE AGENT MUST COMPLETE THIS F0RM
AND
THE BIDDER MUST SUBMIT THIS CERTIFICATION WITH THE BID FORMS.
l, the undersigned (Please check one box) ! undeMriter f agent, certify that I and the Contractor listed below have
jointly reviewed the'lnsurance Requirements' in these Bidding Documents and the Contract Documents. lf the City
of Vernon ('City") awards the Conlractor the Contract for this project, I will be able-within fourteen (14) calendar
days after the Conhactor is notified of the Contract's award-to furnish the City with valid insurance forms (including
one or more insurance certificates and additional insured endorsements) that fully meet all of lhe lnsurance
Requirements.
Name of lnsurance Company
lnsurance Agent's Name (Printed)lnsurance Agent's Name
(signature)
cty State Zip Code
Telephone Number FAx Number Email Address
Contractor's Name City Specification Number
Below State the Nane of lnsurance Conpany Providing Coverage:
DO NOT write "Will Provide,' "To Be Determined," "When Required,' or similar phrases.
Commercial General Liability Automobile Liability
Workers' Compensation Liability
Citv Will Purchase Policv. if reouired
Builders Risk Pollution Liability
[NOTE TO CONTMCTOR: See 'lnsurance Requirements' EXHIBIT 4 of the Contract for the requirement of
obtaining Pollution Liabillty lnsurance.l
NOTE TO THE UNDERWRITER / AGENT: lf the insurance forms that the Contractor submits to the City do not fully
comply with the lnsurance Requirements, and/or if the Contractor fails to submit lhe forms within the 14day time
limit, the City may: (1) declare the Contractor's Bid non+esponsive, and (2) award the Contract to the next lowest
responsible Bidder.
BF 36 of 36
Address
STANDARD FORM OF
CONSTRUCTION CONTRACT BETWEEN
CITYAND CONTMCTOR
This Agreement is made and entered into at Vernon, California this
-
day of , 20
-,
by
and between the CITY OF VERN0N, a chartered municipal corporation (hereinafrer "City") and
llnsert State of lncoroorationl corporation (hereinafter "Conkactor''), for construction of Citywide Traflic Signal
Maintenance, Contract No. CS-054'1.
THE PARTIES HERETO AGREE AS FOLLOWS:
1. CONTRACT DOCUMENTS
The "Conhact Documents" except for modifications issued after execution of this Agreement, shall mnsist of the
following documents which are either attached hereto as exhibits or are incorpolated into this Agreement by this
reference, with the same force and effect as if set forlh at length herein:
A. Governmental Approvals including, but not limited to, permits required for lhe Work;
B. This Agreement, inclusive of Exhibit A (General Conditions), Exhibit B (Special Provisions), Exhibit C
(Living Wage Provisions), Exhibit D (Equal Employment 0pportunity Practices Provisions), and all
Attachments and Sub-Exhibits thereto;
C. Notlce lnviting Bids;
D. lnstructions to Bidders;
E. Bid Forms;
F. Designation of Subcontractors; and
c. Bidding Addenda Nos. _.
3. SCOPE OF WORK
Within the Contract Time and for the stated Contract Sum, subject to adjustments thereto, and pursuant to the
Contract Documents, the Contractor shall perform and provide all necessary: labor; services; supervision; materials;
tools; equipment; apparatus; facilities; supplies; tools; permits, inspections, plan checks, and similar Governmental
STANDARD CONTMCT FORM 37
Approvals; temporary utilities; utility connections; and transportation necessary to complete the Work in shict
conformity with the Contract Documents for:
Citywide Trafflc Signal l\.4aintenance
Contract No. C5-0541
4. TIME FOR PERFORMANCE
Contract Time. Contractor shall achieve Substantial Completion of the Work within 365 calendar days from
the Date of Commencement established in City's written Notice to Proceed ('Contract Time"), subject to adjustment
in accordance with the Contract Documents. Contractor shall achieve Final Completion of the Work, within the time
established by the Certificate of Substantial Completion issued by the City. The Contract Time may only be adjusted
as permitted by this Construction Contract and the General Conditions.
Time is of the essence of this Agreement. Except when the Conkact Documents state otheruise, time is
of the essence in the performance of the Work. Contractor acknowledges that the time limits and deadlines set forth
in the Contract Documents are reasonable for Contractor to perform and complete the Work.
Liquidated Damages. lf Contractor fails to achieve Substantial Completion of the entire Work withln the
Conhact Time for Substantial Completion, Contractor shall pay City as liouidated damaoes the amount of
-Five
Hundred Dollars ($ 500.00) per day for each woking day occurring after the lirst seven (7) working days of each
month for non-completion of the preventative maintenance and One-Hundred Dollars ($ 100.00) for each hour late
when responding to emergency situations per Contract Time for Substantial Completion until Contractor achieves
Substantial Completion of the entire Work, as required by Article 3 of the General Conditions of Contract and Section
B-1.07 of Exhibit B Special Provisions.
Contractor lnitial here:
-.5. CONTMCT SUM
ln consideration of the Contractor's full, complete, timely, and faithful performance of the Work required by the
Contract Documents, City shall pay Contractor the sum of dollars/no cents
($ ), payable as set forth in the General Conditions ("Contract Sum").
STANDARD CONTMCT FORI\4 38
lN WITNESS WHEREOF, the parties have caused this Contract to be executed the date and year first
above written.
Executed at
[Contractods Corporate Seal]
OF VERNON:
[Contractor]:
By:
An Authorized Signatory
Printed Name:
CITY
By: -
APPROVED
Date:
CONTRACTOR'S SIGNATURE MUST BE NOTARIZED
STANDARD CONTMCT FORM 39
By:
LIVING WAGE COMPLIANCE CERTIFICATION
This contract is subject to the City of Vernon's Living Wage Ordinance, Vemon Municipal Code
Chapter 2, Article XVIII ("Ordinance"). The Ordinance requires that service contractors
providing labor or services to the City by contract in excess of $25,000:
i Pay no less than ten dollars and thirty cents ($10.30) per hour with medical benefits, or
eleven dollars and fifty-five cents ($1 1.55) per hour without medical benefits to all
employees, as defined in the Ordinance who, at any time, provide labor or delivery services
to the City of Vemon. Additionally, on July 1st of each year thereafter the Living Wage rate
shall be adjusted by the change in the Federal Bureau of Labor Statistics Consumer Price
Index, for the Los Angeles area, for the most recently available 12 month period.
Accordingly, current City contractors will be required to adjust wage rates no later than July
1st, to remain in compliance.
I Notify employees who spend any of their time providing labor or delivering services to the
City of Vemon who make less than twelve dollars ($12) per hour of their possible right to the
federal Earned Income Tax Credit (EITC) under $ 32 of the Internal Revenue Code of 1954,
26 U.S.C. $ 32, and making available to such employees forms required to secure advance
EITC payments.
a If there is a difference between the Vemon Living Wage rates and the Califomia Prevailing
wage rates for the same classification of labor, the Contractor and subcontractor shall not pay
less than the highest wage rate for that classification.
The selected contractor will be required to show compliance with the Living Wage Ordinance by
submitting payroll records as requested by the City. Each record shall include the fulIname of
each employee performing labor or providing services under the contract; job classification; rate
of pay and benefit rate.
Provisions of the Living Wage Ordinance may be waived in a bona fide collective
bargaining agreement, but only if the waiver is explicitly set forth in clear and unambiguous
terms. If this provision applies, you must provide a copy of the collective bargaining agreement
to the City.
I do hereby certify and declare under penalty of perjury that if awarded the contract for which
this bid/proposal is made will comply with the
(Name of Company)
requirements of the Vernon Living Wage Ordinance, Vernon Municipal Code Chapter 2 Article
XVIII and the rules and regulations promulgated thereunder. I understand that failure to comply
with the provisions of the Vernon Living Wage Ordinance may result in termination of the
contract as well as other penalties as stated in Vernon Municipal Code Chapter 2 Article XVIII.
(Name)(Title)
(Signature)(Date)
Please return this form with your bi&proposal. Questions concerning the Living Wage Ordinance should be
directed to the Department of Finance - Purchasing Division 323.583.881 1.
STANDARD CONTMCT FORM 40
CERTIFICATE OF EQUAL OPPORTUNITY PRACTICES
Purchasing & Payables Division
4305 Santa Fe AvenueVernon, CA 90058
(323) s83-8811 Fax (323)826-1433
Internet: www.cityofvernon.org/departments/finance
Article I. Affidavit of Equal Opportunity Employment &
Non-segregation (Form AA-1)
Article II. Vendor List Questionnaire (Forms AA-2 &3)
ln order to be placed to the City's vendor list and be eligible to receive City business, you must provide
the following information except where indicated as "optional." By submitting this form you are
declaring under penalty of perjury under the laws of the State of Califomia and the laws of the United
States that the information is true and correct. Furthermore, you are certifying that your firm will adhere
to equal opportunity employment practices to assure that applicants and employees are not discriminated
against because of their race, religion, color, national origin, ancestry, disability, sex or age. And, your
firm does not and will not maintain or provide for its employees any segregated facilities at any of its
establishments, and that it does not and will not permit its employees to perform their services at any
location, under its control, where segregated facilities are maintained.
Name of Company
Address
Business Telephone
Fax number
(optional)
City.State zip
Contact Person E-mail Address
(optional)
Tax ID Number (or Social Security Number)
Remit Address (if different)
Please state clearly and concisely the type(s) of goods and services your company provides:
The following section is OPTIONAL and is for statistical reporting purposes only. Ownership (please
check all that apply):
African-American Asian Armenran
Disabled
Hispanic_ Native American_
Female
STANDARD CONTMCT FORM 41
Proiect Workforce Uiilization lTorm AA-21
This form is to be included in all bid documents for projects involving labor or services valued at $25,000 or more.
Instructions: Please indicate the job tideVclassifications to be used in the performance ofthis contract should it be awarded to youl firm. Please
indicate the number of employees in each job classification as well as the number of new hircs, if any, as a result of this contact.
Name of Company:Project:
Job Titles/Classifi cation Estimated number of existing staff to be employed
in this classification if awarded the contract
Estimated number of new hires to be employed
in this classification if awarded the contract
Are any current employees or
potential new hires Vernon
residents? If so, how many?
STANDARD CONTRACT FORM 42
Current Permanent Workforce Utilization (Form AA-3)
Name of Company:Project:
Completion ofthis form is OPTIONAL. Any information supplied by vendors is for reporting purposes only and will not be factored into the award ofany
contract.
Instructions: Please indicate the number ofemployees in each Job Classification belonging to the following groups.
White
(riot of Hispanic
origin)
African-American
(not of Hispanic
origin)
Hispanic AsianiPacific
Islander
Native
American
Armenian Male Female
CLASSIFICATION
Officials/
Managers
Professionals
Technicians
Office/Clerical
Skilled Craft Workers
Operators
(serni-skilled)
Laborers
Service Workers
TOTAL
STANDARD CONTRACT FORM 43
1.01
EXHIBIT A
GENERAL CONDITIONS
ARTICLE 1 . PRELIMINABY PROVISIONS
DEFINITIONS
The following words shall have the following meanings:
A. Allowance. A line item cost estimate established by the City to be carned in the Base Bid sum,
Contract Sum, and Schedule of Values tor Payment lor a padicular rtem of Work, which cannot be
sulficiently delined so as to allow Contractor to adequately determine fair value before the Bid
Deadline. Allowances include estimated amounts established by the City tor certain construction
elements that have not yet been fully designed or authorized lor inclusion in the Work or to permit
deferred approval or selection of actual materials and equipment to a later date when additional
inlormation is available lor evaluation.
B. As-Builts. The documents prepared by Contractor showing the condition ol the Work as actually
built, including, without limitation, all changes and the exact locations ol all mechanical, electrical,
plumbing, HVAC or other portions of the Work that are shown diagrammatically in the Contract
Documents.
C. Base Bid. The total sum stated in the Bid Form for which the Bidder offers to perlorm Work
described in the Contract Documents as the base Contract Work (e.9. not designated as part of a
Bid Alternate).
D. Bid. A complete and properly executed ofler by the Bidder on City-prescribed forms to perform the
Work for the pnces stated in response to the Notice lnviting Bids.
E. Bid Alternate. An item of Work described in the Contract Documents as an Alternate Bid that wilt
be added to or deducted from the Base Bid and Contractor's responsibility only if the City accepls
the Bid Altemate.
F. Bid Forms: The City-prescribed forms which the Bidder shall complete and use to submit a Bid.
The Bid Forms include: (1) Bidder's Proposal; (2) Schedule of Bid Prices; (3) lncumbency
Certificate; (4) Bid Bond; (5) Bidde/s Statement of Oualifications; (6) Expenence Form; (7) Trades
Experience Form; (8) Contractor Salety Questionnaire; (9) Designation of Subcontractors; (10)
Affidavit of Non-Collusion; ('11) lnsurance Requirements Affidavit; and (12) forms included in the
Specification required by the type of project Iunding (e.g- federal, ABBA, HUD, etc.).
G. Bidder. The individual, partnership, firm, corporation, joint venture or other legal entity submitting a
bid on these Contract Documents or any part thereof.
H. Bidding D,ocuments. Bidding Documents include the Bidding Requirements and the proposed
Contract Documents. The Bidding Hequirements consist of: (1) Notice lnviting Bids; (2) lnstructions
to Bidders; and (3) Bid Forms. The proposed Contract Documents consist of: (1) the Bidding
Requirements; (2) the Construction Contract Between City and Contractor; (3) the Conditions of the
Contract (General, Supplementary, and Special, if applicable); (4) all Exhibits to the Contract; (5) the
ARTICLE I
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Drawings; (6) the Specifications; (7) all Addenda issued pnor to the execution of the Construction
Contract; (8) all Modifications issued after the execulion of the Construction Contract; and (9)
Govemmental Approvals, il any, including but not limited to, permits.
Change Order. A Change Order is a written document prepared by the City reflecting the
agreement between the City and Contractor for: a change in the terms or conditions of the
Contract, if any; a specilic Scope Change in the Work; the amount of the adjustment, if any, in the
Contract Sum; and the extent of the adjustment, il any, in the Contract Time.
Change Order Request (COR). A Change Order Request is a wntten document originated by
Contractor, which describes an instruction issued by the City after the etfective date of the
Contract, which Contractor believes to be a scope change that may result in changes to the
Contract Sum or Contract Time or, which describes the need for or desirability of a change in the
Work proposed by Contractor.
City or Owner. The City of Vemon, Califomia, acting through its City Council or other City otficials
authorized to act for the City, acting in its proprietary rather than regulatory capacity in connection
with the ProJect.
Construction Change Direclive. A written order prepared and signed by the City directing a change
in Work prior to agreement on adiustment, il any, in the Contract Sum or Contract Time, or both.
Contract Documents. Contract Documents are enumerated in the Construction Contract between
City and Contractor and consisl ol: (1) the Bidding Requirements; (2) the Construction Contract; (3)
the Conditions of the Contract (General, Supplementary, and Special, il applicable); (4) all Exhibits to
the Contract; (5) the Drawings; (6) the Specifications; (7) all Addenda issued prior to the execution of
the Contract; (8) all Modifications issued after the execution of the Contract; and (9) Govemmental
Approvals, including, but not limited to, permits. The intent of the Conkact Documents is to include
all items necessary for the proper execution and completion of the Work by Contractor. The
Contract Documents are complementary, and what is required by one shall be as binding as il
required by all; performance by Contractor shall be required to the extent consistent with the
Contract Documents and reasonably inferable from them as being necessary to produce the
indicated results.
Contract. Contract Documents form the Contract for Construction. The Contract Represents the
entire and integrated agreement between the parties hereto and supersedes prior negotiations,
representations, or agreements, either written or oral. The Contract may be amended or modified
on by a Modification. The Contract Documents shall not be construed lo create a contractual
relationship of any kind between any persons or entities other than the owner and Contractor.
There shall be no third party beneficiaries of the Contract Documents.
Contract Sum. The total amount ol compensation stated in the Construction Contract that is
payable to Contractor for the complete performance of the Work in accordance with the Contract
Documents.
Cnntract Time. The total number of days set forth in the Construction Contact within which
Substantial Completion of the Work must be achieved beginning with the Date of Commencement
established in the Notice to Proceed, subject to adiustments in accordance with the terms of the
Contract Documents. The Contract Time for Contractor's performance of the Work is measured in
calendar days (not work days).
ARTICLE 1
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Contractor. The individual, partnership, tirm, corporatton, joint venture or other legal entity with
whom the Contract is made by City, or the agent or legal representative who may be appointed to
represent such individual, partnership, firm, corporation, joint venture or other legal entity in the
execution of the Contract as general contractor for construction of the Work.
Correction Period. Correction Period is synonymous with the terms of the correction guarantee
period used in the Contract Documents.
Dale of Commencement. The date for commencement of the Work fixed by City in a Notice to
Proceed to Contractor.
Day. The terms "day" or'days" mean calendar days unless otherwise specifically designated in
the Contract Documents. The term "Work Day'or'Working Day'shall mean any calendar day
except Saturdays, Sundays and City-recognized legal holidays.
Director. The Director of the Department of Public Works, Water & Development Services of the City
of Vernon or his/her duly appointed representative.
Drawings. The Drawings are the graphic and pictorial portions of the Contract Documents showing
the design, location, and dimensions ol the Work, generally including plans, elevattons, sections,
details, schedules, and diagrams.
Extra Work. New or unforeseen work will be classilied as Extra Work when determined by the City
that the work is not described in, or reasonably inferable from, the Contract Documents, the work is
not covered by any Bid line item or Allowance, and the work causes Contractor to incur additional
and unforeseen costs.
Field Directive. See, "Work Directive.'
Final Completion. Final Completion is the stage of perlormance of the Work when (1) all Work
required by the Contract Documents has been fully completed in compliance with the Conkact
Documents and all applicable laws including, but not limited to, correction or completion of all
punch list items noted by City upon Substantial Completion; (2) Contractor has delivered to City an
Application for Final Payment and all closeout documentation required by the Contract Documents;
and (3) documentation of all linal Governmental Approvals has been submitted to Ci$ including,
but not limited to a final Certificate ol occupancy or equivalent Building Depadment sign-off has
been issued covering the entire Project site without exception or conditions.
Force Maieure. 'Force Majeure' includes but is not limited to declared or undeclared war, sabotage,
insurrection, riot, or other acts of civil disobedience, labor disputes, fires, explosions, floods,
eadhquakes or other acts of God.
Fragnet. The sequence of new activities that are proposed to be added to an existing schedule.
Governmental Approval. Any approval, authonzation, inspection, certilication, consent, exemption,
filing, permit, registration, plan check, ruling or similar authorization required by any federal, stale or
local law, regulation or procedures in order for Contractor to perform the Work.
Guarantee. Assurance to City by Contractor or product manufacturer or other specilied party, as
guarantor, that the specified warranty will be tulfilled by the guarantor in the event ol default by the
warrantor.
ARTICLE I
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AA.
BB.
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GG.
HH.
[.
JJ.
Modification. A Modification is: (1) a written amendment to Contract signed by both parties; (2) a
Change Order; or (3) a Construction Change Directive.
Notice to Proceed. The Notice to Proceed is a document issued by the City fixing the date for
Commencement for the Work.
Parties. The City and Contractor may be refened to in the Contract Documents from time to time
as the Parties.
Permits. Govemmental Approvals and Utility Fees as required by any agency.
lntentionally Omitted
Proiect. The Project is the total construction of which the Work perlormed under the Contract
Documents may be the whole or a part and which may include construction by the City or by
separate c0ntractors.
Proiect ManuaUContract Package. The volumes of Contract Documents and relerence documents
assembled for the Work made available to Bidde6.
Record D,ocuments. The Drawings, Specitications, addenda, requests lor information, bulletins,
Change Orders and other modifications to the Contract Documents, approved shop drawings,
product data, samples, mock-ups, permits, inspection reports, test results, daily logs, schedules,
subcontracts, and purchase orders. Records Documenls shall include a set of "As-Built" Drawings
and Specifications, which shall be continuously updated during the prosecution of the Wo*.
The physical area designated in the Conlract Documents for Contracto/s performance ol the
Specitications. The Specilications are the volume(s) assembled lor the Work that includes,
without limitation, the Bidding Documents, the Construction Contract and Exhibits, the General
Conditions, Supplementary and/or Special Conditions, if any, the "GREENBOOK' STANDARD
SPECIFICATIONS FOR PUBLIC WOBKS CONSTRUCTION (2015 Edition), the Standard Plans
for Public Works Construction (2012 Edition), State ot Califomia, Department of Transportation
Standard Plans and Standard Specilications (2010 Edition), and the City of Vernon Standard
Plans.
Specifications. The Specifications are that portion of the Contract Documents consisting of the
written requirements lor materials, equipment, systems, standards, and wokmanship for the Work
and performance of related services, including, but not limited to, the Project Technical
Specifications, Standard Specifications, il any, and any applicable Trade Association
Specifications.
Substantial Completion. Substantial Completion is defined to mean the stage in the progress of
the Woft when the Work is sufliciently complete in accordance with the Contract Documents as
determined by the City so that the City can occupy and utilize the Work for its intended use and as
further detined in the Contract Documents.
Unilateral Change Oider. See "Work Directive.'
ARTICLE I
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QO. Utility Fees. The lees charged by any public, private, cooperatrve, municipal andor govemment line,
facility or system used for the caniage, transmission and/or distribution of cable television, electric
power, telephone, water, gas, oil, petroleum, steam, chemicals, sewage, storm water or similar
commodity including, but not limited to fees for temporary utilities and refuse hauling.
RR. Wananty. Assurance to City by contractor, installer, supplier, manufacturer or other party
responsible as warrantor, for the quantity, quality, performance and other representations of a
product, system service of lhe Work.
SS. Wod<. The term "Work" means the construction and other services required by, and reasonably
inferable lrom the Contract Documents, whether completed or partially completed, and includes all
other labor, malerials, equipment, and services provided or to be provided by Contractor to lulfill
Contracto/s obligations. The Work may constitute the whole or a part of the Project.
TT. Work Directive. A Work Directive is a unilateral written order issued by the City directing
Contractor to continue performance of the Work or to perform a disputed change in the Wok prior
to agreement or adjustment, if any, in the Conkact Sum, Contract Time, or both.
1.M REPRESENTATIVES
A. Director shall be the representative of the City and, except as otherwise expressly provided herein,
shall make all decisions and interpretations to be made by the City under the provisions of the
Contract Documents.
B. Contractor shall at all times be represented on the Work in person or by a duly designated agent.
lnstructions and inlormation given by the Director to Contracto/s agent on the Work shall be
considered as having been given to Contractor.
1.03 PEBMITS. INSPECTIONS. PLAN CHECKS. ANO SIMILAR GOVERNMENTAL APPROVALS AND
U]'ILITIES
A. City of Vemon shall obtain all Govemmental Approvals and Utility Fees required for the conslruction
of the project.
B. All documents evidencing Contracto/s satisfaction with all Govemmental Approvals and Utility Fees
must be submined to the City prior to submission of the Application lor Final Payment.
C. Where requirements of the Govemmental Approvals differ lrom those of the Drawings and
Specifications, the more stringent requirements shall apply.
D. Contractor shall obtain a noJee encroachment permit from the City ol Vemon's Public Work, Water
and Development Services Department.
1.04 LICENSES
Contractor shall apply and pay for a City of Vemon business license. Additionally, Contractor shall apply for,
obtain, and pay for all other licenses required by goveming authorities for the Work.
1.05 ALLOWANCES
ARTICLE 1
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B.
Contractor shall include in the Contract Sum and Schedule of Values for Payment, the City's
estimated cost established for each Work item covered by an Allowance stated in the Contract
Documents. See Paragraph 1.01 fordelinition of Allowance.
The line item cost estimate established by the City for Work covered by an Allowance includes the
cost to Contractor of: all materials and equipment, preparation of submittals; labor; transportation;
delivery; handling; installation; supervision; overhead; profit; licenses; bonds; insurance; all sales, use
and other taxes legally chargeable; and all other costs and expenses incidental to such Work.
Work items covered by Aliowances shallbe supplied with such matenals and equipment and for such
pnces approved in advance by City. Contractor shall notify and request City's approval ol material
equipment, and pricing information for Work covered by an Allowance belore ordering the material or
equipment and in sufficient time to avoid delay to the Work. City shall provide approval of matenals,
equipment, and pnces with reasonable promptness. The material, equipment, and pncing information
submitted by Contractor to the City's Project Manager shall, at a minimum, include product data and
detailed costs of material, equipment, and labor to complete such Work, itemized by costs incurred by
Contractor and each subcontractor associated with the performance of such Work. Contractor shall
not order materials or equipment or proceed with Work covered by an Allowance until the matenal,
equipment, and pricing intormation for such Work items have been submitted to the City's Project
Hepresentative for review and Conhactor has received City's approval to proceed with a Work item
covered by an Allowance.
All expenditures for Allowance Work shall be separately itemized in each Application for Payment.
To the extent that the cost of Work items covered by an Allowance is less than the Allowance cost
estimate established by the City, the Contact Sum shall be reduced by Change Order or Construction
Change Directive to rellect the actual cost of the Allowance item. Similarly, to the extent the cost ol
Work items covered by an Allowance is greater than the Allowance cost estimate, the Contract Sum
shall be increased by Change order or Construction Change Directive to reflect the actual cost of the
Allowance item. lt Work items covered by an Allowance are not perlormed or the City deletes such
items from the Scope of Work, the Contract Sum shall be reduced by Change Order or Construction
Change Directive to deduct the Cost of the unused Allowance item.
WAIVER
A waiver by City of any breach of any term, covenanl, or condition contained in the Contract Documents shall
not be deemed to be a waiver of any subsequent breach of the same or any other lerm, covenant, or condition
contained therein, whether ol the same or a different character.
DATA TO BE FURNISHED BY CONTRACTOR
Contractor shall fumish the Director with such information as the Director may desire respecting the character
of the materials and the progress and manner ol the Work, including all information necessary to determine
Contractor's costs, such as the number of persons employed, their pay, the time during which they worked on
the various classes of construction, and other pertinent data.
CONTRACT DRAWNGS
The City will accept no responsibility tor efiors resulting from misinterpretation or scaling of the Drawings.
ARTICLE 1
GC-6 ol 90
(,.
D.
E.
1.06
1.07
1.08
1.09 SPECIFICATIONS AND DBAWNGS
A. Contractor shall keep on the Work Site a copy of all Specifications, Drawings, and Change
orders perlaining to the Wok and shall at all times give the Director access thereto. Anything
mentioned in the Specifications and not shown on the Drawings or shown on the Drawings and not
mentioned in the Specifications shall be of like effect as though shown or mentioned in both.
B. ln general, the Drawings will show dimensions, positions, and kind ol construction; and the
Specifications will define materials, quality, and standards. Any Work not particularly detailed,
marked or specified, shall be the same as similar parts that are detailed, marked or specified.
C. The Drawings shall not be scaled to determine dimensions, and in all cases shall be calculated from
figures shown on the Drawings. Any discrepancies between scale and tigured dimensions, not
marked "not to scale,'must be brought to the Directois attention before proceeding with the Work
aftected by the discrepancy.
D. omissions from the Drawings and/or Specilications shall not relieve Contractor from the
responsibility of fumishing, making, or installing all items required by law or code, or usually
fumished, made or installed in a prqect of the scope and general character indicated by the Drawings
and Specifications.
E. For convenience, the Drawings and Specifications may be arranged in various trade subparagraphs,
but such segregation shall not be considered as limiting the Work of any subcontract or trade. The
Contractor shall be solely responsible for all subcontract arrangements ol the Work regardless ol the
location or provision in the Drawings and Specifications.
F. The City will fumish free of charge to Contractor, a maximum ol six (6) sets of Contract Drawings
and Specifications. Contractor shall pay for the costs of any additional sets or portions thereof.
Contractor shall be responsible to see that all sets are the same as the up{o'date approved set.
PHECEDENCE OF CONTRACT DOCUMENTS
A. ln the event of conflict between any of the Contracl Documents, the provisions placing a more
stringent requirement on Contractor shall prevail. Contractor shall provide the better quality or
greater quantity ol Work and/or materials unless othemise directed by City in writing. ln the event
none of the Contract Documents place a more stringent requirement or greater burden on
Contractor, the controlling provision shall be that which is found in the document with higher
precedence in accordance with the following order of precedence:
1. Governmental Approvals including, but not limited to, permits required for the Work
2. Modifications issued after execution of the Contract (including modifications to Drawings
and Specifications)
3. The Contract, including all exhibits, attachments, appendices and Addenda, with later
Addenda having precedence over earlier Addenda
+. Special Conditions, if any
5. General Conditions
ARTICLE I
GC-7 of 90
1.10
6. Specifications
7. Drawings
8. Bidding Requirements
B. With reference to the Drawings, the order of precedence is as follows:
1. Change Order Drawings
2. Addenda Drawings
3. Contract DEwings
4. Project Drawings
5. Standard Drawings
6. Detail Drawings
7. General Drawings
8. Figures
9. Scaled dimensions
C. Within the Specifications, the order ol precedence is as follows:
1. Change Orders
2. Special Conditions
3. Poect Technical Specilications
4. Standard Specifications, if any
5. ApplicableTradeAssociationSpecifications
1.11 NOTICE OF CONFLICTS
lf Contractor, in the course of the Work, becomes aware of any claimed conflicts, errors or omissions in the
Contract Documents or in the City's fieldwork or work ol City's separate contractors, Contractor shall
immediately notify Director in writing. Director shall promptly review the mafter, and il Director linds a
conllict, error or omission, Director shall determine the corrective actions and advise Contractor
accordingly. lf the correction associated with a conflict, enor or omission increases or decreases the
amount of Work called for in the Contract, the City shall issue an appropriate Change Order in accordance
with the Contract Documents. After discovery ol an enor or omission by Contractor, any related additional
work perlormed by Contractor shall be done at Contractor's nsk unless authorized by the Director.
ARTICLE I
GC-8 of 90
1,12 BEPORTS
A. Daily Construction Beports: Contractor shall prepare a daily construction report recording the
lollowing information concerning events at Project site:
1. List of Subcontractors at Project site.2. List of other contractors at Project site.3. Approximate count of personnel at Project site.4. Equipment at Project site.5. Material deliveries.6. High and low temperatures and general weather conditions, including presence ol rain or
snow.7. Accidents.8. Meetings and significant decisions.9. Unusual events.10. Stoppages, delays, shofiages, and losses.
1 1. Meter readings and similar recordings.12. Emergencyprocedures.13. orders and requests ol authorities having jurisdiction.
14. Change Orders received and implemented.15. Construction Change Directives received and implemented.16. Services connected and disconnected.17. Equipment or system tests and startups.18. Partial completions and occupancies.19. SubstantialCompletionsauthorized.20. List ol visitors to Project Site.21. List of pemonnel at Proiect Site including names and job classifications.
22. Description ol Work lor the day including locations, quantities and related bid items.
lmmediately upon discovery of a difference between lield conditions and the Contract Documents,
Contractor shall prepare and submit a detailed report through a Bequest for lnlormation (RFl). lnclude a
detailed description of the differing conditions, together with recommendations for a remedy.
The Daily Construction Repon musi be: signed by Contracto/s Superintendent, submitted within 24 hours
(next Working Day) to the Director, and shall be made available to others as directed by City.
1.13 LINES, GBADES. AND MEASUREMENTS
A. All lines and grades will be established by Contractor. Contractors shall carefully preserve all
survey stakes and relerence points as far as possible. Should any stakes or poinb be removed or
destroyed unnecessarily by any act of Contractor or hidher employees, they must be reset to the
satisfaction ol the Director, at Contracto/s expense.
B. Contractor shall inlorm the Director 48 hours (two Work Days) in advance of the times and places at
which he/she intends to Work in order that insp€ction may be provided, and that necessary
measurements lor records and payments may be made with minimum inconvenience.
C. No direct payment will be made for the cost to Contractor of any ol the Work or delay occasioned by
giving lines and grades, by making other necessary measurements, or by inspection.
ARTICI,E I
cc-g of 90
1.14 RIGHT OF WAY
A. The site for the installation of equipment or the right of way for the Work to be constructed under this
Contract will be provided by the City,
B. The City will provide the appropriate rights of way and property lor pipelines and structures. Upon
approval by the Director, Contractor may, without cost, use portions of any of the City's rights of
way or propefi which may be suitable for working space and for storage of equipment and
materials. Contractor will be held responsible for any damage to structures, streets, and roads,
trees and landscaping, and for any damage that may result from his/her use of City propefi.
C. ln case areas additional to those available on the City's rights of way or propefi are required by
Contractor for his/her operations, he/she shall make arrangements with the property owners for the
use of such additional areas at his/her own expense.
1.15 CONTRACTOR'SOPERATIONS/STORAGEYARD
ln the event Contractor requires space for the storage and/or staging of construction materials, supplies,
equipment, stockpiling of debris, or any other needs required for construction operations, he/she shall acquire
at his/her own expense such areas as he/she may desire. For properties within the City, the staging area must
be enclosed at Contractor's expense with construction fencing covered with a mesh screen to limit visibility to
the site. Private property used for storage of construction material or debris shall be restored to a legal
condition with regard to appearance and maintenance upon conclusion of the project. Property should be
graded and free of weeds and debris when project is completed.
IEND OF ABTTCLEI
ARTICLE 1
GC-l0 of 90
ABTICLE 2.PERFORMANCE OF THE WORK
PERFORMANCE OF WOHK - GENERAL
Contractor shall, at its own cost and expense, turnish all necessary matenals, labor, transportation, and
equipment for doing and per{oming said Work and the materials used shall comply with the requirements of
the Contract Documents. All Work shall be performed and completed as required in the Contract Documents,
and subject to the approval o{ the Director, or his/her designated assistant.
NO ASSIGNMENT OB DELEGATION
Conlractor shall not assign or delegate the duties or obligations under this Contracl or hidher interest therein in
whole or in part without the prior written consent of the City which may be withheld at the City's sole discretion.
STANDARD OF PERFORMANCE
Contractor agrees that all services perlormed hereunder shall be provided in a manner commensurate with the
highest professional standards and shall be performed by qualified and experienced personnel; that any Work
per{ormed by Contractor under the Contract will be per{ormed in the best manner; that any material furnished
shall be sub;ect to the approval ol the Director; and that both Work and matenals will meet fully the
requirements of the Contract Documents. Any work deemed unacceptable by the Director, whether a cause is
determined or not shall be repaired or replaced by Contractor at Contracto/s expense
Contractor shall be responsible for the final product and shall make any quality control, adjustments and
corrections necessary to obtain the final product accepted by the City Engineer. Contractor shall perform
process and quality control sampling and testing and exercise management control the work of his/her
subcontractors, techniclans and workers to ensure that the milling, transporting, recycling, spreading,
compaction, and finishing processes contorm to these Specifications. The proficiency of testing laboratorles
and sampling and testing personnel shall be reviewed and approved by the City Engineer prior to ploviding
services to the proiect. The City Engineer shall have unrestricted access to the laboratory, sampling, testing
sites, and all information resulting from mix design and quality control activities. AII Quality Control testing
results shall be submitted to the City Engineer on a daily basis.
DEFECTIVE WOBK
Within the time periods that the City specifies, Contractor shall correct all deficient, improperly executed, or
unsatisfactory Work determined by the City.
Contractor shall remove and shall repair or replace, at higher own expense any part of the Work that is
deticient, impropedy executed, or unsatisfactorily executed, even though it has been included in the monthly
estimates. li he/she refuses or neglects to remove, repair, or replace such defective Work, prior to the City's
acceptance of the Work, it may be replaced by the City at the expense ot Contractor, plus 15% for overhead
expenses, and his/her sureties shall be liable therefor. (See Paragraph 2.15 lor curing defects after
acceptance of the Work.)
ARTICLE 2
PAGE-1 I ot 90
CITY'S RIGHT TO CABRY OUT THE WORK
A. Notwithstanding other remedies available to the City, if Contractor defaults, fails to perform Work
required by the Contract Documents, or otherwise neglects to carry out the Work in accordance with
the Contract Documents and fails within a tl8 hour period after receipt of written notice from the City
to commence and conect such default, lailure to pedorm, or neglect with diligence and promptness,
the City, at its sole discretion and without obligation, may, with its own or outside forces, perform the
Work Contractor has failed to perform and/or replace or correct deficiencies in the Work. ln such
case, a Change Order or Construction Change Directive shall be issued deducting from payments
then or thereafter due to Contractor the cost of completion, replacement or correction of such
deficiencies, including compensation for additional seruices by the City's pro1ect management staff,
the Architect, and their respective consultants made necessary by such default, failure to pedorm, or
neglect, plus 15% for City's overhead expenses. lf payments then or thereafter due Contractor are
not sufficient to cover such amounts, Contractor shall pay the difference to the City immediately. This
remedy is cumulative.
B. The City also has the right, but not the obligation, to self-perform or have outside lorces perform
portions of the Work previously assigned to Contractor. ln such case a Change Order or
Construction Change Directive shall be issued, reducing the Contract Sum by the Unit Price(s)
applicable to such deleted Work or, in the absence of Unit Prices, an amount that reflects the
reasonable cost of perlorming such deleted Work and the Allowable Mark-Up applicable to such
deleted Work.
COMMUNICATIONS AND NOTICES REGARDING THE WORK
A, Notices under the Contract Documents shall be in writing and (a) delivered personally, (b) sent by
certified mail, return receipt requested, (c) sent by a recognized ovemight mail or courier service,
with delivery receipt requested, or (d) sent by facsimile communication followed by a hard copy and
with receipt confirmed by telephone, to the following addresses (or to such other address as may
from time to time be specified in writing by such Person):
All correspondence with Contractor shall be sent to the following address:
Attention:
Phone:
Facsimile:
ARTICLE 2
PAGE-12 of 90
2.06
C
D
All communications shall be copied to City and shall be delivered to City's Director at the address
set forth below, with copies to such additional persons as may be directed by City's Director,
Depaftment of Public Works, Water & Development Services
4305 Santa Fe Avenue
Vernon, CA 90058
Attention: Vince Rodriguez
Phone: (323) 583-8811 exl.220
Facsimile:
E-mail: vrodriouez@ci.vernon.ca.us
Notices shall be deemed received when actually received in the office of the addressee (or by the
addressee if personally delivered) or when delivery is refused, as shown on the receipt of the U. S.
Postal Seruice, private carrier or other Person making the delivery. Notwithstanding the foregoing,
notices sent by facsimile after 4:00 p.m. Pacific Standard or Daylight Time (as applicable) and all
other notices received after 5:00 p.m. shall be deemed received on the first Working Day following
delivery (that is, in order for a fax to be deemed received on the same day, at least the first page of
the fax must have been received belore 4:00 p.m.). Any technical or other communications
pertaining to the Work shall be conducted by Contracto/s Project Manager and technical
representatives designated by City. Contracto/s representatives shall be available at all
reasonable times for consultation, and shall be authorized to act on behalf of Contractor in matters
conceming the Work.
Contractor shall copy City on all written correspondence pertaining to the Contract between
Contractor and any Person other than Contracto/s Subcontractors, consultants and attorneys.
Notification of Affected ResidentsiBusinesses - Contractor shall be responsible tor distribution of the
general information letter of the project to all affected residents and businesses. A project general
information letter and sufficient copies thereof will be prepared by City staff for Contractor
distribution to all residents, business establishments, and institutions fronting on or directly affected
by the pqect.
Contractor shall be responsible for distribution of said letter in handout form to all the appropriate
residences and buildings in the subject area. Distribution shall be accomplished in a manner
acceptable to the City Engineer and shall be five (5) Working Days prior to the beginning of
construction operations in the immediate vicinity. ln addition to the above, Contractor shall be fully
responsible for such other notifications as may be required related to necessary closures of streets,
alleys, driveways, etc., or to unavoidable access or parking restrictions. These notifications shall
apply where the closures and access or parking restrictions required in the performance of any work
under this contract preclude any resident, tenant, or property owner from utilizing the premises or
conducting business thereon in a reasonable and customary manner.
Additional notification to the affected businesses and residents shall be prepared by the City and
distributed by Contractor for roadway and driveway closures five (5) Working Days in advance of
any construction work, No removal or excavation work is allowed until the additional notification has
been distributed to the affected residents and businesses.
ARTICLE 2
PAGE-13 of 90
2.07
lf a Contractor is unable to adhere to his schedule as indicated on his written notification, then allthe
atlected residents and places ol business shall be re-notified of the revised schedule, in writing, as
indicated above.
Contractor cosls for all o{ the above notifications shall be considered as included in the appropriate
items of the Bid Proposal.
E. Notification of Utilities - The provisions ot Section 5 entitled "Utilities" of the'Greenboof Standard
Specifications shall apply. Contractor shall contact the Underground Service Alert ol Southern
Calitornia (U.S.A.) at least two (2)Working Days in advance of the construction work
INDEPENDE}TT CONTRACTOR
Conlractor in the pertormance ol the Work hereunder will be acting in an independent capacity and not as
an agent, employee, partner, or joint venture of the City.
EMERGENCY WORK
A. During Wo*ing Hours:
ln case of an emergency which threatens loss or injury of property, and/or safety of lite during working
hours, Contractor shall act, without previous instructions from the City, as the situation may warrant.
He/she shall notity the Director of the emergency and the action taken immediately thereafter. Any
compensation claimed by Contractor, together with substantiating documents in regard to expense,
shall be submitted to the Director within 15 calendar days after the emergency. Compensation, il
allowed, will be paid for as Extra Work.
B. Outside ol Working Hourc:
Whenever, in the opinion ol the City, there shall arise outside ol the regular Working hours on the
Contract Work of an emergency nature which threatens loss or injury of property, or danger to public
safety, Contractor shall act, without previous instructions from the City as the situation may warrant.
He/she shall notity the Director ol the emergency and the action taken immediately thereafter. Any
compensation claimed by Contractor, together wilh substantiating documents in regard to expense,
shall be submitted to the Director within 15 calendar days after the emergency. Compensation, if
allowed, will be paid for as Extra Work. Contractor is to use every eflort to relieve the emergency
condition. As a last resort, in order to alleviate the emergency condition only and in the event
Contractor is not able to respond to an emergency outside of rqular working hours, the City's lorces
will handle such emergency work. lf such emergency anses out of or is the resuft ol operations by
Contractor, the cost ol the corrective measures will be billed to Contractor and deducted from hidher
payment as provided in the Contract Documents. The perfomance of emergency Work by City
lorces will not relieve Contractor ol any ol hidher responsibilities, obligations, or liabilrties under the
Contract.
SUBCOI,ITRACTORS
A. Each subcontract shall contain a reference to the Contract between the City and the principal
Contractor, and the terms of the Contract and all parts thereof shall be made part of each subcontract
insofar as applicable to the Wok covered thereby. lf, in the Directo/s opinion, the Sukontractor tails
to comply with the requirements ot the principal Contract insofar as the same may be applicable to
the Subcontractol,s Work, the Director may disqualify the Subcontractor.
ARTICLE 2
PAGE-14 ol 90
Nothing contained in these Contract Documents shall be construed as creating any contractual
relationship between any Subconlractor and the City.
Contractor shall be considered the employer of the Subcontractors and shall be fully responsible
to the City for the acts and omissions of Subcontractors and of persons employed by them as the
Contractor is for the acts and omissions of persons directly employed by hirn/her.
Contractor shall be responsible for the coordination of the trades, Subcontractors, and matenal
suppliers engaged upon the Work. lt shall be Contracto/s duty to see that all ol his/her
Subcontractors commence their Work at the proper time and carry it on with due diligence so that
they do not delay or iniure either the Work or materials; and that all damage caused by them or their
workers is made good at his/her expense.
The City will not undertake to settle dilferences between Contractor and his/her Subcontractors or
between subcontractols.
Contractor shall utilize the services of specialty Subcontractors, without additional expense to the
City, on those parts of the Work which are specified to be perlormed by specialty contractors.
2.10 USE OF FACILITIES PRIOR TO COMPLETION OF CONTRACT
Whenever in the opinion of lhe Director any Work under the Contract, or any portion(s) thereof, is in a
condition suitable lor use by the City, the City may, after written notice and designation from the
Director to Contractor, use (which includes, but is not limited to, taking over or placing into service)
any portion(s) designated by the Director.
The use of any portion(s) by the Crty shall not be construed as, and will not constitute acceptance in
any sense, of any portion(s) of the Work of Contractor nor will such use trigger the running of any
wananty and/or guarantee periods.
All necessary repairs, renewals, changes, or modifications in the Work or any portion thereof so used,
not due to ordinary wear and tear, but due to defective materials or workmanship, the operations of
Contractor, or any other cause, shall be made at the expense of Contractor.
Ihe use of any portion(s) by the City shall not relieve Contractor of any of his/her responsibilities
or liabilities under the Contract nor conslitute a waiver by the City of any ol the conditions thereot.
Said use shall not cancel liquidated damages as of the first date ol use, or any continuance thereof,
nor impair, reduce, or change the amount of liquidated damages.
211 COOPEHATION WITH OTHER WORK FORCES
City reserves the right to pedorm other Work at or near the site at any time by the use of its own
forces or other contractors.
Other contractors, other utilities and public agencies or their contractors, other City contractors, and
City personnel may be wo*ing in the vicinity during the project construction period. There may be
some interference belween these activities and the Work under the Contract Documents. The
Contractor shall cooperate and coordinate hivher Work with that of other Work forces to assure
timely Contract completion.
ARTICLE 2
PAGE-I5 ol90
B.
D.
E.
F.
U.
D.
B.
A.
2,12 AGBEEMENTS WTH PROPEHTY OWNEBS
Agreements with property owners lor storing excavated material, storing any other materials, or for any
other purpose related to the Work shall be made in writing and a copy submitted to the Director for hiyher
intormation. All storage charges shall be at Contractor's sole expense.
2,13 PBOTECTIONOFPROPERW
All public and private property, pavement or improvement, shall be safely guarded from damage or loss in
connection with this Contract by Contractor at all times. Should any lacility, structure, or property be damaged
during operations of Contractor, he/she shall immediately notify the property owneG or authorities. All
damages and losses incuned shall be paid by Contractor.
2.14 CONTRACTOR'S HESPONSIBILITIES FOR LOSSES OR LIABILMES
A. Risk of Loss
Contractor shall bear all losses resulting to hirn/her on account of the amount or character ol the
Wok, or lrom any unforeseen obstructions or diflicutties which may be encountered, or from any
encumbrances on the line of the Work, or because the nature of the ground in or on which the Work
is done is difterent from what is assumed. Contractor shall bear the risk lor any City equipment,
material, or supplies with which hdshe has been entrusted.
B. Materials and Facilities
Contractor shall be responsible for matenals and facilities as hereinalter provided and in the event of
his/her failure to cary out said responsibilities, the same may be carned out by the City at the
expense of Contractor:
1. Contractor shall be responsible for any materials so lumished and lor the care of all Work
until its completion and final acceptance, and he/she shall at his/her own expense replace
damaged or lost materials and repair damaged parts of the Work.
2. Contractor shall protect City lacilities trom damage resulting from hia/her Work. City facilities
damaged by, or as a result of, Contracto/s Wo* under this Contract shall be repaired or
replaced, as directed by the Director, at Contracto/s expense.
3. Contractor shall remove trom the vicinity of the completed Work all buildings, rubbish,
unused material, concrete forms, and other materials belonging or used under hidher
direction during construction. ll Contractor fails to completely remove such items within a
reasonable time the City may do so at Contracto/s expense.
C, Laws and Regulations
1. Contractor shall obey all laws, ordinances, and regulations in any manner atfecting those
engaged or employed on the Work, or the materials used in the Work, or in any way affecling
the conduct of the Work, and of all courl orders and decrees having any jurisdiction or
authority over the same. ll any discrepancy or inconsistency should be discovered in this
Contract, or in the Drawings or Specifications herein referred to, in relation to any such law,
ordinance, regulation, order, or decree, he/she shall immediately report the same in writing to
the Director.
ARTICLE 2
PAGE.16 of90
4
Contractor shall, at all trmes, cause all hidher agents and employees to observe and comply with
all such applicable laws, ordinances, regulations, orders, and decrees in etfect or which may
become eflective before Final Completion of this Contract.
Nothing in the Contract Documents shall be construed to permit Work not conforming to such
laws, ordinances, and regulations. lf Contractor ascertains at any time that any requirement o{
this Contract is at variance with such applicable law requirement, he/she shall immediately notity
the Director.
lf such applicable law requirement was not in elfect on the date ol submission of bids, any
necessary adjustment of the Contract price shall be made as provided in Article 6 herein. lt such
applicable law requirement was in elfect on said date of bid submission, no adjustment of
Contract price will be considered.
Contractor, at hiyher own expense, shall pay all taxes property assessed against hidher
equipment, materials, or property used or required in connection with the Work.
2.15 WARRANTY ANO CORRECTIONS
A.Wananty
1.Warantv. Contractor warrants to the City that: (i) materials and equipment fumished under
the Contract will be of good quality and new unless otheMise required or permitted by the
Contract Documents; (ii) the Work will be of good quality and free from defects; (iii) the Work
will conform to the requirements ol the Contract Documents; and (iv) Contractor will deliver
the Project free of stop notice claims. Work not conforming to these requirements, including
substitutions not accepted by the City, will be deemed defective. Contracto/s warranty
excludes improper or insuflicient maintenance, improper operation, or normal wear and tear
and normal usage. lf required by the City, th Contractor shall lumish satislactory evidence
as to the kind and quality of materials and equipment. This warranty is not limited by the
correction obligation ol Paragraph 2.04 herein
Overlap. Where any warranties provided under the Contract Documents overlap, conflict, or
are duplicative, Contractor will be bound by the more stringent requirements.
Procwement and Assiqnment of Wananties: Contractor shall obtain in the name of City, or
transfer or assign to City or City's designee prior to the time of Final Completion ol the Work,
any and all warranties or guarantees which Contractor is required to obtain pursuant to the
contract Documents and which Contractor obtained from any other person or entity other
than Contractor including, but not limited to, Subcontractors and manufacturers, and further
agrees to perlorm the Work in such a manner so as to preserve any and all such warranties.
Contractor shall secure written warranties from all Subcontractors. Contractor and its
Subcontractors shall offer any warranty upgrades or extensions that are offered by
manufacturers of any equipment or system installed in the Work to the City. Contractor shall
deliver to City all warranty and guarantee documents and policies.
Survival of Warranties: The provisions of this paragraph 2.15 will sulive Contractor's
completion of the Work or termination of Contractor's performance of the Work.
ARTICI,E 2
PAGE-17 of 90
2.
a
4.
Conection ol Work
1.Betore or After Final Completion Contractor shall promptly correct Work rejected by the
City or City's designee, as lailing to conform to the requirements of the Contract
Documents, whether discovered before or after Final Completion and whether or not
fabricated, installed, or completed. Costs of correcting such rejected Work, including
additional testing, inspections, and compensation lor the City's services and expenses
made necessary thereby, will be at Contracto/s expense within the Contract Price.
Aftet Final Complelion.
(a) ln addition to Contractor's warranty obligations under Paragraph 2.15-A, if, within
one (1)year after the date of Final Completion of the Work or within the time
period eslablished by any applicable special warranty required by the Contract
Documents, any ol the Work is lound to be not in accordance with the
requirements of the Contract Documents, Contractor shall commence correction
or replacement of such Work within forty-eight (48) hours after receipt of written
notice from the City to do so. Contractor shall pertorm such corrective work
without charge or cost to the City after Final Completion ol the Work. The City
shall give such notice promptly after discovery of the condition.
(b) lf Contractor fails to commence correction or replacement of non-conforming
Work within forty-eight (48) hours after receipt of written notice, the City will
proceed to have defects repaired or replaced at the expense ol Contractor and
its Performance Bond surety, plus fifteen percent (15%) for the City's overhead
and administrative expense. The City may charge such cosls against any
payment due Contractor. lf, in the opinion of the City, defective work creates a
dangerous or hazardous condition or requires immediate correction or attention
to prevent further loss to the City or to prevent interruption of operations ol the
City, the City may take immediate action, give notice, make such correction, or
provide such attention and the cost of such correction or attention will be charged
against Contractor. Such action by the City will not relieve Contractor of the
warranties provided in this Article or elsewhere in the Contract Documents.
Replacenent or Renoval ol Defective or Unauthoized ,york Contractor shall remove
lrom the Site and replace those portions of the Work which are not in accordance with the
requirements of the Contract Documents in a manner acceptable to and as ordered by the
Director. No compensalion shall be allowed for such removal or replacement. Director
shall have authority to cause defective work to be remedied, Iemoved or replaced and to
deduct the costs lrom monies due or to become due to Contractor.
Destruction ot Damaoe. ln the event Contractor destroys or damages any construction of
the City or another contractor while correcting or removing Work which is not in
accordance with the requirements of these Contract Documents, Contractor shall bear the
cost of repairing or reconstructing that other construction as well.
No Limitation. Nothing contained in Paragraph 2.15-B will be construed to establish a
period of limitation with respect to other obligations which Contractor might have under
the Contract Documents. Establishment of the one-year perlod for conection of Work as
described in Paragraph 2.15-8 relates only to the specific obligation of Contractor to
correct the Work, and has no relationship to the limitations periods established by statute
for any construction defect or other causes of action.
ARTICLE 2
PAGE-18 of 90
2.
J.
4
2.16 CLEANING ANO ENVIRONMENTAL CONTROLS
Contractor, Subcontractors and employees shall comply with ail litter and pollution laws and it shall be the
responsibility of Contractor to ensure compliance. Contractor shall do all of the following:
A. Maintain the Site free of waste materials, debris, and rubbish and in a clean and orderly condition;
and Remove waste materials, debris and rubbish from site and dispose off-site legally.
B. Maintain at his/her disposal any and all equipment necessary to prevent and remediate any sanitary
sewer overllow arising out of the Work. Contractor shall fumish and operate a self-loading motor
sweeper with spray nozzles, as directed by the Director, to maintain the aflected areas in a condition
of cleanliness acceptable to the City at all locations alfected by Contractois operations. For
purposes of this Paragraph, the affected areas include the poect Site as well as all haul routes to
and from the poect Site and all areas ol construction and restoration which have not been
completed.
C. Contractor shall take appropriate action to ensure that no dust originates lrom the proiect Site.
D. Any equipment or vehicles driven and/or operated within or adjacent to a street gutter, storm drain.
runoff conveyance or ocean shall be checked and maintained daily to prevent leaks of materials that
if introduced to water could be deleterious to aquatic life.
E. No debris, soil, silt, sand, bark, trash, sawdust, rubbish, cement or concrete or washings thereof, oil or
petroleum products or other organic or earthen material lrom any construction, or associated activity
or whatever nature shall be allowed to enter into or placed where same may be washed by rainfall or
runofl into waters of the State. When operations are completed, any excess materials or debris shall
be removed trom the Work area.
WATER POLLUTION CONTROL
A. Contractor shall comply with the requirements of Vernon Municipal Code Chapter 21, Article
5 regarding Storm Water controls.
B. Water Ouality Protection Hequirements for Construction Projecls with Less than one (1) Acre of
Disturbed Soil.
All construction poects, regardless of size, will be required to implement best management
practices (BMPs) necessary to reduce pollutants to the Maximum Extent Practicable (MEP) to
meet the minimum water quality plotection requirements as defined in Table 2-1.
ARTICLE 2
PAGE-19 ol 90
2.17
Table 2-1
Minimum Water Quality Protection Requirements for Construction Projects
Category l\,linimum Requirements BMPs
1. Sediment Control Sediments generated on the project site shall be retained
using adequate Treatment Control or Structural BMPs.
Sediment Control
2. Construction lvlaterials
Control
Construction-related materials, wastes, spills or residues
shall be retained at the project site to avoid discharge to
skeets, drainage facilities, receiving waters, or adjacent
Site Management;
Material and Waste
Management
properties by wind or runotl.
Non-storm water runoff from equipment and vehicle washing
and anv other aclrvity shall be contained at the proiect sites.
3. Erosion Control Erosion from slopes and channels shall be controlled by
implementing an eflective combination of BMPs, such as the
limiting ol grading scheduled during the wet season;
inspecting graded areas during rain events; planting and
maintenance of vegetation on slopes; and covering erosion
susceptible slopes.
Erosion Control
Please refer to the California Stormwater Ouality Association's Construction Handbook (available on their website:
www.cabmphandbooks.com) for lurther inlormation regarding the BMPs listed in Table 2'1.
C. Water Ouality Protection Bequirements lor Construction Proiects with one (1) Acte (or
greateo ot Disturbed Soil. ln addition to the minimum BMPs required in Paragraph A, all
construction pro1ects where at least one (1) acre of soil will be disturbed, construction activity that
results in land surface disturbances ol less than one acre if the activity is part of a larger common
plan of development, or the sale ol one or more acres ol disturbed land surface requires the latest
version of the Construction Activities Storm Water General Permit.
Prior to commencement of construction activities, the Permit Regislration Documents (PRDs) must
be submitted electronically in the Storm Water Multi-Application Heport Tracking System (SMARTS)
( . PRDs consist of the Notice of
lntent, Risk Assessment, Post-Construction Calculations, a Site Map, the Storm Water Pollutlon
Prevention Plan (SWPPP), a signed certification statement by the Legally Responsible Person (LRP),
and the first annual fee.See: or more
information. A Waste Discharger ldentification (WDID) will be emailed to the LRP after the PRDS
have been submitted and are deemed complete. Construction activities cannot begin until a WDID is
issued by the State Water Resources Conkol Board. Contractor shall bear the costs ol any delays to
the Proiect caused by a delay in obtaining its WDID.
The SWPPP shall include:
1. The name, location, penod of construction, and a briel description ol the proiect;
2. Contact information for the owner and contractor;
3. The building permit number for the project;
4. The grading permit number lor the project (where applicable);
5. A list of major construction materials, wastes, and activities at the project site;
6. A list ol best management practices to be used to control pollutant discharges from maior
construction materials, wastes, and activities;
7. A site plan (construction plans may be used) indicating the selection of BMPs and their
location where appropnate;
8. Non-storm water discharges, their locations, and the BMPS necessary to prevent the
discharge;
9. A maintenance and self-inspection schedule of the BMPs to determine the etlectiveness
and necessary repairs of the Bl\IPs; and
10. A certification statement that all required and selected BMPs will be etfectively
implemented.
ARTICLE 2
PAGE-2o ot 90
Within seven (7) days after the City awards the Contract, Contractor shall submit seven (7) copies ot
the proposed SWPPP to the City. The City shall review the SWPPP within 14 days ol receipt of the
plan. lf revisions are required, Contractor shall revise and re-submit the document within seven (7)
days ol its receipt ol the City's comments. The City shall then have seven (7) days to consider the
revisions made by Contractor and approve the SWPPP.
Contractor shall maintain a minimum of two (2) readily accessible copies of the SWPPP at the
Proiect site. The SWPPP shall be made available upon request of a representative of the Los
Angeles Regional Water Ouality Control Board (LARWOCB) or the U.S. Environmental Prolection
Agency (U.S. EPA). Bequests by environmental groups and the public shall be directed to the
City.
D. Best Management Practices
The objective of the SWPPP is to identify potential sources of pollution that may reasonably atlect
the quality of storm water discharge associated with construction activities. The plan will describe
and ensure the implementation of Best Management Practices (BMPS) which will be used to
reduce pollutants in the storm water discharges from the construction site. A Best Management
Practice is defined as any program, technology, process, operating melhod, measure, or device
that controls, prevents, removes, or reduces pollution. Contractor shall select appropriate BMPs
from the California Stormwater BMP Handbook, Municipal, lndustrial, New Development, and Construction
Volumes (www.cabmohandbooks.com) in conjunction with all activities and construction operations.
Copies of the California Stormwater BMP Handbooks may be obtained kom:
Califomia Stormwater Quality Association Cashier
P.0. Box 2105,
Menlo Park, CA 94026-2105
Phone: (650)366-1042
E-mail: info@casqa.org
www.cabmohandbooks.com
E. lmplementation
Los Angeles County DPW
900 South Fremont Avenue
Alhambra, CA 91803
Tel. No. (626) 458-6959
Contractor will be responsible lhroughout the duration of the Project for the installation,
monitonng, inspection and maintenance of the BMPs included in the SWPPP and for removing and
disposing of lemporary BMPS. Contractor may be required to implement additional BMPs as a
result of changes in actual field conditions, conlracto/s actrvities, or construction operations.
Contractor shall demonstrate the ability and preparedness to fully deploy these SWPPP control
measures to protect soil-disturbed areas of the project site belore the onset of precipitation and
shall maintain a detailed plan for the mobilization of sutficient labor and equipment to fully deploy
lhese control measures.
Throughout the winter season, active soil-disturbed areas of the pro,ect site shall be fully protected
at the end of each day with these control measures unless fair weather is predicted through the
following day. Contractor shall monitor daily weather lorecasts. lf precipitation is predicted
prior to the end of the following Work Day, construction scheduling shall be modified, as required,
and Contraclor shall deploy functioning control measures prior to lhe onset ol the precipitation.
The City may order the suspension of construction operations which are creating water pollution if
Contractor rails to conrorm to the requirements of this Paragraph 2.17. Unless otherwise directed
ARTICLE 2
PAGE-21 ol90
F.
by the City, Contracto/s responsibility lor SWPPP implementation shall continue throughout any
temporary suspension of the Work.
Sewage Spill Prevention. Contracto/s attention is directed to the sewer bypass operation
required dunng any sewer construction pursuant to the 2012 edition ol the 'GreenbooK Standard
Specifications for Public Works Construction, Section 500.1.2.4 or as that section is subsequently
amended.
Contractor shall exercise extraordinary care to prevent the cause of events that may lead to a
sewage spill. ln the event of a sewage spill, Contractor shall make arrangements for an
emergency response unit comprised ol emergency response equipment and trained personnel to
be immediately dispatched to the project site.
Contractor shall be lully responsible lor preventing and containing sewage spills as well as
recovering and properly disposing of raw sewage. ln addition, Contractor is responsible lor any
fines, penalties and liabilities arising from negligently causing a sewage spill. Any utility that is
damaged by contractor shall be immediately repaired at Contracto/s expense. The
Contractor shall take all measures necessary to prevent lurther damage or service interruption and
to contain and clean up the sewage spills.
Sewage Spill Telephone Notification
Should a sewage spill occur, Contractor shall immediately report the incident to either one of these
lwo City Departments:
Sewer Maintenance Services Citv of Vernon Control Center
(323) 826-1461
Fire Department Dispatch Center 911
Contractor is encouraged to obtain telephone numbers, pager numbers and cellular telephone
numbers of City representatives such as Project Managers and lnspectors. However, if these City
representatives are not available, then Contractor shall immediately call:
Vince Bodriouez. Proiect Manaoer (323) 855-2292
Sewage Spill Written Notification
Contractor shall prepare and submit a written reporl to the Director within three (3) Working
Days lrom lhe occurrence ol a spill to the City. This report shall describe all ol the following:
1. The exact location on the Thomas Guide map
2. The nature and volume
3. The date, time and duration
4. The cause
5. The type of remedial and/or cleanup measures taken and date and time implemented
6. The corrective and preventive action taken, and
ARTICLE 2
PAGE-22 of g0
G.
7. The water body impacted and results of necessary monitoring
l. Enforcement
The City is subject to enforcement actions by the LARWQCB, U.S. EPA, environmental groups and
private citizens. Contractor shall indemnify, defend and hold City, its officers, agents and
employees harmless from Contracto/s failure to comply and/or fullill the requirements set torth in
this Paragraph 2.17. Contractor shall be responsible lor all costs and liabilities imposed by law as
result of Contractor's tailure to comply and/or fulfill the requirements set forth in this Paragraph
2.17. The costs and liabilities include, but are not limited to fines, penalties and damages whether
assessed against the City or Contractor.
ln addition to any remedy authorized by law, any money due to Contractor under this contract shall
be retained by the City until all costs and liabilities imposed by law against the City or Contractor
have been satislied.
J. liainlenance
Contractor shall ensure the proper implementation and functioning of BMP control measures
and shall regularly inspect and maintain the construction site for the BMPs identified in the
SWPPP. Contractor shall identify corrective actions and time frames in order to properly address
any damaged measure, or reinitiate any BMPs that have been discontinued.
lf the City identifies a deficiency in the deployment or functioning of identified conlrol measures, the
deliciency shall be corrected by Contractor immediately or by a later date and time if agreed to
by Director and il requested in writing, but not later than the onset of the subsequent precipitation
events. The correction of deficiencies shall be at no additional cost to the City.
K. Payment
All costs involved in the implementation of the SWPPP, including lumishing all labor, materials,
tools, equipment and all incidentals; and lor doing allthe work involved in installing, constructing,
maintaining, removing, and disposing of control measures, except those that were installed as a
part of another structure, shall be included in the unit prices bid for the various related items of
work and no additional compensation will be made therelor.
2,18 SOLID WASTE DISPOSAL AND DIVERSION
Contractor shall submit to the Director the following summary of solid waste generated by the Work,
disposed in Class lll landfills, or diverted trom disposal through recycling. Report disposal in inert fill
separately. This lorm must be accompanied by legible copies of weight tickets, receipts, or invoices that
specilically identify the proiect generating the material. Said documents must be Irom recyclers and/or
disposal site operators that are acceptable to the Director. Further, the documents must be submitted to the
Director with each application for progress payment. Failure to submit the form and its supporting
documentation will render the application Ior progress payment incomplete and delay progress payments.
ARTICLE 2
PAGE-23 of 90
Project Title:
SUMMARY OF SOLID WASTE DISPOSAL AND DIVERSION
Specification No.
Type of Material (a)
Disposed in Class lll Landfills
(b)
Diverted trom Class lll
Landlills by Hecycling
(c)
[Leave This Column Blank]
(d)
Disposed in lnert Fills
TonVCY Tons/CY Tons/CY TondCY
Asphalt
Concrele
Metal
Other Segregated Materials
(Describe):
Miscellaneous Construclion
Waste
Tota
Form to be submitted to the Cily
SIGNATURE:
TITLE:
DATE:
2.19 RECYCLED.REUSABLEANDRECYCLABLEPRODUCTS
Contractor is encouraged to propose recycled, reusable and recyclable products for use by the City. Those
items should be clearly identified. The City may require further information or documentation to ascertain the
suitability/appropriateness of a proposed product.
IEND OF ARTTCLEI
ARTICLE 2
PAGE-24 oi 90
3.01
ARTICLE 3. TIME OF COMMENCEMENT AND COMPLETION
COMMENCEMENT. PBOSECUTION. AND COMPLETION OF WOBK
A. Notice to Proceed
Contractor is not authorized to perform any Work the Contract Documents until he/she has received
from the City an ofticial notification to commence Work. The date on which the notilication is received
by Contractor is herein referred to as the Notice to Proceed. Contractor shall commence Work on the
Date ol Commencement established in the Notice to Proceed is issued. The Notice to Proceed shall
be issued after the Contract is properly executed, bonds are lumished and approved, and insurance
has been submitted and approved.
B. Prosecution of the Work
Work shall be continued at all times with such force and equipment as will be sutficient to complete it
within the specilied time. Contractor expressly proposes that he/she has taken into consideration and
made allowances for all ordinary delays and hindrances to the Work to be performed and that he/she
will complete the Work within the specified time.
C. Required Contract Completion
Time is ol the essence in the completion of this Contract. The Work shall be completed in ib entirely
and made ready lor service within 365 calendar days tollowing the Date ol Commencement
established in the Notice to Proceed ('Contract Time'). By executing the Contract, Contractor
conlirms that the Contract Tlme is a reasonable period for perlorming the Woft.
CITY'S DISCREflON TO EXTEND CONTRACT TIME
ln the event the Work required hereunder is not satisfactorily completed in all parts and in compliance with the
Contract Documents, City shall have the right, in its sole discretion, to increase the number of Working Days or
not, as may seem best to serve the interest of City. A change order extending the Contract Time only will be
issued by the City should the City decide to increase the number ol Woking Days.
SUBSTANTIAL COMPLETION
A. Contractor Request for lnspection and Punch List
When Contractor considers that it has achieved Substantial Completion of the Work, or designated
portion thereof, Contractor shall prepare and submit to the Director a request for inspection and a
comprehensive punch list ol items to be completed or corrected prior to Final Payment. Failure to
include an item on such punch list does not alter the responsibility ol Contractor to complete all
Work in accordance with the Contract Documents.
B. City lnspection
Upon receipt of Contractor's punch list, the Director will make an inspection to determine whether
the Work or designated portion thereof is Substantially Complete. lf the inspection discloses any
item, whether or not included on Contractor's punch list, which is not sutticiently complete in
accordance with the Contract Documents so that the City can occupy or utilize the Work or
ARTICLE 3
PAGE-25 ol90
3.03
3.04
designated portion thereol for its intended use, Contractor shall, before City's issuance of the
Certificate of Substantial Completion, complete or correct such item upon notification by City.
Contractor shall then submit a request for another inspection by City to determine Substantial
Completion.
C. Certificate ol Substantial Completion
When the Work or designated portion thereol is substantially complete, the Director will prepare a
Certilicate of Substantial Completion which shall establish the date of Substantial Completion, shall
establish responsibilities of the City and Contractor for security, maintenance, utilities, damage to
the Work, and insurance, and shall fix the time within which Contractor shall finish all items on
Contractods punch list accompanying the Certificate. Warranties required by the Contract
Documents shall commence on the date of Substantial Completion of the Work. Contractor shall
deliver to City all warranty and guarantee documents and policies.
DELAYS AND EXTENSIONS OF TIME FOR CONTRACTOR
A. Contractor shall take reasonable precautions to foresee and prevent delays to the Work. ln the
event of any delay to the Work, Contractor shall revise his/her sequence ol operations, to the
extent possible under the terms of the Contract, to otfset the delay.
B. lf any delay to the Work is caused by circumstances within Contracto/s control, it is not excusable
and not compensable, and Contractor will not be entitled to any extension of time or to any other
compensation for damages resulting directly or indirectly therefrom.
C. ll any delay having a direct elfect on the Work is caused by circumstances beyond the control ol
Contractor except for causes of delay specilied in Paragraph 3.04-D., such delay may be
excusable and may entitle Contraclor to an equivalent extension of time, but not to any other
compensation. Excusable but not compensable causes include but are not limited to labor
disputes, weather conditions untavorable for prosecution of the Work, and torce majeure.
D. lf any delay having a direct eflect on the Work is caused by failure of the City to provide information
as specified, or necessary instructions for carrying on the Work, or to provide the necessary right of
way or site for installation, or failure of a utility to remove or relocate an existing facility such delay
may be compensable and may entitle Contractor to an equivalent extension of time, and to
compensation for damages resulting directly from any of the causes of delay specilied in this
paragraph.
E. Contractor shall notify the Director in writing of any delay having a direct effect on the Work and the
causes thereof within 15 days from the beginning of such delay.
F. Any claim for an extension of time or for compensation lor damages resulting trom delay shall be
made in writing to the Director not more than 30 days atter the ending of such delay. Contractor
shall provide a wrinen report evaluating the impact ol the delay which shall include, at a minimum,
all of the following:
1. a narrative description of the delay and its impact on the critical path to Substantial Completion of
the Work or a portion of the Work designated by City;
2. a detailed breakdown of the Allowable Costs, if any, sought by Contractor due to the delay;
ARTICLE 3
PAcE-26 of 90
3. the number of days of extension sought by Contractor as an adjustment to the Contract time;
4. a statement that Contractor has complied with the requirements of the General Conditions for
written notice of delays, along with the dates and copies of such notices;
5. the measures taken by Contractor and Subcontractors to prevent or minimize the delay; and
6. the Contacto/s recommendations ,or reordering or re-sequencing the Work to avoid or minimize
further delay.
No extension of time or compensation for damages resulting from delay will be granted unless the
delay affects the timely completion of the overall Work under the Contract or the timely completion
of a portion of the Work for which a time ol completion is specilied.
G. The Director will investigate the lacts and ascertain the extent ol the delay, and his/her findings
thereon shall be final and conclusive.
H. Failure of Contractor to give written nolice ot a delay, or to submit or document a claim lor an
extension of time or for damages resulting from delay in the manner and within the times stated
above shall constitute a waiver ol all claims thereto.
l. When a Contractor experiences two concurrent delays, one compensable and the other excusable,
no compensation other than an extension of time will be allowed.
J. An extension ol time must be approved by the Director to be effective, but an extension ol time
whether with or without consent of the sureties, shall not release the sureties from their obligations,
which shall remain in full force until the discharge of the Contract.
CLIMATIC CONDMONS
A. The Director may suspend the Work whenever weather conditions or conditions resulling from
inclement weather are unfavorable lor the prosecution of the Work. The delay caused by such
suspension may entitle Contractor to an extension of time but not to any other compensation.
B. ll Contractor believes that Work should be suspended under this Paragraph 3.05, he/she may
request such suspension. The delay caused by such suspension may entitle Contractor to an
extension of time but not k any other compensation.
C. No extension of time will be granted for suspension of Work unless the suspension alfects the
timely completion of all Work under the Contract or the timely completion of a portion of the Work
for which a time ol completion is specified. Determination that the suspension tor inclement
weather conditions or conditions resulting from inclement weather affects timely completion and
entitles Conlractor to an extension of time shall be made and agreed to in writing by the Director
and Contractor on each day that Work is suspended. ln the event of failure to agree, Contractor
may protest under the provisions of Paragraph 7.07.
D. lf Work is suspended and an extension of time is granted under this Paragraph 3.05, Contractor
will be entitled to a one day extension of time for each day that he/she is unable to Work at least
one-half of his/her currenl normal Work Day; and if the Work is suspended at the regular starting
time on any Work Day and Contractor's WorKorce is dismissed as a result thereof, then he/she will
ARTICLE J
PACE-27 oi 90
be entitled to a one Work Day extension of time whether or not conditions change thereafter and
the major portion of the day is suitable for Work.
COMPLETION AND ACCEPTANCE
A. Upon request by Contractor, the Director shall conduct a final inspection of the Work, lf, in the
Directo/s opinion, Final Completion has been achieved, the Director will accept the Work by issuing a
"Notice of Completion" of the Work to Contractor. Upon the issuance of the Notice of Completion,
Contractor will be relieved lrom responsibility to protect the Work.
B. Within 15 calendar days after issuing the Notice of Completion, the Director will record the Notice of
Completion with the County Recorder.
LIOUIDATED DAMAGES
A. Contractor and City agree to liquidate damages in the amount of five hundred dollars ($500) per
day, with respect to Contracto/s noncompletion of the monthly Routine Maintenance-lnspection
and Cleaning work for each day past the first seven (7) working days of each month. ln addition,
the Contractor shall pay to the City, or have withheld from monies due it, the sum of $100.00
for each hour late when responding to emergency situations. The Parties intend for the
liquidated damages set forth herein to apply to this Contract as set forth in Govemment Code Section
53069.85. Contractor acknowledges and agrees that the liquidated damages are intended to
compensate City solely for Contractor's failure to meet the deadline for Substantial Completion and
shall not excuse Contractor from liability from any other breach, including any failure of the Work to
conform to the requirements of the Contract Documents.
B. ln the event that Contractor fails to achieve Substantial Completion of the Wod< within the Contract
Time, Contractor agrees to pay City the amount specified in the Contract form for each calendar day
that Substantial Completion is delayed.
C. Contractor and City acknowledge and agree that the foregoing liquidated damages have been set
based on an evaluation of damages that the City will incur in the event ol late completion of the Work.
Contractor and City acknowledge and agree that the amount of such damages are impossible to
ascertain as of the effective date hereof and have agreed to such liquidated damages to fix City's
damages and to avoid later disputes. lt is understood and agreed by Contractor that liquidated
damages payable pursuant to this Agreement are not a penalty and that such amount are not
manifestly unreasonable under the circumstances existing as of the effective date of this Agreement,
D. lt is further mutually agreed that City shall have the right to deduct liquidated damages against
progress payments or retainage and that the City will issue a Construction Change Directive and
reduce the Contract Sum accordingly. ln the event the remaining unpaid Contract Sum is insufficient
to cover the full amount of liquidated damages. Contractor shall pay the difference to City.
ARTICLE 3
PAGE-28 of 90
IEND OF ARTTCLEI
ARTICLE 4 - CONSTRUCTION SCHEDULES
BASELINE PROJECT SCHEDULE
Contractor shall submit his/her work Baseline Prolect Schedule, in electronic as well as hard-copy format, to
the Director at the preronstruction meeting showing in detail how Contractor plans to execute and coordinate
the Work. The construction schedule shall show the sequence of work, critical path and estimated time lor
completion of each segment of work. This schedule must be reviewed and accepted by the Director belore
Contractor will be permitted to begin work. ln addition, Contractor shall submit a detailed schedule forecasting
two (2) weeks ol work describing each day's work. This schedule shall be updated and submitted to the City
every other Monday dunng the construction period. Contractor shall give 48 hours notice to the City Engineer
prior to the start ol the work.
1.At a minimum, the Baseline Project Schedule activities shall be coded on a work discipline basis
and by geographic area or location on the Project. The Baseline Project Schedule shall include a
detailed description of each actrvity code. The Baseline Poject Schedule shall be based on and
incorporate conlract milestone and completion dates specilied in the Contract Documents. lt
shall depict events, jobs, and their intenelationships and shall recognize the progress that must
be made on one task before subsequent tasks can begin. The schedule shall be comprehensive
and shall include all logical interdependencies and interactions required to perform the Work of
the Project.
Overall time of completion and time of completion for each milestone shown on the Schedule
shall adhere to the specified Contract Time, unless an earlier (advanced) time of completion is
requested by Contractor, agreed to by the City and formalized by Change order.
Contractor shall use the latest version of Microsoft Project or equivalent sottware agreed to by
the parties.
City will review the submitted Baseline Project Schedule for conformance with these scheduling
requirements. Within fourteen (14) calendar days after receipt, the City will accept the proposed
Baseline Prolect Schedule or will retum it with comments. lf the proposed Baseline Project
Schedule is accepted by the City, it shall be deemed part of the Contract Documents. lf the
Baseline Project Schedule is not accepted by City, Contractor shall revise the Baseline Project
Schedule, in accordance with the recommendations of the City, and re-submit same lor
acceptance, no later than seven (7) calendar days after receipt of said recommendation.
Acceptance of Baseline Project Schedule by City, failure to include an elemenl ol work, or
inaccuracy in Baseline Project Schedule shall not relieve Conlractor from the responsibility for
accomplishing the Work in accordance with the Contract Documents.
Float
1. Critical Work activities are defined as Work activities which, if delayed or extended, will delay the
scheduled completion of the milestones and/or time of completion. All other Work activities are
defined as noncritical Work activities and are considered to have float. Float is defined as the
time that a nontritical Work activity can be delayed or extended without delaying the scheduled
completion of the milestones and/or lime of completion. Float is considered a Project resource
ARTICLE 4
cC-29 of 90
4.
B.
4.01
available to either party or both parlies as needed. Once identified, Contractor shall monitor,
account for, and maintain float in accordance wth Cntical Path Methodology.
2. Delays of any non+ritical Wok shall not be the basis for an extension ol Contract Time until the
delays consume all float associated with that nonrritical Work activity and cause the Wok
activity to become critical.
3. lt is ackno,/vledged that Cityraused time savings (i.e., critical path submittal reviews retumed in
less time than allowed by the Contract Documents, approval ol substitution requests which Iesult
in a savings of time for Contractor, etc.) create shared float. Accordingly, City{aused delays
may be otlset by Citytaused time savings.
C. Early Completion
While Contractor may schedule completion of the Project earlier than the date established by the
Contract Documents, no additional compensation shall become due Contractor lor the use ol float
time between Contractor's pOected early completion date and the date for Substantial Completion
established by the Contract Documents, unless an earlier (advanced) time of completion is rEuested
by Contractor, agreed to by the City, and formalized by Change Order.
SCHEDULE UPDATES
With each Application for Payment submitted by Contractor (other than the final Application for
Payment), Contractor shall submit to the City an updated Proiect Schedule revised to indicate the
Work completed, status of Work in progress, all progress slippages, conective actions taken, or
slippage carry-over, for all anticipated delays or difficulties, and all other information required to
accurately present lhe actual status of the progress of the Work as of the date of the Application tor
Payment. lt Contractor does not submit an updated Project Schedule with an Application for
Payment, City may withhold payment, in whole or in part, until the updated Project Schedule is
submitted. ln the event that an update to the Project Schedule indicates a delay to the Contract Tlme
Contractor shall propose an affirmative plan to correct each such delay, including overtime and/or
additional labor, if necessary. ln no event shall any Project Schedule update constitute an adiustment
in the Contract Time, any deadline, or the Contract Sum unless any such adjustment is agreed to by
the City and authorized pursuant to Change Order or Work Directive.
At no time shall historical data contained within the updated Poject Schedule (i.e. completed
activities) be removed and/or altered in any way. This historical data is to be preserved within each ot
the updated Project Schedules and submitted with the tinal schedule update to reflect the actual start
and finish dates for each activity within the Schedule.
Any work stoppages within individual work activities that exceed seven (7) calendar days in duration
shall be clearly indicated within the updated Project Schedule. ln cases where unplanned activity
work stoppages exceed seven (7) calendar days activities shall be added to the Project Schedule to
clearly indicate the work stoppage period and identify forecasted resumption and completion of the
activity where work has stopped. Contractor shall clearly note all schedule revisions when Proiect
Schedule updates are submitted, as required in this Paragraph 4.02 above.
NONCOMPENSABLE EXTBAORDINARY MEASURES
Should the City determine, in its sole judgment, that the performance of the Work has not progressed
to the level of completion required by the Contract Documents, City shall have the nght lo order
ARTICLE 4
GC-30 of 90
4.03
Contractor to take corrective measures to expedite the progress of construction, at no additional cost
to the City, including, without limitation, the following:
1. Working additional shifts of oveftime.
2. Supplying additional manpower, equipment, and/or facilities.
3. Reschedule activities to maximize practical concurrence of accomplishment of activities.
4. Submitting a Becovery Schedule discussed above, for resequencing performance of the Work or
other similar measures.
5. Any other actions that may be necessary to mitigate delays.
B. Such Extraordinary Measures shall continue until the progress of the Work is no longer behind
schedule and/or reaches the stage of completion required by the Contract Documents. Contractor
shall not be entitled to an adjustment in the Contract Sum in connection with the pedormance of any
such Extraordinary Measures required by the City under this Paragraph. The City may exercise the
rights fumished the City pursuant to this Paragraph as frequently as the City deems necessary to
ensure that Contracto/s performance of the Work will comply with the Contract Time or interim
completion dates set forth in the Contract Documents. lf Contractor or its Subcontractors fail to
implement or commence Extraordinary Measures within ten (10) calendar days of City's written
demand, City may, without prejudice to other remedies, take conective action at the expense of
Contractor which shall reduce the Contract Sum accordingly.
CONDITION OF PAYMENT
Compliance by Contractor with the requirements of the Contract Documents pertaining to preparation,
submission, revising and updating of the Schedule is a condition precedent to City's obligation to make
payment to Contractor of any or all sums that might otherwise be due to Contractor in the absence of such
noncompliance. Payment by City under circumstances in which City, for any reason, fails or elects not to
assert its right to withhold payment for noncompliance with this Paragraph shall not be construed as a waiver
of the right to withhold future payments on account of such noncompliance or any other noncompliance.
IEND OF ARTTCLEI
ARTICLE 4
GC-31 of 90
s.01 TERMINATION BY CONTBACTOR
A. Contractor shall have the right to terminate its performance ol the Contract only upon the occurrence
of one of the tollowing:
'1. The Work is stopped lor a period ol ninety (90) consecutive days through no act or lault of
Contractor, any Subcontractor, Sub'subcontractor, their agents or employees, or any other
persons or entities perlorming portions of the Work under direct or indirect contract with
Contractor, due to:
a. the issuance ol an order of a court or other public authority having jurisdiction; or
b. an act of govemment, such as a declaration ol national emergency making
material unavailable;
and Contractor has given City written notice within ten (10) Working Days of the occurrence of
such ground for termination, then Contractor may, upon thirty (30) additional calendar days
written notice to City, unless the reason has theretofore been cured, terminate its perlormance ot
the Work.
2. The Work is stopped for a period of 120 consecutive days through no act or lault of Contractor,
any Subcontractor, Sub'subcontractor, their agents or employees, or any other persons 0r
entities performing portions of the Work under direct or indirect contract with Contractor, because
the Clty has persistently failed to perlorm any material obligation under the Contract Documents
and fails to cure such delault within ninety (90) days after the receipt of notice from Contractor
stating the nature of such delautt.
B. Il Contractor terminates its performance of the Contract in actordance with this Paragraph 5.01, the
City shall pay Contractor for the Work executed through the date of termination as set forth in
Paragraph 5.04-C below.
TERMNANON BY THE CITY FOR CAUSE
A. Grounds
City shall have the right to terminate Contractois pedormance of the Contract, in whole or in parl,
without liability to City if:
1. Contractor fails promptly to begin the Work under the Contract Documents; 0r
2. Contractor refuses or fails to supply enough properly skilled workers or proper materials; or
3. Contractor fails to perlorm the Wok in accordance with the Contract Documents, including
conlorming to applicable standards set forth therein in constructing the Poect, or refuses to
remove and replace rejected materials or unacceptable Work; or
4. Contractor discontinues the prosecution of the Work (exclusive of work stoppage: (a) due to
termination by City; or (b) due to and during the continuance of a Force Majeure event or
suspension by City); or
ARTICLE 5
GC-32 of 90
5.02
ARTICLE 5. SUSPENSION OR TERMINATION OF CONTRACT
5. Contractor fails to resume perlormance of Work which has been suspended or stopped, within a
reasonable time after receipt of notice from City to do so or (if applicable) atter cessation of the
event preventing performance; or
6. Any representation or warranty made by Contractor in the Contract Documents or any certificale,
schedule, instrument, or other document delivered by Contractor pursuant to the Contract
Documents shall have been {alse or materially misleading when made; or
7. Contractor fails to make payment to Subcontractors or Material Suppliers tor materials or labor in
accordance with the respective Contract Documents and applicable law; or
8. Contractor disregards laws, ordinances, or rules, regulatlons, or orders of a public authority
having iurisdiction; or
9. Contractor is guilty of breach of a provision ol the Contract Documents; or
10. Contractor becomes insolvent, is adjudicated bankrupt, or makes a general assignment for the
benelit of creditors and fails to provide City with adequate assurances of Contracto/s ability to
satisly its contractual obligations.
A receiver, trustee, or other judicial oflicer shall not have any right, title, or interesl in or to the
Contract. Upon that person's appointment, City has, at its option and sole discretion, the right to
immediately cancel the Contract and declare it null and void.
City's Rights.
When any of the reasons specified in Paragriaph 5.02-A exist, City may, in addition to and without
prejudice to any other rights or remedies of the City, and afler giving Contractor tive (5) Woking Days
written notice, terminate Contracto/s performance ol the Work, in whole or in part, and may:
1. Take possession of the site and all materials, equipment, tools, construction equipment, and
machinery thereon owned by Contractor;
2. Withhold from Contractor amounts unpaid hereunder and to oflset such amounts against
damages or losses incuned by City;
3. Accept assignment ol subcontracts lrom Contractor, at the sole discretion of City, and
4. Finish the Work by whatever reasonable method the City may deem expedient.
Upon request of Contractor, the City shall fumish to Contractor a detailed accounting of the costs
incuned by the City in finishing the Work.
Corts
lf City's costs to complete and damages incurred due to Contracto/s detault exceed the unpaid
Conkact balance, Contractor shall pay the difference to the City.
Wronglul Termination
ll it has been adiudicated or otherwise determined that City has wrongfully terminated Contractor for
cause, then said termination shall be deemed converted to a terminalion for convenience as set lorth
ARTICLE 5
cC.33 oi 90
in Paragraph 5.04 and Contractor's remedy for wrongful termination in such event shall be limited to
the recovery of the payments permitted lor termination lor convenience as set forth in Paragraph
5.04.
PARNAL OELMON OR SUSPENSION OF WORK BY THE CITY
A. Contractor agrees that the Ciy may determine whether any or all ol the Work described in the
Contract Documents shall be deleted or performance suspended without electing to terminate
Contracto/s pertormance under the Contract and wrthout any penalty being incurred by the City.
B. Any such pa(ial deletion or suspension of the Work shall in no way void or invalidate the Contract
nor shall it provide Contractor with any basis for seeking payment from City lor Work deleted or
suspended except to the extent such Work has already been perlormed and is othent ise
compensable under the Contract.
C. City shall have the right to later have any such suspended or deleted Work performed by Contractor
or others without any penalty to the City.
D. ln the event ol any partial or complete deletion or suspension of Work, the City shall furnish
Contractor with prompt written notice thereof, and the City shall be entitled to take possession of and
have as its property all Record Documents, Accounting Hecords, and other data prepared by
Contractor or its Subcontractors.
E. Suspension tor Convenience.
1. City may at any lime and from time to time, without cause, order Contractor, in writing, to
suspend, delay, or interrupt the Work in whole or in part for such period of time as the Ctty may
determine. Such order shall be specifically identilied as a 'Work Suspension Directive' under
this Section.
2. Upon receipt of a Work Suspension Directive, Contractor shall, at the City's expense, comply
with its terms and take all reasonable steps to minimize costs allocable to the Work covered by
the Wok Suspension Directive during the period of Work stoppage.
3. Within the period of suspension, or such extension to that period as is agreed upon by Contractor
and the City, the City shall either cancel the Work Suspension Directive or delete the Work
covered by such Work Suspension Directive by issuing a Change Order or Construction Change
Directive.
4. lf a Work Suspension Directive is cancelled or expires, Contractor shall continue the Work. A
Change Order or Construction Change Directive will be issued to cover any adjustments of the
Contract Sum and Contract Tlme necessarily caused by such suspension. No adjustment shall
be made to the extent:
(a) That performance is, was, or would have been so suspended, delayed, or interrupted by
another cause for which Contractor is responsible; or
(b) That an equitable adiustment is made or denied under another provision of the Contract.
ARTICLE 5
GC-34 of 90
F. Suspensions for Cause
City has the authority by written order to suspend the Work, in whole or in part, without liability to City
for Contractor's lailure to:
1. Conect condrtions unsafe for the Prolect personnel or general public, or
2. Carry out the Contract; or
3. Carry out orders ol City.
G. Besponsibiliiies ol Contractor During Suspension Periods
During periods that Work is suspended, Contractor shall continue to be responsible for the Work and
shall prevent damage or injury to the Project, provide tor drainage, and shall erect necessary
temporary structures, signs or other tacilities required to maintain the Project and continue to perform
according to the Contract Documents.
5.04 TERMNANON BY T}IE CITY FOR CONVENIENCE
A. Grcunds
Without limiting any rights which City may have by reason of any default by Contractor hereunder,
City may terminate Contracto/s performance ol the Contract, in whole or in part, at any time, lor
convenience upon fifteen (15) Working Days written notice to Contractor.
B. Contractor Actions
Upon receipt ol such notice, Contractor shall perform the duties required by Paragraph 5.05 below.
At the election of and as directed by the City, any or all of the subcontracls and purchase orders
entered in to by Contractor prior to the effective date ol termination shall be terminated or shall be
assigned to City.
C. Compensation
1. ll the Parties are unable to agree on the amount of a termination setllement, the City shall pay
Contractor the following amounts:
a. For Work perlormed before the effective date of termination, the total (without duplication of
any items) of:
i. The cost ol the Work; and
ii. A sum, as overhead and profit on the cost o{ the Work, determined by the City to
be fair and reasonable. ln no event shall Contractor be entitled to recover
overtlead or profit on Work not performed.
b. The reasonable costs of senlement of the Work terminated, including:
i. Accounting, clerical, and other expenses reasonably necessary lor the preparation
ol termination senlement proposals and supporting data, il any; and
ARTICLE 5
GC-35 of 90
ii. Storage, transportation, and other costs reasonably necessary for the preservation,
protection, or disposition of inventory.
2. Such payment shall be Contractor's exclusive remedy for termination for convenience and will be
due and payable on the same conditions as set forth for final payment to the extent applicable.
Upon receipt of such payment, Contractor and City shall have no further obligations to each other
except lor Contracto/s obligations with respect to warranties, representations, indemnity,
mainlenance of insurance, and other obligations that survive lermination or Final Completion as
provided lor herein.
3. lt is understood and agreed that no fee, anticipated profit, compensation tor lost opportunity
costs, or other compensation or payment ol any kind or character shall be due or payable for
unperlormed Work regardless ol the basis of termination and the inclusion ol this provision within
this subparagraph shall in no way limit its application to termination under this Paragraph.
4. Contractor agrees that each of its subcontracts will reserve for Contractor the same right ol
termination for convenience provided by this Paragraph 5.04.
D. l,l,o Consequential Damages
Under no circumstances shall Contractor be entitled to anticipatory or uneamed prolits or
consequential or other damages as a result of a terminalion or partial termination under this Article 5.
The payment to Contractor determined in accordance with this Article constitutes Contracto/s
exclusive remedy for a termination hereunder.
CONTRACTOR'S DUTIES UPON TERMINATION FOR CAUSE OR CONVENIENCE
It City terminates Contracto/s performance ol Work under the Contract, tor cause or convenience or if
Contractor terminates a Subcontractor with the City's approval, Contractor shall:
(1) cease performance of the Work to the extent specilied in the notice;
(2) take actions necessary or ttlat the city may direct, lor the protection and preservation ol the work;
(3) settle outstanding liabilities, as directed by City;
(4) transfer title and deliver to City Work in progress, specialized equipment necessary to perform the Work;
(5) submit all Record Documents, Accounting Records and other data prepared pursuant to the Contract by
Contractor and/or its Subconlractors, as applicable, to the City with fifteen (15) calendar days after the City's
notice of termination in an organized, usable form, in both hard copy and electronic/digital form, with all items
properly labeled to the degree of detail specified by the City; and,
(6) except for Work directed by City to be performed prior lo the elfectrve date of termination stated in the
nolice, incur no further costs or expenses and enter into no furlher Subcontracts and purchase orders.
No compensation shall be due Contractor, if any, until Contractor complies with the requirements of this
Paragraph.
ARTICLE 5
GC-36 of 90
IEND OF AHTICLE]
5.05
6.01
ARTICLE 6 - CHANGES
CIW'S RIGHT TO ORDER CHANGES
City, without invalidating the Contract, may authorize changes in the Work consrsting of additions,
deletions, or other revisions, with the Contlact Sum and Contract Time being adjusted accordingly, il
necessary. All such changes in the Work shall be authorized by Change order or Construction Change
Directive and Contractor shall perform such changes in the Work according to the applicable requirements
of the Contract Documents.
APPLICABLE PROVISIONS
Changes in the Work shall be perlormed under applicable provisions of the Contract Documents.
Contractor shall proceed promptly and diligenlly with the change, unless otherwise provided in the Change
Order or Construction Change Directive. lt is of the essence to this Contract that all scope changes in the
Work that form the basis of an adjustment of the Contract Sum or Contract Time must be authorized in
advance in writing through either a Change Order or Construction Change Directive. A change in the
Contract Sum or the Contract Time shall be accomplished only by Change Order or Construction Change
Directive. Accordingly, no verbal directions, course of conduct or dealings between the Parties, express or
implied acceptance of alterations or additions to the Work, or claim that the Contract has been abandoned
or the City has been unjustly enriched by any alteration or addition to the Wok shall be the basis o{ any
claim lor an increase in any amounts due Under the Contract Documents or a change in any time period
provided in the Contract Documents.
NOTICE OF SCOPE CHANGE
Contractor shall submit written notice of any change in scope to the Director if, in Contractot's opinion, any
instruction, request, Drawings, Specifications, action, condition, omission, default, or other situation occurs
that Contractor believes constitutes a scope change or other matter resulting in Extra Work, for which
Contractor believes it is entitled to an adjustment of the Contract Sum or Contract Time. Such notice shall
be provided prior to perlormance of the Work aflected by such occurrence and within seven (7) Working
Days after the discovery date of the circumstances of such scope change or other matters. The written
notice shall state the date, circumstances, extent of adjustment to the Contact Sum or the Contract Time, if
any, requested. The mere presentation of such notice shall not establish the existence of any right by
Contractor to adjustment of the Contract Sum or Contract Time. Failule lo provide such timely written notice
described herein shall constitute a waiver by Contractor of the right to any adjustment to the Contract Sum
or Contract Time on account thereof.
CHANGE ORDERS
A. Computation
Methods used in determining adiustments to the Contract Sum by Change Order may include
those listed in Paragraph 6.06 below.
B. Accord and Satistaction
Agreement on any Change Order shall be a full compromise and settlement of all adjustments to
Contract Time and Contract Sum, and compensation for any and all delay, extended or additional
field and home otfice overhead, disruption, acceleration, inefficiencies, lost labor or equipment
ARTICLE 6
GC-37 oi 90
6.03
6.04
6.02
productivity, differing Site conditions, construction interlerences and other extraordinary or
consequential damages (hereinafter called "lmpacts"), including any ripple or cumulative effects of
said lmpacts on the overall Work under the Contract arising directly or indirectly from the
pedormance of Work described in the Change Order. By execution of any Change Order,
Contractor agrees that the Change Order constitutes a complete accord and satisfaction with
respect to all claims for schedule extension, lmpacts, or any costs of whatever nature, character or
kind arising out of or incidental to the Change Order. No action, conduct, omission, product failure
or course ol dealing by the City shall act to waive, modify, change, or alter the requirement that (i)
Change Orde/s must be in writing, signed by the City and Contractor and; (ii) that such wrinen
Change orders are the exclusive method for effectuating any change to the Contract Sum and/or
Contract Time.
CONSTRUCTION CHANGE DIBECTIVE (F IELD OIRECTIVE)
A. A Construction Change Directive shall be used in the absence ol total agreement on the tems ol a
Change Order. The City may by Construction Change Directive, without invalidating the Contract,
order changes in the Work within the general scope of the Contract consisting of additions,
deletion, or other revisions, the Contract Sum and Contract Time being adiusted accordingly.
B. lf the Construction Change Directive provides lor an adiustment to the Contract Sum, the
adjustment shall be calculated in accordance with Paragraph 6.06 herein (Pricing Changes in the
Work).
C. Upon receipt of the Construction Change Directive, Contractor shall promptly proceed with the
change in the Work involved and advise the City of Contractor's agreement or disagreement with
the method, if any, provided in the Construction Change Directive, lor determining the proposed
adjustment in the Contract Sum or Contract Time.
D. ll Contractor believes a Construction Change Directive constitutes a basis lor adjustment to the
Contract Sum or Contract Tlme, then Contractor shall give a Notice of Scope Change provided in
Paragraph 6.03, followed by a submission of a Change Order Bequest as required by Paragraph
6.08. Contractor shall, if requested by City in such Construction Change Directive or in a
subsequent Construction Change Directive, proceed with the performance of the Work as
described in the Construction Change Directive. Failure of Contractor to proceed with the
perlormance of Wok, as described in the Construction Change Directive shall give the City the
right to carry out the Work, as set forth in Paragraph 2.05.
E. A Construction Change Directive signed by Contractor indicates Contractofs agreement therewith,
including adjustment in Contract Sum and Contract Time or the method for determining them.
Such agreement shall be etfective immediately and shall be recorded as a Change Order.
F. lf Contractor does not respond promptly or disagrees with the method for adiustment in the
Contract Sum, the method and the adjustment shall be determined by the City on the basis of
reasonable expenditures and savings ol those performing the Work attributable to the change,
including, in the case of an increase in the Contract Sum, Allowable Mark-Ups in accordance with
Paragraph 6.06(E) herein.
ARTICLE 6
(;C-38 ot 90
6.05
6.06 PBICING CHANGES IN THE WOBK
A. Alternative Methods ot Pricing
The amount of any adjustment by Change order or Construction Change Directive increasing or
decreasing the Contract Sum shall be determined by the Director using one or a combination of the
following methods. (Sections 3-2.2.2 and 3-2.2.3 of the Standard Specifications lor Public Works
Construction ('Greenbook") shall not be applied to this Contract)
'1. Lump Sum. By mutual acceptance ol a lump sum proposal from Contractor properly itemized
and supported by sufficient substantiating data to permit evaluation. Such proposal shall be
based solely on Allowable Costs, as defined in Subparagraph 6.06-C, and Allowable Mark-
Ups, as defined in Subparagraph 6.06-E, and shall not include any costs or expense thal is not
permitted by the tems of any provision of the Contlact Documents.
2. Unit Prices. By unit prices contained in Contractor's original Bid and incorporated in the
Contract Documents or fixed by subsequent agreement between City and Contractor. Unless
otherwise stated in the Bidding Documents, unit pnces stated in the Contract Documents or
agreed upon by the County and Contractor shall be deemed to include and encompass all
Allowable Markups.
3. Time and Materials. By calculating the actual Allowable Costs directly incurred, plus a sum lor
Allowable Mark-Ups on such Allowable Costs.
4. Deletion ol Work. The calculation when using the Schedule ol Values for the deletion of work
consists ol calculating the value of the decrease of the Contract Sum, less the value of any
Work performed, plus a reasonable percentage of the decrease for Contractor's saved
overhead (unless the Schedule ol Values allocales general conditions costs to individual line
items, in which case no percentage of the decrease shall be added). When a change consists
ol both addition and deletion of Work, the added costs and deleted costs shall be calculated
separately, and then added together, resulting in the net cost for the change.
B. Contractor Maintenance of Daily Records for Changes
1. ln the event that Contractor is directed to perlorm any Extra Work, or should Contractor
encounter conditions which Contractor believes would obligate the City to adjust the Contract
Sum and/or the Contract Time, Contractor shall maintain detailed records ol the cost ol such
changes on a daily basis summarized in a daily report supplemented by back-up records.
Such records shall include without limitation:
a. Labor. At the close of each day on which such Extra Work is per{ormed, Contractor
shall submit an Extra Work labor report, on forms provided by Director, to Director
that sets forth a list of the actual hours spent in perlorming the Exlra Work, that
clearly differentiates between the labor expended on the Extra Work and other Work,
and the Allowable Costs for such Extra Work performed that day showing the names
of workers, their classilications, hours worked and hourly rates.
b. Materials, Equipment. A list of Allowable Costs of materials and equipment
consumed in the pedormance of the Extra Work on the day on which such Extra
Work is performed, together with copies of applicable delivery tickets and unit prices
for all materials and for all equipment used the type of equipment, identification
ARTICLE 6
GC-39 of 90
number, hours of operation (including loading and transportation) and hourly/daily
rates lnvolved for that day.
c. other Services oI Expenditures. A list of other services and expenditures constituting
Allowable Costs incurred in perlormance of the Extra Work on the day on which such
Extra Work is performed, along with documentation verifying the amounts thereof in
such detail as Director may require.
2. ln the event that more lhan one change to the Work is performed by Contractor in a calendar
day, Contractor shall maintain separate records of labor, construction equipment, materials,
and equipment for each such change. ln the event that any Subcontractor of any tier shall
provide or perlorm any portion ol any change to the Work, Contractor shall require that each
such Subcontractor maintain records in accordance with this Section.
3. Each daily record maintained hereunder shall be signed by Contractor; such signature shall be
deemed Contractor's representation and warranty that all inlormation contained therein is true,
accurate, complete, and relates only to the change relerenced lherein. All records maintained
by Subcontractors of any tier, relating to the costs ol a change in the Work shall be signed by
such Subcontractor's authorized prolect manager or superintendent.
All such records shall be forwarded to the Director on the day the Work is perlormed (same
day) for independenl verification. The Director shall attempt to review and reconcile costs for
changes on a daily basis. Records not available on the day on which the Extra Work is
performed, such as, but not limited to, material invoices, shall be submitted as soon as they
are available but not later than five (5) calendar days alter the earlier of the day ol delivery or
incorporation of the particular item ol Extra Work at the Site.
4. The Director may additionally require authentication of all time and material tickets and
invoices by persons designated by the Director for such purpose. ln the event that Contractor
shall fail or refuse, lor any reason, to maintain or make available for inspection, review, and/or
reproduction such records, adjustments to the Contract Sum or Contract Time, il any, on
account of any change to the Work may be deemed waived for that day. Contractor's
obligation to maintarn back-up records hereunder is in addition to, and not in lieu of, any other
Contractor obligation under the Contract Documents with respect to changes to the Work.
5. Waiver bv Contractor. Failure to submit such records as are required by this Paragraph daily
shall waive any rights tor recovery of Allowable Costs incurred for Extra Work performed that
day. The Iailure of Contractor to secure any required authentication shall, il the City elects in
its sole discretion to treat it as such, constitute a waiver by Contractor of any right to
adiustment of the Contract Sum for the Allowable Cost of all or that portion ol the Extra Work
covered by such non-authenticated ticket or invoice.
Allowable Costs
The term "Allowable Costs" shall mean in the case of Extra Work actual costs incurred by
Contractor and/or any Subcontractor, regardless of tier, and necessarily involved in direct
performance of the Extra Work, or in the case of deleted work the actual costs that wouid have
been incurred in performing deleted work by Contraclor and/or any Subcontractor, regardless ol
tier, and shall be limited to the following costs:
ARTICI,E 6
cC-40 ol 90
1.Labor. Straight-time wages or salaries, and overtime wages and salaries specifically
authorized by City in writing, for employees employed at the site, or at fabrication sites off the
site, in the direct performance ol the Extra Work or that would have been incurred in the direct
performance ol the deleted work, based on the actualcost for wages prevailing locally for each
craft or type of workers at the time the Extra Work is done or the deleted work is ordered
eliminated. Labor costs for equipment operators and helpers shall be reported only when such
costs are not included in the invoice tor equipment rental. The use of labor classification which
would increase the Allowable Cost for Extra Work will not be permitted unless Contractor
establishes the necessity lor such additional costs.
Benefits. Payroll taxes, insurance, health and welfare, pension, vacation, apprenticeship
funds and benetits required by lavdul collective bargaining agreements lor employees on
straighltime wages or salaries, and on overlime wages and salaries specifically authorized by
City in writing, for employees employed at the site, or at fabrication sites off the site, in the
direct performance of the Extra Work or that would have been incuned in the direct
pertormance of the deleted work.
Materials, Consumables. Costs of materials and consumable items which are furnished and
incorporated into the Work, as approved by City, or that would have been incorporated into the
Work in the case of deleted work shall be at the lowest pnce available to Contractor but in no
event shall such costs exceed competitive wholesale prices obtainable lrom other
Subcontractors, suppliers, manulacturers and distabutors in the general vicinity of the site. ll
City determines, in its discretion, that the cost of materials is excessive, or if Contractor fails to
furnish satisfactory evidence ol the cost from the actual supplier thereof, then in either case
the cost of the materials shall be deemed to be the lowest wholesale pnce at which similar
materials are available in the quantities required at the time they were needed. The City
reserves the right to fumish such materials as it deems advisable, and Contractor shall have
no claim for costs or profits on materials so furnished. Material invoices must be included with
the extra work report to obtain payment.
Taxes. Sales taxes on the costs of materials and consumable items described in Paragraph
5.04-C.3 above.
Tool, EquiDment Rental. Rental charges for necessary machinery and equipment, whether
owned or hired, as authorized in writing by City, exclusive ol hand tools, used directly in the
perlormance ol the Extra Work or that would have been used in the direct performance of the
deleted work. Regardless of ownership, such rental charges shall not exceed the hourly rate
derived from the most recently published "Rental Rate Blue Book for Construction Equipment''
or the "Rental Rate Blue Book for Older Construction Equipmenl," as published by K-111, San
Jose, California, which is in effect at the time of commencement ol the changed work
Contractor shall attach a copy of the rate schedule to the daily reports required by Paragraph
6.06-8, above. The charges for any machinery and equipment shall cease when the use
thereof is no longer necessary for the Extra Work or deleted work. No charge shall be allowed
for use of equipmenl or tools which have a replacement value of $500 or less The allowable
rental rates shall include the cost of fuel, power oil, lubrication, supplies, small tools, necessary
attachments, loading, transportation, repairs and maintenance of any kind, depreciation,
storage, insurance, and all incidentals. Notwithstanding the provisions of Paragraph 6.06'E
below, no mark-up shall be allowed for overhead, profit or bond premiums lor use of
equipment it the equipment is supplied by an equipment rental firm. ll equipment is used
intermittently and, when not in use, could be returned to its rental source at less expense to
City than holding it at the Site, it shall be returned, unless Contractor elects to keep it at the
ARTICLE 6
GC-41 ot 90
4.
Site at no expense to City. Costs incuned while equipment is inoperative due to breakdowns,
regular maintenance, or lor non-Working Days shall not be allowed. The rental time shall
include the time required to move the equipment to the Work lrom the nearest available source
lor rental of such equipment and to retum it lo the source. lf such equipment is not moved by
its own power, then loading and transportation will be allowed. Neither moving time nor
loading and transportation costs will be paid if the equipment is for use on the Project
unrelated to the Extra Work. All equipment shall be acceptable to City, in good working
condition, and suitable lor the purpose for which it is to be used.
6. Hovalties. Additional or saved costs ol royalties due to the performance of the Extra Work or
deleted work.
7. lnsurance. Bonds. Additional or saved costs of insurance and bonds, provided, however, that
lor Extra Work such costs shall not exceed one percent (1olo)of ltems 1 through 6 above.
D. Costs Not Allowed
Allowable Costs shall not include any ol the lollowing:
1. Wages, salanes, fringe benefits and payroll taxes of Contracto/s and all Subcontracto/s non-
craft labor (above a Foreman level);
2. Overhead in excess of Allowable Markup, as defined below (including home oflice overhead),
administrative or general expenses of any kind including engineering, estimating, scheduling,
drafting, detailing, etc., incurred in connection with Extra Work;
3. Vehicles not dedicated solely for the performance of the extra of deleted work;
4. Small tools (replacement value not exceeding $500);
5. Otfice expenses, including secretarialand administrative slaff, materials and supplies;
6. on-site and off-site trailer and storage rental and expenses;
7. Site fencing;
8. Utilities, including gas, electnc, sewer, water, telephone, telefax, copier equipment;
9. Computer and data processing personnel, equipment and software;
10. Federal, state of local business income and franchise taxes;
11. Losses of efliciency or productivity; and
12. Costs and expenses of any kind or ilem not specitically and expressly included in Paragraph
b.ub-u.
E. Allowable Mark-Up
1. Extra Work bv contractor (Markup): The lollowing percentages shall be added to Contracto/s
costs and shall constitute the markup for all overhead and profits:
ARTICLE 6
cC.42 ol 90
Materials
Equipment Rental
other ltems and Expenditures
2. Extra Work bv Subcontractor (l\ilarkuo): When all or any part of the extra work is pertormed by a
Subcontractor, the markup provided for Conlractor in 6.06.E.1 shall apply to Subcontractods
actual costs. A markup of 10o/" up to and including the first $5,000 of the subcontracted portion of
each extra work, and 5% on such extra work in excess of $5,000 may be added for Contractor'
F. Net Allowable Costs
lf any one scope change involves both Extra Work and deleted work in the same portion ol the
Work and the additive allowable costs exceed the deductive allowable costs, the Allowable
Markups on the Extra Work will be only the dif{erence between the two amounts.
CITY OBIGINATED REOUEST FOR ITEMIZED CHANGE ORDER PROPOSAL REOUEST
City may issue a Construction Change Directive or other written request to Contractor describing a
proposed change to the Work and requesting Contractor submit an itemized change order proposal in a
format acceptable to City within ten (10) calendar days after City issues the request. Contractor's change
order proposal shall include an analysis of impacts to cost and time, it any, to perlorm additional work,
change Work or delete Wok, as applicable, including the effects and impacts, il any, on unchanged Work,
estimates of costs (broken down by the cost categories listed in this Paragraph), and Contractor's proposed
methods to minimize costs, delay, and disruption to the perlormance of the Work. lf Contractor fails to
submit a wntten change order proposal within such period of time, it shall be presumed that the change
described in the City's original proposal request will not result in an increase to the Contract Sum or
Contract Time and the change shall be performed by Contractor without additional compensation to
Contractor. City's request for itemized change order proposal request does not aulhorize Contractor to
commence per{ormance of the change. lt City desires that the proposed change be performed, the Work
shall be authorized according to the Change Order or Construction Change Directive procedures set forth
herein.
CONTBACTOR ORIGINATED CHANGE OHDEB REOUEST (COR)
lf Contractor believes that instructions issued by the City atter the effective date of the Contract will result in
changes to the Contract Sum or Contract Time or if Contractor otheMise becomes aware of the need for or
desirability of a change in the Work, Contractor may submit a written Change Order Request ("COH") to the
City in writing, in a fomat acceptable to City and in accordance with the notice provisions and other
requirements of A(icle 7 below lor Claims. The COH must specify the reasons tor the proposed change,
cost impacts and relevant circumstances and impacts on the Construction Schedule. The document shall
be complete in its description of the Work, its material and Iabor quantities and detail, and must support and
iustify the costs and credits claimed by Contractor. A Critical Path Method schedule Fragnet is required to
support and justify any additional time ol perlormance requested by Contractor. The City will not review any
COR which is incomplete. Contractor may request additional compensation and/or time through a COR but
not for instances that occurred more than ten (10) calendar days prior to the notice date. Contractor's
failure to initiate a COR within this ten-day period or to provide detailed back-up documentation to
substantiate the COR within thirty (30) calendar days of the initial written notice shall be deemed a waiver
of the right to adjustment of the Contract Sum or the Contract Time for the alleged change. Any COB that is
approved by the City shall be incorporated in a Change Order or Construction Change Directive. ll the
COR is denied but Contractor believes that it does have merit, Contractor shall proceed with the disputed
Work and may submit a Claim in accordance with the procedures set forth herein.
ARTICLE 6
GC.43 ot 90
1SYo
15o/o
15o/.
6.08
6.09 ISSUANCE OF WORK DIRECTIVE ruNILATERAL).
ln the event of a dispute as to whether or not Extra Work is required, City shall have the right to unilaterally
issue a Work Directive; Contractor shall continue performance of disputed Work pending resolution and
shall maintain and submit to City all accounting and cost data necessary to substantiate Contracto/s cost of
such disputed Work.
IEND OF ARTTCLEI
ARTICLE 6
GC-44 of 90
7.01 GENERAL
A. Payment will be made at the price for each item listed on the bidding form or as Extra Wok as
provided in the General Conditions.
B. lnitial progress payment will not be made prior to approval by the Director ol the Schedule of Values,
the Construction Progress Shedule, and the Schedule of Submittals.
C. No subsequent progress payment will be made prior to receipt by the Director of the monthly revision
of the Construction Progress Schedule.
SCHEDULE OF VALUES FOR PAYMENTS
A. Submission
Upon City's request, the three (3) lowest bidders shall complete and submit a Preliminary Schedule
of Values, within seven (7) calendar days.
ln addition, Contractor shall complete and furnish within seven (7) calendar days after receiving the
Notice of Award of the Construction Contract a Final Schedule ol Values giving a complete
breakdown of the Contract Sum for each component of the Work.
Content
The Schedule ol Values shall be in sutlicient detail as lhe Director may, in tts discretion, deem
necessary to evaluate progress at any point in the performance of the Work. Unless otheruise
specified in the Contract Documents, the Schedule of Values shall include, without limitation, a
breakdown of the general categones of Subcontractor work, direct overhead, profit and
contingency, and a further breakdown of the general categories of Subcontractor work into
separate trade line items of costs lor Subcontractor services, labor and material, which is based on
actual Subcontractor contract, subcontract, purchase order or vendor prices. lf requested by
Director, Contractor shall revise the Schedule of Values to allocate sums tor Contractor overhead,
profit and/or contingency among the individual line items tor trade portions ol the Work. No
amounts shall be reflected in the Schedule of Values or Application for Payment for Extra Work or
Deleted Work for which a Change Order has not been executed by Contractor and City or for which
a Construction Change Directive has not been issued by City. Amounts that have been mutually
agreed to by Change Order or unilaterally determined by City pursuant to a Construction Change
Directive shall be segregated from the cost of the base Contract Work and separately listed by line
item in the Schedule of Values. The Schedule of Values must be prepared in suflicient detail and
supported by sufficient data to substantiate its accuracy as the Director may require.
Aoplications tor Pavment
The Schedule of Values, when approved by the Director, shall be used as a basis for Contractor's
Applications for Payment and may be considered as fixing a basis for adjustments to the Contract
Sum.
ARTICLE 7
GC.45 ol 90
7.02
7.03
D. Revisions
lf, at any time, it is determined that the Schedule of Values does not allocate the Contract Sum in a
manner that reasonably and fairly reflects the actual costs anticipated to be progressively incurred
by Contractor, it shall be revised and resubmitled for the Directo/s approval.
APPLICATIONS FOR PAYMENT
A. Marked Schedule ol Values
Five (5) Days prior to the date set forth in Paragraph 7.03-8 below for the monthly progress
payment meeting, Contractor shall submit to Director a copy of the proposed Schedule of Values,
marked to show the percentage of completion certified by Contractor for each line item in the
Schedule of Values, including any stored materials approved for payment by City pursuant to
Paragraph 7.03-0, below and any withholdings from Contractor proposed by Director.
B. Monthly Review
For the purpose of expediting the progress payment procedure, Contractor shall meet with the
Director on or before the twentieth (20th) day ol each month to review Contracto/s marked
Schedule of Values prepared in accordance with Paragraph 7.03-A, above. The Director shall
revise as appropriate and sign the marked Schedule ol Values to verity such review. lf any item in
the marked Schedule of Values submitted for payment is disputed during this review, Contractor
agrees to use its best et orts to resolve the disputed items with lhe Director belore submitting its
Application for Payment. ll the Director and Contractor cannol agree, then the percentage
completion shall be established at such percentage as the Director, in good faith, determines is
appropriate to the actual progress of the Work. No inaccuracy or error in the Director's good faith
estimate shall operate to release Contractor or Surety trom any responsibility or liability arising
from or related to perlormance ol the Work. The Director shall have the right subsequently to
correct any enor and dispute any item submitted in Contracto/s Application lor Payment,
regardless of whether an item was identified as disputed in the review process provided for herein.
C. Certilication
Each Application for Payment shall be signed and certified by Contractor under penalty ol perjury
to city that:
1. the data comprising the Application for Payment is accurate and the Work has progressed to
lhe point indicated;
2. to the best of Contractoas knowledge, information and belief, the Work is in accordance with
the Contract Documents;
3. Conkactor is entitled to payment in the amount certified; and
4. all sums previously applied for by Contractor on account of Work pedormed by SubcontractoB
and that have been paid by City have been paid to the Subcontlactors perlorming such Work,
without any retention, withholding or backcharge by Contractor.
ARTICLE 7
GC.46 ol 90
7.04
D. Stored Materials
Payments may be made by City, at its discretion, on account of matenals or equipment not
incorporated into the Work but delivered on the ground at the Site and suitably stored by
Contractor or stored otf-Site under the control of City. Such payments shall only be considered
upon submission by Contractor of satisfactory evidence that it has acquired title to same, that the
material or equipment will be utilized in the Wok and that the material is satisfactorily stored,
protected and insured, and that such other procedures are in place satisfactory to City to protect
City's interests. To be considered for payment, materials or equipment slored otf-Site shall, in
addition to the above requirements and unless othen/vise specilically approved by City in writing, be
stored in a bonded warehouse, fully insured, and available to City for inspection. City shall have
sole discretion to determine the amount of material and equipment that may be stored on the Site
at any given time.
PROGRESS PAYMENTS
A. Conditions to Progress Payments
Contractor shall submit its Application lor Payment to the Director, using such forms as required by
City, once a month on or belore the first (1st) Day of the month following the month in which the
Work that is the subject of such Application for Paymeni was performed. Without limitation to any
other provisions ol the Contract Documents, the lollowing shall be conditions precedent to a proper
submission and to the Director approval of each Application lor Payment:
1. submission of a Schedule of Values that rellects the percentages ol completion either agreed
to or determined by Director in accordance with Paragraph 7.03-8, above;
2. submission of Contracto/s cerlilication required by Paragraph 7.03-C, above;
3. submission of conditional releases of stop notice, if any, and bond rights upon progress
payment, complying with Calilornia Civil Code Section 8132, for all Work perlormed during the
time period covered by the current Application lor Payment, signed by Contractor, its
Subcontractors of every tier, and all material suppliers to each, and (2) torms of unconditional
release ol stop notice and bond rights upon progress payment, complying with Calilornia Civil
Code Section 8134 lor all Work perlormed during the time period covered by the previous
Application for Payment, signed by Contractor, its Subcontractors of every tier and all material
suppliers to each;
4. compliance by Contractor with its obligation for maintenance of As-Builts as required by the
Contract Documents;
5. compliance by Contractor with its obligation for submission of monthly and daily reports as
required by the Contract Documents;
6. compliance by Contractor with its obligations for submission of scheduling intormation and
updating of the Construction Schedule as required by Article 4, above and other provisions of
the Contract Documents pertaining to preparation or updating of schedule information;
7. submission of certified payroll records as required by the Contract Documents;
ARTICLE 7
GC-47 ol 90
B.
8. submission of certifications by Contractor and each Subcontractor as required by applicable
collective bargaining agreements certitying that all employee benefit contributions due and
owing pursuant to any applicable collective bargaining agreement have been paid in full; and
9. compliance by Contractor with all of its other obligations lor submission of documentation or
pedormance of conditions which, by the terms of the Contract Documents, constitute
conditions to Contracto/s right to receive payment lor Work performed.
Payments by City
Pursuant to Califomia Public Contract Code Section 20104.50, City shall make progress payment
ol undisputed sums due within thirty (30) Days after receipt by Director of an undisputed and
properly submitted Application for Payment, calculated on the basis ot ninety'five percent (95%) ol
value determined pursuant to Paragraph 7.03-B above of the lollowing:
1. the portion of the Work permanently installed and in place;
2. plus, the value of materials delivered on the ground or in storage as approved by City pursuant
to Paragraph 7.03-0, above,
3. less, the aggregate of previous payments, and
4. less, any other withholdings authorized by the Contract Documents.
Rejection by City
Any Application for Payment determined not to be undisputed, proper and suitable for payment
shall be returned to Contractor as soon as practicable, but not later than seven (7) Days, after
receipt by City accompanied by an written explanation of the reasons why the payment request
was rejected. Failure by City or Director to either timely reject an Application for Payment or specify
any grounds for rejection shall not conslitute a waiver of any rights by City. Applications for
Payment that are relected shall be corrected and resubmitted within seven (7) Days after receipt by
Contractor.
lnterest
lf City fails to make a progress payment to Contractor as required by Paragraph 7.04-8, above,
City shall pay interest to Conlractor equivalent to the legal rate set forth in subdivision (a) of
California Code of Civil Procedure Section 685.010. The number of Days available to City to make
payment pursuant to Paragraph 7.04-B, above without incurring interest pursuant to this Paragraph
shall be reduced by the number of Days by which City exceeds the seven (7) Day return
requirement applicable to City as set forth in Paragraph 7.04-C, above.
FINAL PAYMENT
A. Retention
ln addition to withholdings permitted by Paragraph 7.09 below, a sum equal to five percent (5%) of
all sums otherwise due to Contractor as progress payments shall be withheld by city pursuant to
Paragraph 7.04-8 from each progress payment ("Betention") and retained until such time as it is
due as described herein. A higher Retention amount may be approved by the City Council where
project is deemed "substantially complex'by City Council.
ARTICLE 7
(;C-48 ol 90
7.05
B.Conditions to Final Payment
Contractor shall submit its Application for Final Payment, using such forms as required by Director,
prior to requesting a final inspection of the Work in accordance with Paragraph 3.06 above. Such
Application for Final Payment shall be accompanied by all the following:
1. an aflidavit that payrolls, bills for materials and equipment, and other indebtedness connected
with the Project for which City or City's property or funds might be liable have been paid or
otherwise satislied;
2. Contractor's certilication as required by Paragraph 7.03-C, above;
3. consent of surety, if any, to Final Payment;
4. a certificate evidencing that the insurance required by the Contract Documents is in force;
5. Conditional Waiver and Belease Upon Final Payment in the lorm required by Calilornia Civil
Code Section 8136 executed by Conlractor, all Subcontractors of every tier and by all material
suppliers of each, covering the final payment period;
6. Unconditional Waiver and Release Upon Progress Payment in the fom required by California
Civil Code Section 8136 executed by Contractor, all Subcontractors of every tier and by all
material suppliers of each, covering the previous payment period;
7. all Record Documents (including, without limitation, complete and accurate As-Built drawings
which shall be kept up to date during the pertormance of the Work);
8. documentation that Contractor has inspected, tested, and adjusted performance it every
system or facility ol the Work to ensure that overall performance is in compliance with the
terms ol the Contract Documents;
9. four (4) copies ol all wananties from vendors and Subcontractors, operation and maintenance
manuals, instructions and related agreements, and equipment certilications and similar
documents;
10. certifications by Contractor and each Subcontractor as required by applicable collective
bargaining agreements that all employee benefit contributions due and owing pursuant to any
applicable collective bargaining agreement have been paid in full;
11. releases of rights and claims relating to patents and trademarks, as required by the Contract
Documents; and
'12. any other documents or information required by the Coniract Documents as a condition ol
Final Payment or Final Completion.
Final Payment
Pursuant to the Public Contract Code Seclion 7107, within sixty (60) Days after City issues the
Notice of Completion to Contractor, the Final Payment, including Retention, shall be released to
Contractor, sublect to the City's right to withhold 150% of any disputed amounts.
ARTICLE 7
GC.49 of 90
7.06
D. Disputed Amounts
Pursuant to Calitomia Public Contract Code 7107, City may deduct and withhold from the Final
Payment due under Paragraph 7.05-C, above, an amount up to 150% ol any disputed amounts,
including, without limitation, amounts to protect City against any loss caused or threatened as a
result of Contracto/s failing to fully pedorm all of those obligations that are required to be tulfilled
by Contractor as a condition to Final Completion and Final Payment. Alternatively, City may elect,
in its sole discretion, to accept the Work without correction or completion and adjust the Contract
Sum pursuant to the Contract Documents.
E. Acceptance of Final Payment
Acceptance ol Final Payment by Contractor shall constitute a waiver of all rights by Contractor
against City for recovery of any loss, excepting only those Claims that have been submitted by
Contractor in the manner required by the Contract Documents prior to or at the time of the Final
Payment.
MISCELLANEOUS
A. Joint Payment
City shall have the right, it deemed necessary in its sole discretion, to issue joint checks made
payable to Contractor and any Subcontracto(s) of any Tier. The joint check payees shall be solely
responsible lor the allocation and disbursement ol funds included as part of any such joint
payment. Endorsement on such check by a payee shall be conclusively presumed to constitute
receipt ol payment by such payee. ln no event shall any joint check payment be construed to
create any contract between City and a Subconkactor of any Tier, any obligation from City to such
Subcontractor or any third party rights against C y or Director.
B. Withholding/Duty to Proceed
The payment, withholding or retention of all or any portion ol any payment claimed to be due and
owing to Contractor shall not operate in any way to relieve Contractor from its obligations under the
Contract Documents. Contractor shall continue diligently to prosecute the Work without reference
to the payment, withholding or retention ot any payment. The partial payment, withholding or
retention by City in good .laith of any disputed portion of a payment, whether ultimately determined
to be correctly or incorrectly asserted, shall not constitute a breach by City of the Construction
Contract and shall not be grounds for an adiustment of the Contract Sum or Contracl Time.
C. No Acceptance
No payment by City or partial or entire use ol the Work by City shall be construed as approval or
acceptance of the Work, or any portion thereof.
D. Contractor Payment Warranty
Submission ol an Application for Paymenl shall constitute a representation and warranty by
Contractor that:
1. Title to Work covered by an Application for Payment will pass to City either by incorporation
into the construction or upon receipt of payment by Contractor, whichever occurs lirst; and
ARTICLE 7
GC.50 ot 90
7.07
2. Work covered by previous Applications for Payment are lree and clear of liens, stop notices,
claims, security interests or encumbrances imposed by Contractor or any other person.
E. Corrections
No inaccuracy or enor in any Application for Payment provided by Contractor shall operate to
release Contractor from the error, or from losses arising lrom the Work, or trom any obligation
imposed by the Contract Documents. City retains the right to subsequently correct any enor made
in any previously approved Application for Payment, or progress payment issued, by adjustments
to subsequent payments.
PAYMENTS BY CONTBACTOR
Contractor shall not include in its Applications lor Payment sums on account of any Subcontractois portion
of the Work that it does not intend to pay to such Subcontractor. Upon receipt of payment lrom City'
Contractor shall pay the Subcontractor perlorming Work on the Prolect, out of the amount paid to Contractor
on account of such Subcontractor's portion of the Work, the amount to which said Subcontractor is entitled
in accordance with the terms of its contract wilh Contractor and applicable laws, including, without limitation,
Calilornia Public Contract Code Section 7107. Contractor shall remain responsible notwithstanding a
withholding by City pursuant to the terms of these Contract Documents, to promptly satisfy from its own
funds sums due to all Subcontractors who have perlormed Work that is included in Contractor's Application
for Payment. Contractor shall, by appropriate agreement, require each Subcontractor to make payments to
its subconlractors and material suppliers in similar manner. City shall have no obligation to pay or be
responsible in any way tor payment to a Subcontractor of any tier or material supplier.
PAYMENTS UTHHELD
A. Withholding by City
ln addition to any other amounts which City may have the right to retain under the Contract
Documents, City may withhold a sufficient amount ol any payment otherwise due to Contractor as
City, in its sole discretion, may deem necessary to cover actual or threatened loss due to any of the
{ollowing:
1. Third Party Claims. Third-party claims or stop notices filed or reasonable evidence indicating
probable filing ol such claims or stop notices. City shall promptly inlorm Contractor of any third
party claims related to this Contract;
2. Defective Work. Defective Work not remedied;
3. Nonpayment. Failure of Contractor to make proper payments to its Subcontractors for
services, labor, materials or equipmenl;
4. lnability to Complete. Reasonable doubt that the Work can be completed for the then unpaid
balance of the Contract Sum or within the Contract Time;
5. Violation of Applicable Laws. Failure of Contractor or its Subcontractors to comply with
applicable laws or lawlul orders ol govemmental authorities;
ARTICLE 7
(;(1.51 oi 90
7.08
6. Penalty. Any claim or penalty asserted against City by virtue of Contracto/s failure to comply
with applicable laws or lawful orders of governmental authorities (including, without limitation
labor laws);
7. Failure to Meet Contract Time. Any damages which may accrue as a result of Contractor
failing to meet the Construction Schedule or failing to perlorm within the Contract Time;
8. Setotl. Any reason specified elsewhere in the Contract Documents as grounds for a
withholding offset or set off or that would legally entitle City lo a set-off or recoupment;
9. Consultant Services. Additional prolessional, consultant or inspection services required due to
Contractor's failure to comply with the Contract Documenls.
10. Liquidated Damages. Liquidated damages assessed against Contractor
'l'l. Materials. Materials ordered by City pursuant to the Contract Documents.
12. Damages. Loss caused by Contractor or Subcontractor to City, Separate Contractors or any
other person or entity under contract to City.
13. Clean Up. Clean up perlormed by City and chargeable to Contractor pursuant to the Contract
Documents.
14. Employee Benelits. Failure ol Contractor to pay contributions due and owing to employee
benefits funds pursuant to any applicable collective bargaining agreement or trusl agreement.
15. Hequired Documents. Failure ol Contractor to submit on a timely basis, proper and sufficient
documentation required by the Contract Documents, including, without limitation, Construction
Schedule updates,'look ahead' schedules, Submittals, Schedules of Values, information on
Subcontractors, Change Orders, certifications and other required reports or documentation.
16. Other Breach. A breach of any obligation or provision of the Contract Documents.
Release of lll/ithholding
ll and when City determines, in its sole discretion, that the above grounds for withholding have been
removed and that all losses incuned or threatened have been paid, credited or otherwise satisfied,
then payment shall be made for amounts withheld because of them.
Application ol Withholding
City may apply sums withheld pursuant to Paragraph 7.08-A above, in payment of any loss or
threatened loss as City determines, in its sole discretion, to be appropriate. Such payments may
be made without a prior iudicial determination of City's actual rights with respect to such loss.
Contractor agrees and hereby designates City as its agent for such purposes, and agrees that
such payments shall be considered as payments made under Construction Contract by City to
Contractor. City shall not be liable to Contractor lor such payments made in good faith City shall
submit to Contractor an accounling ol such funds disbursed on behalf of Contractor. As an
alternative to such payment, city may, in its sole discretion, elect to exercise its right to adiust the
Contract Sum as provided in the Contract Documents.
ARTICLE 7
GC-52 ol 90
7.09
D. Continuous Perlormance
Provided City pays the undisputed portion, if any, of funds withheld in good faith, Contractor shall
maintain continuous and uninterrupted perlormance ol the Work during the pendency ol any disputes
or disagreements with City.
SUBSTITUTION OF SECURITIES
A. Public Contrac't Code
Pursuant to the requirements ol Calilomia Public Contract Code Section 22300, upon Contracto/s
request, City will make payment to Contractor of any funds withheld from payments to ensure
performance under the Contract Documents it Contractor deposits with City, or in escrow with a
Calilomia or lederally chartered bank in Califomia acceptable to City ('Escrow Agent"), securities
eligible for the investment ol State Funds under Govemment Code Section 162130, or bank or savings
and loan certilicates of deposit, interest-beanng demand deposit accounts, slandby letters ot credit, or
any other security mutually agreed to by Contractor and the City, upon the following conditions:
1. Contractor shall be the beneficial owner or any securities substituted for monies withheld for
the purpose of receiving any interest thereon.
2. All expenses relating to the substitution of securities under Public Contract Code Section
22300 and under this Paragraph 7.04, including, but not limited to City's overhead and
administrative expenses, and expenses of Escrow Agent shall be the responsibility ot
Contractor.
3. Securities or certilicates ol deposit substituted for monies withheld shall be of a value of at
least equivalent to the amounts of retention to be paid to Conlractor pursuant to the Contract
Documenls.
4. ll Contractor chooses to deposit securities in lieu of monies withheld with an Escrow Agent,
Contractor, City and Escrow Agent shall, as a prerequisite to such deposit, enter into an
escrow agreement, using the City's form, "Escrow Agreement for Deposit of Securities in Lieu
of Retention.'
5. Contactor shall obtain the written consent of Surety to such agreement.
6. Securities, it any, shall be retumed to Contractor only upon satislactory Final Completion of
lhe Work.
B. Substitute Security
To minimize the expense caused by such substitution ol secunties, Contractor shall, prior to or at the
time Contractor requests to substitute security, deposit suflicient security to cover the entire amount
to be withheld. Should the current market value of such substituted security fall below the amount for
which it was substituted, or any other amounts which the City withholds pursuant to the Contract
Documents, Contractor shall immediately and at Contracto/s expense and at no cost to City deposit
additional security qualifying under Public Contact Code Section 22300 until the current market value
ol the total security deposited is no less than the amount subject to withholding under the Contract
Documents. Securities shall be valued as otten as conditions of the securities market warrant, but in
no case less lrequently than once per month.
ARTICLE 7
GC-53 ot 90
7.10
C. Deposit of Retentions
Alternatively, subject to the conditions set forth in Paragraph 7.04-A above, upon request of
Contractor, City shall make payment ol retentions directly to Escrow Agent at the expense of
Contractor, provided that Contractor, City and Escrow Agent shall, as a prerequisite such payment,
enter into an escrow agreement in the same form as prescribed in Part 4 of Paragraph A, above.
At the expense of Contractor and at no cost to City, Contractor may direct the investment ol the
payments into securities and interest bearing accounts, and Contractor shall receive the interest
earned on the investments. Escrow Agent shall hold such direct payments by City under the same
terms provided herein lor securities deposited by Contractor. Upon satisfactory Final Completion
of the Work, Contractor shall receive from Escrow Agent all securities, interest and payments
received by Escrow Agent from City, less escrow fees and charges of the Escrow Account,
according to the terms of Public Contract Code Section 22300 and the Contract Documents.
D. Time for Election ot Substitution ot Securities
Notwithstanding the provision of 7.04 A, B, and C above and Califomia Public Contract Code Section
22300, the failure of Contractor to request the Substitution of eligible securities for monies to be
withheld by City within ten (10) days ol the award of Contract to Contractor shall be deemed to be a
waiver of all such nghts.
CLAIMS
A. Arising ot Claim.
1. Scope Change. When Conlractor has a claim for an increase in the Contract Sum or Contract
Time due lo a scope change which has not yet become final, a "claim'will be deemed lo arise
once the Director has issued a decision denying, in whole or in part, Contractot's Change
Order Request.
2. Other Claims. ln the case of a Claim by Contractor that does not involve an adiustment to the
Contract Sum or Contract Time due to a scope change and which has not become final, the
Claim may be asserted if, and only if, Contractor grves written notice to City ol intent to file the
Claim within three (3) days of the date of discovery relative to such circumstances (even if
Contractor has not yet been damaged or delayed). Such written notice ol intent to file a Claim
shall be valid it, and only if, it identifies the event or condition giving rise to the Claim, states its
probable effect, if any with respect to Contracto/s entitlemenl to an adiustment of the Contract
Sum or Contract Time and complies with the requirements ol Paragraph 7.11-8, below. For
purposes of this Paragraph 7.1 1, a Claim tor which such wntten notice is required and has
been given by Contractor shall be deemed to arise on the date that such written notice is
received by City.
B. Contentof Claim
A Claim by Contractor must include all of the following:
1. A statemenl that it is a Claim and a request for a decision on the Claim;
2. A detailed description of the act, error, omission, unforeseen condition, event or other
circumstance giving rise to the Claim.
ARTICLE 7
(;C-54 oi 90
4.
lf the Claim involves an adjustment to the Contract Sum or Contract Time due to a change in
scope, a statement demonstrating that all requisite notices were provided, including, without
limitation, timely written notice and a Change Order Request as required by Article 6 of these
General Conditions and timely notice ol delay and request {or extension of time in accordance
with Article 3. lf the Claim does not involve an adjustment to the Contract Sum or Contract
Time due to a change in scope, a statement demonstrating that a notice of intent to file the
Claim was timely submitted as required by Paragraph 7.10-A.2, above;
A detailed justification for any remedy or reliel sought by the Claim including without limitation,
a detailed cost breakdown in the form'required for submittal of Change Order Requests and
actualjob cost records demonstrating that the costs have been incuned;
ll the Claim involves a request for adjustment of the Contract Time, written documentation
demonstrating that Contractor has complied with the requirements of the Contract Documents
and written substantiation (including, without limitation, a Time lmpact Analysis) demonstrating
that Contractor is entitled to an extension of time under the Contract Documents; and
A written certification signed by a managing otficer of Contracto/s organization, who has the
authority to sign contracts and purchase orders on behalf of Contractor and who has
personally investigated and confirmed the truth and accuracy of the matters set forth in such
certilication, in the 'following form:
"l hereby certify under penalty of perjury that I am a managing officer ol (Contractods name)
and that I have reviewed the Claim presented herewith on Contractods behalf and/or on behalf
of (Subcontracto/s name) and that, to the best ol my knowledge after conductrng a diligent
inquiry into the facts of the Claim, the lollowing statements are true and correct:
The facts alleged in or that form the basis for the Claim are, to the best ol my knowledge
following diligent inquiry, true and accurate; and,
(a) I do not know of any facts or circumstances, not alleged in the Claim, that by
reason of their not being alleged render any fact or statement alleged in the
Claim materially misleading; and,
(b) I have, with respect to any request for money or damages alleged in or that
forms the basis for the Claim, reviewed the job cost records (including those
maintained by Contractor and by any Subcontractor, of any tier, that is asserting
all or any portion ol the Claim) and contirmed with reasonable certainty that the
losses or damages suffered by Contractor and/or such Subcontractor were in
fact suffered in the amounts and for the reasons alleged in the Claim; and,
(c) I have, with respect to any request for extension of time or claim of delay,
disruption, hindrance or interference alleged in or that forms the basis for the
Claim, reviewed the job schedules (including those maintained by Contractor and
the Subcontractor, of any tier, that is asseding all or any portion ol the Claim)
and conlirmed on an event-by-event basis that the delays or disruption suftered
by Contractor and/or such Subcontractor were in fact experienced for the
duralions, in the manner, and with the consequent etfects on the time and/or
sequence of performance of the Work, as alleged in the Claim; and,
ARTICLE 7
GC-55 of 90
Contractor previously
Signature:
Name:
Title:
Company
Noncompliance
Failure to submit any of the information, documentation or certifications required by Paragraph
7.10-8, above, shall result in the Claim being returned to Contractor without any decision.
Submission of Claims
1. Director. Claims shall be first submitted to the City for decision by the Director.
2. Continuous Work. Notwithstanding the making of any Claim or the existence of any dispute
regarding any Claim, unless otherwise directed by City, Contractor shall not delay, slow or
stop performance of the Work, but shall diligently proceed with performance in accordance
with the Contract Documents and City will continue, to make undisputed payments as by the
Contract Documents.
3. Time for Filino. All Claims and supporting documentation and certifications must be filed
within thirty (30) days after the Claim arises. No Claims shall be filed after Final Payment.
4. Conditions Precedent. No Claim may be asserted unless Contractor has strictly complied with
the requirements of this Paragraph 7.10-D, which shall be considered conditions precedent to
Contracto/s right to assert the Claim and to initiate the Dispute Resolution Process with
respect to such Claim.
Response to Claims, Meet and Confer
1. Claims less than $50,000. Claims less than $50,000 shall be responded to by City in writing
within forty-five (45) days of receipt of the Claim, unless City requests additional information or
documentation of the Claim within thirty (30) days of receipt of the Claim, in which case City
shall respond to the Claim within fifteen (15) days after receipt of the further information or
documentation or within a period of time no greater than that taken by Contractor in producing
the additional information or documentation, whichever is greater.
2. Claims $50,000 or more. Claims $50,000 or more shall be responded to by City in writing
within (60) days of receipt of the Claim, unless City requests additional information or
documentation of the Claim within thirty (30) days of receipt of the Claim, in which case City
shall respond to the Claim within thirty (30) days after receipt of the further information or
documentation or within a period of time no greater than that taken by Contractor in producing
the additional information or documentation, whichever is greater.
ARTICLE 7
GC-56 ol90
(d)I have not received payment from City for,
released City from, any portion of the Claim."
nor has
Date:
C
D.
E.
F
G
3. Meet and Confer. lf Contractor disputes City's response, or if City fails to respond within the
prescribed time set forth in Paragraph 7.10-E.1 and 7.10-E,2, above, Contractor may so notify
City, in writing, within fifteen (15) days of City's response, orwithin fifteen (15) days of City's
response due date in the event of a failure to respond, and demand an informal conference to
meet and confer for settlement of the issues in dispute. Upon such demand, City shall
schedule a meet and confer conference within thirty (30) days of such demand, for discussion
of settlement of the dispute.
Finality of Decision
lf Contractor disputes the Directo/s decision under this Article, it shall commence the Dispute
Resolution Process as set foth in Article 15 of these General Conditions by filing a Statement of
Dispute within seven (7) days after receipt of the Director's response.
Continuing Contract PerformancdDuty to Proceed with Disputed Work
Contractor shall not delay or postpone any Work pending resolution of any claims, disputes or
disagreements. Pending final resolution of a claim, the Contactor shall proceed diligently with
performance of the Contract and the City shall continue to make payments for undisputed Work in
accordance with the Contract Documents. ln the event of disputed Work, City shall have the right to
unilaterally issue a Work Directive and Contractor shall continue performance pending resolution of
the dispute and shall maintain the accounting and cost data to substantiate the cost of such disputed
work.
IEND OF ARTTCLEI
ARTICI,E 7
GC-57 of 90
8.01
ARTICLE 8. MATEBIALS AND EOUIPMENT
GENEHAL
A. Contractor shall fumish all materials and equipment needed to complete the Wok and installations
required under the terms ol this Contract, except those matedals and equipment specified to be
fumished by the City.
B. Contractor shall submit satisfactory evidence that the materials and equipment to be lumished and
used in the work are in compliance with the Specifications. Materials and equipment incorporated in
the Work and not specilically covered in the Specifications shall be the best of their kind. Unless
otherwise specified, all materials and equipment incorporated in the Work under the Contract shall be
new.
OUALITY AND WORKMANSHIP
All material and equipment lumished by Contractor shall be new, high grade, and free from detects and
imperfections, unless otheMise hereinatter specified. Workmanship shall be in accordance with the best
standard practices. All materials and equipment must be of the specilied quality and equal to approved
samples, il samples have been required. All Work shall be done and completed in a thorough, workmanlike
manner, notwithstanding any omission from the Specifications or Drawings, and it shall be the duty of
Contractor to call attention to apparent enors or omissions and request instructions before proceeding with the
Work. Director may, by appropriate instructions, correct erors and supply omissions, which instructions shall
be binding upon Contractor as though contained in the original Specifications or Drawings. All Work performed
under the Specifications will be inspected by the Director as provided in Paragraph 8.04. All materials and
equipment fumished and all Work done must be satisfactory to the Director. Work, material, or equipment not
in accordance with the Specilications, in the opinion of the Director shall be made to conform lhereto.
Unsatislactory materials and equipment will be Oected, and il so ordered by the Director, shall, at Contracto/s
expense, be immediately removed from the vicinity of the Wok.
TBADE NAMES ANO 'OR APPROVED EOUAL" PROVISION
Whenever in the Specifications or Drawings the name or brand ol a manulactured article is used it is intended
to indicate a measure of quality and utility or a standard. Except in those instances where the product is
designated to match others in use on a particular improvement either completed or in the course of completion,
Contractor may substitute any other brand or manufacture of equal appearance, quality, and utility on approval
ot the Director, provided the use of such brand or manufacture involves no additional cost to the City.
APPROVAL OF MATERIALS
A. Contractor shall fumish without additional cost to the City such quantities of construction materials as
may be required by the Director for test puposes. He/she shall place at the Directo/s disposal all
available facilities for and cooperate with him in the sampling and testing of all materials and
workmanship. Contractor shall prepay all shipping charges on samples. No samples are lo be
submitted with the bids unless otheMise specified.
B. Each sample submitted shall be labeled. A letter, in duplicate, submitting each shipment of samples
shall be mailed to Director by Contraclor. Both the label on the sample and the letter of transmittal
shall indicate the material represented, its place of origin, the names of the producer and Contractor,
the Specifications number and title, and a reference to the applicable Drawings and Specilications
paragraphs.
ARTICLE 8
GC-58 of 90
8.02
C. Matenals or equipment of which samples are required shall not be used on the Work until approval
has been given by the Director in writing. Approval of any sample shall be only for the characteristics
of the uses named in such approval and no olher. No approval of a sample shall be taken in itself to
change or modify any Contract requirement.
D. Failure of any material to pass the specified tests, including life cycle maintenance data may be
sufficient cause for refusal to consider under this Contract, any further sample of the same brand or
make of that material.
OBDERING MATERIALS AND EOUIPMENT
One copy ol each of Contracto/s purchase orders lor materials and equipment forming a portion of the Work
must be fumished to the Director, il requested. Each such purchase order shall contain a statement that the
materials and equipment included in the order are subject to inspection by the City. Materials and equipment
purchased locally will, at the City's discretion, be inspected at the point of manulacture or supply, and matenals
and equipment supplied from points outside the Los Angeles area wrll be inspected upon arrival at the job,
except when other inspection requirements are provided for specific matenals in other sections of the Contract
Documents.
AUTHORITY OF THE DIRECTOB
A. 0n all questions conceming the acceptability of materials or machinery, the classification of materials,
the execution of the Work, and conflicting interests of Contractors performing related wok, the
decision of the Director shall be final and binding.
B. The Director will make periodic observations ol matenals and completed work to observe their
compliance with Drawings, Specifications, and design and planning concepts, but he/she is not
responsible for the superintendence of construction processes, site conditions, operations,
equipment, personnel, or the maintenance of a safe place to work or any safety in, on, or about the
site of work.
INSPECTION
All materials fumished and wok done under this Contract will be subject to rigid inspection. Contractor shall
fumish, without extra charge, the necessary test pieces and samples, including facilities and labor for obtaining
them, as requested by the Director. The Director, or his/her authonzed agent or agents, at all times shall have
access to all parts of the shop and the works where such materials under his/her inspection is being
manulactured or the work perlormed. Woft or matenal that does not confom to the Specifications, although
accepted through oversight, may be rqected at any stage ol the Work. Whenever Contraclor is permitted or
directed to do night work or to vary the period during which work is carried on each day, he/she shall give the
Director due notice, so that inspection may be provided. Such work shall be done under regulations to be
fumished in writing by the Director.
INFRINGEMENT OF PATENTS
Contractor shall hold and save the City, its officers, agents, servants, and employees harmless lrom and
against all and every demand or demands, ol any nature or kind, for or on account of the use ol any patented
invention, process, equipment, article, or appliance employed in the execution ot the Work or included in the
materials or supplies agreed to be turnished under this Contract, and should Contractor, his/her agents,
servants, or employees, or any of them, be enjoined from fumishing or using any invention, process,
equipment, article, materials, supplies or appliance supplied or required to be supplied or used under this
ARTICLE 8
GC-59 ol 90
Contract, Contractor shall promptly substitute other inventions, processes, equipment, articles, materials,
supplies, or appliances in lieu thereof, of equal efficiency, quality, finish, suitability, and market value, and
satisfactory in all respects to the Director. Or in the event that the Director elects, in lieu of such substitution, to
have, supplied, and to retain and use, any such invention, process, equipment, article, materials, supplies, or
appliances, as may by this Contract be required to be supplied and used, in that event Contractor shall at
his/her expense pay such royalties and secure such valid licenses as may be requisite and necessary to
enable the City, its officers, agents, seruants, and employees, or any of them, to use such invention, process,
equipment, article, materials, supplies, or appliances without being disturbed or in way intedered with by any
proceeding in law or equity on account thereof. Should Contractor neglect or refuse promptly to make the
substitution hereinbefore required, or to pay such royalties and secure such licenses as may be necessary and
requisite for the purpose aforesaid, then in that event the Director shall have the right to make such
substitution, or the City may pay such royalties and secure such licenses and charge the cost thereof against
any money due Contractor from the City, or recover the amount thereof from him/her and his/her surety,
notwithstanding final payment under this Contract may have been made.
IEND OF ARTTCLEI
ARTICLE 8
GC-60 of 90
ARTICLE 9. SUBMITTALS
9.01 GENEBAL
A. Contractor shall submit samples, drawings, and data for the Directo/s approval which demonstrate
tully that the construction, and the materials and equipment to be lurnished will comply with the
provisions and intent ol the Drawings and Specilications.
B. Specific items to be covered by the submittals shall include, as a minimum, the following:
1. For structures, submit all shop, setting, equipment, miscellaneous iron and reinforcement
drawings and schedules necesary.
2. For conduits, submit a detailed layout of the conduit with details of bends and fabricated
specials and furnish any other details necessary. Show location of shop and field welds.
3. For equipment which requires electrical service, submit detailed inlormation to show
power supply requirements, wiring diagrams, control and protection schematics, shop test
data, operation and maintenance procedures, outline drawings, and manufacture/s
recommendation of the inter{ace/interiock among the equipment.
4. For mechanical equipment submit all data pertinent to the installation and maintenance ol
the equipment including shop drawings, manufacture/s recommended installation
procedure, detailed installation drawings, test data and curves, maintenance manuals,
and other details necessary.
5. Samples
6. Colors
7. Substitutions
8. Manuals
9. As-built drawings
10. Safety plans required by Article 10
9.02 PRODUCTHANDLING
A. Submittals shall be accompanied by a letter of transmittal and shall be in stnct accordance with the
provisions of this Article.
B. Submit priority of processing when appropriate.
9.03 SCHEDULEOFSUBMITTALS
A. Contractor shall prepare and submit a schedule ol submittals. The schedule ol submittals shall be in
the form ol a submittal log. Referto Paragraph 9.12.
ARTICLE 9
GC-61 of 90
9.04 SHOP DRAWINGS
A. All shop drawings shall be produced lo a scale sufficiently large to show all pertinent leatures of the
item and its method of connection to the Work.
B. All shop drawing prints shall be made in blue or black line on white background. Reproductions of
City/Contract Drawings are not acceptable.
C. The overall dimensions ol each drawing submitted to the Director shall be equal to one ol the City's
standard sheet sizes as listed below. The title block shall be located in the lower nght hand comer of
each drawing and shall be clear of all line Work, dimensions, details, and notes.
Sheet Sizes
Heioht X Width
11',X81/2"
11',X 17',
24', X 36',
30'x 42',
LOs COLOHS
Unless the precise color and pattem are specified elsewhere, submit accurate color charts and pattem charts
to the Director for his/her review and selection whenever a choice of color or pattem is available in a specified
product. Label each chart naming the source, the proposed location of use on the proiect, and the project.
9.06 MANUFACTURERS'LITERATURE
Where contents of submitted literature trom manulacturers includes data not pertinent to the submittal, cleariy
show which portions of the contents are being submrtted lor review.
9.07 SUBSTITUTIONS
A. The Contract is based on the materials, equipment, and methods described in the Contract
Documents. Any Contractor proposed substitutions are subject to the Directo/s approval.
Director will consider proposals for substitution of materials, equipment, and methods only when such
proposals are accompanied by full and complete technical data, and all other information, including
life cycle maintenance data, required by the Director to evaluate the proposed substitution.
B. Any requests for substitutions by Contractor must be made within forty-five (,15) calendar days from
the lssuance Date on the Notice to Proceed. Otherwise, such requests will not be considered.
C. Trade names and "or approved equal" provision as set lorth in Paragraph 8.03.
9.08 MANUALS
A. When manuals are required to be submitted covering items included in this Work, prepare and submit
such manuals in approximately 8-1/2'X 11'lormat in durable plastic binders. ln addition, manuals
shall be submitted in electronic format. Manuals shall contain at least the following:
1. ldentification on, or readable through, the front cover stating general nature ol the manual.
ARTICLE 9
GC-62 of 90
2. Neatly typewritten index near the lront of the manual, fumishing immediate information as to
location in the manual of all emergency data regarding the installation.
3. Complete instructions regarding operation and maintenance of all equipment involved.
4. Complete nomenclature of all replaceable parts, their part numbers, current cost, and name
and address of nearest vendor of parts.
5. Copy ol all guarantees and warranties issued.
6. Copy of drawings with all data conceming changes made during construction.
B. Where contents of manuals include manufacturers' catalog pages, cleariy indicate the precise items
included in this installation and delete, or otherwise clearly indicate, all manufacturers' data with which
this installation is not concemed.
9.09 A$BUILT DRAWINGS
A. Contractor shall modily the plan and/or timing sheet(s) in the traffic signal cabinet upon any addition,
deletion, repair, or change in timing as soon as the work is completed. Tle legibility and contrast of
each drawing submitted to the City shall be such that every line, number, letter, and character is
clearly readable.
B. Contractor shall notify the City of any and all changes to the plan and/or timing sheet(s).
9.10 SUBMITTALSOUANNIES
A. Submit seven (7) copies ol all data and drawings unless specified otheruise.
B. Submit all samples, unless specilied othenvise, in the quantity to be retumed, plus two, which will be
retained by the Director.
9.11 IDE].ITIFICATIONOFSUBMITTALS
Completely identity each submittal and re-submittal by showing at least the following inlormation:
A. Name and address of submitter, plus name and telephone number of the individual who may be
contacted for lurther inlormation.
B. Name of poect as it appears in the Contract Documents and Conttrct No.
C. Drawing number and Specifications section number other than this section to which the submittal
applies.
D. Whether this is an original submittal or re-submittal.
E. For samples, indicate the source o{ the sample.
9.12 SCHEDULEOFSUBMITTALS
A. Submit initial schedule ol submittals within live (5) Working Days after the lssuance Date on Notice to
Proceed.
ARTICLE 9
(;C-63 of 90
B. Submit revised schedule ot submittals within five (5) Working Days after date of request from the
Director.
C. The Director will review schedule ol submitlals and will notify Contractor that schedule is
acceptable or not acceptable within five (5) Working Days alter receipt.
9.13 COORDINATION OF SUBMITTALS
A. Prior to submittal for the Directo/s review, use all means necessary to fully coordinate all material,
including the lollowing procedures:
1. Determine and verily all lield dimensions and conditions, materials, catalog numbers, and similar
data.
2. Coordinate as required with all trades and with all public agencies invofued.
3. Secure all necessary approvals lrom public agencies and othec and signify by stamp, or other
means, that they have been secured.
4, Clearly indicate all deviations from the Specifications.
B. Unless otherwise specifically permitted by the Director, make all submittals in groups containing all
associated items; the Director may reiect partial submittals as not complying with the provisions of the
Specifications.
9.14 TIMING FOR SUBMITTALS
A. Make all submittals far enough in advance ol scheduled dates of installation to provide all required
time for reviews, tor securing necessary approvals, for possible revision and re-submittal, and for
placing orders and securing delivery.
B. ln scheduling, allow at least 15 Working Days for the Directois review, plus the transit time to and
from the City office.
C. Manuals shall be submitted prior to perlorming functional tests.
9.15 APPROVALBYCITY
A. Up to three (3) copies of each submittal, except manuals, schedule of costs {or progress payments,
and as-built drawings will be returned to Contractor marked "No Exceptions Taken," 'Make
Corrections Noted . Do Not Resubmit," or'Make Corrections Noted - Resubmit." Manuals, schedule
of costs, and as-built drawings will be returned for re-submittal if incomplete or unacceptable.
B. Submittals marked "Approved as Noted" need not be resubmitted, but the notes shall be followed.
C. lf submittal is returned lor correction, it will be marked to indicate what is unsatisfactory.
D. Besubmit revised drawings or data as indicated, in five (5) copies.
E. Approval of each submittal by he Director will be general only and shall not be construed as:
1. Permitting any departures from the Specifications requirements.
ARTICLE 9
GC-64 of 90
2. Relieving Contractor of the responsibility for any errors and omissions in details, dimensions, or
of other nature that may exist.
3. Approving departures from additional details or instructions previously fumished by the Director.
9.16 CHANGES TO APPROVED SUBMITTALS
A. A re-submittal is required for any proposed change to an approved submittal. Changes which require
re-submittal include, but are not necessarily limited to, drawing revisions, changes in materials and
equipment, installation procedures and test data. All re-submittals shall include an explanation of the
necessity for the change.
B. Minor conections to an approved submittal may be accomplished by submitting a "Corrected Copy".
IEND OF ARTTCLEI
ARTICLE 9
GC-65 of 90
ARTICLE 10 - SAFETY
10.01 PROTECNON OF PERSONS AND PROPERTY
Contracto/s Responsibility: Notwithstanding any other provision ol the Contract Documents,
Contractor shall be solely and completely responsible tor conditions of the job site, including safety of
all persons and property, during pedormance of the Work. This requirement will apply continuously
and will not be limited to normal working hours. Safety and sanitary provisions shall conform to all
applicable Federal, State, County, and local laws, regulations, ordinances, standards, and codes.
Where any of these are in conflict, the more stringent requirement shall be followed.
Sanitary Facilities. Contraclor shall fumish and maintain sanitary facilities by the worksites lor the
entire construction period.
Protection ol the Public. Contractor shall take such steps and precautions as hidher operations
warrant to protect the public from danger, loss of life, loss of property or intenuption of publlc services.
Unforeseen conditions may arise which will require that immediate provisions be made to protect the
public from danger or loss, or damage to lile and property, due directly or indirectly to prosecution of
work under this contract. Whenever, in the opinion of the Director, a condition exists which Contractor
has not taken sufficient precaution ol public safety, protection of utilrties and/or protection of adjacent
structures or property, the Director will order Contractor to provide a remedy for the condition. lf
Contractor fails to act on the situation within a reasonable time period as determined by the Direclor,
or in the event ol an emergency situation, the Director may provide suitable protection by causing
such work to be done and material to be fumished as, in the opinion of the Director, may seem
reasonable and necessary. The cost and expense of all repairs (including labor and matenals) as are
deemed necessary, shall be bome by Contractor. All expenses incuned by the City lor emergency
repairs will be deducted trom the final payment due to Contractor.
10.02 PBOTECTION FROM HAZARDS
Trench Excavation
Excavation for any trench four (4) feet or more in depth shall not begin until Contractor has received
approval from the Director of Contracto/s detailed plan for worker protection lrom the hazards of
caving ground during the excavation of such trench. Such plan shallshow the details ol the design of
shoring, bracing, sloping or other provisions to be made for worker protection during such excavation.
No such plan shall allow the use of shoring, sloping or protective system less effective than that
required by the Construction Safety ordeIs ol the Division of Occupational Safety and Health, and il
such plan varies from the shoring system standards established by the Construction Safety Orders'
the plan shall be prepared and signed by an engineer who is registeled as a Civil or Structural
Director in the State of Califomia.
Confined Spaces
contractor shall comply with all of the provisions of General lndustry safety orders of the calilomia
Code of Regulations. Entry of a confined space shall not be allowed until Contractor has received
approval kom the Director of Contractor's program for confined space entry. Contined space means
a space that (1) ls large enough and so configured that an employee can bodily enter and perlorm
assigned Work; and (2) Has limited or restricted means for entry or exit (for example, tanks, vessels,
silos, storage bins, hoppers, vaults, and pits are spaces that may have limited means of entry); and
ARTICLE IO
(;C-66 of 90
(3) ls not designed for continuous employee occupancy. Failure to submit a conlined space entry
program may result in actions as provided in Article 5: "Suspension or Termination of Contract."
C. Material Salety Dala Sheet
Contractor shall comply with all of the provisions ot General lndustry Safety orders ol the Califomia
Administrative Code. Contractor shall submit to the Director a Material Safety Data Sheet (MSDS) lor
each hazardous substance proposed to be used, ten (10) days prior to the delivery of such materials
to the job site or use ol such materials at a manufacturing plant where the Director is to perlorm an
inspection. For materials which are to be tested in City laboratories, the l\,lSDS shall be submitted
with the sample(s). Hazardous substance is defined as any substance included in the list (Directois
List) of hazardous substances prepared by the Director, Califomia Department of lndustrial Helations,
pursuant to Labor Code Section 6382. Failure to submit an MSDS for any hazardous substance may
result in actions as provided in Article 5, "Suspension or Termination ol Contract".
DIFFERING SITE CONDMONS
A. Dillerino Site Conditions Defined. Contractor shall promptly, and before such conditions are
disturbed, notify the Director in writing of any Dillering Site Conditions. Ditfering Site Conditions are
those conditions, located at the project site or in existing improvements and not otherwise
ascertainable by Contractor through the exercise of due diligence in the per{ormance of its inspection
obligations in the Contract Documents, encountered by Contractor in digging trenches or other
excavations(s) that extend deeper than tour feet below the surface of the ground that constitute:
1. Material that Contractor believes may be material that is hazardous waste as delined in Section
25117 of the Health and Salety Code, which is required to be removed lo a Class l, Class ll, or
Class lll disposal site in accordance with provisions of existing law.
2. Subsurlace or latent physical conditions at the site diflering materially from those indicated in
these Contract Documents.
3. Unknown physical conditions at the site, of any unusual nature, different matenally from those
ordinarily encountered and geneally recognized as inherent in Work of the character provided
for in these Contract Documents.
B. Notice bv Contractor. lf Contractor encounters conditions it believes constitute Differing Site
Conditions, then notice of such conditions shall, before such conditions are disturbed, be promptly
reporled to the Director lollowed within twenty-four (24) hours by a further written notice stating a
detailed description of the conditions encountered.
C. Director will promptly investigate the conditions and lf he/she finds that such conditions do materially
differ, or do involve hazardous waste, and do cause an increase or decrease in Contracto/s cost of,
or time required for, performance ol any part ol the Work under this Contract, an equitable adlustment
will be made, as determined by the Director.
D. Chanoe Order Request. lf Contractor intends to seek an adjustment to the Contract Sum or Contract
Tlme based upon Dilfering Site Conditions, it must, within ten (10) Days after the Discovery Date
relative to such conditions, submit a Change Order Hequest setting forlh a detailed cost breakdown
and Time lmpact Analysis, in the form required by Article 6 of these General Conditions, of the
additional Allowable Costs and Excusable Delay resulting lrom such Differing Site Conditions.
ARTICLE IO
(;C-67 ol 90
10.03
E. Failure to Comolv. Failure by Contractor to strictly comply with the requirements ol this Paragraph
10.03 concerning the timing and content of any notice of Diflering Site Conditions or request for
adjustment in Contract Sum or Contract Time based on Differing Site Conditions shall be deemed
waiver of any right by Contractor for an adiustment in the Contract Sum or Contract Time by reason
of such conditions.
F. Final Completion. No claim by Contractor for additional compensation for Differing Site Conditions
shall be allowed il asserted after Final Payment.
G. ln the event of disagreement between Contractor and the Director whether the conditions do
materially ditfer or whether a hazardous waste is involved or whether the conditions cause an
increase or decrease in Contractois cost of, or time required tor, performance of any part of the
Work, Contractor shall not be excused lrom any completion date required by the Contract, but shall
proceed with all Wok to be performed under the Contract Documents.
H. Contractor shall retain all rights provided by, and shall be subject to all requrrements of, this Contract
which pertain to the resolution of disputes and protests.
l. Contractor Responsibilitv. Except as otheruise provided in this Paragraph 10.03 for Differing Site
Conditions, Contractor agrees to solely bear the risk ot additional cost and Delay due to concealed or
unknown conditions, surlace or subsudace, at the Site or in Existing lmprovements, without
adiustment to the Conkact Sum or Contract Time.
10.04 TRAFFICREGULATION
A. During the perlormance of the Work Contractor shall erect and maintain necessary temporary fences,
bridges, railings, lights, signals, barriers, or other safeguards as shall be appropriate under the
circumstance in his/her judgment for the prevention of accidents; and he/she shall take other
precautions as necessary lor public safety including, but not limited to, traflic control. Traffic control
shall be conducted in accordance with the latest edition of the Manual of Unilorm Traffic Control
Devices ("MUTCD") handbook and as directed and approved by the Director.
B. Contractor shall submit at least ten (10) Working Days prior to Work a detailed traffic control plan, that
is approved by all agencies having jurisdiction and that conlorms to all requirements of the
Specilications.
C. No changes or deviations from the approved detailed traffic control plan shall be made, except
temporary changes in emergency situations, without prior approval of the City Trafiic and
Transportation Administrator and all agencies having iurisdiction.
Contractor shall immediately notify the Director, the City Tratlic and Transportation Administrator and
the agencies having jurisdiction of occurrences that necessitate modification of the approved traffic
control plan.
D. Contracto/s failure to comply wth this provision may result in actions as provided in Article 5:
'Suspension or Termination of Contracf ol these General Conditions.
ARTICLE IO
cC-68 of 90
10.05 TRAFFICCONTHOLDEVICES
A. Traffic signs, flashing lights, banicades and other tratfic salety devices used to control tralfic shall
conform to the requiremenls of the MUTCD handbook or the manual of traflic control, whichever is
more stringent, and as approved by the City Tralfic and Transportation Administrator.
1. Portable signals shall not be used unless permission is given in writing by the agency having
jurisdiction.
2. Waming signs used lor nighttime conditions shall be reflectorized or illuminated. "Rellectorized
signs" shall have a reflectorized background and shall conform to the current State of Calilomia
Deparlment of Transportation specification lor rellective sheeting on highway signs.
B. ll Contractor fails to provide and install any ol the signs or traflic control devices required herby or
ordered by the City statf, stafl may cause such signs or traftic control devices to be placed by others,
charge the costs therefore against Contractor, and deduct the same trom the next progress payment.
10.06 EXECUTION
A. Except tor an emergency call out, Contractor shall provide written notilication to the Police
Department at the addtess below:
Police Chiet Daniel Calleros
Vemon Police Department
4305 Santa Fe Avenue
Vemon CA, 90058
Notification shall be sent at least two (2) weeks prior to the beginning of construction at any particular
location. Notilication will include the specific location, poect dates, what lanes of the roadway will be
closed and when. Also the construction prolect manager's name and business phone number and
the construction inspecto/s name and business phone number.
B. contractor shall notify, by telephone, the Police Department, (323) 587-5171 at the completion ot any
posting of temporary no parking signs. Notilication will include the times, dates and locations of the
posting. When vehicles must be towed for violation of temporary no parking signs, the person.who
actualiy posted the signs, or on-view supervisor of that posting, will be present to ansrver pertinent
questions that may be asked by the parking enforcement officer or police officer towing the vehicles.
C. Contractor shall notify the Vemon Fire Department, on a dailv basis during the entire period that
construction is in progress whenever roadways are reduced in width or blocked. Notification shall be
made to the Fire Dispatch (323) 583-4821 and Contractor shall provide the inlormation rEuired to
identily which roadways would have accessibility problems due to his/her operations. Contractor shall
submit to Fire Department schedule of Work lor their use and files.
D. Roads subject to interference from the Work covered by this Contract shall be kept open, and the
lences subject to interference shall be kept up by Contractor until the Work is finished. Except where
public roads have been approved for closure, tralfic shall be permitted to pass through designated
tratlic lanes wilh as little inconvenience and delay as possible.
ARTICLE IO
GC-69 of 90
E. Where altemating one-way traffic has been authorized, the maximum time that traffic will be delayed
shall be posted at each end of the one-way traffic section. The maximum delay time shall be
approved by the agency having jurisdiction.
F. Contractor shall install temporary traffic markings where required to direct the flow of traffic and shall
maintain the traffic markings for the duration of need. Contractor shall remove the markings by
abrasive blasting when no longer required.
G. Convenient access to driveways and buildings in the vicinity of Work shall be maintained as much as
possible. Temporary approaches to, and crossing of, intersecting traffic lanes shall be provided and
kept in good condition.
H. When leaving a Work area and entering a roadway carrying public traffic, Contracto/s equipment,
whether empty or loaded, shall in all cases yield to public traffic.
10.07 FLAGGING
A. Contractor shall provide flaggers to control traffic where required by the approved traffic control plan.
1. Flaggers shall pedorm their duties and shall be provided with the necessary equipment in
accordance with the current "lnstructions to Flaggers" of the California Department of
Transportation.
2. Flaggers shall be employed full time on traffic control and shall have no other duties.
10.08 PEDESTRIAN CANOPIES OR BABRICADE IMPROVEMENTS
Refer to the City for requirements for building or access road salety improvements that Contractor shall
construct during construction period. These devices or improvements, as the City deems necessary or
prudent, shall be at the expense of Contractor.
IEND OF ARTICLEI
ARTTCLE 10
GC-70 of 90
ARTICLE 11 .INDEMNIW
11.01 INDEMNITY
To the maximum extent permitted by lau Contractor shall lully indemnify, hold harmless, protect, and defend
the City, its officers, employees, agents, representatives and their successors and assigns ('lndemnitees')
trom and against any and all demands, liability, loss, suit, claim, action, cause of action, damage, cost,
judgment, settlement, decree, arbitration award, stop notice, penalty, loss of revenue, and expense (including
any lees of accountants, attomeys, experts or other professionals, and costs of investigation, mediation,
arbitration, litigation and appeal), in law or in equity, of every kind and nature whatsoever, ansing out of or in
connection with, resulting from or related to, or claimed to be arising out of the Work pertormed by Contractor,
or any of its otficers, agents, employees, Subcontractors, Sub-Subcontractors, design consultants or any
person for whose acts any of them may be liable, regardless ol whether such claim, suit or demand is caused,
or alleged to be caused, in part, by an lndemnitee, including but not limited to:
A. Bodily inlury, emotional injury, sickness or disease, or death to any persons;
B. lnfringement of any patent rights, licenses, copyrights or intellectual property which may be brought
against Contractor or City arising out of Contraclo/s Work, lor which Contractor is responsible;
C. Stop notices and claims tor labor performed or materials used or lumished to be used in the Work,
including all incidental or consequential damages resulting to City trom such stop notices and claims;
D. Failure ol Contractor or its Subcontractors to comply with the provisions for insurance;
E. Failure to comply with any Govemmental Approval or similar authonzation or order;
F. Misrepresentation, misstatement, or omission with respect to any statement made in or any document
fumished by Contractor in connection therewith;
G. Breach of any duty, obligation, or requirement under the Contract Documents;
H. Failure to provide notice to any Party as required under the Contract Documents;
l. Failure to protect the property of any utility provider or adiacent property owner; or
J. Failure to make payment of allemployee benetits.
This indemnity provision is etlective regardless of any prior, concurrent, or subsequent active or passive
negligence by'lndemnitees, except that, to the limited extent mandated by Calilomia Civil C-ode Section 2782,
Contiactor shall not be responsible lor liabilities which arise from the sole negligence or willlul misconduct ol
lndemnitees or arise from the active negligence of City.
11.02 ENFORCEMENT
Contracto/s obligations under this Article extend to claims occuning atter termination of Contracto/s
performance of th; Contract or Final Payment to Contractor. The obligations apply regardless ol any actual or
alleged negligent act or omission of lndemnitees. Contractor, however, shall not be obligated under this
Agreementlo indemnily an lndemnitee tor claims arising from the sole active negligence or willfulmisconduct
oi the lndemnitee or independent contractors who are directly responsible to lndemnitees. Contractot's
obligations under this Article are in addition to any other righls or remedies which the Indemnitees may have
und;r the law or under the Contracl Documents. ln the event ot any claim, suit or demand made against any
ARTICLE I I
GC-71 ol 90
lndemnitees, the City may in its sole discretion reserve, retain or apply any monies due to Contractor under the
Contract for the purpose of resolving such claims; provided, however, that the City may release such funds if
Contractor provides the City with reasonable assurance of protection of the City's interests. The City shall in its
sole discretion determine whether such assurances are reasonable.
11.03 NO LIMITATIONS
Contracto/s indemnification and defense obligations set forth in this Article are separate and independent from
the insurance provisions set forth in Article 12 herein; and do not limit, in any way, the applicability, scope, or
obligations set lorth in those insurance provisions. ln claims, suits, or demands against any lndemnitee by an
employee of Contractor, a Subcontractor, anyone directly or indirectly employed by them, or anyone for whose
acts they may be liable, Contracto/s indemnification and defense obligations shall not be limited by a limitation
on amount or type of damages, compensation, or benefits payable by or for Contractor or a Subcontractor
under workers' compensation acts, disability benefits acts, or other employee benefits acts.
IEND OF ARTTCLEI
ARTICLE 1I
GC-72 of 90
ARTICLE 12 - INSURANCE
12.01 CONDITION TO COMMENCEMENT
Contractor shall not commence Work under this Contract until Contractor has obtained all insurance required
hereunder from a company or companies acceptable to City, nor shall Contractor allow any Subcontractor to
commence Work on a subcontract until all insurance required of said Subcontractor has been obtained. Proof
of insurance including insurance certificates and endorsements as set forth in Exhibit'4' must be submitted by
Contractor prior to the City's execution of the Contract.
12.02 MINIMUM COVERAGE AND LIMITS
Contractor shall maintain the insurance coverage as set forth in Exhibit'4'throughout the term of the Contract.
12.03 CONDITIONS REGARDING INSURANCE COVEBAGE AND LIMITS
City and Contractor agree as follows:
A. All insurance coverage and limits provided pursuant to the Contract Documents shall apply to the full
extent of the policies involved, available or applicable. Nothing contained in the Contract Documents
or any other agreement relating to City or its operations limits the application of such insurance
coverage.
B. None of the policies required by this Contract shall be in compliance with these requirements if they
include any limiting endorsement that has not been first submitted to City and approved in writing by
the City Attomey or City's Risk Manager.
12.U INSURANCE OBLTGATION tS SEPARATE FROM INDEMNITYOBLIGATION
This Agreement's insurance provisions:
A. Are separate and independent from the indemnification and defense provisions in Article 12 of the
Agreement;and
B. Do not limit, in any way, the applicability, scope, or obligations of the indemnification and defense
provisions in Article 12 of the Agreement.
IEND 0F ARTICLEI
ARTICLE 12
GC-73 of 90
13.01
13.02
ARTICLE 13 - BONDS
REOUIRED BONDS
A. Confactor shall fumish the tollowing bonds:
1. A Performance Bond in an amount equal lo one hundred percent (100%) of the total Contract
price in the form shown in Exhibit "1" attached hereto.
2. A Payment Bond (Labor and Material) in an amount equal to one hundred percent (100%) of the
total Contract price in the lorm shown in Exhibit "2" attached hereto.
3. A Maintenance Bond in an amount equal to ten percent (10%) of the total Contract price in the
form shown in Exhibit "3" attached hereto.
POWER OF ATTORNEY
All bonds shall be accompanied by a power of attomey lrom the surety company authonzing the person
executing the bond lo sign on behalf ol the company. ll the bonds are executed outside the State of Calilomia,
all copiei of the bonds must be countersigned by a California representative of the surety. The signature of
the person executing the bond on behalf of Surety shall be acknowledged by a Notary Public as the signature
of the person designated in the power of attomey.
APPROVED SUBETY
All bonds must be issued by a Calilomia admitted surety insurer with the minimum A.M Best Company
Financial strength rating of'A: Vll', or better. Bonds issued by a Califomia admitted surety not listed on
Treasury Circular 570 will be deemed accepted unless specifically relected by the City. Bonds issued from
admitted surety insurers not listed in Treasury Circular 570 must be accompanied by all documents
enumerated in California Code ol Civil Procedure Section 995.660. All such bonds must be accompanied
by a power of attorney from the surety company authorizing the person executing the bond to sign on behall
oi the company. lf the bonds are executed outside the State ol California, all copies ol the bonds must be
countersigned by a California representative of the surety. The signature ol the person executing the bond
on behall of Surety must be acknowledged by a Notary Public as the signature ol the person designated in
the power of attorney.
REOUIRED PROVISIONS
Every bond must display the surety's bond number and incorporate the Contract for construction ol the Work
by reference. The terms of the bonds shall provide that the surety agrees that no change, extension ol time,
aiteratron, or modification of the Contract Documents or the Work to be performed thereunder shall in any way
affect its obligations and shall waive notice of any such change, extension of time, alteration, or modification o{
the Contract Documents.
NEW OR ADDITIONAL SUBETIES
lf, during the continuance of the Contract, any of the sureties, in the opinion of the City, are or become non-
responsible or otherwise unacceptable to City, City may require other new or additional sureties, which
Contractor shall fumish to the satisfaction of City within ten (10) days after notice, and in default thereol the
Conlract may be suspended and the materials may be purchased or the Work completed as provided in Article
5 herein.
ARTICLE I3
GC-74 ol 90
13.04
13.05
13.06 WAIVER OF MODIFICATIONS AND ALTEBATIONS
No modifications or alterations made in the Work to be per{ormed under the Contract or the time of
peformance shall operate to release any surety from liability on any bond or bonds required to be given
herein, Notice of such events shall be waived by the surety.
13.07 APPROVAL OF BONDS
The Contract will not be executed by City nor the Notice to Proceed issued until the required bonds have been
received and approved by City. City's decision as to the acceptability of all sureties and bonds is final, No
substitution of the form of the documents will be permitted without the prior written consent of City.
IEND OF ARTTCLEI
ARTICLE 13
GC-75 of 90
ARTICLE 14. LABOR PROVISIONS
14.01 WORKING HOURS
A. Work or activity of any kind shall be limited to the hours from 7:00 a.m. to 7:00 p.m. No construction
noise shall be permitted betlveen the hours of 7:00 p.m. and 7:00 a.m. of the next day.
B. Work in excess of eight (8) hours per day, on Saturdays, Sundays, or on City holidays requires prior
consent of the Director and is subject to Cost of overtime Construction lnspection
C. Night, Sunday and Holiday Work. No Work shall be perlormed at night, Sunday, or the ten (10) legal
hoiidays to wit: New Year's Day, Martin Luther King, Jr. Day, Washington's Birthday, Memorial
Day, lndependence Day, Labor Day, Veteran's Day, Thanksgiving Day, Friday lollowing
Thanksgiving Day, and Christmas Day, except Work pertaining to the public safety or with the
permission of the Director, and accordance with such regulations as he/she shall fumish in writing.
Before per{orming any Work at said times, except Work pertaining to the public safety, Contractor
shall oive written notice to the Director so that proper inspection may be provided. 'Nighf as used
in this paragraph shall be deemed to include the hours from 7:00 P.M. to 7:00 A.M. of the next
succeeding day.
14.u2 COST OF OVERTllilE CONSTBUCflON SERVICES AND INSPECnONS
A. Overtime construction Work performed at the option of, or for the convenience of, Contractor will be
inspected by the City at the expense ol Contractor. For any such ovedime beyond the regular 8-hour
day and lor any time worked on Saturday, Sunday, or holidays the charges will be determined by the
City, and submined to Contractor for payment.
B. Equipment, materials, or services provided by the City, in connection with Contractorinitiated
overtime construction Work described in Paragraph 1a.02(A), will also be at the expense of the
Contractor. The charges will be determined by the City, and submitted to Contractor lor payment.
C. There will be no charges to Contractor {or the inspection ol overtime Work ordered by the Director or
required by the Contract Documents.
14.03 COMPLIANCE WTH STATE LABOB COOE
A. Contractor shall comply with the provisions of the Labor Code of the State of Califomia and any
amendments thereof.
1. The time of service of any worker employed upon the Work shall be limited and restricted to eight
(8) hours during any one{alendar day, and 40 hours during any one+alendar week.
2. Work perlormed by employees of Contractor in excess ol eight (8) hours per day' and 40 hours
during any one calendar week, shall be permitted upon compensation lor all hours worked in
excess of eight (8) hours per day at not less than one and one-half times the basic rate ol pay.
3. Contractor and every Subcontractor shall keep an accurate record showing the name ol and the
actual hours worked each calendar day and each calendar week by each worker employed by
hin/her in connection with the Work; the record shall be kept open at all reasonable hours to the
inspection ol the City and to the Division of Labor Standards Enforcement of the State of
California.
ARTICLE 14
GC-76 oi 90
ln the event City deems Contractor is in violation of this Paragraph 14.03, Contractor shall, as a
penalty, for{eit Fifty Dollars ($50.00) lor each worker employed in the execution of the Contract
by Contractor or by any Subcontractor for each calendar day for which the employee was
underpaid in addition to an amount sufficient to recover underpaid wages. For each subsequent
violation, a (one hundred dollar) $100 penalty shall apply for each underpaid employee tor each
pay period for which the employee was underpaid in addttion to an amount sufficient to cover
underpaid wages. This subparagraph is effective to the extent it does not directly conflict with the
overtime penalty provision of Calilornia Labor Code Section 558. ln the event of such conflict,
the California Labor Code govems over this Paragraph 14.03(AX4).
Pursuant to SB 854, Contractor and any Subcontractors shall register and pay an annual fee to
the Department of lndustrial Relations.
14.04 WAGE RATES
A.Prevailing Wages
1.Conlractor shall comply with the general prevailing rates of per diem wages and the general
prevailing rates for holiday and overtime Work in the locality in which the Wok is to be
performed, for each cralt, classification, or type ol worker needed to execute the Contracl The
Director of the Department ol lndustrial Relations ol the State of Calilornia (pursuant to
California Labor Code) and the United States Secretary ol Labor (pursuant to the Davis'Bacon
Act) have determined the general prevailing rates of wages ln the locality in which the Work is
to be performed. The rates are available online at www.ctrr.caoov/DLsR/PwU. To the extent
that there are any difterences in the federal and state prevailing wage rates for similar
classilications of labor, Contractor and its Subcontractors shall pay the highest wage rate.
Contractor shall post a copy ol the general prevailing rate of per diem wages at the job site.
Contractor and any Subcontractor under himher shall pay not less than the specified prevailing
rate of wages to all workers employed in the execution ol the Contract.
The holidays upon which such rates shall be paid shall be all holidays recognized in the
collective bargaining Contract applicable to the particular craft, classification, or type of worker
employed on the project.
Contractor shall, as a penalty to the State or the City, forleit not more than Fifty Dollars ($50)
for each calendar day, or portion thereof, for each worker paid less than the prevailing rates for
the Work or craft in which the worker is employed under the Contract by Conlractor or by any
Subcontractor under him. The ditlerence betlveen the prevailing wage rates and the amount
paid to each worker for each calendar day or portion thereot for which such worker was paid
less than the stipulated prevailing wage rate shall be paid to such worker by Contractor.
The specified wage rates are minimum rates only and the City will not consider and shall not
be liable for any claims for additional compensation made by Contractor because of payment
by him/her of any wage rate in excess ol the general prevailing rates. All disputes in regard to
the payment of wages in excess of those specilied herein shall be adiusted by Conkactor at
his/her own expense.
ARTICLE 1,1
cC.77 of 90
4.
2.
J.
B. Payroll Recods
1. Pursuant to Calitornia Labor Code Section 1776, Contractor and each Subcontractor shall
keep an accurale payroll record, showing the name, address, social security number, Work
classification, straight time and overtime hours worked each day and week, and the actual per
diem wages paid to each journeyman, apprentice, worker or other employee employed in
connection with the Work. The payroll records shall be certified and shall be available for
inspection.
2. Contractor shall inform the City ol the location of the payroll records, including the street
address, city and county, and shall, within five (5) Working Days, provide a notice ot change in
location and address.
3. Upon requesl by the Director, Contractor shall provide a copy of the certified payroll records
along with a statement ol compliance.
4. Pursuant to SB 854, Contractor and any Subcontractors shall fumish electronic certified payroll
records directly to the Labor Commissioner (aka Division of Labor Standards Enforcement).
APPRENTICESHIP STANDARDS
A. Compliance with Calilomia Labor Code Section 1777.5 requires all public works contractors and
subcontractors to:
1. Prior to commencing work on a public works contract, submit Contract Award information
to the applicable joint apprenticeship committee, including an estimate of the joumeyman
hours to be performed under the Contract, the number of apprentices to be employed,
and the approximate dates the apprentlces will be employed. Use Form DAS'140 trom
the State Department of lndustrial Relations. The City reserves the right to require
Contractor and Subcontractors to submit a copy ol said lorms to the City.
2. Employ apprentices for the public work at a ratio of no less than one (1) hour or
apprentice work for every live (5) hours or labor perlormed by a journeyman. To request
dispatch of apprentices, use Form DAS-142 from the State Department of lndustrial
Relalions. The City reserves the right to require Contractor and Subcontractors to submit
a copy of said lorms to the CitY.
3. Pay the apprentice rate on public works projects only to those apprentices who are
registered, as delined in Labor Code Section 307.
4. Contribute to the training lund in the amount identified in the Prevailing Wage Rate
publication tor journeyman and apprentices. Contractors who choose not to contribute to
the local training trust fund must make their contributions to the Calilornia Apprenticeship
Council, P.O. Box 420603, San Francisco, C494142.
B. Failing to comply with the provisions of California Labor Code Section 1777.5 may result in the loss
of the right to bid on all public works poiects for a penod of one to three years and the imposition
of a civil penalty ot Fifty Thousand Dollars ($50,000) for each calendar day of noncompliance.
Contractor should make a separate copy of this material tor each of his/her Subcontractors.
ARTICLE I4
GC-78 ol 90
14.05
C. Payroll Records. Contractor and each Subcontractor shall keep an accurate payroll record,
showing the name, address, social security number, work classification, straight time and overtime
hours worked each day and week, and the actual per diem wages paid to each joumeyman
apprentice, worker or other employee employed in connection with the work, The payroll records
shall be certified and shall be submitted to the Project Manager every two weeks.
D. Statement of Employer Fringe Benefit Payments. Within five (5) calendar days of signing the
Contract or Subcontract, as applicable, the Statement of Employer Payments (DLSE Form PW 26
from the State Department of lndustrial Relations) shall be completed for each Contractor and
Subcontractor of any tier who pays benefits to a third party trust, plan or fund for health and welfare
benefits, vacation funds or makes pension contributions. The form must contain, for each worker
classification, the fund, plan or trust name, address, administrator, the amount per hour contributed
and the frequency of contributions. Training fund contributions shall also be reported in this form.
City reserves the right to require Contractors and Subcontractors to submit a copy of said forms to
the Cig.
14.06 EMPLOYMENT OF APPRENTICES
A. ln the perlormance of this Contract, Contractor and any Subcontractor shall comply with the
provisions conceming the employment of apprentices in the Labor Code of the State of California
and any amendments thereof.
B. ln the event Contractor or any Subcontractor willfully fails to comply with the aforesaid provisions of
the Labor Code, such Contractor or Subcontractor shall be subject to the penalties for
noncompliance in the Labor Code of the State of California and any amendments thereof.
14.07 CHARACTEROFWORKERS
Contractor shall not allow his/her agents or employees, Subcontractors, or any agent or employee thereof,
to trespass on premises or lands in the vicinity of the Work. Only skilled foremen and workers shall be
employed on Work requiring special qualifications, and when required by the Director, Contractor shall
discharge any person who commits trespass, or in the opinion of the Director, acts in a disorderly,
dangerous, insubordinate, incompetent, or otherwise objectionable manner. Any employee being
intoxicated or bringing or having intoxicating liquors or controlled substances on the Work shall be
discharged. Such discharge shall not be the basis of any claim for compensation of damages against the
City or any of its officers, agents, and employees.
14.08 NO SMOKING - STATE LABOR CODE SECTION 6404.5
Contractor and its agents, employees, Subcontractors, representatives, and any person under Contractor's
control, are prohibited from smoking in- or within a 2O-foot distance from- the Site, which is a "place of
employment" under California Labor Code $ 6404.5.
IEND OF ARTTCLEI
ARTICLE T4
GC-79 of 90
ARTICLE 15. DISPUTE RESOLUTION
15.01 SUBMISSION OFCLAIMS
By Contractor
Contraclo/s right to commence the Claims Dispute Resolution Process shall arise upon the Directot's
written response denying all or part of a Claim. Contractor shall submit a writlen Statement ot
Dispute to the Director within seven (7) Days after the Director reiects all or a portion of Contracto/s
Claim. Contracto/s Statement of Dispute shall be signed under penalty of periury and shallstate with
specificity the events or circumstances guing rise to the Claim, the dates of their occurrence and the
etfect, if any, on the compensation due or performance obligations ol Contractor under the
Construction Contract. Such Statement ol Dispute shall include adequate supporting data to
substantiate the disputed Claim. Adequate supporting data for a Claim relating to the adjustment of
Contractods obligations relative to time of perlormance shall include a detailed, evenlby-event
description of the impact ol each delay on Contracto/s time for performance. Adequate supporting
data to a Statement of Dispute submitted by Contractor involving Contracto/s compensation shall
include a detailed cost breakdown and supporting cost data in such form and including such detailed
intormation and other supporting data as required to demonstrate the grounds for, and precise
amount of, the Claim.
By City
City's right to commence the Claims Dispute Hesolution Process shall arise at any time following the
City's actual discovery of the circumstances giving rise to the Claim, Nothing contained herein shall
preclude Crty from asserting Claims in response to a Claim asserted by Contractor. A Statement ol
Dispute submitted by City shall state the events or circumstances giving rise to the Claim, the dates of
their occurrence and the damages or other relief claimed by City as a result of such events.
Claims Defined
The term "claims' as used herein shall be as defined in Califomia Public Contract Code S
20104(b)(2).
CLAIMS DISPUTE RESOLUTION PROCESS
The parties shall utilize each of the lollowing steps in the Claims Dispute Hesolution Process in the sequence
they appear below. Each party shall participate fully and in good faith in each step in the Claims Dispute
Hesolution Process, which good faith eflort shall be a condition precedent to the right of each party to proceed
to the next step in the Claims Dispute Resolution Process.
Direct Negotialions
Designated representatives of City and Contractor shall meet as soon as possible (but not later than
ten ('10) Days after receipt ol the Statement ot Dispute) in a good faith eflort to negotiate a resolution
to the Claim. Each party shall be represented in such negotiations by an authorized representative
with full knowledge ol the details of the Claim or defenses being asserted by such party, and with full
authority to resolve such Claim then and there, subject only to City's right and obligation to obtain City
Council [or other City official] approval of any agreed setllement or resolution. ln the Claim involves
the assertion of a right or claim by a Subcontractor against Contractor that is in tum being asserled by
Contractor against City, then such Subcontractor shall also have a representative attend such
ARTICLE 15
cC-80 of g0
negotiations, with the same authority and knowledge as just described. Upon completion of the
meeting, if the Claim is not resolved, the parties may either continue the negotiations or either party
may declare negotiations ended. All discussions that occur during such negotiations and all
documents prepared solely for the purpose of such negotiations shall be confidential and privileged
pursuant to Califomia Evidence Code Sections '1119 and 1152.
B. Deferral of Claims
Following the completion of the negotiations required by Paragraph 15.02-A., allunresolved Claims,
except those that do not involve parties other than Contractor and City, shall be defened pending
Final Completion of the Work, subject to City's right, in its sole and absolute discretion, to require that
the claims Dispute Resolution Process proceed prior to Final Completion. ln the event that City does
not elect to proceed with the Claims Dispute Resolution Process prior to Final Completion of the
Work, all Claims that have been defened until such Final Completion shall be consolidated within a
reasonable time after such Final Completion and thereafter pursued to resolution pursuant to the
Claims Dispute Resolution Process. Nothing contained in this Article 15 shall be interpreted as
limiting the pailies' rights to continue informal negotiations of Claims that have been defened until
such Final Completion; provided, however, that such informal negotiations shall not be interpreted as
altering the provisions of this Article 15 deferring final determination and resolution of unresolved
Claims until after Final Completion of the Work.
C. Legal Proceedings
lf the Claim is not resolved by direct negotiations then the party wishing to further pursue resolution or
determination of the Claim shall submit the Claim for determination by commencing legal proceedings
in a court of competent jurisdiction.
15.03 NO WAIVER
Participation in the Claims Dispute Resolution Process shall not constitute a waiver, release or compromise of
any defense of either pafi, including, without limitation, any defense based on the asseftion that the rights of
Contractor that are the basis of a Claim were previously waived by Contractor due to failure to comply with the
Contract Documents, including, without limitation, Contracto/s failure to comply with any time periods for
providing notices or for submission or supporting documentation of Claims.
IEND OF ARTTCLEI
ARTICLE 15
GC-81 ol90
ARTICLE 16. ACCOUNTING RECORDS
16.01 MAINTENANCE OF RECOHDS
Contractor shall keep, and shall include in its contracts with its Subcontractors, provisions requiring its
Subcontractors to keep lull and detailed books and records in accordance with the requirements of the
Contract Documents, including the following: all information, materials and data of every kind and character
(hard copy, as well as computer readable data il it exists), that have any bearing on or pertain to any
matters, rights, duties or obligations relating to the Project or the perlormance of the Work, including, without
limitation, agreements, purchase orders, leases, contracts, commitments, arrangements, notes, change
orders, change order requests, estimates, lield orders, schedules, diaries, logs, reports, shop drawings,
samples, exemplars, Drawings, Specifications, invoices, delivery tickets, receipts, vouchers, cancelled
checks, memoranda; accounting records; job cost reports; job cost files (including complete documentation
covering negotiated settlements); backcharge; general ledgers; documentation of cash and trade discounts
earned; insurance rebates and dividends, and other documents relating in way to Claims or Change Orders,
Construction Change Directives, Work Directives, or other claims lor payment related to lhe Project
asserted by Contractor or any Subcontractor ("Accounting Records'). Contractor shall exercise such
controls as may be necessary for proper linancial management of the Work. Such accounting and control
systems shall comply with prevailing custom and practice for similar plojects, be satisfactory to City and
shall include preservation ol such records for a period of five (5) years after approval ol the Notice of
Completion and Acceptance by City, or for such longer penod as may be required by applicable laws.
16.02 ACCESSTO RECOBDS
Contractor shall allow, and shall include in its contracts with its Subcontractors provisions requiring its
Subcontraclors to allow, City and its authorized representative(s), auditors, attomeys and accountants, upon
twenty-four (24) hours notice to Contractor, full access to inspect and copy all books and records relating to
the Project that Contractor is required to maintain pursuant to Paragraph 16.01, above.
16.03 CONTBACTOR NONCOMPLIANCE.WITHHOLDING
Contractor's compliance with Paragraphs 16.01 and 16.02, above, shall be a condition precedent to
maintenance of any legal action or arbitration by Contractor against City. ln addition to and without limitation
upon City's olher rights and remedies for breach, including any other provisions tor withholding set forth in
the Contract Documents, City shall have the right, exercised in its sole discretion, to withhold lrom any
payment to Contractor due under a cu(ent Application for Payment an additional sum of up to ten percent
(10%) ol the total amount set forth in such Application for Payment, until Contractor and its Subcontractors
have complied with any outstanding and unsatisfied request by City under this Article 16. Upon such
compliance with this Article 16, any additional monies withheld pursuant to this Paragraph 16.03 shall be
released to Contractor.
16.04 SPECIFIC ENFORCEMENT BY CITY
Contractor agrees that any failure by Contractor or any Subcontractor to provide access to its books and
records as required by this Article 16 shall be specifically enforceable, by issuance ot a preliminary and/or
permanent mandatory injunction by a court of competent jurisdiction based on aftidavits submitted to such
court and wilhout the necessity ol oral testimony, to compel Contractor to permit access, inspection, audits
and/or reproduction of such books and records or to require delivery ol such books and records to City for
inspection, audit and/or reproduction.
ARTICLE 16
cC-82 of 90
IEND OF AHTICLE]
ARTICLE 1 T.MISCELLANEOUS PROVISIONS
17.01 COMPLIANCE WITH APPLICABLE LAWS
A. Notices, Compliance
Contractor shall give all notices required by govemmental authorities and comply with all
applicable laws and laMul orders ol govemmental authorities, including but not limited to the
provisions of the California Code ol Regulations applicable to contractors performing
construction and all laws, ordinances, rules, regulations and lawful orders relating to safety,
prevailing wage and equal employment opportunities.
B. Taxes, Employee Benelits
Contractor shall pay at its own expense, at no cost to the City and without adjustment to the
Contract Sum, all local, state and federal taxes, including, without limitation all sales,
consumer, business license, use and similar taxes on matenals, labor or other items
fumished for the Work or portions thereol provided by Contractor or Subcontractors, all
taxes arising out of its operations under the Contract Documents and all benefits, insurance,
taxes and contributions lor social security and unemployment tnsurance which are
measured by wages, salaries or other remuneration paid to Contracto/s employees. lf under
federal excise tax law any transaction hereunder constitutes a sale on which a federal
excise tax is imposed and the sale is exempt lrom such excise tax because it is a sale to
meat for its exclusive use, then City, upon request, will execute documents necessary to
show that is a political subdivision of the State for the purposes of such exemption and that
the sale is for the exclusive use ol the City, in which case no excise tax for such materials
shall be included in the Bid or Contract Sum.
C. Notice ol Violations
Contractor shall immediately notify lhe City and Director in writing of any instruction received
from the City, Director, Architect or other person or entity that, if implemented, would cause
a violation of any applicable law or lawful order of a govemmental authority. ll Contractor
fails to provide such notice, then Director and Architect shall be entitled to assume that such
instruction is in compliance with applicable laws and lawful orders of governmental
authorities. ll Contractor observes that any portion of the Drawings and Specilications or
Work are at variance with applicable laws or lawlul orders ol govemmental authonties, or
should Contractor become aware of conditions not covered by the Contract Documents
which will result in Work being at vanance therewith, Contractor shall promptly notify Director
in writing. lf, withoul such notice to Director, Contractor or any Subcontractol perJorms any
Work which it knew, or through the exercise of reasonable care should have known, was
contrary to lawful ordec of govemmental authorities or applicable laws, then Contractor
shall bear all resulting losses at its own expense, at no cost to City and without adjustment
lo the Contract Sum.
17.T2 OWNEBSHIP OF DESIGN DOCUMENTS
A. Property ol City
All Design Documents, Contract Documents and Submittals (including, without limitation, all
copies thereol) and all designs and building designs depicted therein are and shall remain
the sole and exclusive property of the City and the City shall solely and exclusively hold all
copyrights thereto. Without derogation the City's rights under this Paragraph, Contractor and
ARTICLE I7
GC-83 ol 87
Subcontractors are granted a limited, non-exclusive license, revocable at will of City, to use
and reproduce applicable portions ol the Contract Documents and Submittals as appropriate
to and for use in the execution ol the Work and for no other purpose.
B. D,ocuments on Site
Contractor shall keep on the Project site, at all times and lor use by City, DirectoI, lnspectors
ol Record and City's Consultants, a complete set of the Contract Documents that have been
approved by applicable Govemmental Authorities.
C. thlivery to City
All Design Documents, Contract Documents and Submittals in the possession of Contractor
or Subcontractors shall be retumed to the City upon the eadier of Final Completion or
termination of the Construction Contract; provided, however, that Contractor and each
Subcontractor shall have the right to retain one (1) copy of the Contract Documents and
Submittals for its permanenl records
D. Subcontractors
Contractor shall take all necessary steps to assure that a provision is included in all
subcontracts with Subcontractors, of every tier, who perlorm Wok on the Poect
establishing, protectrng and preserving the, City's rights set forth in this Paragraph.
17.03 AMENDMENTS
Contract Documents may be amended only by a written instrument duly executed by the parties or
their respective successors or assigns.
17.04 WATVER
Either party's waiver of any breach or failure to enforce any of the terms, covenants, conditions or
other provisions of the Contract Documents at any time shall not in any way limit or waive that
party's right thereafter to enlorce or compel strict compliance with every term, covenant, condition
or other provision, any course ol dealing or custom of the trade notwithstanding. Furthermore, il the
parties make and implement any interpretation of the Contract Documents without documenting
such interpretation by an instrument in writing signed by both parties, such interpretation and
implementation thereof will not be binding in the event of any future disputes.
17.05 INDEPENDENTCONTRACTOR
Conlractor is an independent contractor, and nothing contained in the Contract Documents shall be
construed as constituting any relationship with City other than thai ol Project owner and
independent contractor. ln no event shall the relationship between City and Contractor be
construed as creating any relationship whatsoever between City and Contracto/s employees.
Neither Contractor nor any of its employees is or shall be deemed to be an employee of City.
Except as otheMise specilied in the Contract Documents, Contractor has sole authority and
responsibility to employ, discharge and othefti/ise control its employees and has complete and sole
responsibility as a principal for its agents, for all Subcontractors and for all other Persons that
Contractor or any Subcontractor hires to perform or assist in performing the Work.
ARTICLE 17
GC.84 of 87
17.06 SUCCESSOHSANDASSIGNS
Contract Documents shall be binding upon and inure to the benelit of City and Contractor and their
permitted successorsi, assigns and legal representatives.
A. City may assign all or part of its right, title and interest in and to any Contract Documents,
including rights with respect to the Payment and Perlormance Bonds, to (a) any other
governmental person as permitted by governmental rules, provided that the successor or
assignee has assumed all of City's obligations, duties and liabilities under the Contract
Document then in effect; and (b) any other Person with the prior written approval of
Contractor.
B. Contractor may collaterally assign its rights to receive payment under the Contract
Documents. Contractor may not delegate any of its duties hereunder, except to
Subcontractors as expressly otherwise permitted in the Contract Documents. Contractor's
assignment or delegation ol any of its Work under the Contract Documents shall be
ineflective to relieve Contractor of fts responsibility tor the Work assigned or delegated,
unless City, in its sole discretion, has approved such relief lrom responsibility.
Any assignment ol money shall be subject to all proper set-ofls and withholdings in favor
of City and to all deductions provided lor in the Contract. All money withheld, whether
assigned or not, shall be subiect to being used by City tor completion of the Work, should
Contractor be in default.
C. Except for the limited circumstances set forth in Paragraph 17.06-8, above, Contractor
may not, without the prior wrinen consent of City in its sole discretion, voluntarily or
involuntarily assign, convey, transfer, pledge, mortgage or othen/vise encumber its nghts
or interests under the Conlract Documents. No partner, joint venturer, member or
shareholder ol Contractor may assign, convey, transfer, pledge, mottgage or otherwise
encumber its ownership interest in Contractor without the pnor written consent of City, in
City's sole discretion.
17.fi SURVTVAL
Contracto/s representations and warranties, the dispute resolution provisions contained in Article
15, and all other provisions which by their inherent character should survive temination of the
Contract and/or Final Acceptance, shall survive the termination of the Contract and the Final
Acceptance Date.
17.08 LIMITATION ON THIRD PAHTY BENEFICIABIES
It is not intended by any of the provisions ol the Contract Documents to create any third party
beneficiary hereunder or to authorize anyone not a party hereto to maintain a suit for personal
injury or property damage pursuant to the terms or provisions hereof, except to the extent that
specilic provisions (such as the warranty and indemnity provisions) identity third parties and state
that they are entitled to benelits hereunder. The duties, obligations and responsibilities of the
parties to the Contract Documents with respect to such third parties shall remain as imposed by
law. The Contract Documents shall not be construed to create a contractual relationship of any
kind between City and a Subcontractor or any other Person except Contractor.
17,09 PERSONAL LIABILITY OF CITY EMPLOYEES
City's authorized representatives are acting solely as agents and representatives of City when
carrying out the provisions of or exercising the power or authority granted to them under the
ARTICLE 17
cC.85 ot 87
Contract. They shall not be liable either personally or as employees of City for actions in their
ordinary course of employment.
No agent, consultant, Council member, otficer or authorized employee of City, shall be personally
responsible for any liability arising under the Contract.
17,10 NO ESTOPPEL
City shall not, nor shall any officer thereof, be precluded or estopped by any measurement,
estimate or certificate made or given by the City representative or other otticer, agent, or employee
of City under any provisions of the Contract from at any time (either before or after the final
completion and acceptance ol the Work and payment therefor) pursuant to any such
measurement, estimate or certificate showing the true and correct amount and character ol the
work done, and materials furnished by Contractor or any person under the Contract or from
showing at any time that any such measurement, estimate or certilicate is untrue and incorrect, or
improperly made in any particular, or that the work and materials, or any part thereof, do not in fact
conform to the Contract Documents. Notwithstanding any such measurement, estimate or
certificate, or payment made in accordance therewith, City shall nol be precluded or estopped from
recovering from Contractor and its Sureties such damages as City may sustain by reason of
Contractor's failure lo comply or to have complied with the Contract Documents.
17.11 GOVERNING LAW
The laws of the State ol California govem the construction and interpretation of the Contract
Documents, without regard to conllict of law principles. Unless the Contract Documents provide
otheruise, any relerence to laws, ordinances, rules, or regulations include their later amendment,
modifications, and successor legislation. lf Contractor or City brings a lawsuit to enlorce or
interpret one or more provisions ol the Contract Documents, jurisdiction is in the Superior Court of
the County of Los Angeles, Califomia, or where otheMise appropriate, in the United States District
Court, Central District ol California. Contractor and City acknowledge that the Contract Documents
were negotiated, entered into, and executed-and the Work was performed-in the City of Vernon,
California.
17.12 FUBTHERASSURANCES
Contractor shall promptly execute and deliver to City all such instruments and other documents
and assurances as are reasonably requested by City to further evidence the obligations of
Contractor hereunder, including assurances regarding assignments of Subcontractors contained
herein.
17.13 SEVERABILITY
ll any clause, provision, section, paragraph or part ol the Contract is ruled invalid by a court having
proper jurisdiction, then the parties shall: (a) promptly meet and negotiate a substitute for such
clause, provision, seclion, paragraph or part, which shall, to the greatest extent legally permissible,
effect the original intent of lhe pa(ies, including an equitable adjustment to the Contract Price to
account for any change in the Work resulting from such invalidated portion; and (b) if necessary or
desirable, apply to the court or other decision maker (as applicable) which declared such invalidity
for an interpretation of the invalidated portion to guide the negotiations. The invalidity or
unenforceability of any such clause, provision, section, paragraph or part shall not aftect the validity
or enforceability of the balance of the Contract, which shall be construed and enlorced as il the
Contract did not contain such invalid or unenforceable clause, provision, section, paragraph or part.
ARTICLE I7
GC-86 of 87
lIrFl
17.14 HEADINGS
The captions of the sections of the Contract are for convenience only and shall not be deemed part
of the Contract or considered in construing the Contract.
17.15 ENTIRE AGREEMENT
Contract Documents contain the entire understanding of the parties with respect to the subject
matter hereof and supersede all prior agreements, understandings, statements, representations
and negotiations between the parties with respect to its subject matter'
17.16 COUNTERPARTS
This instrument may be executed in two or more counterparts, each of which shall be deemed an
original, but all of which together shall constitute one and the same instrument.
IEND OF ARTICLEI
ARTICLE 17
GC-87 of 87
1
Bond No.:
Premium Amount: $.
Bond's Effective Date:
PERFORMANCE BOND
RECITALS:
The City ol Vernon, California ('City'), has awarded to
(Name, address, and telephone of Contractor)
("Principal"),
a Contract (the "Contract') for the Work described as follows:
Proiect in Vernon, CA.Contract No.
-:
2. principal is required under the terms of the Contract- and all contract documents referenced in it ("Contract
Documents')-to furnish a bond guaranteeing Principal's faithful performance of the Work.
3. The Contract and Contract Documents, including all their amendments and supplements, are incorporated into
this Bond and made a part of it by this reference.
OBLIGATION:
THEREFORE, for value received, We, Principal and
(Name, address, and telephone ol Surety)
("Surety"),
a duly admitted surety insurer under California's laws, agree as follows:
By this Bond, We jointly and severally obligate and bind ourselves, and our respective heirs, executors, administrators,
successors, and assigns to pay City the penal sum of DoU ('the Bonded Sum"),
mount comprising not leffi lav'rful money of the United States of America.
The California Licensed Resident Agent for Surety is:
(Name, address, and telePhone)
Registered Agent's California Department of lnsurance License No'
THE COND|TION OF THIS ndertakings,
taar, *ranants, conditions, dments and
irppiirentsl, all within the ti ull and void'
Otherwise, this Bond remains1 ii,lil:li
as speci
xceed th
2. For those obligations of Principal that survive Final Completion of the-Work described in the Contract and Contract
Documents, th6 guarantees in this Bond also survive Final Completion of the Work'
3. When City declares that Principal is in default under
promptly: (a) remedy the default; (b) complete the Proi
ihen in effect; or (c) using a procurement methodology a
to City- to complete all of the Work, and arrange for a
availa'ble, as the'Work progr..ses, srfficirnt fund! to pay the cost of completion less the balance of the Contract Sum'
"nO
to piy and perforni aliobligations of Principal undeitne Contract and Contract Documents- including other costs
ano Oahrages for which Surety-is liable under ihis Bond- except that Surety's total obligation, as described here, will
not exceed the Bonded Sum.
EXHTBIT I . PERFORMANCE BOND-I Of 3
4. An alteration, modificalion, change, addition, deletion, omission, agreement, or supplement to the Conkact, Contracl
Documents, or the nalure of lhe Work performed under lhe Contract or Contract Documenls- including, rvithout
limilation, an extension ol time for performance- does not, in any way, affect Surety's obligations under this Bond.
Surety waives any nolice ot alteralion, moditication, change, addition, deletion, omission, agreemenl, supplement, or
extension of time.
5. Surety's obligations under this Bond are separate, independent from, and not contingent upon any other surely's
guaranleeing Principal's taithful performance of the Work.
6. No right of action accrues on this Bond lo any entity other lhan City or its successors and assigns.
7. ll an action at law or in equity is necessary to enforce or interpret lhis Bond's terms, Surety musl pay- in addition to the
Bonded Sum- City's reasonable attomeys' fees and litigation costs, in an amount the court fixes.
B. Surety shatl mail City written nolice at least 30 days before: (a) the effective date on which the Surety will cancel,
terminate, or wilhdraw lrom this Bond; or (b) this Bond becomes void or unenforceable for any reason
On the date set forth below, Principal and Surety duly executed this Bond, with the name of each party appearing
below and signed by its representative(s) under the authority of its governing body.
Date:
PRINCIPAL:SURETY:
(Company Name)(Company Name)
(Signature)(Signature)
By:By:
Its:Its:
(Name)(Name)
Iirte)
Address lor Serving Notic6 or Other DodJments:
(Tirle)
Address lor Serving Notices or Other Documents:
COBPORATE SEAL COBPOBAIE SEAL
. TtttS B(NDMLS| BEEXECIIIED NTHPI-EAIE.. AnWeWg BE ATIACIiED ff TttE AlIlHOilfl OF ANYPEFSOTV9GM,VGAS ATTORNEY'*FEACr'. fHE AffOFrt/EYll{FACfS SlGNAruREMtlgl BE iATARED.. A @RPORA\E SE/U- MJC/- BE MPRESSED ON THIS rcRM WHEN THE PHIICI/PAI- OR fllE SIIRE'fl, oB
BOTI], ARE A CORPC'RATICil{
By
Ciiy Attorney
AMOUNT OF BONDED SUM:
By-
Director of Public Works, Water &Development Services
EXHIBIT I. PERFORMANCE BOND.2 OI3
BOND ACKNOWLEDGMENT
FOR
SURETY'S ATTORNEY.IN.FACT
srATE OF CALIFORNIA )
) ss.
)COUNTY OF
On this _ day of 20--,
before me, (name), a Notary Public for said County,
personally appeared (name), who proved to me on the
basis of satisfactory evidence to be the person whose name is subscribed to this instrument as the attorney
and acknowledged to me that he/she subscribed the
thereto as principal, and his/he own name as
in fact of
name of
attorney in fact.
I certity under pENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph
is true and correct.
Notary Public
SEAL
EXHIBIT I - PERFORMANCE BOND.3 OI3
EXHIBIT 2
PAYMENT BOND
(LABOR AND MATERIALS)
RECITALS:
The City ofVernon, Calitornia ("City'), has awarded to
Bond No.:
Premium Amount: $
Bond's Etfective Date:
1.
(Name, address, and telephone ol Design'Builded
('Principal"),
a Contract (the "Contract') for the Work described as follows:
Contract No.
-:
Proiect in Vemon, CA'
2. Principal is required under California Civil Code Sections 3247-3248 and the terms of the Contract- and all
contract documents relerenced in it ("Conkact Documents")- to fumish a bond guaranteeing Principal's paying
claims, demands, liens, or suits tor any work, labor, services, materials, or equipment furnished or used in the
Work.
3. The Contract and Contract Documents, including all their amendments and supplements, are incorporated into
this Bond and made a part of it by this reference.
OBLIGATION:
THEREFOHE, for value received, We, Principal and
("Surety'),
(Name, address, and telephone ol
a duly admitted surety insurer under California's laws, agree as follows:
By this Bond, We iointly and severally obligate and bind ourselves, and our respective heirs, executors, administrators,
successors, and assigns to pay City the pen?l SUfi ot - : ;;;:: = : r : ;r
The Calitornia Licensed Resident Agent for Surety is:
(Name, address, and lelePhone)
Registered Agent's Calilornia Department of lnsurance License No
THE COND|T|ON OF IHIS BOND',S OBLTGATION lS THAT, if Principal or a subcontractor fails to pay (a) any person
named in Calitornia Civil Code Section 3181, or any successor legislationi (b) any amount due under Calitornia's
Unemolovment lnsurance Q9@, or any successor legislation, for work or labor performed under the Conkact or
Contract Documents; or (c) any amount under Unemolovment lnsurance Qgde Seclion 13020, or any successor
legislation, that Principal or a subcontractor must deduct, ' /ithhold, and pay over to the Employment Development
D;partment lrom the wages of its employees, lor work or labor perlormed under the Contract or Contract Documents,
then Surety shall pay for the same in an amount not-to-exceed the Bonded Sum. Othenflise, this obligation becomes null
and void. While this'Bond remains in lull force and elfect, the following terms and conditions apply to this Bond:
1. This Bond inures to fE benefit ofany of the persons named in California Civil Code Section 3'181, or,any successor
legishlion, gMng hose persons or frlir asgns a right of aclion in any suit brought upon his Bond, unles Calitornia Qlyd
Code Section 3267, or any successor legislation, appli( s.
EXHIBIT 2 - PAYMENT BOND-1 ot 3
2. An alteration, modification, change, addition, deletion, omission, agreement, or supplement to the Contract,
Contract Documents, or tte nature of the Work performed under the Contract or Contract Documents- including,
without limitation, an extension of time for performance- does not, in any way, atlect Surety's obligations under
this Bond. Surety waives any notice ot alteration, modification, change, addition, deletion, omission, agreement,
supplement, or extension of time.
3. Surety's obligations under this Bond are separate, independent from, and not contingent upon any other surety's
paying claims, demands, liens, or suits for any work, labor, services, materials, or equipment furnished or used in
the Work.
4. lf an action at law or in equity is necessary to enforce or interpret this Bond's terms, Surety must pay- in addition
to the Bonded Sum- City's reasonable attorneys'fees and litigation costs, in an amount the court fixes.
5. Surety shall mail City written notice at least 30 days before: (a) the etfective date on which the Surety willcancel,
terminate, or withdraw from this Bond; or (b) this Bond becomes void or unenforceable for any reason,
On the date set forth below, Principal and Surety duly executed this Bond, with the name of each party appearing
below and signed by rts representative(s) under the authority of its governing body
Date:
PBINCIPAL:SURETY:
(Company Name)(Company Name)
By:
Its:
By:
Its:
(Signature)(Signsture)
(Name)(Name)
fiirle) oitle)
Address for serving Notices or oher Documents: Addrcss lor Seruing Notices or other Documents:
CORPORATE SEAL CORPORATE SEAL
. fnEBCM)MllSl BE EXECIIIED NTRIPLICAIE. fltDE,I/r,E ilrSf BE ATTAC,ED OF TT/F- AUt toilfv tr At{Y PEPSOTSIG,W,T,GIS ATIOB[[EY//&FACI'. fHE ATfCf,ttEYJt$FACf/S S16rNA7URE truCr BE \OTARZED.. A @RFORATE SEAL MIISI BE frIPRESSED ON TIIIS K'R'I IyHEII IIIE PF//I/r;IPAI. OR THE SIIRE'IY, OB
BO7}l"AREACORP(NATW,
APPROVED AS TO SURETY ANO
AMOUNT OF BONOED SUM:
APPROVED AS TO FORM:
By- Bv-
Director of Public Works, Water & Development Services City Attorney
EXHIBIT 2 - PAYMENT BOND-2 OI3
STATE 0F CALIFORNIA )
COUNTY OF
On this
-
day of
BOND ACKNOWLEDGMENT
FOR
SURETY'S ATTORNEY.IN.FACT
) ss.
)
20--,
in fact of
name of
before me, (name), a Notary Public for said County,
personally appeared (name), who proved to me on the
basis of satisfactory evidence to be the person whose name is subscribed to this instrument as the attorney
and acknowledged to me that he/she subscribed the
thereto as principal, and his/he own name as
attorney in fact.
I certify under pENALW OF PERJURY under the laws of the state of california that the foregoing paragraph
is true and conect.
Notary Public
SEAL
EXHIBIT 2 . PAYMENT BOND.3 Of 3
'1.
EXHIBIT 3
Bond No.:
Premium Amount: $
Bond's Effective Date:
MAINTENANCE BOND
HECITALS:
The City of Vemon, California (rcitF), has awarded to
(Name, address, and telephone of Conlraclor)
('Principal"),
a Contract (the "Contracf) lor the Work described as follows:
Contract No.
-:
_fuqiggl in Vernon, CA.
2. Principal is required under the terms of the Contract- and all contract documents referenced in it ('Conkact
Documents")- after completion ol the Work and before ttre tiling and recordation of a Notice of Completion lor the
Work, to fumish a bond io secure claims for lraintenance equal to ten percent (10%) of the total amounl of the
Contract Which shall hold good for a period of one ('l) year from the date the City's Notice of Completion and
Acceptance of the Work is filed with the County Recorder, to protect the City against the result of faulty material or
workmanship during that time.
g. The Contract and Contract Documents, including all their amendments and supplements, are incorporated into
this Bond and made a parl of it by this reference.
OBLIGATION:
THEREFORE, for value received, We, Principal and
(Name, address, and lelephone of
a duly admitted surety insurer under California's laws, agree as follows:
By this Bond, We jointly and severally obligate and bi
successors, and assigns lo pay City the penal sum of
The Califomia Licensed Resident Agent for Surety is:
(Name, address, and telephone)
Registered Agent's California Department ol lnsurance License No,
THE COND|T|ON OF IH|S BOND',S OBLIGATION lS THAT if ttre said Principal or any of his or her or its subcontractors,
them, shall fail to execute
ule acceptable to he CltY
h may be displaced bY so
r (except when ofierwise
date the City's Notrce of Completion and Acceptance, or
equivalent, is liled wih the County Recorder, ordinary wear and tear and unusual abuse or neglect excepted with respect
to'such Work and labor, tre Surety herein shall pay'tor the same, in an amount not exceeding he sum specified in this
Bond.
1. When City declares that Principal is in default under the Contract, or Contract Documents, or both, Surety shall
promptly iem lect a conkactor or contraclors-
accepta6te to ntracto(s) and City Surety shall
make availabl Work and to pay and perform all
obligalions ot er cosls and damages for which
Sur6ty is liable under lhis Bond except that Surety's total obligation, as described here, will not exceed the Bonded
Sum.
EXHIBIT I - MAINTENACE BOND-I of 3
2. Should the condition of this bond be tully performed, then lhis obligalion shall become null and void, othenvise it shall be
and remain in full force and effecl.
3. Surety, for value received, hereby slipulates and agrees lhat no change, extension of lime, alteration, or addition to the
lerms of said Contrac{ or to the Wo* lo be perlomed lhereunder or the specifications accompanying lhe same shall in
any manner affect ils obligations on lhis bond, and it does hereby waive notice of any such change, exlension, alteration,
or addition.
4. Surety's obligations under this Bond are separate, independent from, and not contingent upon any other surely's
guaranleeing Principal's laithful performance of the Work
5. No right ol action accrues on this Bond to any entity other lhan City or its successors and assigns
6. lf an action at law or in equity is necessary to enforce or interpret this Bond's terms, Surety must pay, in addition to the
Bonded Sum, City's reasonable attomeys'fees and litigation cosls, in an amount the court fixes.
7. Surety shall mail City written nolice at least 30 days belore: (a) the effective date on which the Surety will cancel,
terminale, or withdraw from lhis Bond; or (b) this Bond becomes void or unenforceable for any reason.
8. Death of the Principal shall not relieve Surety of its obligalions hereunder'
On the date set forth below, Principal and Surety duly executed this Bond, with the name of each party appearing
below and signed by its representative(s) under the authorrty of its goveming body.
Date:
PRINCIPAL:SUHETY:
(Company Name)(Company Name)
By:By:
Its:Its:
(Signature)(Signature)
(Name)(Name)
oitre) fiitle)
Addr€ss for serving Notices or otlet Documents: Addess for Serving Nolices or othel Docunents:
CORPOFATE SEAL CORPORAIE SEAL
. 7l s 80rDll4r9r 8EqEc/.fiEDNTnFtEAfE. DEl{tr r El E ATfAc,/f]D 0F TIE AUt tmlnl OFAI{vPEBSOllrSlitSrlG AS ATf0F./tEr'tttrAgt'. ITE ArTORNEY+I+ACTSffiMTIIFE,MI5r E iATAMD'. A COFPOA/fiE SEttL t ET E tttPRESSED ON Ir//6 FORtt WIEN TrE PP//I16TPN- @ nE WnAv' OR Nt|l' ME A
@NE/RAT|oill
APPROVEDASTOSURETY&AMOUNT0FBONDEDSUtI: APPROVEDAST0 FORM:
By- BY-
Director of pubtic Works, Water & D,evelopment Services City Attorney
EXHIBIT 3 . MAINTENACE BOND-2 OI3
STATE OF CALIFORNIA )
) ss.couNTYoF )
On this _ day of
BOND ACKNOWLEDGMENT
FOR
SURETY'S ATTORNEY.IN.FACT
20-.,
in fact of
name of
before me, (name), a Notary Public for said County,
personally appeared (name), who proved to me on the
basis of satisfactory evidence to be the person whose name is subscribed to this instrument as the attorney
and acknowledged to me that he/she subscribed the
thereto as principal, and his/he own name as
attorney in fact.
I certity under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph
is true and correct.
Notary Public
SEAL
EXHIBIT 3 _ MAINTENACE BOND-3 Of 3
EXHIBIT 4
INSURANCE REQUIREMENTS
1.0 REOUIRED INSURANCE POLICIES
At its own expense, Contractor shall obtain, pay for, and maintain - and shall require each of its
Subcontractors to obtain and maintain - for the duration of the Agreement, policies of insurance meeting the following
requirements:
A. Workers' Compensatiory'Employe/s Liability lnsurance shall provide wokers' compensation
statutory benefits as required by law.
'1. Employer's Liability insurance shall be in an amount not less than:
(a) ONE-MILUON9QLLAB9$rc99BQQ per accident tor bodilv iniury or disease;
(b) ONE MtLLtoN DOLLARS ($1 .000.000) per employee Ior bodily iniury or disease;
and
(c) ONE M|LL|ON DOLLARS ($1.000.000) policy limit.
B. Commercial General Liability ("cGL") (primary). city and its employees and agents shall be
added as additional insureds, not limiting coverage tor the additional insured to "ongoing operations" or in any way
excluding coverage for completed operations. Coverage shall apply on a primary, non+ontributing basis in relation to
any othei insunnie or selt-insurance, primary or excess, rvailable to City or any employee, representative or agent ot
City. Coverage shall not be limited to the vicarious liability or supervisory role of any additional insured. _Coverage shall
contain no co-ntraclors' limitation or other endorsement limiting the scope ol coverage for liability arising from explosion,
collapse, or underground property damage.
1. cGL insurance must not be written for less than the limits ol liability specified as follows:
(a) ONE MILLION DOLLARS ($1,000.000) per occunence for bodily injury (including
accidental death) to any one person;
(b) ONE MILLION DOLLARS ($'1.000.000) per occurrence for personal and
advertising inlury to any one person;
(c) ONE MILLION DOLLARS ($1,000.000) per occunence for property damage; and
(d) TWo MlLLloN DOLLARS ($2.000.000) generalaggregate limit.
2. CGL insurance must include all maior divisions of coverage and must cover:
(a) Premises Operations (including Explosion, Collapse, and Underground ["X'C,U']
coverages as aPPlicable);
(b) lndependentContractoisProtective;
(c) lndependentContractors;
ExHIBIT4 - INSURANCE REQUIREMENTS - 1 of 6
(d) Products and Completed Operations (maintain same limits as above untilfive (5)
years atter recordation ol Notice ol Completion)
(e) Personal and Advertising lnjury (with Employeis Liability Exclusion deleted);
(f) Contractual Liability (including specified provision for Contractods obligation under
Article 1 '1 of the General Conditions); and
(S) Broad Form Property Damage.
3. Umbrella or Excess Liability lnsurance (over pnmary), if provided, shall be at least as broad
as any underlying coverage. Coverage shall be provided on a "pay on behaf basis, with
defense costs payable in addition to policy limits. There shall be no cross liability exclusion
and no contracto/s limitation endorsement. The policy shall have starting and ending dates
concurrent with the underlying coverages. The Named lnsured may determine the layering
of primary and excess liability insurance provided that if such layering dilfers lrom that
described here, the actual coverage program meets the minimum total required limits and
complies with all other requirements listed here.
C. Business Automobile Liability lnsurance
1. Business Automobile Liability lnsurance must cover all vehicles, whether rented, leased,
hired, scheduled, owned or non-owned. lt Contractor does not own any vehicles, this
requirement may be satislied by a non'owned vehicle endorsement to the general and
umbrella liability policies. Business Automobile Liability lnsurance coverage amounts shall
not be less than the following:
(a) ONE-UlLllON-Dq4AESl$tr!9q@ per occunence lor bodilv iniury (including
accidental death) lo any one person; and
(b) ONE-UILL!9N !qLLAIg($1,q89,900 per occunence for property damage; or
(c) oNE-M!!LION-QqLLABS-$1qQqB00)combinedsinglelimit.
D. Contractors Pollution Liability lnsurance (CPL) lF REoUIRED
1. Contractor or Subcontractor shall obtain, pay for, and maintain for the duration of the
Contract Contractors Pollution Liability insurance that provides coverage for liability caused
by pollution conditions arising out of the operalions of Contractor. Coverage shall be
inciuded on behall of the insured for covered claims ansing out of the actions of independent
contractors. lf the insured is using Subcontractors, the policy must include wok performed
"by or on behalf' of the insured.
2, The policy limit shall provide coverage of no less than one million dollarc ($1,000,000) per
claim and in the aggregate. Coverage shall apply to bodily in1ury; property damage,
including loss ol use of damaged property or of property that has not been physically inured;
cleanup costs; and costs of defense, including costs and expenses incurred in the
investigation, defense, or settlement of claims.
ExHIBIT4- INSURANCE REQUIREMENTS - 2ol6
3. All activities contemplated in the Contract shall be specifically scheduled on the CPL policy
as 'covered operations.' ln addition, the policy shall provide coverage lor the hauling ol
waste from the Project site to the final disposal location, including non-owned disposal sites.
4. The policy shall specifically provide lor a duty to delend on the part ol the insurer. City, its
officers, employees and agents shall be added to the policy as additional insureds by
endorsement.
E. Builde/s Risk - lF REQUIRED
1. Builde/s Risk lnsurance covenng all real and personal property for'all risks' ol loss or
'comprehensive perils" coverage including but not limited to the penls of earth movement
including earthquake and tlood for all buildings, structures, fixtures, materials, supplies,
machinery and equipment to be used in or incidental to the construction at the site, olf site,
or in tranait, for the full replacement value of such properties. Coverage shall be included for
property ot others in the care, custody or control ol the insured for which any insured may be
iiabte. The City will purchase a builder's risk policy lor the Proiect instead of a contractor
purchased policy. Bidder should not include cost lor this coverage in his/her bid.
2,0 GENERALREOUIREMEI.ITTALLPOLICIES
A. Qualifications ol lnsurer. At alltimes during the term ol this Contract, Contractol's insurance
company must meet all of the following requirements:
1. "Admitted' insurer by the State of Calilornia Department ol lnsurance or be listed on the
Calilornia Department ol lnsurance's 'List of Surplus Line lnsurers' ('LESLI');
2. Domiciled within, and organized under the laws of, a State of the United States; and
3. Carry an A.M. Best & Company minimum rating of 'A:Vll".
B. Continuation Coverage. For insurance coverages that are required to remain in lorce after the
Final Payment, and if reasonably available, Contractor shall submit to City, with thejinal Application lor Payment, all
certificates and additional insured endorsements evidencing the continuation of such coverage.
C. Deductibles or Selllnsured Retentions. All deductibles or sell-insured retentions are subject to
City's review and approval, in its sole discretion.
D. Commercial General Liability and Business Automobile insurance policies must be written on an
'occunence" basis and must add the City of Vemon and its olficers, agents, employees and representatives as
additional insureds.
E. Contractor's lnsurance Primary. Other insurance (whether primary, excess, contingent or selt-
insurance, or any other basis) available to City, or its representatives, or both, is excess over Contracto/s insurance.
City's insurance, or self-insurance, or both, will not contribute with Contracto/s insurance policy.
F. Waiver of Subrogation. Contractor and Contractor's insurance company waive- and shall not
exercise- any right ol recovery or subrogation that Contractor or the insurer may have against City, or its
representatives, or both.
ExHIBIT 4- INSURANCE REQUIREMENTS - 3of 6
G. Separation of lnsureds. Contractor's insurance policy applies separalely to each insured or
additional insured who is seeking coverage, or against whom a claim is made or suil is brought, except that the
naming of multiple insureds will not increase an insurance company's limits of liability.
H. Claims by Other lnsureds. Contractor's insurance policy applies to a claim or suit brought by an
additional insured against a Named lnsured or other insured, arising out of bodily injury, personal injury, advertising
injury, or property damage.
l. Premiums. City is not liable lor a premium payment or another expense under Contracto/s policy
J. At any time during the duration of this Contract, City may do any one or more ol the following:
1. Review this Agreement's insurance coverage requirements;
2. Require that Contractor obtain, pay for, and maintain more insurance depending on City's
assessment of any one or more of the following factors:
(a) City's risk of liability or exposure arising out of, or in any way connected with, the
services of Contractor under this Agreement;
(b) The nature or number of accidents, claims, or lawsuits arising out of, or in any
way connected with, the services of contractor under this Agreement; or
(c) The availability, or affordability, or both, of increased liability insurance coverage.
3. Obtain, pay for, or maintain a bond (as a replacement lor an insurance coverage) lrom a
Calilomia corporate surety, guaranteeing payment to City for liability, or costs, or both,
that City incurs during City's investigation, administration, or defense of a claim or a suit
arising out ol this Agreement; or
K. Contractor shall maintain the insurance policy without interruption, from the Prolect's
commencement date to the Final Payment date, or until a date that City specilies for any coverage that Contractor
must maintain after the Final Payment.
L. Contractorshall not allow any insurance to expire, cancel, terminate, lapse, or non-renew'
Contractor's insurance company shall mail City written notice at least thirty (30) days in advance ot the policy's
cancellation, termination, non-renewal, or reduction in coverage and ten (10) days before its insurance policy's
expiration, cancellation, termination, or non-renewal, Contractor shall deliver to City evidence ol the required
coverage as proof that Contractor's insurance policy has been renewed or replaced with another insurance policy
which, during the duration of this Agreement, meets all of this Agreement's insurance requirements.
M. At any time, upon City's request, Contractor shall lurnish satislactory proof of each type of insurance
coverage required- including a certilied copy of the insurance policy or policies; certificates, endorsements, renewals,
or replicements; and documents comprising Contracto/s self-rnsurance program- all in a lorm and content
acceptable to the City Attomey or City's Risk Manager.
N. lf Contractor hires, employs, or uses one or mole Subcontracto(s) to perlorm work, seruices,
operations, or activities on Contractor's behall, Contractor shall ensure that the Subcontractor complies with the
following.
1. Meets, and fully complies with, this Agreement's insurance requirements; and
EXHIBIT 4_ INSURANCE REQUIREMENTS - 4 Of 6
2. Furnishes City at any time upon its request, with a complete copy of the Subcontracto/s
insurance policy or policies for City's review, or approval, or both. Failure of City to
request copies of such documents shall not impose any liability on City, or its employees.
O. Contractor's lailure to comply with an insurance provision in this Agreement constitutes a material
breach upon which City may immedlately terminate or suspend Contractor's perlormance of this Agreement, or
invoke another remedy that this Agreement or the law allows. At its discretion and without waiving any other rights it
may have pursuant to law, City has the right but not a duty to obtain or renew the insurance and pay all or part of the
premiums. Upon demand, Contractor shall repay City tor all sums or monies that City paid to obtain, renew, or
;einstate the insurance, or City may oftset the cost of the premium against any sums or monies that City may owe
Contractor.
3.0 CONTBACTOH'S SUBMITTAL OF CERTIFICATES AND ENDORSEi'ENTS
A. Contractor shall have its insurance carne(s) or self-insurance administrato(s) complele and
execute the following insurance documents and shall deliver said documents at the same time Contractor delivers
this Agreement to crty. city witt neither sign this Agreement nor issue a "Notice to Proceed" until the city Attomey or
City,s-Hisk Manager has reviewed and approved aliinsurance documents. City's decision as to the acceptability ol all
inslrance documints is final. Sample insurance documents in the City's approved formal are set forth in this !.
B. Required Submittals lor Commercial General Liability and Business Automobile lnsurance and
Contracto/s pollution Liability lnsurance. The tollowing submittals must be on forms satisfactory to the City Attomey or
City's Hisk Manager, and signed by the insurance canier or its authorized representative - which fully.meet the
requirements of, ind contaii proviiions enlirely consistent with, all of the insurance requirements set forth herein.
1. "Certificate of lnsurance'
2. "AdditionallnsuredEndorsement'
3. Subrogation Endorsement 'Waiver of Transfer to Rights ol Recover Against Others"
Both Certilicates of lnsurance and Additional lnsured Endorsements must read as follows: The City of Vemon,
and its ofiicers, agents, employees and representatrves are included as additional insureds under the policy(s). This
insurance is primiry to all other insurance of the City. The City's insurance and self-insurance will apply in excess of,
and will not contribute with this insurance. This insurance applies separately to each insured or additional insured who
is seeking coverage, or against whom a claim is made or a suit is brought. The issuing company shall mail thirty (30)
days advince noti-ce to thi City for any policy cancellation, termination, non-renewal, or reduction in coverage.'
C. Required Submittals lor Workers' Compensation lnsurance. Contractor shall provide City with a
certilicate of insurance and a subrogation endorsement on forms satisfactory to the City Attomey or City's Risk
Manager, and signed by the insurance carrier or its authorized representative - which lully meet the requirements of,
and c6ntain provisions entirely consistent with, this Contract's workers compensation insurance requirements. lf
Contractor is self-insured for workers' compensation, a copy of the -Cenilicate of Consent to Selt-insure" lrom the
State of California is required; or if Contractor is lawfully exempt from workers' compensation laws, an'Affirmation of
Exemption from Labor Code $3700'form is required.
D. Bequired Evidence of Builder's Risk Coverage. City will provide a certificate of insurance and a
de the insurance carrier
or Provisions entirely
co ss payee on the
insurance policy lor the full replacement value ol all buildings, structures, fixtures and materials to be constructed,
maintained, repaired or supplied pursuant to this Contract.
EXHIBIT,I - INSURANCE REQUIREMENTS - 5 of 6
E. Contractor agrees to monitor and review all such coverage and assumes all responsibility for
ensuring that all required coverage is provided. Contractor agrees to obtain certificates evidencing such coverage.
F. Contractor agrees to provide immediate notice to City of any claim or loss against Contractor that
includes City or any other indemnitee as a defendant. City assumes no obligation or liability by such notice, but has the
right (but not the duty) to monitor the handling of any such claim or claims if they are likely to involve City.
G. No liability policy shall contain any provision or definition that would serue to eliminate so-called'third
party action ovef claims, including any exclusion for bodily injury to an employee of the insured or of any contractor or
subcontractor.
H. Any'self-insured retention' must be declared and approved by City. City reserves the right to require
the self-insured retention to be eliminated or replaced by a deductible. Self-funding, policy fronting or other mechanisms
to avoid risk transfer are not acceptable. lf Contractor has such a program, Contractor must fully disclose such program
to City.
EXHIBIT 4 _ INSURANCE REQUIREMENTS - 6 Of 6
EXHIBIT B
SPECIAL PROVISIONS
SPECIFIC FOF THIS PROJECT
EXHIBIT C
LIVING WAGE PROVISIONS
Minimum Livinq Waqes:
A requirement that Employers pay qualilying employees a wage ol no less than $10.30 per hour with health benefits,
or $1 1 .55 per hour without health benefits.
Paid and Unpaid Davs ott:
Employers provide qualitying employees at least twelve compensated days ofl per year for sick leave, vacation, or
personal necessity, and an additional ten days a year ol uncompensated time for sick leave.
No Retaliation:
A prohibition on employer retaliation against employees complaining to the City with regard to the employe/s
compliance with the living wage ordinance. Employees may bring an action in Superior Court against an employer
tor back pay, treble damages lor willlul violations, and attorney's fees, or to compel City officials to terminale the
service contract of violating employers.
EXHIBIT D
EQUAL EMPLOYMENT OPPORTUNITY
PRACTICES PROVISIONS
A. Contractor certifies and represents that, dunng the performance of this Agreement, Contractor and each
Subcontractor shall adhere to equal opportunity employment practices to assure that applicants and employees
are treated equally and are not discriminated against because of their race, religious creed, color, national
origin, ancestry, handicap, sex, or age. Contractor further certifies that it will not maintain any seg(egated
facilities.
B. Contractor agrees that it shall, in all solicitations or advertisements for applicants tor employment placed by or
on behalf of Contractor, state that it is an "Equal opportunity Employer" or that all qualilied applicants will
receive consideration for employment without regard to their race, religious creed, color, national origin,
ancestry, handicap, sex or age.
C. Contractor agrees that it shall, il requested to do so by the City, certify that it has not, in the performance of this
Agreement, discriminated against applicants or employees because of their membership in a protected class.
D. Contractor agrees to provide the City with access to, and, il requested to do so by City, through its awarding
authority, provide copies ol allof its records pertaining or relating to its employment practices, except to the
extent such records or porlions of such records are conlidential or pnvileged under state or tederal law.
E. Nothing contained in this Agreement shall be construed in any manner as to require or permit any act which is
prohibited by law.
EXHIBIT B
SPECIAL PROVISIONS . SPECIFIC FOR THIS PROJECT
CITYWIDE TRAFFIC SIGNAL MAINTENANCE. CONTRACT NO. CS-0541
GENERAL
B- 1 .01 Scope of Work - The proposed proj ect will consist of ongoing and regular field
preventative maintenance and repair of traffic signal equipment, as further described in this
special provision and Attachment "C" - Monthly Preventative Maintenance Tasks, and other
related equipment by truly trained and qualified personnel. ln addition, the Contractor shall
provide and maintain Emergency Service response of the City's forty-one (41) signalized
intersections on a 24-hov a day,7 days per week basis, including all holidays.
B-1.02 Contract Plans - The location map for City of Vemon Contract CS-0541 are shown on
Attachment "A". The written locations for the 4l signalized intersections for this project are
shown on Attachment "B".
8-1.03 Specifications - Traffic Signal, street lighting and materials shall conform to the
..GREENBOOK" STANDARD SPECIFICATIONS FOR PUBLIC WORKS CONSTRUCTION
(2}l2Edition), State of California Department of Transportation (Caltrans) Standard Plans (2010
Edition) and the State of California Department of Transportation (Caltrans) Standard
Specifications (20 1 0 Edition).
B-1.04 Length of Contract - This shall be a three year contract beginning upon City Council
approval.
B-1.05 Delays and Extensions of Time - The provisions of Section 6-6 entitled "Delays and
Extensions of Time" of the Standard Specifications shall apply except as modified and
supplemented below.
The second paragraph of subsection 6-6.1 is hereby deleted and the following paragraph shall be
inserted in its place:
No extension of time will be granted for a delay caused by the inability of the
Contractor to obtain materials, equipment and labor, except as authorized by the
City Engineer. The length of contract time stipulated includes any time which may
be required to obtain materials, equipment and labor, and the Contractor in
submitting a bid shall be deemed to have ascertained the availability of materials,
equipment and labor and considered same in his proposed construction schedule.
B-1.06 Ouality of Work - The provisions of Section 4-1.1 entitled "Materials and Workmanship"
of the Standard Specifications (2012) shall apply. In addition, any work deemed unacceptable by
the City Engineer, whether a cause is determined or not shall be repaired or replaced by the
Contractor at his expense.
cs-0541 1of 9
EXHIBIT B -SPECIAL PROVISIONS
8-1.07 Liquidated Damases - As stated in Section 3.07 in Exhibit A - General Conditions,
the Contractor shall pay the sum of $500.00 for each day past the first seven (7) working
days of each month for non-completion of the Routine Maintenance-Inspection and
Cleaning work. Contractor shall pay to the City, or have withheld from monies due it, the
sum of $100.00 for each hour late when responding to emergency situations.
B-1.08 Unit Prices - A11 costs not covered by specific unit prices but required for a complete job
in place, shall be included in the items most related to the work.
8-2.01 Scheduline of Work - The Contractor shall submit his preventative maintenance work
schedule to the City Engineer at the pre-construction meeting. This schedule must be reviewed
and accepted by the City Engineer before the Contractor will be permitted to begin work. The
Contractor shall give 48 hours' notice to the City Engineer prior to the start of the work.
B-2.02 Working Days - All preventative maintenance work shall occur Monday thru Thursday
between the hours of 7am-3:30pm, excluding emergency work. The Contractor shall perform
said Monthly Maintenance during the first seven (7) working days of each month.
8-3.01 Traffic Requirements - General - Before any partial or total closure of any street, the
Contractor shall be required to obtain the approval of the City Engineer.
The Contractor shall comply with Section 7-10 of the Standard Specifications and provide safe
and continuous passage for pedestrian and vehicular traffic at all times, unless previously
approved by the City Engineer. The contractor shall provide and maintain all necessary flagmen,
birricades, delineators, signs, flashers and any other safety equipment as set forth in the latest
publication of the State of California, Division of Highways, Traffic Manual or as required by
the City Engineer to insure safe passage of traffic.
In addition to the requirements of the "MUTCD" handbook, the City Engineer may require
flatter traffic tapers, additional traffic control devices, barricading, and other signing in order to
ensure driver awareness and safety in the construction area. Further, the Contractor shall provide
Type II or Tlpe III barricades and delineators at locations as determined by the City Engineer.
The Contractor shall maintain continuous access to all businesses within the project limits- Any
closed access or drive approach shall be immediately restored when the construction operation
that necessitated such closure is completed. The following is a partial list of factors required to
comply with this access requirement:
a. Where a business or residence has more than one two-way drive, continuous access to at
least one two-way drive shall be maintained at all times.
b. In addition to the above, the Contractor shall be required to place trench plates over the
excavated areas to allow temporary access to businesses when necessary.
p,-3.02 Traffic Requirements - Specific for this Project - In addition to the general specific
requirements of Section B-3.01 of these Specifications, the following provisions shall apply
unless otherwise directed by the City Engineer.
a. Except for emergency work, the Contractor shall submit detour plans to the City
Engineer for approval at least (10) ten calendar days prior to any proposed shutdowns
cs-0541 2of9
EXHIBIT B -SPECIAL PROVISIONS
where traffic flow has to be diverted. This will not apply for emergency responses.
The posting of "NO PARKING" signs within the construction limits is permitted with the
approval of the City Engineer. "NO PARKING" signs shall contain a "TOW AWAY" warning.
These signs shall be furnished and maintained by the Contractor and shall be of the type
approved by the City Engineer. Each sign posted shall have the date and time indicating the
duration of the "NO PARKING" prohibition printed clearly in a manner acceptable to the City
Engineer. New signs shall be posted when changes occur in the parking prohibitions indicated on
the previously posted signs.
Signs must be posted at least 72 hours in advance of construction or they are invalid. Signs shall
not be attached to trees or taped to street light or traffic signal poles. The signs shall be effective
for no more than three (3) calendar days and shall be removed within 24 hours after the work is
complete. A11 signs, lights and other warning devices used shall be in accordance with State of
California Business and Transportation City Department of Public Works Manual of Warning
Signs, Lights and Devices for Use in Performance of Work on Highways. Contractor's costs for
all the above signs shall be considered as included in the appropriate items and no extra
compensation will be paid.
B-4.01 Extra Work - ln the event the City and the Contractor are unable to negotiate an agreed
price for extra work, which is acceptable to both parties, payment shall be made based on time
and materials as follows:
a. Work by the Contractor: The following percentages shall be added to the Contractor's
cost and shall constitute the markup for all overhead and profits:
1. Labor 20%
2. Materials 15%
3. Equipment Rental 15%
4. Other Items and ExPenditures 15%
b. Work by the Subcontractor - When all or any part of the extra work is performed by a
subcontractor, the above markups shall apply to the aggregate sum of the extra work, regardless
of the number of tiers of subcontractors used. In addition, a markup of l0-percent on the first
$5,000 of extra work and 5-percent on work in excess of $5,000 may be added by the Contractor.
B-4.02 Compliance with Laws. Reeulations. and Safe Practices - The Contractor shall perform
all work in a safe, competent manner and in accordance with all federal, state, and local statues,
regulations, ordinances, rules, and governmental orders. The Contractor will be solely and
completely responsible for the conditions of the job site, including safety of all persons and
property during performance of the work. This requirement will apply continuously and not be
limited to normal working hours. Inspection of the Contractor's performance by the City, its
agents, or employees is not intended to include review of the adequacy of the Contractor's safety
measures in or near the job site.
cs-0541 3of9
EXHIBIT B -SPECIAL PROVISIONS
B-5.01 Construction Order of Work - Work shall be scheduled so as to lessen the impact upon
businesses.
Requirements - General:
1. All construction shall conform to Sections 6-1 and 6-2 of the latest edition of the Standard
Specifications for Public Works Construction and shall proceed in a smooth, efficient, timely
and continuous manner. As such, once construction is started in a work area, the Contractor
will be required to work continuously in that work area until construction has been completed
and the work area is open and accessible to both vehicular and pedestrian traffic in a manner
approved by the City Engineer before the next stage of work willbe allowed to begin.
2. Once construction is started in a work area, the Contractor shall not withdraw manpower or
equipment from that work area in order to start construction in another work area if doing so,
in the opinion of the City Engineer, delays the completion of the work presently under
construction.
3. The Contractor shall maintain continuous access to all residents and businesses within the
project limits, including drive approaches, unless the Contractor has obtained the approval of
the City Engineer to close either such access or drive approach.
4. No stockpiling of material and construction equipment on public streets or sidewalks will
be permitted on this project unless approved by the City Engineer. Material and equipment
placed on public streets, sidewalks and on the construction areas shall be used the same day.
8-8.01 Character of Workers - If any subcontractor or person employed by the Contractor shall
appear to the City Engineer to be incompetent, intemperate, troublesome, or acts in a disorderly
or otherwise objectionable manner, he shall be immediately discharge from the project on the
requisition of the City Engineer, and such person shall not be reemployed on the work. If said
individual has an ownership interest in the contracting entity, the City Engineer will serve
written notice upon the Contractor and the Surety providing the faithful performance bond, in
accordance with Section 6-4, "Default by Contractor," of the Standard Specifications, demanding
complete and satisfactory compliance with the Contract.
8-9.01 Examination of the Site - The Contractor is required to examine the site and judge for
themselves the location, physical conditions, substructures, and surroundings of the proposed
work.
B-9.02 Mobilization - The cost of all preparatory work and operations for the multiple
movements of personnel, equipment, supplies, and incidentals to the project site must be
included in the various bid items, and no extra compensation will be paid to the Contractor.
8-9.03 Dust Control - Throughout all phases of construction, including suspension of work, and
until final acceptance of the project, the Contractor shall abate dust nuisance by cleaning,
sweeping and sprinkling water, or other means as necessary when requested by the City. Failure
of the Contractor to comply with the City Engineer's cleanup orders may result in an order to
suspend work until the condition is corrected. No additional compensation nor extension of
cs-0541 4of9
EXHIBIT B -SPECIAL PROVISIONS
contract completion time will be allowed as a result of such suspension. The cost of furnishing
and operating dust control during the construction project must be included in the various bid
items, and no extra compensation will be paid to the Contractor.
8-9.04 Temporary Water Meter - If necessary, the Contractor shall obtain a temporary water
meter from the City of Vemon Water Department by placing a deposit of $1000.00. Contractor
shall pay for all water used. Contractor shall not relocate the service. The Contractor shall call
the City of Vernon Water Department to relocate the service and will be charged $50.00 for each
relocation.
B-9.05 Cleaning of Site During Construction - During construction, all existing improvements
adjacent to the work area shall be swept free from soils, gravel, dirt or debris on a daily basis.
The Contractor will be responsible for such cleaning.
8-9.06 Final Cleaning of Site and Restoration - The Contractor shall be responsible for cleaning
and restoration of all damaged existing improvements such as sidewalk, driveway, curb and
gutter, and pfivatg property at no cost to the City.
The Contractor shall remove all loose aggregates by sweeping allthe sidewalks and gutters. The
cost of furnishing and operating such sweeping after the construction of the project must be
included in the various bid items, and no extra compensation will be paid to the Contractor.
8-10.01 Best Management Practices (BMP's) - The Contractor shall submit a copy of their Best
Management Practices (BMPs) to the City Engineer for review ten (10) days prior to the
beginning of any work.
The Contractor is hereby notified that specific construction practices in the Standard Specifications,
Section 7-8.6.2, "Best Management Practices (BMPs)" are considered to be Best Management
Practices. The Contractor shall implement and maintain such BMP's as are relevant to the work,
and as are specifically required by the Plans or Special Provisions. The Contractor shall not
commence activity until the BMP submittal has been reviewed and approved.
B-11.01 Protection of the Public - The Contractor shall take such steps and precautions as
his/her operations warrant to protect the public from danger, loss of life, loss of property or
intemrption of public services. Unforeseen conditions may arise which will require that
immediate provisions be made to protect the public from danger or loss, or damage to life and
property, due directly or indirectly to prosecution of work under this contract. Whenever, in the
opinion of the City Engineer, a condition exists in which the Contractor has not taken sufficient
precaution of public safety, protection of utilities, and/or protection of adjacent structures or
property, the City Engineer will order the Contractor to provide a remedy for the condition. If the
Contractor fails to act on the situation within a reasonable time period as determined by the City
Engineer, or in the event of an emergency situation, the City Engineer may provide suitable
protection by causing such work to be done and material to be furnished as, in the opinion of the
City Engineer, may seem reasonable and necessary.
cs-0541 5of9
EXHIBIT B -SPECIAL PROVISIONS
The cost and expense of all repairs (including labor and materials) as are deemed necessary, shall
be borne by the Contractor. All expenses incurred by the City for emergency repairs will be
deducted from the final payment due to the Contractor.
ROUTINE MAINTENANCE
The Contractor shall enact a continuing comprehensive maintenance program designed to
eliminate or reduce any incidence of malfunctions, complaints, and extension of the useful life of
the City's traffic signal equipment. The program shall include at a minimum the following:
B-12.01 Monthly and Annual Preventative Maintenance - The Contractor shall provide monthly
and annual preventative maintenance on the forty-one (41) signalized intersections per the list of
tasks in Attachment(C". The Contractor shall complete Monthly Preventative Maintenance
Checks per the list for each maintenance inspection and shall indicate the minimum work
required for each item. The contractor shall maintain a record of all service calls and work
performed upon the signal equipment, listing dates, hour of day and description of service work
performed. A copy of such record shall be maintained at all times within the controller cabinet at
each signal location. A log sheet giving a brief description of all routine and extraordinary
maintenance activities shall be attached to each monthly invoice. A monthly report of activities
for each intersection's events, sorted by time, is to be included in the reports requested by the
City. This is to be accompanied by a report of all activities sorted by time as well. The
Contractor shall maintain electronic records of the completed checklist form for each
intersection in the Contractor's MMS throughout the term of this contract. The Contractor is
encouraged to make available via a web interface electronic records of the completed monthly
preventative maintenance checks as well as activity reports in real time.
The Contractor shall maintain two separate logs at each signalized intersection under this
contract. One log shall detail each monthly and preventative maintenance inspection by the
Contractor. The Contractor shall complete at a minimum on this 1og, the inspection date, arrival
time, departure time, type of inspection, any findings or repairs, and the Contractor's employee
name or ID. The other log shall detail any extraordinary repairs or service calls for the
intersection. This log shall detail the nature of the emergency/service call, the Contractor's
findings, the repair made, Repair Order number, if applicable, arrival time at the intersection,
departure time, and the Contractor's employee name or ID. All information must be collected
and submitted with the monthly invoice.
B-12.02 Traffic Signal Control Equipment- The Contractor shall repair, replace or otherwise
render in good working order any and all defective parts of all traffic signal control equipment.
Whenever the Contractor replaces any defective parts on either a temporary and/or permanent
basis, the Contractor shall identify the parts being replaced by manufacture's make and model.
Furthermore, the Contractor shall only use new parts for permanent replacement. Exceptions to
this requirement shall only occur on an individual basis upon advance written approval from the
City.
No permanent changes of traffic signal control devices shall be done without prior written
approval from the City. In addition, any changes shall also be indicated on the maintenance or
repair log within the traffic signal controller cabinet. The Contractor agrees to notify the City in
cs-0541 6of9
EXHIBIT B -SPECIAL PROVISIONS
advance of any planned or scheduled traffic signal turn-offs/ turn-ons only upon prior written
approval by the City.
B-12.03 New Installation or Deletions- The Contractor shall maintain any new traffic signal
equipment and any other related devices, which are installed for or by the City throughout the
term of the contract. These devices will be deemed to be added to the existing signalized
intersections listed on Attachment "B" when the City notifies the Contractor of the installation
thereof. These added devices, regardless of the complexity and technology shall be maintained in
the same manner and for the same flat rate as those devices already covered by the contract.
Should responsibility for the maintenance of any current or future traffic signal device cease to
be the City's, the City will notiff the Contractor in writing of the last date to perform
maintenance.
EXTRAORDINARY MAINTENANCE
B-13.01 Definitions- Extraordinary maintenance shall consist of but not be limited to the
following:
a. Repair or replacement of failed or malfunctioning parts of the signal system if caused
by vehicle collision, vandalism, civil disorder, windstorm, natural disasters, street
construction, or excavation.
Minor upgrading or installations as directed by the City.
Replacement of detector loops including saw cut lead-ins as required.
Replacement of pedestrian indications.
lnstallation of complete new pedestrian heads.
Installation or replacement of pedestrian push buttons.
Installation of new traffic signal heads.
Installation of Light Emitting Diodes ( LED's) as directed by the City representative.
B-13.02 Notification- The Contractor shall contact the Public Works Director or his
representative regarding any extraordinary maintenance work except emergency repairs and seek
his/her prior approval in writing before the work is scheduled. The Contractor shall notify the
City representative by telephone at least twenty-four (24) hours in advance before any work is
commenced, except in emergencies where injury or property damage may result without prompt
response.
B-13.03 Emergencies- The contractor shall respond immediately to emergency calls such as a
total blackout, when directed by the City, and dispatch the qualified personnel and equipment to
reach the site within two (2) hours under normal circumstances.
For the emergency repair of a signal, which is totally blacked out, the following procedure of
traffic control shall apply:
a. The Contractor shall dispatch qualified personnel and equipment to reach the site
within two (2) hours under normal conditions. The Contractor's vehicles shall carry
traffic cones, flashing arrow boards, traffic warning signs, etc., which shall be used
when directing traffic during an emergency and"/or when deemed necessary by the
signal technician, the City Engineer or his representative.
b. If no police officer is present and temporary stop signs have been set up when the
contractor arrives at the site, the Contractor shall set up more traffic warning and
b.
c.
d.
e.
f.
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h.
cs-0541 7of9
EXHIBIT B .SPECIAL PROVISIONS
control devices, if deemed necessary, and proceed to repair the signal. After the signal
is back in operation, the Contractor shall set the intersection in flash, remove all of
the temporary traff,rc control devices and place those devices owned by the City off to
the side of the road and then switch the intersection back to normal operation.
c. If a police officer is still at the site when the Contractor arrives, the Contractor shall
quickly examine the signal, evaluate the situation and discuss it with the police
officer. If the repair will take only a few minutes, the police officer may stay to
continue to direct traffic while the contractor repairs the signal. If the repair will take
Ionger than the officer can wait, the Contractor shall immediately set up necessary
traffic control devices and other necessary warning devices and relieve the police
officer.
B-13.04- Method of Payment- Upon receipt of an itemized invoice within thirty (30) days of
completion of the work, City shall compensate Contractor for such repairs required beyond the
scope of routine maintenance as follows:
a. Materials- The city shall pay the Contractor for materials used in extraordinary
maintenance per the bid items on the Bidder's Proposal plus the percentage markup
specified in this agreement NOT TO EXCEED 15%. All materials and parts shall
be new or have the approval of the City Engineer, if otherwise. The City has the right
to inspect the Contractor's records to verify any material costs used in extraordinary
maintenance.
b. Direct Labor- The Contractor shall present with their monthly invoice with a record
of hours spent in extraordinary maintenance of traffic signals and appurtenances per
intersection. City shall pay the Contractor for such hours of extraordinary
maintenance at the rates specified in this agreement. Said hourly rates shall be the
total cost to the City. Rates shall include all compensation for wages, profit,
overhead, any fringe benefits such as employer payments to, or on behalf of workmen
for health and welfare, insurance worker's compensation, pension, vacation, sick
leave or any local, State, Federal or union tax or assessment.
c. Equipment- The City shall pay Contractor for equipment used in extraordinary
maintenance on a per trip basis as specified in this agreement. The listing of per trip
equipment rates shall constitute total rates to be paid by City when specified
equipment is used. No additional payments of any kind shall be paid for equipment
except as specified in this agreement of per trip rates as stated. No additional
compensation shall be paid for transporting the equipment to or from the job site.
B-14.01- Rewire- Rewire of any intersection will be charged on a time and material basis. Prior
to any work of this t1pe, a written proposal will be submitted by Contractor and approved by the
Director of Public Works before any work commences.
B-15.01- Knockdowns- All knockdowns (except for a Type I-A pole) will be charged on a time
and material basis. A written proposal will be submitted by Contractor and approved by the
Director of Public Works for the replacement of any damaged poles or mast arms before the
order is placed.
cs-o541 8of9
EXHIBIT B -SPECIAL PROVISIONS
GENERAL MISCELLANEOUS
RECORDS
The contractor shall maintain a record of all service calls and work performed upon the
signal equipment, listing dates, hour of day and description of service work performed. A copy
of such record shall be maintained at all times within the controller cabinet at each signal
location.
A log sheet giving a brief description of all routine and extraordinary maintenance
activities shall be attached to each monthly invoice.
A monthly report of activities for each intersection's events, sorted by time, is to be included in
the reports requested by the City. This is to be accompanied by a report of all activities sorted by
time as well.
NOTIFICATION
The Contractor shall notiff by telephone, the Public Works Director or his authorized
representative, within 24 hours of the alteration of the operation of any signal or the installation
or removal of any substitute controller or component.
SHUTDOWNS
The Contractor shall notify the Vernon Police Department and the Public Works Director
or his authorized representative of any signal turn-offs or turn-ons necessitated by his operations
and shall not make said turn-offs or turn-ons until a police officer is present or unless given
permission to proceed without police control by the City Engineer or his authorized
representative.
COMPENSATION FOR ROUTINE MAINTENANCE
The City will compensate Contractor at the agreed price per signalized intersection per
month. Said compensation shall include all services rendered, labor, materials, equipment,
overhead and profit. Delays due to Contractor are subject to liquidated damages as specified in
the specifications (Section B- 1.07).
ADDITIONS TO SYSTEM
The Contractor shall maintain, at the same unit price, additional traffic signals and
appurtenant devices as they are installed, or become a part of the maintenance requirements of
the City. In the event that notification is made of a new installation at the together than the
beginning of a monthly period, the unit cost of routine maintenance will be prorated from the day
the Contractor is notified.
TYPES OF SIGNALS
The agreed upon prices for both routine and extraordinary maintenance shall apply to all
types of signal controllers, accessories and systems as may exist in the City now or that may be
installed during the life of the contract.
cs-0541 9of9
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ATTACHMENT $B))
VERNON SIGNALIZED INTERSECTIONS
1. 26rH sTREET @ BONNIE BEACH PLACE
2. 37" srREET @ SEVILLE AVENUE
3. ALCOA AVENUE @ FRUITLAND AVENUE
4. ALCOA AVENUE @ LEONTS BOULEVARD
5. ATLANTTC BOULEVARD @ 3030 ATLANTIC
6. ATLANTIC BOULEVARD @ BANDINI BOULEVARD
7. ATLANTIC BOULEVARD @ DISTRICT BOULEVARD
8. BANDTNT BOULEVARD @ I-710 OFF-RAMP
9. BANDINI BOULEVARD @ BONNIE BEACH PLACE
10. BANDTNT BOULEVARD @ PENNINGTON WAY
11. BANDINI BOULEVARD @ SIERRA PINE AVENUE
12. BANDTNT BOULEVARD @ SUNOL/AYERS
13. BOYLE AVENUE @ FRUITLAND AVENUE
14. BOYLE AVENUE @ LEONIS BOULEVARD
ls. BOYLE AVENUE @ RANDOLPH STREET
16. DISTRICT BOULEVARD @ LOMA VISTA AVENUE
17. DOWNEY ROAD @ DTSTRICT/LEONIS BOULEVARD
18. DOWNEY ROAD @ FRUTTLAND AVENUE
19. DOWNEY ROAD @ VERNON AVENUE
20. PACIFIC BOULEVARD @ FRUITLAND AVENUE
21. PACIFIC BOULEVARD @ LEONIS BOULEVARD
22. SANTA FE AVENUu q,2sr^lz6'" STREET
23. sANTA FE AVENUE q 27" STREET
24. sANTA FE AVENUU qz8" sTREET
25. sANTA FE AVENUu q 3lrH sTREET
26. sANTA FE AVENUu q 38" sTREET
27. SANTA FE AVENUE @ VERNON AVENUE
28. SANTA FE AVENUE @ PACIFIC BOULEVARDNERNON AVENUE
29. SANTA FE AVENUu q 48rH sTREET
30. SANTA FE AVENUE @ FRUITLAND AVENUE/5IS, STREET
3r. sANTA FE AVENUu q ss'H sTREET
32. SLAUSON AVENUE @ ALCOA AVENUE
33. SLAUSON AVENUE @ BOYLE AVENUE
34. soro sTREET @26'^ sTREET
3s. soro STREET @ FrRE STATTON #3
36. soro sTREET @ 37'n sTREET/BANDINI BoULEVARD
37. SOTO STREET @ FARMER JOHN DRIVEWAY
38. SOTO STREET @ FRUITLAND AVENUE
39. SOTO STREET @ LEONTS BOULEVARD
40. soTo STREET @ VERNON AVENUE
41. WASHINGTON BOULEVARD @ HOBART YARD DRIVEWAY
ATTACHMENT E6C)'
MONTHLY PREVENTATIVE MAINTENANCE TASKS
I. ROUTINE MONTHLY MAINTENANCE
GENERAL:
It is the intent of the City of Vernon that the City's 41 traffic signals are maintained so as to
provide the motoring public with a minimum of inconvenience caused by the failure of any
signal components, and to present a well-kept signal installation.
All traffic signal work: shall be performed in accordance with the current Standard Plans and
Section 86. "Signals, Lighting, and Electrical Systems" of the Standard Specifications for the
State of California, Department of Transportation and the current City Standard Traffic Details.
This maintenance shall be extended to include future signal installations at the proposed unit
prices.
The following is a list of tasks to be completed for each intersection on a monthly basis.
CONTROLLER CABINET:
CONTROLLER CABINET MOLTNTING :
Check the snugness of the nuts on the cabinet anchor bolts, tighten, if necessary, being sure not
to distort the cabinet door opening by over tightening.
CONTROLLER CABINET FOUNDATION SEAL:
If standing water or evidence of water is present inside the bottom of the cabinet, check the seal
between the bottom of the cabinet and the foundation for deterioration; report the need for a
reseal, as necessary.
DOOR GASKETS:
Check all door gaskets on the controller cabinet, service cabinet and any other enclosures for
evidence of moisture or deterioration. Report the need to completely replace any gaskets
showing signs of leaking or deterioration.
CABINET VENTS:
Check the vents in both the cabinet door and above the door, or at the top of the cabinet to ensure
that they are free of any foreign material.
AIR FILTER:
Vacuum or knock the dust out of filters. Filters shall be changed every 6 months unless damaged.
For any permanent filters, vacuum, wash or knock the dust out of the filter. Permanent filters
require no replacing unless damaged.
CABINET FAN:
Verify that the cabinet fan operates properly with a minimum of noise.
CS-0541 Attachment C - MONTHTY PREVENTATIVE MAINTENANCE TASKS 'l of 5
THERMOSTAT:
Verify that the cabinet fan thermostat is set at 100 degrees.
INTERIOR LIGHT:
Verify the proper operation of the cabinet's interior light. If a manual light is installed, check for
proper operation.
DOOR PANEL HARNESSES:
Check the harnesses leading from the main panel to the police and auxiliary panels on the cabinet
door to ensure they are not being pinched and do not bind against the cabinet door. Adjust, if
necessary.
HINGES AND LOCKS:
Check for free movement of all doors, latching assemblies and locks on the controller cabinet,
service cabinet and any other enclosures. Use a minimum of oil or spray lubricant and remove
any excess. City will speciff the oil for this purpose which does not attract dirt or leave residue.
VACWM CABNET:
Blow or brush off shelves, terminal blocks and components and thoroughly vacuum the interior
of the cabinet, including the police panel.
INSECT INFESTATION:
Check for any signs of ants, wasps or other insects within the cabinet and report any positive
findings for the City to take the necessary steps for extermination and prevention.
CABINET GROUNDNG:
Using appropriate equipment, check during the 1st month of the contract and then annually the
resistance between AC and Ground.
SERVICE CONNECTIONS:
Verify that the neutral, ground and power connections are secure in the controller and service
cabinets.
PLUG-IN COMPONENTS:
Check that each plug-in component Crack mount detectors, relays, load switches, etc.) fits tightly
and securely.
TERMINAL CONNECTIONS:
Test during the 191 month of this contract and then semi-annually or following any wiring
repair, each terminal screw by backing off slightly then retightening to confirm that it is secure.
GROTIND FAULT RECEPTACLE :
Verify the proper operation of "Test" and "Reset" buttons on GFI type outlets.
INTERSECTION RECORDS:
CS-0541 Attachment C - MONTHLY PREVENTATIVE MAINTENANCE TASKS 2 of 5
Ensure that all intersection cabinet wiring diagrams are present Notify City representative if
updates are required. Note all work, routine and extraordinary, in the log in the cabinet as to the
reason for the call/work and results or work accomplished by date and time.
CONTROLLER OPERATION:
Manually place vehicle and pedestrian calls on each phase through the cabinet test switches or
the controller key pad, to verify controller servicing of each active phase. Check controller logs
for any faults that may have occurred and take notes for the file.
CONFLICT MONITORIMALFUNCTION MANAGEMENT UNIT:
Verify time and dates are correct in any CMUA{MU with an intemal clock and for proper
operation of the unit.
DETECTOR OPERATION:
Verify the detection zones for each detector by observing the turn-on of the appropriate detector
indicator as a vehicle passes over the detector loop(s) or detection zone. Check also that a call is
placed on the correct controller phase. Verify detection zone vertically above loops whenever a
problem has occurred.
EQUIPMENT DISPLAYS AND INDICATORS:
Verify that all video, LED and LCD displays and indications on all cabinet equipment are
working properly.
SYSTEM TELEMETRY:
Check operation of telemetry on controller display and modem, if equipped, located in the
cabinet. Report any malfunction immediately.
EMERGENCY VEHICLE PREEMPTION (EVP):
Verify that the EVP is operating with the use of a strobe light. Report any malfunction
immediately.
INTERSECTION WALK-AROUND:
GENERAL:
Remove any easily removed, unauthorized signs and posters and report all graffiti existing on
signal poles or equipment.
SIGNAL HEADS:
Verify that all vehicle and pedestrian signal heads properly display all indications and the signals
are not damaged. Verify the alignment of all heads to the intended direction. Also verify that all
backplates, visors and doors are visibly secure.
PEDESTRIAN EQUIPMENT:
cs-0541 Attachment C - MONTHLY PREVENTATIVE MAINTENANCE TASKS 3 of 5
Check all pedestrian push buttons and signals by band to ensure that they are securely mounted
and operating properly. Contractor will maintain a supply of ADA push buttons, as these are to
be repaired immediately on discovery and reported to City staff.
MISCELLANEOUS:
Check operation of safety lighting using the manual test switch located in the service cabinet
Visibly check all signal-mounted signs and advance warning signs/beacons for deterioration,
proper mounting, alignment and operation;
Verify that all pullbox covers, hand hole covers, etc. are secured and not damaged or missing.
Check all detector loops for sealant deterioration, exposed wire, etc.
Record any problems or irregularities and take corrective action as soon as possible, for
contractor provided services.
Visibly check pullboxes for evidence of ants and gophers. Report any positive findings.
LAMPS AND LIGHTING:
When a vehicle or pedestrian indication is found to be out and the lamp and module is damaged,
defective or past its useful life, the lamps/module shall be replaced without charge for labor or
equipment using Dialight LED Ball Signal Modules (8 inch and 12 inch) and shall be fully
compliant to the ITE VTCSH LED Circular Supplement speciflcations dated and adopted June
27,2005. All Countdown Pedestrian Signals shall be replaced when needed with Dialight
(1 6x 1 8), part number 430-647 9-001X.
Contractor shall replace internally Illuminated Street Name Sign lamps as they become dim or
inoperative. ISNS lamps shall be F72T2 Cool White Fluorescent lamps meeting the requirements
of ANSI STD. C78. The Contractor shall during the lst of this month clean and polish all lenses
and reflectors including illuminated street name signs and safety lights. The contractor shall
replace burned out lamps as they occur under extra work charges.
ANNUAL CONFLICT MONITOR TESTING:
Replace conflict monitor's (CMU's, MMU's) with a spare unit and submit the monitors for
testing and certification. It is suggested that ten (10) monitors be replaced and the originals be
submitted for testing and certification on a rotating basis over 11 months. Printed certification is
to be provided for each conflict monitor/malfunction management unit. The contractor will have
available 6 spare MMU's and 4 spare CMU's for rotation use in testing. Testing of conflict
monitors shall be included in price proposal for routine maintenance.
PAINTING:
Contractor shall repaint all metal standards, signal heads, back plates, visors, and controller
housing (if already painted) on an annual basis, unless directed otherwise by the City. Repainting
shall be completed in March each year and shall be conducted by spray painting methods. Colors
as specified by the City. For those controller cabinets that have metal finishes, the Contractor
shall wipe clean controller with detergent and shall apply clear protective coating. Detergent and
coating per manufacturer's requirements.
cs-0541 Attachment C - MONTHLY PREVENTATIVE MAINTENANCE TASKS 4 of 5
ROUTINE EMERGENCY SERVICES :
The Contractor shall maintain a twenty-fow (24) hour per day emergency service for the
replacement of burned-out signal and safety lamps, adjustment of turned heads, repair of
controller malfunctions or any damage creating a public hazard. The Contractor shall repair
parts, replace parts and lamps, and otherwise keep the traffic signals in good working condition.
This telephone number is to be made available to all persons designated by the City.
The Contractor shall make immediate service calls on an emergency basis, responding within
two (2) hours in the event of malfunctions of the controller or signal system or turned head. The
replacement of burned-out signal lamps, internally illuminated street name sign lamps, or safety
lights need not be on an emergency basis provided that there are at least two (2) indications still
operative for each direction of travel. Such replacements shall be handled as soon as possible but
in no case more than 48 hours.
All labor, materials, equipment, travel, and parts for routine emergency service shall be included
in the routine maintenance proposal price per signalized intersection per month, and no
additional compensation will be allowed.
cs-0541 Attachment C - MONTHLY PREVENTATIVE MAINTENANCE TASKS 5 of 5