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City/County Association of Governments of San Mateo County (C/CAG)

REQUEST FOR PROPOSALS

San Mateo County Smart Corridor Project – Northern Cities: Daly City, Brisbane, Colma, San Bruno, South San Francisco

Project Approval and Environmental Document (PA&ED) Services

Date Released: February 13, 2019 (Updated February 20, 2019)

City/County Association of Governments of San Mateo County (C/CAG) 555 County Center, 5th Floor

Redwood City, CA 94063

Proposals are due prior to 4:00 P.M., February 27, 2019

TABLE OF CONTENTS

Request for Proposals

San Mateo County Smart Corridor Project – Northern Cities: Daly City, Brisbane, Colma, San Bruno, South San Francisco

Project Approval and Environmental Document (PA&ED)

Introduction ........................................................................................................................................................... 3 Project Description and Background .......................................................................................................... 5 Scope of Work ....................................................................................................................................................... 9 Appendix A – Proposal Requirements..................................................................................................... 12 Appendix B – Proposal Evaluation ............................................................................................................ 15 Appendix C – Project Schedule ................................................................................................................... 19 Attachment 1 – Vicinity & Location Maps/Existing & Proposed Conditions Map/Photos Attachment 2 – Sample Contract Agreement Attachment 3 – Required Local Assistance Procedures Manual Exhibits

C/CAG of San Mateo County Request for Proposals Page 3 of 29 San Mateo Co. Smart Corridor – Northern Cities PA & ED

INTRODUCTION

The City/County Association of Governments of San Mateo County (C/CAG) is requesting proposals (RFP) for Project Approval and Environmental Document (PA&ED) services. The selected Consultant will provide environmental support services for environmental clearance. The San Mateo County Smart Corridor Northern Cities Intelligent Transportation System (ITS), located in the cities of Daly City, Brisbane, Colma, and portions of South San Francisco and San Bruno, will be funded with Federal, State and local dollars requiring the Consultant to follow all pertinent local, State, and Federal laws and regulations. The DBE goal for this project is 3%. Total amount payable to the Consultant shall not exceed $600,000 and with a performance period of the contract from the date approved by the C/CAG Board of Directors to November 2019 whichever is the lesser. The proposals submitted in response to this RFP will be used as a basis for selecting the Consultant for this project. The Consultant’s proposal will be evaluated and ranked according to the criteria provided in Appendix B, “Evaluation Criteria,” of this RFP. Addenda to this RFP, if issued, will be sent to all prospective Consultants C/CAG has specifically e-mailed a copy of the RFP to and will be posted on the C/CAG website at: www.ccag.ca.gov It shall be the Consultant’s responsibility to check C/CAG’s website to obtain any addenda that may be issued. The Consultant’s attention is directed to Appendix A, “Proposal Requirements.” Submit five (5) hard copies and one (1) electronic copy in PDF format on a CD/DVD of the Consultant’s proposal. The hard copies and CD/DVD shall be mailed or submitted to C/CAG office prior to 4:00 P.M., 2/27/2019. Proposals shall be submitted in a sealed package clearly marked “Smart Corridor Northern Cities – PA/ED Services” and addressed as follows: John Hoang City/County Association of Governments of San Mateo County (C/CAG) 555 County Center, 5th Floor Redwood City, CA 94063 Proposals received after the time and date specified above will be considered nonresponsive and will be returned to the Consultant. Any proposals received prior to the time and date specified above may be withdrawn or modified by written request of the Consultant. To be considered, however, the modified Proposal must be received prior to 4:00 P.M., February 27, 2019. Unsigned proposals or proposals signed by an individual not authorized to bind the prospective Consultant will be considered nonresponsive and rejected. This RFP does not commit C/CAG to award a contract, to pay any costs incurred in the preparation of a proposal for this request, or to procure or contract for services. C/CAG reserves the right to accept or reject any or all proposals received as a result of this request, to negotiate with any qualified Consultant, or to modify or cancel in part or in its entirety the RFP if it is in the best interests of C/CAG to do so. Furthermore, a contract award may not be made based solely on price. The prospective Consultant is advised that should this RFP result in recommendation for award of a contract, the contract will not be in force until it is approved and fully executed by the C/CAG Board of Directors.

http://www.ccag.ca.gov/

City/County Association of Governments of San Mateo County (C/CAG) Request for Proposals Page 4 of 29 San Mateo County Smart Corridor – Northern Cities

All products used or developed in the execution of any contract resulting from this RFP will remain in the public domain at the completion of the contract. The anticipated consultant selection schedule is as follows: Proposal review and evaluation: February 28 – March 4, 2019 Oral interviews: March 5 – March 6, 2019, if any Cost Negotiation with first ranked consultant: March 7, 2019 Contract Award and Notice to Proceed: approx. March 14, 2019 Any questions related to this RFP shall be submitted in writing to the attention of John Hoang via email at [email protected] . Questions shall be submitted before 5:00 PM on February 20, 2019. No oral question or inquiry about this RFP shall be accepted.

mailto:[email protected]


PROJECT DESCRIPTION AND BACKGROUND

Background/Introduction The San Mateo County Smart Corridor implements Intelligent Transportation System (ITS) equipment such as an interconnected traffic signal system, close circuit television (CCTV) cameras, trailblazer/arterial dynamic message signs, and vehicle detection system deployed on predefined designated local streets and state routes provide local cities and Caltrans day-to-day traffic management capabilities in addressing recurrent traffic congestion as well as provide Caltrans capabilities for managing the system during non-recurring traffic congestion cause by diverted traffic due to major incidents on the freeway. The Smart Corridor key features and benefits include:

- 25 miles of interconnected communication network - Provides infrastructure for countywide traffic management system - Allows shared control and operation improving cross jurisdictional traffic management - Enables cities and Caltrans to proactively manage day-to-day traffic utilizing - Manages arterial traffic during major incidents on freeway - Identifies alternative route with timing optimized for incident management - Enables local event management signal timing options for El Camino Real (non-incident) - Allows cities/Caltrans access to monitor all videos and signal to optimize normal operations - Upgraded local signal controllers and signal system software - Signal priority and pre-emption ready -

The use of the Smart Corridor tools during incidents is expected to result in operational improvements such as: - decrease in travel time, - decrease in total delay, - reduction in number of stops, - increase in average speed, and - reduction in secondary accidents.

As shown in Table 1 and Figure 1, the Smart Corridor project is divided into multiple phases along the freeways located in the county, as indicated below:

TABLE 1: Smart Corridor Phases and Status Phase Limits Cities Status

I US-101 and adjacent local streets between I-380 and Millbrae Avenue

San Bruno, Millbrae Construction Complete

II US-101 and adjacent local streets between Millbrae Avenue and Holly Street

Millbrae, Burlingame, San Mateo, Belmont, San Carlos

Construction Complete

III US-101 and adjacent local streets between Holly Street and the Santa Clara County Line

San Carlos, Redwood City, Menlo Park, East Palo Alto

Construction Complete

IV US 101 and adjacent local streets between S.F. County line and I-380, I-280 and adjacent local streets between Trousdale Dr. and SR 92, and SR 92 and adjacent local streets between I-280 to El Camino Real

South San Francisco, Brisbane San Bruno, San Mateo (I-280)

SSF - PAED pending Brisbane – PSR Complete

V I-280 and adjacent local streets (including SR 92) between S.F. County line and Trousdale Dr.

Daly City, South San Francisco, Colma, San Bruno

Daly City, Colma – PSR Complete


FIGURE 1: Smart Corridor Project Phasing

The South San Francisco Expansion project, currently in the PA&ED Phase with completion date planned for February 2019, continues the implementation efforts of City/County Association of Governments of San Mateo County (C/CAG), California Department of Transportation (Caltrans District) 4 and the partner agencies that was initiated with the Phases I,II and II of the San Mateo County Smart Corridors, which expanded along the US 101 corridor between City of San Bruno and the San Mateo County-Santa Clara County line. This Project ITS Improvements in San Mateo County Northern Cities – Daly City, Brisbane, Colma and portions of South San Franciso and San Bruno continues the implementation efforts expanding along the US 101 corridor to the San Francisco County line, and on Interstate 280 from Interstate 380 to the San Francisco County Line. The North County Expansion project will utilize the previous Smart Corridor Projects as a basis for design Project Description - San Mateo County Northern Cities – Daly City, Brisbane, and Colma, and San Bruno The San Mateo County Smart Corridor Project Northern Cities Expansion project (proposed project) is a joint effort by the cities of Daly City, Brisbane, Colma, as well as San Bruno and South San Francisco, the City/County Association of Governments of San Mateo (C/CAG), and the California Department of Transportation (Caltrans District 4) to address traffic congestion along U.S. 101. The goal is to improve and monitor traffic flow within the corridor during normal operations by better integrating freeway and local arterials, and to proactively manage and optimize signal operations along predetermined Smart Corridor Routes to balance traffic flow and reduce congestion along U.S. 101 during major traffic incidents. The proposed project would accomplish this through the installation of tools and systems including cameras, informational signs, other traffic operation systems elements, and an interconnect between local and State traffic signal systems to and from U.S. 101 and on local streets within South San Francisco.

Brisbane

South SF

South SF

Daly City

Redwood City

East Palo Alto

Menlo Park

Millbrae

Belmont

San Mateo

San Carlos

Burlingame

San Bruno

Colma Phase IV

Phase II

Phase V

Phase III

Phase I

Phase IV


Project Purpose

Prior to the Smart Corridors project, San Mateo County had limited deployment of ITS tools to proactively

manage traffic congestion—ITS deployment was limited to freeway Traffic Operations System (TOS)

elements along US 101 and SR 92. The purpose of this project is to expand the San Mateo County Smart

Corridor from its current northern terminus of I-380 further north to the San Francisco County line,

encompassing arterials along US 101 and I-280. The objectives of the Smart Corridors expansion are as

follows:

• Enable Daly City, Brisbane, Colma, South San Francisco, and San Bruno to proactively manage traffic

on local streets that has diverted off the freeway due to a major freeway incident;

• Enable Daly City, Brisbane, Colma, South San Francisco, and San Bruno to proactively manage traffic

on local streets during normal operating conditions;

• Minimize the delay that traffic experiences on local streets during major freeway incidents;

• Provide traffic managers and operators with tools to proactively manage diverted traffic due to an

incident;

• Enhance the communications and coordination between city public safety and public works, other

Smart Corridor cities, Caltrans, and CHP to create a regional approach to managing incident traffic; and

• Enable the cities and Caltrans to share information and control strategies with other Smart Corridor

cities to enhance traffic management both during an incident and under normal operating conditions.

Through installation of ITS equipment along the alternate routes, stakeholders will have tools and strategies

to do the following:

• Change route guidance signs to guide incident traffic along a specific alternate route to avoid situations

where drivers seek unknown routes;

• Increase green time along an alternate route during an incident to reduce arterial travel time;

• Monitor traffic on local streets;

• Share data and video between agencies to create a regional partnership to manage traffic; and

• Coordinate operations between Caltrans and the cities and during major incidents.

By clearly designating routes that traffic can follow to bypass a freeway incident and providing cities and

Caltrans the tools to proactively manage the traffic on the local streets, there is an opportunity to improve

traffic operations on the network during major incidents on freeway as well as non-incident situations.

Project Need

US 101 and I-280 are part of the National Highway System, classified as strategic highway network routes to

provide defense access, continuity, and emergency capability for transporting personnel, materials, and

equipment during both peace and war times.

US 101 and I-280 create significant traffic impacts on local streets during major traffic incidents on the freeway.

When a major incident occurs, significant traffic typically exits the freeway in search of a route to bypass the

incident. There are currently no clearly designated routes that traffic can follow today to bypass a freeway

incident, so traffic filters through the local network seeking a viable route around the incident. The cities to

date have no tools on the local streets to proactively manage incident traffic that has exited the freeway, and

with existing infrastructure is no opportunity to improve the poor level of service on the local network during

major incidents.


Smart Corridor is currently implemented throughout the county south of I-380 to the Santa Clara County line,

and expansion of the Smart Corridor in the cities of Daly City, Brisbane, South San Francisco, and San Bruno is

needed to integrate these municipalities with the rest of the Smart Corridor cities and enable the Smart

Corridor deployment to extend to the San Francisco County line.

The following needs were developed based on stakeholder input. These needs are not prioritized but will serve

as a guide for developing the system requirements.

• Enhance the communications and control network of city (Brisbane, Daly City, Colma, San Bruno)

traffic signal systems such that the cities can monitor and modify traffic signal timing parameters

from a remote location on a day-to-day basis.

• Remotely adjust traffic signal timing plans within their own jurisdiction.

• Enable the cities and Caltrans to use ITS tools on local streets to manage and monitor traffic that

exits the freeway during a freeway incident in search of an alternate route.

• Establish a communications link between Caltrans and the cities according to the Bay Area Center-

to-Center Network interface standards to allow sharing and control of field devices along local

streets. Caltrans will operate all Smart Corridor devices during a freeway incident.

• Provide San Mateo County agencies the ability to view, operate, and share CCTV camera images from

any Smart Corridor field camera on any remote computer.

• Enable San Mateo County agencies to share traffic data with each other to improve the cross-

jurisdictional coordination during normal operating conditions.

• Create an opportunity to provide transit signal priority and emergency vehicle pre-emption at key

intersections of the Smart Corridor.

• Enable cities and Caltrans to activate ITS devices along local routes to accommodate increased traffic

demand.

• Mitigate impacts that the Smart Corridors project may have on legacy equipment and systems that

are not part of the Smart Corridors.

Reference Materials

• Project Study Report (PSR)

• Concept of Operations

• ARTI Guide (Alternative Routes for Traffic Incidents)

Can be downloaded from the C/CAG website at www.ccag.ca.gov/opportunities/rfpsrfqs/

http://www.ccag.ca.gov/opportunities/rfpsrfqs/


SCOPE OF WORK

General: The City/County Association of Governments of San Mateo County (C/CAG) is interested in contracting with a Consultant that will conduct and coordinate specified tasks related to advancing the Smart Corridor – Northern Cities to the Project Approval and Environmental Document (PA/ED) phase. The work shall comply with the requirements of all of the following without limitation, and shall apply to this RFP and any subsequent contract as though incorporated herein by reference:

1. Federal laws 2. State laws 3. Local laws 4. Rules and regulations of governing utility districts 5. Rules and regulations of other authorities with jurisdiction over the procurement of products

The Consultant shall comply with all insurance requirements of C/CAG, included in the sample contract in Attachment 2. Services to be Provided: The Consultant selected shall provide all services to complete preliminary engineering and environmental and right-of-way (as necessary) for the San Mateo County Smart Corridor – Northern Cities Project. Specifically, the Consultant selected will be required to complete the following tasks:

• Project Management – The C/CAG Project Manager will serve as the contract manager and direct liaison between the Consultant and Caltrans District 4 Division of Capital Outlay Support. The consultant shall be responsible for project management activities throughout the life of the contract and the scope of activities includes but is not limited to, coordinating and being responsible for scheduling meetings, managing the project schedule, preparing and distributing minutes, field reviews, tracking action items for C/CAG and consultant sub-contractors, and preparing all submissions for C/CAG to submit to Caltrans Capital Outlay Support. Any modifications proposed to this solicitation are welcome provided they are innovative, advanced, and well thought out methodologies and shall be identified as optional and priced out separately in the sealed fee proposal.

• Preliminary Engineering Studies – Develop general project locations and design concepts and related activities needed to establish the parameters for final design such as Geometrics, Hydraulics, Geotechnical, Bridge, Landscape Architecture, Traffic Operations, Electrical, ITS Elements, etc.

• Surveys and Mapping – The Consultant shall be responsible for data collection, mapping and surveying necessary for preliminary engineering, design, cost estimates, right-of-way impacts, and the level of environmental clearance. The scope of comprehensive base mapping and surveying includes but is not limited to Control Surveys, Aerial Photogrammetry, Limited Design Level Topographic Surveys, Right-of-Way Retracement, and a Record of Survey.

• Environmental Studies and Documentation – Complete the environmental review; including

submitting the Caltrans Preliminary Environmental Study and preparing any required technical studies to complete the NEPA document. Consultant will prepare the CEQA clearance document on behalf of C/CAG. Work products includes technical memorandums, checklists, studies, notices, and any other required documentation. At a minimum, checklists and environmental analyses are required. Consultant to determine local, state, and federal requirements, and prepare the necessary evaluation and documentation.


• Contract Term – Contract amendments are required to modify the terms of the original contract for

changes such as extra time, added work, or increased costs and must be done prior to expiration of the original contract. Only work within the original advertised scope of services shall be added by amendment to the contract.

• Method of Payment – Lump Sum Fee (or optional Actual Cost Plus Fixed Fee). The consultant performs the services stated in the contract for an agreed amount as compensation, including a net fee or profit.

Consultant shall identify in proposal if there are any other items that they anticipate will need to be addressed in order to obtain an encroachment permit from Caltrans.

Minimum Qualifications of Personnel – The Consultant shall meet the appropriate minimum qualifications

as required by this contract.

Equipment Requirements - The Consultant shall have and provide adequate office equipment and supplies

to complete the work required by this Contract. Consultant shall have and provide adequate field tools,

instruments, equipment, materials, supplies, and safety equipment to complete the required field work and

that meet or exceed Caltrans Specifications per the Caltrans Manuals.

General/Design/Environmental/Surveying/Other Standards -

Quality Control/Assurance Measures – Implementing and maintaining quality control procedures to manage conflicts, insure product accuracy, and identify critical reviews and milestones. Also, provide knowledge, experience, and familiarity Quality Control and Quality Assurance (QC/QA) for California Test Methods and laboratory.

Materials to be provided by the Agency - Unless otherwise specified in this Contract, the Consultant shall provide all materials to complete the required work in accordance with the delivery schedule and cost estimate outlined in each Task Order. Materials (if deemed applicable, necessary, and when available from C/CAG) that may be furnished or made available by C/CAG and where listed in the individual Task Orders and this Contract, are for the Consultant’s use only, shall be returned at the end of the Contract.

Work to be performed by C/CAG -

Conflict of Interest Requirements - Throughout the term of the awarded contract, any person, firm or subsidiary thereof who may provide, has provided or is currently providing Design Engineering Services and/or Construction Engineering Services under a contractual relationship with a construction contractor(s) on any local project listed in this Scope of Work must disclose the contractual relationship, the dates and the nature of the services. The prime consultant and its subconsultants shall also disclose any financial or business relationship with the construction contractor(s) who are working on the projects that are assigned for material Quality Assurance services through task orders on the contract. Similar to the disclosures regarding contractors, all firms are also required to disclose throughout the term of the awarded contract, any Design Engineering services including claim services, Lead Project Management services and Construction Engineering Services provided to all other clients on any local project listed in this Scope of Work. In addition to the disclosures, the Consultant shall also provide possible mitigation efforts, if any, to eliminate or avoid any actual or perceived conflicts of interest.


The Consultant shall ensure that there is no conflict before providing services to any construction contractor on any of the agency’s projects’ listed in this Scope of Work. The submitted documentation will be used for determining potential conflicts of interest. If a Consultant discovers a conflict during the execution of an assigned task order, the Consultant must immediately notify the Contract Manager regarding the conflicts of interest. The Contract Manager may terminate the Task Order involving the conflict of interest and may obtain the conflicted services in any way allowed by law. Failure by the Consultant to notify the Contract Manager may be grounds for termination of the contract. Some examples of conflict of interest are the following:

• Certified Materials Tester(s) or Plant Inspector(s) from the same company that performs Quality Control for the Contractor and Quality Assurance for C/CAG on the same project.

• Providing services to construction contractor’s subcontractors, fabricators, equipment installer,

material suppliers and other firms associated with the projects listed in the Contract can be a potential conflict of interest when such contractor teams are identified.

Project Schedule – In order to assess duration and resources, the project planning and scheduling of tasks

should be done using a Gantt chart.


APPENDIX A – PROPOSAL REQUIREMENTS

These guidelines are provided for standardizing the preparation and submission of Proposal/Proposals by all Consultants. The intent of these guidelines is to assist Consultants in preparation of their proposals, to simplify the review process, and to help assure consistency in format and content. Proposals shall contain the following information in the order listed: 1. Introductory Letter The introductory (or transmittal) letter shall be addressed to: John Hoang C/CAG of San Mateo County 555 County Center, 5th Floor Redwood City, CA 94063 The letter shall be on Consultant letterhead and include the Consultant’s contact name, mailing address, telephone number, facsimile number, and email address. The letter will address the Consultant’s understanding of the services being requested and any other pertinent information the Consultant believes should be included. All addendums received must be acknowledged in the transmittal letter. The letter shall be wet-signed in blue ink by the individual authorized to bind the Consultant to the proposal. 2. Executive Summary 3. Consultant Information, Qualifications & Experience C/CAG will only consider submittals from Consultants that demonstrate they have successfully completed comparable projects. These projects must illustrate the quality, type, and past performance of the project team. Submittals shall include a detailed description of a minimum of three (3) projects within the past five (5) years which include the following information:

1. Contracting agency 2. Contracting agency Project Manager 3. Contracting agency contact information 4. Contract amount 5. Funding source 6. Date of contract 7. Date of completion 8. Consultant Project Manager and contact information 9. Project Objective 10. Project Description 11. Project Outcome

4. Organization and Approach

1. Describe the roles and organization of your proposed team for this project. Indicate the composition

of subcontractors and number of project staff, facilities available and experience of your team as it relates to this project.

2. Describe your project and management approach. Provide a detailed description of how the team and scope of work will be managed.

3. Describe the roles of key individuals on the team. Provide resumes and references for all key team members. Resumes shall show relevant experience, for the Project’s Scope of Work, as well as the


length of employment with the proposing Consultant. Key members, especially the Project Manager, shall have significant demonstrated experience with this type of project, and should be committed to stay with the project for the duration of the project.

5. Scope of Work

1. Include a detailed Scope of Work Statement describing all services to be provided. 2. Describe project deliverables for each phase of your work. 3. Describe your cost control and budgeting methodology for this project. 4. Provide responses to the following:

a. Describe critical engineering design issues associated with the project and how you will address these.

b. Describe critical environmental issues and how you will address these. c. How cost and schedule could be minimized.

6. Schedule of Work

Provide a detailed schedule for all phases of the project and the proposing Consultant’s services including time for reviews and approvals. The schedule shall meet the Project Schedule shown in Appendix C, however, expedited schedules are preferred with justification for timeline feasibility.

7. Conflict of Interest Statement

The proposing Consultant shall disclose any financial, business or other relationship with C/CAG that may have an impact upon the outcome of the contract or the construction project. The Consultant shall also list current clients who may have a financial interest in the outcome of this contract or the construction project that will follow. The proposing Consultant shall disclose any financial interest or relationship with any construction company that might submit a bid on the construction project.

8. Litigation

Indicate if the proposing Consultant was involved with any litigation in connection with prior projects. If yes, briefly describe the nature of the litigation and the result.

9. Contract Agreement

Indicate if the proposing Consultant has any issues or needed changes to the proposed contract agreement included as Attachment 2. The Consultant shall provide a brief statement affirming that the proposal terms shall remain in effect for ninety (90) days following the date proposal submittals are due. A contract will not be awarded to a consultant without an adequate financial management and accounting system as required by 48 CFR Part 31 and 2 CFR Part 200.

10. Financial Management and Accounting System Requirements A contract shall not be awarded to a consultant without an adequate financial management and accounting system as required by 48 Code of Federal Regulations (CFR) Part 16.301-3, 49 CFR Part 18, and 48 CFR Part 31.

Selected Consultant shall comply with Chapter 10.3 of the Local Assistance Procedures Manual regarding the A&E Consultant Contract Audit and Review process.

11. Federal-Aid Provisions


The proposing Consultant’s services are federally funded, which necessitate compliance with additional requirements. Special attention is directed to Attachment 3 – Local Assistance Procedures Manual Exhibit (LAPM) 10-I, Notice to Proposers DBE Information. The proposing Consultant shall complete and submit the following forms with the proposal to be considered responsive. These forms and instructions are provided for the proposer in Attachment 3. This solicitation is financed in whole or in part and therefore subject to Title 49, Code of Federal Regulations, Part 26 entitled “Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs”. To ensure equal participation for Disadvantaged Business Enterprise (DBE) groups specified in 49 CFR 26.5, DBE participation is required. Only participation by certified DBEs will count toward the contract goal for this solicitation. In order to count toward a contract goal, a firm must be certified by the California Unified Certification Program (CUCP) and possess the work codes applicable to the type of work the firm will perform on the Agreement by the SOQ submittal due date. For a list of work codes, go to http://www.dot.ca.gov/hq/bep/find_certified.htm. It is the proposer’s responsibility to verify that the DBE firm is certified as a DBE by the specified SOQ submittal due date and time. For a list of DBEs certified by the CUCP, go to: http://www.dot.ca.gov/hq/bep/find_certified.htm. Reference “Statement of Qualifications Submittal Requirements” for detailed information and references to the required forms. Required forms will be made part of the agreement. Failure to meet the DBE goal or Good Faith Effort requirements and provide required DBE participation at due date and time of SOQ submittal may result in the SOQ submittal being rejected as non-responsive. Federal and/or State prevailing wage rates may apply. This requirement, if applicable, will be specified in the draft Agreement.

• Local Agency Proposer DBE Commitment (Consultant Contracts); (LAPM 10-O2). The local agency’s current contract DBE Goal is 3%.

• DBE Information - Good Faith Effort (LAPM 15-H) – Required only if DBE goal is not achieved. It is recommended that proposer prepare and submit a GFE irrespective of meeting the DBE goal.

• Disclosure of Lobbying Activities (LAPM 10-Q) Upon award and through completion of the project, the successful proposing Consultant will be required to follow applicable federal-aid requirements and shall complete and submit with the agreement the following forms at the time of award:

• Local Agency Proposer DBE Commitment (Consultant Contracts) (LAPM 10-02) • Consultant Certification of Contract cost and Financial Management System (LAPM 10-

K) or Safe Harbor Indirect Cost Rate documentation for Consultants Contracts (DLA-OB 13-07R attachment 1R and 2R).

• Any other relevant forms required during the project.

Consultant shall demonstrate familiarity of providing services for federally funded projects and has clear understanding of requirements/needs to facilitate the project through Caltrans Local Assistance and Local Assistance Procedures Manual.

12. Cost Proposal

The consultant performs the services stated in the contract for an agreed amount as compensation, including a net fee or profit.

http://www.dot.ca.gov/hq/bep/find_certified.htm

http://www.dot.ca.gov/hq/bep/find_certified.htm


In order to assure that C/CAG is able to acquire professional services based on the criteria set forth in the Brooks Act and Government Code 4526, the proposal shall include a cost proposal for each service of the proposal. Proposing Consultants will be required to submit certified payroll records, as required. Cost proposal shall be submitted in a separate sealed envelope from the proposal. The cost proposal is confidential and will be unsealed after all proposals have been reviewed, and most qualified consultant has been selected. Reference sample cost estimate in Attachment 3 LAPM 10-H, Example #1. Consultant shall prepare a Lump Sum Fee estimate with progress payments at defined milestones/tasks. Selected Consultant shall comply with Chapter 10.3 of the Local Assistance Procedures Manual regarding the A&E Consultant Contract Audit and Review process.

13. Required Forms Each submittal must include the required form listed below.

1. Consultant Contract DBE Information. Fill out Exhibit 10-O1 Consultant Proposal DBE Commitment, or Good Faith Effort (LAPM 15-H) if DBE goal is not achieved. See Attachment 3.

2. Disclosure of Lobbying Activities (LAPM 10-Q)


APPENDIX B – PROPOSAL EVALUATION

Evaluation Process All proposals will be evaluated by a C/CAG Selection Committee (Committee). The Committee may be composed of C/CAG staff and other parties that may have expertise or experience in the services described herein. The Committee will review the submittals and will rank the proposers. The evaluation of the proposals shall be within the sole judgment and discretion of the Committee. All contacts during the evaluation phase shall be through the C/CAG Contract Administrator/Project Manager only. Proposers shall neither contact nor lobby evaluators during the evaluation process. Attempts by Proposer to contact members of the Committee may jeopardize the integrity of the evaluation and selection process and risk possible disqualification of Proposer. The Committee will evaluate each proposal meeting the qualification requirements set forth in this RFP. Proposers should bear in mind that any proposal that is unrealistic in terms of the technical or schedule commitments may be deemed reflective of an inherent lack of technical competence or indicative of a failure to comprehend the complexity and risk of the C/CAG’s requirements as set forth in this RFP. The selection process will include oral interviews. The consultant will be notified of the time and place of oral interviews and if any additional information that may be required to be submitted. Consultants invited to interviews will be required to submit cost proposals in sealed envelopes during the interview. Upon completion of the evaluation and selection process, only the cost proposal from the most qualified consultant will be opened to begin cost negotiations. All unopened cost proposals will be returned at the conclusion of procurement process. Upon acceptance of a cost proposal and successful contract negotiations, staff will recommend a contract be awarded. Evaluation Criteria Proposals will be evaluated according to each Evaluation Criteria, and scored on a zero to five point rating. The scores for all the Evaluation Criteria will then be multiplied according to their assigned weight to arrive at a weighted score for each proposal. A proposal with a high weighted total will be deemed of higher quality than a proposal with a lesser-weighted total. The final maximum score for any project is five hundred (500) points.

Rating Scale

0 Not

Acceptable

Non-responsive, fails to meet RFP specifications. The approach has no probability of success. For mandatory requirement this score will result in disqualification of proposal.

1 Poor Below average, falls short of expectations, is substandard to that which is the average or expected norm, has a low probability of success in achieving project objectives per RFP.

2 Fair Has a reasonable probability of success, however, some objectives may not be met.

3 Average Acceptable, achieves all objectives in a reasonable fashion per RFP specification. This will be the baseline score for each item with adjustments based on interpretation of proposal by Evaluation Committee members.

4 Above

Average/Good Very good probability of success, better than that which is average or expected as the norm. Achieves all objectives per RFP requirements and expectations.

5 Excellent/

Exceptional

Exceeds expectations, very innovative, clearly superior to that which is average or expected as the norm. Excellent probability of success and in achieving all objectives and meeting RFP specification.


The Evaluation Criteria Summary and their respective weights are as follows:

No. Written Evaluation Criteria Weight

1 Completeness of Response Pass/Fail

2 Qualifications & Experience 20

3 Organization & Approach 15

4 Scope of Services to be Provided 15

5 Schedule of Work 10

6 Conflict of Interest Statement Pass/Fail

7 Local Presence 5

8 References 10

Subtotal: 75

No. Interview Evaluation Criteria Weight

9 Presentation by team 10

10 Q&A Response to panel questions 15

Subtotal: 25

Total: 100

1. Completeness of Response (Pass/Fail)

a. Responses to this RFP must be complete. Responses that do not include the proposal content requirements identified within this RFP and subsequent addenda and do not address each of the items listed below will be considered incomplete, be rated a Fail in the Evaluation Criteria and will receive no further consideration. Responses that are rated a Fail and are not considered may be picked up at the delivery location within 14 calendar days of contract award and/or the completion of the competitive process.

2. Qualifications & Experience (20 points)

a. Relevant experience, specific qualifications, and technical expertise of the firm and sub-consultants to conduct traffic engineering services on both federal and nonfederal-aid projects.

3. Organization & Approach (15 points)

a. Describes familiarity of project and demonstrates understanding of work completed to date and project objectives moving forward

b. Roles and Organization of Proposed Team i. Proposes adequate and appropriate disciplines of project team.

ii. Some or all of team members have previously worked together on similar project(s). iii. Overall organization of the team is relevant to C/CAG needs.

c. Project and Management Approach


i. Team is managed by an individual with appropriate experience in similar projects.

This person’s time is appropriately committed to the project. ii. Team successfully addresses Site Planning and Programming efforts.

iii. Project team and management approach responds to project issues. Team structure provides adequate capability to perform both volume and quality of needed work within project schedule milestones.

d. Roles of Key Individuals on the Team i. Proposed team members, as demonstrated by enclosed resumes, have relevant

experience for their role in the project. ii. Key positions required to execute the project team’s responsibilities are

appropriately staffed. e. Working Relationship with C/CAG

i. Team and its leaders have experience working in the public sector and knowledge of public sector procurement process.

ii. Team leadership understands the nature of public sector work and its decision-making process.

iii. Proposal responds to need to assist C/CAG during the project.

4. Scope of Services to be Provided (15 points)

a. Detailed Scope of Services to be Provided i. Proposed scope of services is appropriate for all phases of the work.

ii. Scope addresses all known project needs and appears achievable in the timeframes set forth in the project schedule.

b. Project Deliverables i. Deliverables are appropriate to schedule and scope set forth in above requirements.

c. Cost Control and Budgeting Methodology i. Proposer has a system or process for managing cost and budget.

ii. Evidence of successful budget management for a similar project.

5. Schedule of Work (10 points)

a. Schedule shows completion of the work within or preferably prior to the C/CAG’s overall time limits as specified in Appendix C.

b. The schedule serves as a project timeline, stating all major milestones and required submittals for project management and Federal-Aid compliance.

c. The schedule addresses all knowable phases of the project, in accordance with the general requirements of this RFP.

6. Conflict of Interest Statement (Pass/Fail)

a. Discloses any financial, business or other relationship with C/CAG that may have an impact

upon the outcome of the contract or the construction project. b. Lists current clients who may have a financial interest in the outcome of this contract or the

construction project that will follow. c. Discloses any financial interest or relationship with any construction company that might

submit a bid on the construction project.

7. Local Presence (5 points)

a. A statement addressing firm’s ability to establish an office within the County or surrounding area.


8. References (10 points)

a. Provide as reference the name of at least three (3) agencies you currently or have previously

consulted for in the past three (3) years.

9. Presentation by Team (10 points)

a. Team presentation conveying project understanding, communication skills, innovative ideas, critical issues and solutions.

10. Q&A Response to Panel Questions (15 points)

a. Proposer provides responses to various interview panel questions. Weighted scores for each Proposal will be assigned utilizing the table below:

No. Evaluation Criteria Rating (0-5)

Weight Score

(Rating * Weight)

1 Completeness of Response N/A Pass/Fail Pass/Fail

2 Qualifications & Experience 20

3 Organization & Approach 15

4 Scope of Services to be Provided 15

5 Schedule of Work 10

6 Conflict of Interest Statement N/A Pass/Fail Pass/Fail

7 Local Presence 5

8 References 10

9 Presentation by Team 10

10 Q&A Response to Panel Questions 15

Total: 100


APPENDIX C – PROJECT SCHEDULE

Project Schedule – The San Mateo County Smart Corridor – Northern Cities is on an expedited schedule.

Based on awarding the contract with the selected consultant on March 14, 2019, C/CAG would like the

contractor to present an aggressive but attainable project scheduled to complete the project with the goal of

obtaining project approval by November 1, 2019 or earlier.

A Gantt chart (like the sample below) should be included for evaluations to compare project deliverables,

cost, and time frames and can be done in Excel.

Period Highlight: 1 Plan Actual % Complete Actual (beyond plan) % Complete (beyond plan)

PLAN PLAN ACTUAL ACTUAL PERCENT

ACTIVITY START DURATION START DURATION COMPLETE PERIODS

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38

Project Implementation & Management 1 5 1 4 25%

Education 1 6 1 6 100%

Encouragement 2 4 2 5 35%

Evaluation 4 8 4 6 10%

Enforcement 4 2 4 8 85%

Planning Document 4 3 4 6 85%

Activity 07 5 4 5 3 50%

Activity 08 5 2 5 5 60%

Activity 09 5 2 5 6 75%

Activity 10 6 5 6 7 100%

Activity 11 6 1 5 8 60%

Activity 12 7 3 7 3 0%

Activity 13 9 6 8 7 50%

Activity 14 9 3 9 1 50%

Activity 15 12 5 12 3 3%

Activity 16 13 8 12 5 20%

Activity 17 14 10 14 12 50%

Project Planner


ATTACHMENT 1 - VICINITY AND LOCATION MAP

The vicinity map is shown below in Figure 2:

Figure 2: Vicinity Map

Project Limits are as follows: • Bayshore Blvd: US 101 (SF County Line) to Oyster Point

Blvd

• Tunnel Ave: Beatty Ave to Bayshore Blvd

• Beatty Ave: US 101 to Tunnel Ave

• Lagoon Rd: US 101 to Tunnel Ave

• Junipero Serra Blvd: John Daly Blvd to Avalon Dr

• SR 1: I-280 to SR 35 (Skyline Blvd)

• SR 35 (Skyline Boulevard): John Daly Blvd to I-280

• SR 82 (El Camino Real): John Daly Blvd to San Bruno Ave

• Hickey Blvd: SR 35 (Skyline Blvd) to I-280

• Westborough Blvd: SR 35 (Skyline Blvd) to SR 82

• Sneath Lane: SR 35 (Skyline Blvd) to SR 82

• Serramonte Blvd: Junipero Serra Boulevard to SR 82 (El Camino Real) – communications connection to Public Works Building

• 90th Street: Junipero Serra Blvd to Edgeworth Ave – communications connection to Public Works Building

• Westlake Ave from Junipero Serra Blvd to the Daly City Corporation Yard – communications connection

• 111 Grand Avenue, Oakland, CA (Caltrans District 4)


The following Figures 3 and 4 indicates proposed Smart Corridor equipment deployments in the cities of Brisbane, Daly City, Colma, and portions of San Bruno.

FIGURE 3: Smart Corridor Route Location and ITS Elements – Brisbane


FIGURE 4: Smart Corridor Route Location and ITS Elements – Daly City, Colma and San Bruno, South San Francisco (portion)


ATTACHMENT 2 – SAMPLE CONTRACT AGREEMENT

AGREEMENT BETWEEN

CITY/COUNTY ASSOCIATION OF GOVERNMENTS OF SAN MATEO COUNTY AND

CONSULTANT

This Agreement entered this ___ day of ___________ 2019, by and between the CITY/COUNTY ASSOCIATION OF GOVERNMENTS OF SAN MATEO COUNTY, a joint powers agency whose members include the County of San Mateo and the twenty incorporated cities and towns within San Mateo County, hereinafter called “C/CAG,” and XXX, hereinafter called “CONSULTANT”. WHEREAS, C/CAG is a joint powers agency formed for the purpose of preparation, adoption and monitoring of a variety of county-wide state-mandated plans; and WHEREAS, the San Mateo County Smart Corridor Project (Project) is an Intelligent Transportation System (ITS) project which extends 20 miles along El Camino Real and major local streets connecting to US-101 and provides countywide traffic management system infrastructure enabling local agencies and the California Department of Transportation (Caltrans) to proactively manage daily traffic and non-recurring local traffic impacts due to major incidents on the freeway; and WHEREAS, C/CAG is expanding the Smart Corridor into the northern county including City of Daly City, City of Brisbane, Town of Colma, and remaining segments of City of South San Francisco and City of San Bruno; and WHEREAS, by approving Resolution 1x-XX, the Board of Directors of the City/County Association of Governments of San Mateo County authorizes the C/CAG Chair to execute a funding agreement with CONSULTANT, subject to legal counsel review prior to execution by the C/CAG Chair, in a cumulative amount not to exceed $XXX.

NOW, THEREFORE, IT IS HEREBY AGREED by the parties as follows:

1. Services to be provided by CONSULTANT. CONSULTANT agrees to provide services at hourly rates

contained in Exhibit A and consistent with the scope of work contained in Exhibit B.

2. Payments. a. In consideration of CONSULTANT providing the assistance and services described Exhibit A,

C/CAG shall reimburse CONSULTANT at the rates shown in Exhibit B, not to exceed a cumulative maximum of $XXX. Indirect costs are not allowable under this Agreement. C/CAG will reimburse consultant only for actual allowable costs that are incurred in accordance with the provisions of this Agreement.

b. Travel expenses and per diem rates are not to exceed the rate specified by the State of California Department of Human Resources for similar employees (i.e. non-represented employees) unless written verification is supplied that government hotel rates were not then commercially available at the time and location required as specified in the California Department of Transportation's Travel Guide Exception Process. Allowable travel and per diem expenses will be reimbursed under this Agreement only after CONSULTANT or sub-consultants incur and pay for such expenses.


c. Invoices shall include names of personnel performing work; dates and times of project work; locations of project work; itemized costs, including identification of personnel providing services during the period of the invoice, number of hours and hourly rates for each employee or contractor, authorized travel expenses with receipts, and receipts for authorized materials or supplies; and a written progress report detailing the work completed during the period of the invoice.

3. Relationship of the Parties. It is understood that CONSULTANT is an Independent CONSULTANT and

this Agreement is not intended to, and shall not be construed to, create the relationship of agent, servant, employee, partnership, joint venture or association, or any other relationship whatsoever other than that of Independent CONSULTANT.

4. Non-Assignability. CONSULTANT shall not assign this Agreement or any portion thereof to a third

party without the prior written consent of the C/CAG Executive Director.

5. Provision of Contracts or Sub-Agreements. CONSULTANT shall provide C/CAG copies of all contracts or sub-agreements with sub-consultants or contractors entered into in relation to this Agreement. C/CAG is required to submit these agreements to Caltrans under the DATE, 2019 Restricted Grant Agreement between C/CAG and Caltrans to develop the Countywide Sustainable Streets Master Plan.

6. Contract Term. This Agreement shall be in effect as of ________________ and shall terminate on _________________; provided, however, the C/CAG Chairperson may terminate this Agreement at any time for any reason by providing 30 days’ notice to CONSULTANT. Termination to be effective on the date specified in the notice. In the event of termination under this paragraph, CONSULTANT shall be paid for all services provided to the date of termination.

7. Hold Harmless/ Indemnity. CONSULTANT shall indemnify and save harmless C/CAG, its agents,

officers, and employees from all claims, suits or actions to the extent caused by the negligence, errors, acts or omissions of the CONSULTANT, its agents, sub-consultants, officers or employees related to or resulting from the performance, or non-performance, under this Agreement. The duty to indemnify and save harmless as set forth herein shall include the duty to defend as set forth in Section 2778 of the California Civil Code.

8. Insurance. CONSULTANT or its sub-consultants performing the services on behalf of CONSULTANT

shall not commence work under this Agreement until all insurance required under this section has been obtained. CONSULTANT shall furnish C/CAG with Certificates of Insurance evidencing the required coverage and there shall be a specific contractual liability endorsement extending the CONSULTANT’s coverage to include the contractual liability assumed by CONSULTANT pursuant to this Agreement. These Certificates shall specify or be endorsed to provide that thirty (30) days’ notice must be given, in writing, to C/CAG of any pending change in the limits of liability or of non-renewal, cancellation, or modification of the policy.

Workers’ Compensation and Employer Liability Insurance: The CONSULTANT shall have in

effect, during the entire life of this Agreement, Workers’ Compensation and Employer Liability Insurance providing full statutory coverage.

Liability Insurance: CONSULTANT shall take out and maintain during the life of this Agreement such Bodily Injury Liability and Property Damage Liability Insurance as shall protect CONSULTANT, its employees, officers and agents while performing work covered by this Agreement from any and all claims for damages for bodily injury, including accidental death, as well as any and all operations under this Agreement, whether such operations be by CONSULTANT or by any sub-consultant or by


anyone directly or indirectly employed by either of them. Such insurance shall be combined single limit bodily injury and property damage for each occurrence and shall be not less than $1,000,000 unless another amount is specified below and shows approval by C/CAG Staff.

Required insurance shall include:

Required Approval by Amount C/CAG Staff if under $ 1,000,000

a. Comprehensive General Liability $ 1,000,000 ___________

b. Workers’ Compensation $ Statutory ___________

C/CAG and its officers, agents, employees and servants shall be named as additional insured on any

such policies of insurance, which shall also contain a provision that the insurance afforded thereby to C/CAG, its officers, agents, employees and servants shall be primary insurance to the full limits of liability of the policy, and that if C/CAG, or its officers and employees have other insurance against a loss covered by such a policy, such other insurance shall be excess insurance only.

In the event of the breach of any provision of this section, or in the event any notice is received which

indicates any required insurance coverage will be diminished or canceled, the C/CAG Chairperson, at his/her option, may, notwithstanding any other provision of this Agreement to the contrary, immediately declare a material breach of this Agreement and suspend all further work pursuant to this Agreement.

9. Non-discrimination.

a. CONSULTANT and its sub-consultants shall not deny the Agreement's benefits to any person on the basis of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, or military and veteran status, nor shall they discriminate unlawfully against any employee or applicant for employment because of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, or military and veteran status. CONSULTANT shall ensure that the evaluation and treatment of employees and applicants for employment are free of such discrimination.

b. CONSULTANT shall comply with the provisions of the Fair Employment and Housing Act (Gov. Code, § 12900 et seq.), the regulations promulgated thereunder (Cal. Code Regs., tit. 2, § 11000 et seq.), the provisions of Article 9.5, Chapter 1, Part 1, Division 3, Title 2 of the Government Code (Gov. Code, §§ 11135-11139.5), and the regulations or standards adopted by Caltrans to implement such article.

c. CONSULTANT shall permit access by representatives of the Department of Fair Employment and Housing and Caltrans upon reasonable notice at any time during normal business hours, but in no case less than twenty-four (24) hours' notice, to such of its books, records, accounts, and all other sources of information and its facilities as said Department or Caltrans shall require to ascertain compliance with this clause.

d. CONSULTANT and its sub-consultants shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other agreement.


e. CONSULTANT shall include these nondiscrimination and compliance provisions in all sub-

agreements with sub-consultants or contractors.

10. Americans with Disabilities Act. CONSULTANT shall at all times comply with the applicable provisions of the Americans with Disabilities Act (ADA) of 1990 that prohibits discrimination on the basis of a disability, as well as all applicable regulations and guidelines issued pursuant to the ADA (42. U.S.C. § 12101 et seq.)

11. Compliance with All Laws. CONSULTANT shall at all times comply with all applicable laws and regulations, including without limitation those regarding services to disabled persons, including any requirements of Section 504 of the Rehabilitation Act of 1973.

12. Substitutions: If specific people are identified in Exhibit A as working on this Agreement, CONSULTANT will not assign others to work in their place without the prior written consent of the C/CAG Executive Director. Any substitution shall be with a person of commensurate experience and knowledge unless otherwise authorized by the C/CAG Executive Director.

13. Sole Property of C/CAG: Work products of CONSULTANT which are delivered under this Agreement, or which are developed, produced, and paid for under this Agreement, shall be and become the property of Caltrans or C/CAG, as provided in the DATE, 2019, Restricted Grant Agreement between C/CAG and Caltrans to develop the Countywide Sustainable Streets Master Plan. CONSULTANT shall not be liable for Caltrans’ or C/CAG’s use, modification, or re-use of products without CONSULTANT’s participation or for purposes other than those specifically intended pursuant to this Agreement.

14. Access to Records. C/CAG, or any of its duly authorized representatives, shall have access to any

books, documents, papers, and records of CONSULTANT which are directly pertinent to this Agreement for the purpose of conducting audits or examinations or making excerpts or transcriptions.

15. Retention of Records. CONSULTANT shall comply with Title 2, Code of Federal Regulations, Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. CONSULTANT shall maintain all required records for three years after C/CAG makes final payments and all other pending matters are closed.

16. Accounting System/Audits. CONSULTANT shall establish and maintain an accounting system and

records that properly accumulate and segregate incurred project costs by line. The accounting system shall conform to Generally Accepted Accounting Principles (GAAP), enable the determination of incurred costs at interim points of completion, and provide support for reimbursement payment vouchers or invoices. All accounting records and other supporting papers shall be held open to inspection, copying, and audit by representatives of C/CAG, Caltrans, the California State Auditor, and auditors representing the federal government. Copies thereof will be furnished upon receipt of any request made by C/CAG, Caltrans, or their agents. CONSULTANT shall maintain and make available for inspection all books, documents, papers, accounting records, and other evidence pertaining to the performance of this Agreement, including, but not limited to, the costs of administering this Agreement. CONSULTANT shall make such materials available at its respective offices at all reasonable times during the duration of the Agreement and for three (3) years from the date of Caltrans’ final payment to C/CAG under the DATE, 2019, Restricted Grant Agreement between C/CAG and Caltrans to develop the Countywide Sustainable Streets Master Plan. Caltrans, the California State Auditor, or any duly authorized representative of Caltrans or the United States Department of Transportation shall each have access to any books, records, and documents that are pertinent to this Agreement for audits, examinations, excerpts, and transactions, and CONSULTANT shall furnish copies thereof if requested. CONSULTANT will permit access to all records of employment, employment advertisements, employment application forms, and other pertinent data and records by the State Fair Employment Practices and Housing Commission, or any other agency of the State of California designated by Caltrans, for the purpose of any investigation to ascertain compliance with the DATE, 2019, Restricted


Grant Agreement between C/CAG and Caltrans to develop the Countywide Sustainable Streets Master Plan.

17. Merger Clause. This Agreement, including Exhibits A and B attached hereto and incorporated herein by reference, constitutes the sole agreement of the parties hereto with regard to the matters covered in this Agreement, and correctly states the rights, duties and obligations of each party as of the document’s date. Any prior agreement, promises, negotiations or representations between the parties not expressly stated in this Agreement are not binding. All subsequent modifications shall be in writing and signed by the C/CAG Chairperson. In the event of a conflict between the terms, conditions or specifications set forth herein and those in Exhibit A attached hereto, the terms, conditions or specifications set forth herein shall prevail.

18. Governing Law. This Agreement shall be governed by the laws of the State of California, without

regard to its choice of law rules, and any suit or action initiated by either party shall be brought in the County of San Mateo, California.

19. Notices. All notices hereby required under this agreement shall be in writing and delivered in person or sent by certified mail, postage prepaid and addressed as follows:

City/County Association of Governments of San Mateo County 555 County Center, 5th Floor

Redwood City, CA 94063 Attention:

Notices required to be given to the CONSULTANT shall be addressed as follows:

CONSULTANT Name

CONSULTANT Address Attention:

20. Cost Principles. a. CONSULTANT agrees to comply with Title 2, Code of Federal Regulations (CFR), Part 200, Uniform

Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, to the extent applicable.

b. CONSULTANT agrees that (a) Contract Cost Principles and Procedures, 48 CFR, Federal Acquisition Regulations System, Chapter 1, Part 31, et seq., shall be used to determine the allowability of individual Project cost items and (b) all parties shall comply with Federal administrative procedures in accordance with 2 CFR, Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.

c. CONSULTANT agrees indirect costs are not allowable under this agreement and will not include

indirect costs in any requests for payment.


IN WITNESS WHEREOF, the parties hereto have affixed their hands on the day and year first above written.

CONSULTANT

By __________________________________________________________________ ______________________________________ Date

City/County Association of Governments of San Mateo County (C/CAG) By C/CAG Chair Date C/CAG Legal Counsel By C/CAG Counsel


ATTACHMENT 3 – REQUIRED LOCAL ASSISTANCE PROCEDURES MANUAL EXHIBITS

See following the pages:

• LAPM Exhibit 10-H 1 Cost Proposal

• LAPM Exhibit 10-01 Consultant DBE Commitment

• LAPM Exhibit 15-H Good Faith Effort

• LAPM Exhibit 10-Q Disclosure of Lobbying Activities

Local Assistance Procedures Manual EXHIBIT 10-H1 Cost Proposal

Page 1 of 9 January 2018

EXHIBIT 10-H1 COST PROPOSAL Page 1 of 3

ACTUAL COST-PLUS-FIXED FEE OR LUMP SUM (FIRM FIXED PRICE) CONTRACTS (DESIGN, ENGINEERING AND ENVIRONMENTAL STUDIES)

Note: Mark-ups are Not Allowed ☐ Prime Consultant ☐ Subconsultant ☐ 2nd Tier Subconsultant

Consultant __________________________________________________________

Project No. _______________________ Contract No. ____________________ Date ____________________

DIRECT LABOR

Classification/Title Name Hours Actual Hourly Rate Total

(Project Manager)* ____________________________ ________ $ _____________ $ _____________ (Sr. Civil Engineer) ____________________________ ________ $ _____________ $ _____________ (Envir. Scientist) ____________________________ ________ $ _____________ $ _____________ (Inspector)** ____________________________ ________ $ _____________ $ _____________

LABOR COSTS a) Subtotal Direct Labor Costs $ _______________

b) Anticipated Salary Increases (see page 2 for calculation) $ _______________

c) TOTAL DIRECT LABOR COSTS [(a) + (b)] $ _______________INDIRECT COSTS d) Fringe Benefits (Rate: _____%) e) Total Fringe Benefits [(c) x (d)] $ _______________

Overhead (Rate: _____%) g) Overhead [(c) x (f)] $ _______________

h) General and Administrative (Rate: _____%) i) Gen & Admin [(c) x (h)] $ _______________

j) TOTAL INDIRECT COSTS [(e) + (g) + (i)] $ _______________

FIXED FEE k) TOTAL FIXED FEE [(c) + (j)] x fixed fee ______%] $ ______________

l) CONSULTANT’S OTHER DIRECT COSTS (ODC) – ITEMIZE (Add additional pages if necessary)Description of Item Quantity Unit Unit Cost Total

Mileage Costs $ $ Equipment Rental and Supplies $ $ Permit Fees $ $ Plan Sheets $ $ Test $ $

l) TOTAL OTHER DIRECT COSTS $

m) SUBCONSULTANTS’ COSTS (Add additional pages if necessary)Subconsultant 1: $ Subconsultant 2: $ Subconsultant 3: $ Subconsultant 4: $

m) TOTAL SUBCONSULTANTS’ COSTS $

n) TOTAL OTHER DIRECT COSTS INCLUDING SUBCONSULTANTS [(l)+(m)] $ ___________________

TOTAL COST [(c) + (j) + (k) + (n)] $ _____________________ NOTES:

1. Key personnel must be marked with an asterisk (*) and employees that are subject to prevailing wage requirements must be markedwith two asterisks (**). All costs must comply with the Federal cost principles. Subconsultants will provide their own cost proposals.

2. The cost proposal format shall not be amended. Indirect cost rates shall be updated on an annual basis in accordance with theconsultant’s annual accounting period and established by a cognizant agency or accepted by Caltrans.

3. Anticipated salary increases calculation (page 2) must accompany.




ACTUAL COST-PLUS-FIXED FEE OR LUMP SUM (FIRM FIXED PRICE) CONTRACTS (CALCULATIONS FOR ANTICIPATED SALARY INCREASES)

1. Calculate Average Hourly Rate for 1st year of the contract (Direct Labor Subtotal divided by total hours)

Direct Labor Subtotal per Cost

Proposal

Total Hours per Cost Proposal

Avg Hourly Rate

5 Year Contract Duration

$250,000.00 5000 = $50.00 Year 1 Avg Hourly Rate

2. Calculate hourly rate for all years (Increase the Average Hourly Rate for a year by proposed escalation %)

Avg Hourly Rate Proposed Escalation Year 1 $50.00 + 2% = $51.00 Year 2 Avg Hourly Rate Year 2 $51.00 + 2% = $52.02 Year 3 Avg Hourly Rate Year 3 $52.02 + 2% = $53.06 Year 4 Avg Hourly Rate Year 4 $53.06 + 2% = $54.12 Year 5 Avg Hourly Rate

3. Calculate estimated hours per year (Multiply estimate % each year by total hours)

Estimated % Completed Each Year

Total Hours per Cost Proposal

Total Hours per Year

Year 1 20.0% * 5000 = 1000 Estimated Hours Year 1 Year 2 40.0% * 5000 = 2000 Estimated Hours Year 2 Year 3 15.0% * 5000 = 750 Estimated Hours Year 3 Year 4 15.0% * 5000 = 750 Estimated Hours Year 4 Year 5 10.0% * 5000 = 500 Estimated Hours Year 5

Total 100% Total = 5000

4. Calculate Total Costs including Escalation (Multiply Average Hourly Rate by the number of hours)

Avg Hourly Rate (calculated above)

Estimated hours (calculated above)

Cost per Year

Year 1 $50.00 * 1000 = $50,000.00 Estimated Hours Year 1 Year 2 $51.00 * 2000 = $102,000.00 Estimated Hours Year 2 Year 3 $52.02 * 750 = $39,015.00 Estimated Hours Year 3 Year 4 $53.06 * 750 = $39,795.30 Estimated Hours Year 4 Year 5 $54.12 * 500 = $27,060.80 Estimated Hours Year 5

Total Direct Labor Cost with Escalation = $257,871.10 Direct Labor Subtotal before Escalation = $250,000.00

Estimated total of Direct Labor Salary Increase

= $7,871.10

Transfer to Page 1

NOTES: 1. This is not the only way to estimate salary increases. Other methods will be accepted if they clearly indicate the % increase, the #

of years of the contract, and a breakdown of the labor to be performed each year.2. An estimation that is based on direct labor multiplied by salary increase % multiplied by the # of years is not acceptable.

(i.e. $250,000 x 2% x 5 yrs = $25,000 is not an acceptable methodology)3. This assumes that one year will be worked at the rate on the cost proposal before salary increases are granted.4. Calculations for anticipated salary escalation must be provided.




Certification of Direct Costs:

I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are actual, reasonable, allowable, and allocable to the contract in accordance with the contract terms and the following requirements:

1. Generally Accepted Accounting Principles (GAAP)2. Terms and conditions of the contract3. Title 23 United States Code Section 112 - Letting of Contracts4. 48 Code of Federal Regulations Part 31 - Contract Cost Principles and Procedures5. 23 Code of Federal Regulations Part 172 - Procurement, Management, and Administration of

Engineering and Design Related Service 6. 48 Code of Federal Regulations Part 9904 - Cost Accounting Standards Board (when applicable)

All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files and be in compliance with applicable federal and state requirements. Costs that are noncompliant with the federal and state requirements are not eligible for reimbursement. Local governments are responsible for applying only cognizant agency approved or Caltrans accepted Indirect Cost Rate(s).

Prime Consultant or Subconsultant Certifying:

Name: Title *:

Signature : Date of Certification (mm/dd/yyyy):

Email: Phone Number:

Address:

*An individual executive or financial officer of the consultant’s or subconsultant’s organization at a levelno lower than a Vice President or a Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the cost proposal for the contract.

List services the consultant is providing under the proposed contract:

https://www.gpo.gov/fdsys/pkg/USCODE-2011-title23/pdf/USCODE-2011-title23-chap1-sec112.pdf

http://www.ecfr.gov/cgi-bin/text-idx?SID=7d7984e723af183358e1cb797a78877f&mc=true&node=sp48.1.31.31_12&rgn=div6

http://www.ecfr.gov/cgi-bin/text-idx?rgn=div5&node=23:1.0.1.2.3

https://www.gpo.gov/fdsys/pkg/CFR-2010-title48-vol7/xml/CFR-2010-title48-vol7-part9904.xml




SPECIFIC RATE OF COMPENSATION (USE FOR ON-CALL OR AS-NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS)

Note: Mark-ups are Not Allowed Consultant __________________________________________ ☐ Prime Consultant ☐ Subconsultant ☐ 2nd Tier Subconsultant

Project No. _______________________ Contract No. _________________ Participation Amount $____________________ Date ________________

For Combined Rate Fringe Benefit % + General &Administrative % = Combined ICR%

OR For Home Office Rate

Fringe Benefit % + General &Administrative % = Home Office ICR% For Field Office Rate

Fringe Benefit % + General &Administrative % = Field Office ICR%

Fee = %

BILLING INFORMATION CALCULATION INFORMATION Name/Job Title/Classification1 Hourly Billing Rates2

Straight3 OT(1.5x) OT(2x) Effective Date of Hourly Rate

From To Actual or Avg. Hourly Rate4

% or $ Increase

Hourly Range - for Classifications Only

John Doe – Project Manager * Civil Engineer II

$0.00 $0.00 $0.00

$0.00 $0.00 $0.00

$0.00 $0.00 $0.00

01/01/2016 01/01/2017 01/01/2018

12/31/2016 12/31/2017 12/31/2018

$0.00 $0.00 $0.00

0.0% 0.0%

Not Applicable

Sue Jones – Construction Engineer/Inspector Engineer I

$0.00 $0.00 $0.00

$0.00 $0.00 $0.00

$0.00 $0.00 $0.00

01/01/2016 01/01/2017 01/01/2018

12/31/2016 12/31/2017 12/31/2018

$0.00 $0.00 $0.00

0.0% 0.0%

Not Applicable

Buddy Black – Claims Engineer Engineer III

$0.00 $0.00 $0.00

$0.00 $0.00 $0.00

$0.00 $0.00 $0.00

01/01/2016 01/01/2017 01/01/2018

12/31/2016 12/31/2017 12/31/2018

$0.00 $0.00 $0.00

0.0% 0.0%

Not Applicable

Land Surveyor ** $0.00 $0.00 $0.00

$0.00 $0.00 $0.00

$0.00 $0.00 $0.00

01/01/2016 01/01/2017 01/01/2018

12/31/2016 12/31/2017 12/31/2018

$0.00 $0.00 $0.00

0.0% 0.0%

$00 - $00 $00 - $00 $00 - $00

Technician $0.00 $0.00 $0.00

$0.00 $0.00 $0.00

$0.00 $0.00 $0.00

01/01/2016 01/01/2017 01/01/2018

12/31/2016 12/31/2017 12/31/2018

$0.00 $0.00 $0.00

0.0% 0.0%

$00 - $00 $00 - $00 $00 - $00

(Add pages as necessary)


Page 5 of 9

January 2018

NOTES: 1. Key personnel must be marked with an asterisk (*) and employees that are subject to prevailing wage requirements must be marked with two asterisks (**).All costs must comply

with the Federal cost principles. Subconsultants will provide their own cost proposals. 2. The cost proposal format shall not be amended. 3. Billing rate = actual hourly rate * (1+ ICR) * (1+ Fee). Indirect cost rates shall be updated on an annual basis in accordance with the consultant’s annual accounting period and

established by a cognizant agency or accepted by Caltrans. All costs must comply with the Federal cost principles for reimbursement. 4. For named employees and key personnel enter the actual hourly rate. For classifications only, enter the Average Hourly Rate for that classification.


SPECIFIC RATE OF COMPENSATION (USE FOR ON-CALL OR AS-NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS)

Consultant __________________________________________ ☐ Prime Consultant ☐ Subconsultant Project No. _______________________ Contract No. ____________________ Date ____________________

SCHEDULE OF OTHER DIRECT COST ITEMS (Add additional pages as necessary) Description of Item Quantity Unit Unit Cost Total

Mileage Costs $ $ Equipment Rental and Supplies $ $ Permit Fees $ $ Plan Sheets $ $ Test $ $ Vehicle $ $ Subconsultant 1: $ Subconsultant 2: $ Subconsultant 3: $ Subconsultant 4: $ Subconsultant 5: $

Note: Add additional pages if necessary. NOTES:

1. List other direct cost items with estimated costs. These costs should be competitive in their respective industries and supported with appropriate documentation. 2. Proposed ODC items should be consistently billed regardless of client and contract type. 3. Items when incurred for the same purpose, in like circumstance, should not be included in any indirect cost pool or in the overhead rate. 4. Items such as special tooling, will be reimbursed at actual cost with supporting documentation (invoice). 5. Items listed above that would be considered "tools of the trade" are not reimbursable as other direct cost. 6. Travel related costs should be pre-approved by the contracting agency and shall not exceed current State Department of Personnel Administration rules.



7. If mileage is claimed, the rate should be properly supported by the consultant's calculation of their actual costs for company vehicles. In addition, the miles claimed should besupported by mileage logs.

8. If a consultant proposes rental costs for a vehicle, the company must demonstrate that this is its standard procedure for all of their contracts and that they do not own any vehiclesthat could be used for the same purpose.

9. The cost proposal format shall not be amended. All costs must comply with the Federal cost principles.10. Add additional pages if necessary.11. Subconsultants must provide their own cost proposals.







Engineering and Design Related Service 12. 48 Code of Federal Regulations Part 9904 - Cost Accounting Standards Board (when applicable)

All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files and be in compliance with applicable federal and state requirements. Costs that are noncompliant with the federal and state requirements are not eligible for reimbursement.


Name: Title *:



Address:

* An individual executive or financial officer of the consultant’s or subconsultant’s organization at a levelno lower than a Vice President or a Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the cost proposal for the contract.






Local Assistance Procedures Manual EXHBIT 10-H3 Cost Proposal



COST PER UNIT OF WORK CONTRACTS (GEOTECHNICAL AND MATERIAL TESTING)

Note: Mark-ups are Not Allowed ☐ Prime Consultant ☐ Subconsultant ☐ 2nd Tier Subconsultant

Consultant __________________________________________

Project No. _______________________ Contract No. ____________________ Date ____________________

Unit/Item of Work: (Example: Log of Test Boring for Soils Report, or ADL Testing for Hazardous Waste Material Study) Include as many Items as necessary.

DIRECT LABOR Hours Billing Hourly Rate ($) Total ($)

Professional (Classification)* _________ _________ _________

Sub-professional/Technical** _________ _________ _________

EQUIPMENT 1 (with Operator) _________ _________ _________

EQUIPMENT 2 (with Operator) _________ _________ _________

Consultant’s Other Direct Costs (ODC) – Itemize: Description of Item Quantity Unit Unit Cost Total

ODC Example: Travel/Mileage Costs $ $ ODC Example: Mobilization/De-mobilization $ $ ODC Example: Supplies/Consumables $ $ ODC Example: Report $ $ ODC (List more ODCs as applicable) $ $ Subconsultant 1: $ Subconsultant 2: $ Subconsultant 3: $ Subconsultant 4: $ Subconsultant 5: $

Note: Attach additional pages if necessary.

TOTAL COST PER UNIT OF WORK $_______________

NOTES: 1. Key personnel must be marked with an asterisk (*) and employees that are subject to prevailing wage requirements must be

marked with two asterisks (**). All costs must comply with the Federal cost principles. Subconsultants will provide their owncost proposals. The cost proposal format shall not be amended.

2. Hourly billing rates should include prevailing wage rates and be consistent with publicly advertised rates charged to all clients(Commercial, Private or Public).

3. Mobilization/De-mobilization is based on site location and number and frequency of tests/items.4. ODC items shall be based on actual costs and supported by historical data and other documentation.5. ODC items that would be considered “tools of the trade” are not reimbursable.6. Billing Hourly Rates must be actual, allowable, and reasonable.

Local Assistance Procedures Manual EXHBIT 10-H3 Cost Proposal






Engineering and Design Related Service 18. 48 Code of Federal Regulation Part 9904 - Cost Accounting Standards Board (when applicable)

All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files and be in compliance with applicable federal and state requirements. Costs that are noncompliant with the federal and state requirements are not eligible for reimbursement.


Name: Title*:



Address:

* An individual executive or financial officer of the consultant’s or subconsultant’s organization at a levelno lower than a Vice President or a Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the cost proposal for the contract.






Local Assistance Procedures Manual Exhibit 10-O1 Consultant Proposal DBE Commitment

Page 1 of 2 July 23, 2015

EXHIBIT 10-O1 CONSULTANT PROPOSAL DBE COMMITMENT

1. Local Agency: 2. Contract DBE Goal:

3. Project Description:

4. Project Location:

5. Consultant's Name: 6. Prime Certified DBE:

7. Description of Work, Service, or Materials Supplied

8. DBE Certification

Number 9. DBE Contact Information 10. DBE %

Local Agency to Complete this Section

11. TOTAL CLAIMED DBE PARTICIPATION % 17. Local Agency Contract Number:

18. Federal-Aid Project Number:

19. Proposed Contract Execution Date:

Local Agency certifies that all DBE certifications are valid and information on this form is complete and accurate.

IMPORTANT: Identify all DBE firms being claimed for credit, regardless of tier. Written confirmation of each listed DBE is required.

20. Local Agency Representative's Signature 21. Date

12. Preparer's Signature 13. Date

22. Local Agency Representative's Name 23. Phone

14. Preparer's Name 15. Phone

24. Local Agency Representative's Title

16. Preparer's Title

DISTRIBUTION: Original – Included with consultant’s proposal to local agency. ADA Notice: For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 654-6410 or TDD (916) 654-

3880 or write Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.

Local Assistance Procedures Manual Exhibit 10-O1 Consultant Proposal DBE Commitment

Page 2 of 2 July 23, 2015

INSTRUCTIONS – CONSULTANT PROPOSAL DBE COMMITMENT

CONSULTANT SECTION 1. Local Agency - Enter the name of the local or regional agency that is funding the contract. 2. Contract DBE Goal - Enter the contract DBE goal percentage as it appears on the project advertisement. 3. Project Description - Enter the project description as it appears on the project advertisement (Bridge Rehab, Seismic Rehab, Overlay, Widening, etc.). 4. Project Location - Enter the project location as it appears on the project advertisement. 5. Consultant’s Name - Enter the consultant’s firm name. 6. Prime Certified DBE - Check box if prime contractor is a certified DBE. 7. Description of Work, Services, or Materials Supplied - Enter description of work, services, or materials to be provided. Indicate all work to be performed by DBEs including work performed by the prime consultant’s own forces, if the prime is a DBE. If 100% of the item is not to be performed or furnished by the DBE, describe the exact portion to be performed or furnished by the DBE. See LAPM Chapter 9 to determine how to count the participation of DBE firms. 8. DBE Certification Number - Enter the DBE’s Certification Identification Number. All DBEs must be certified on the date bids are opened. 9. DBE Contact Information - Enter the name, address, and phone number of all DBE subcontracted consultants. Also, enter the prime consultant’s name and phone number, if the prime is a DBE. 10. DBE % - Percent participation of work to be performed or service provided by a DBE. Include the prime consultant if the prime is a DBE. See LAPM Chapter 9 for how to count full/partial participation. 11. Total Claimed DBE Participation % - Enter the total DBE participation claimed. If the total % claimed is less than item “Contract DBE Goal,” an adequately documented Good Faith Effort (GFE) is required (see Exhibit 15-H DBE Information - Good Faith Efforts of the LAPM). 12. Preparer’s Signature - The person completing the DBE commitment form on behalf of the consultant’s firm must sign their name. 13. Date - Enter the date the DBE commitment form is signed by the consultant’s preparer. 14. Preparer’s Name - Enter the name of the person preparing and signing the consultant’s DBE commitment form. 15. Phone - Enter the area code and phone number of the person signing the consultant’s DBE commitment form. 16. Preparer’s Title - Enter the position/title of the person signing the consultant’s DBE commitment form. LOCAL AGENCY SECTION 17. Local Agency Contract Number - Enter the Local Agency contract number or identifier. 18. Federal-Aid Project Number - Enter the Federal-Aid Project Number. 19. Proposed Contract Execution Date - Enter the proposed contract execution date. 20. Local Agency Representative’s Signature - The person completing this section of the form for the Local Agency must sign their name to certify that the information in this and the Consultant Section of this form is complete and accurate. 21. Date - Enter the date the DBE commitment form is signed by the Local Agency Representative. 22. Local Agency Representative’s Name - Enter the name of the Local Agency Representative certifying the consultant’s DBE commitment form. 23. Phone - Enter the area code and phone number of the person signing the consultant’s DBE commitment form. 24. Local Agency Representative Title - Enter the position/title of the Local Agency Representative certifying the consultant’s DBE commitment form.

Local Assistance Procedures Manual EXHBIT 10-Q

Disclosure of Lobbying Activities

Page 1

LPP 13-01 May 8, 2013

EXHIBIT 10-Q DISCLOSURE OF LOBBYING ACTIVITIES

COMPLETE THIS FORM TO DISCLOSE LOBBYING ACTIVITIES PURSUANT TO 31 U.S.C. 1352

1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type:

a. contract

a. bid/offer/application

a. initial

b. grant b. initial award b. material change

c. cooperative agreement c. post-award

d. loan For Material Change Only: e. loan guarantee year ____ quarter _________

f. loan insurance date of last report __________

4. Name and Address of Reporting Entity 5. If Reporting Entity in No. 4 is Subawardee,

Enter Name and Address of Prime:

Prime Subawardee

Tier _______ , if known Congressional District, if known Congressional District, if known

6. Federal Department/Agency: 7. Federal Program Name/Description:

CFDA Number, if applicable ____________________

8. Federal Action Number, if known: 9. Award Amount, if known:

10. Name and Address of Lobby Entity 11. Individuals Performing Services

(If individual, last name, first name, MI) (including address if different from No. 10)

(last name, first name, MI)

(attach Continuation Sheet(s) if necessary)

12. Amount of Payment (check all that apply) 14. Type of Payment (check all that apply)

$ _____________ actual planned a. retainer

b. one-time fee

13. Form of Payment (check all that apply): c. commission

a. cash d. contingent fee

b. in-kind; specify: nature _______________ e deferred

Value _____________ f. other, specify _________________________

15. Brief Description of Services Performed or to be performed and Date(s) of Service, including officer(s), employee(s), or member(s) contacted, for Payment Indicated in Item 12:

(attach Continuation Sheet(s) if necessary)

16. Continuation Sheet(s) attached: Yes No

17. Information requested through this form is authorized by Title

31 U.S.C. Section 1352. This disclosure of lobbying reliance

was placed by the tier above when his transaction was made or entered into. This disclosure is required pursuant to 31 U.S.C.

1352. This information will be reported to Congress semiannually and will be available for public inspection. Any

person who fails to file the required disclosure shall be subject

to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

Signature: ________________________________________

Print Name: _______________________________________

Title: ____________________________________________

Telephone No.: ____________________ Date: ___________

Authorized for Local Reproduction

Federal Use Only: Standard Form - LLL

Standard Form LLL Rev. 04-28-06

Distribution: Orig- Local Agency Project Files

Local Assistance Procedures Manual EXHBIT 10-Q

Disclosure of Lobbying Activities

Page 2

LPP 13-01 May 8, 2013

INSTRUCTIONS FOR COMPLETING EXHIBIT 10-Q DISCLOSURE OF LOBBYING ACTIVITIES

This disclosure form shall be completed by the reporting entity, whether subawardee or prime federal recipient at the

initiation or receipt of covered federal action or a material change to previous filing pursuant to title 31 U.S.C. Section 1352.

The filing of a form is required for such payment or agreement to make payment to lobbying entity 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 a covered federal action. Attach a continuation sheet for additional

information if the space on the form is inadequate. Complete all items that apply for both the initial filing and material

change report. Refer to the implementing guidance published by the Office of Management and Budget for additional

information.

1. Identify the type of covered federal action for which lobbying activity is or has been secured to influence, the outcome of a

covered federal action.

2. Identify the status of the covered federal action.

3. Identify the appropriate classification of this report. If this is a follow-up report caused by a material change to the information

previously reported, enter the year and quarter in which the change occurred. Enter the date of the last, previously submitted

report by this reporting entity for this covered federal action.

4. Enter the full name, address, city, state, and zip code of the reporting entity. Include Congressional District if known. Check the

appropriate classification of the reporting entity that designates if it is or expects to be a prime or subaward recipient. Identify the

tier of the subawardee, e.g., the first subawardee of the prime is the first tier. Subawards include but are not limited to:

subcontracts, subgrants, and contract awards under grants.

5. If the organization filing the report in Item 4 checks "Subawardee" then enter the full name, address, city, state, and zip code of

the prime federal recipient. Include Congressional District, if known.

6. Enter the name of the federal agency making the award or loan commitment. Include at least one organization level below

agency name, if known. For example, Department of Transportation, United States Coast Guard.

7. Enter the federal program name or description for the covered federal action (item 1). If known, enter the full Catalog of Federal

Domestic Assistance (CFDA) number for grants, cooperative agreements, loans and loan commitments.

8. Enter the most appropriate federal identifying number available for the federal action identification in item 1 (e.g., Request for

Proposal (RFP) number, Invitation for Bid (IFB) number, grant announcement number, the contract grant. or loan award number,

the application/proposal control number assigned by the federal agency). Include prefixes, e.g., "RFP-DE-90-001."

9. For a covered federal action where there has been an award or loan commitment by the Federal agency, enter the federal amount

of the award/loan commitments for the prime entity identified in item 4 or 5.

10. Enter the full name, address, city, state, and zip code of the lobbying entity engaged by the reporting entity identified in Item 4 to

influence the covered federal action.

11. Enter the full names of the individual(s) performing services and include full address if different from 10 (a). Enter Last Name,

First Name and Middle Initial (Ml).

12. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity (Item 4) to the lobbying entity

(Item 10). Indicate whether the payment has been made (actual) or will be made (planned). Check all boxes that apply. If this is

a material change report, enter the cumulative amount of payment made or planned to be made.

13. Check all boxes that apply. If payment is made through an in-kind contribution, specify the nature and value of the in-kind

payment.

14. Check all boxes that apply. If other, specify nature.

15. Provide a specific and detailed description of the services that the lobbyist has performed or will be expected to perform and the

date(s) of any services rendered. Include all preparatory and related activity not just time spent in actual contact with federal

officials. Identify the federal officer(s) or employee(s) contacted or the officer(s) employee(s) or Member(s) of Congress that

were contacted.

16. Check whether or not a continuation sheet(s) is attached.

17. The certifying official shall sign and date the form, and print his/her name title and telephone number.

Public reporting burden for this collection of information is estimated to average 30-minutes per response, including time for reviewing

instruction, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of

information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for

reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0046), Washington, D.C. 20503. SF-

LLL-Instructions Rev. 06-04

Local Assistance Procedures Manual Exhibit 15-H DBE Information - Good Faith Effort

Page 15-1 OB 12-04 June 29, 2012

EXHIBIT 15-H DBE INFORMATION —GOOD FAITH EFFORTS

DBE INFORMATION - GOOD FAITH EFFORTS Federal-aid Project No. ______________________________ Bid Opening Date ___________________ The established a Disadvantaged Business Enterprise (DBE) goal of _____% for this project. The information provided herein shows that a good faith effort was made. Lowest, second lowest and third lowest bidders shall submit the following information to document adequate good faith efforts. Bidders should submit the following information even if the “Local Agency Bidder DBE Commitment” form indicates that the bidder has met the DBE goal. This will protect the bidder’s eligibility for award of the contract if the administering agency determines that the bidder failed to meet the goal for various reasons, e.g., a DBE firm was not certified at bid opening, or the bidder made a mathematical error. Submittal of only the “Local Agency Bidder DBE Commitment” form may not provide sufficient documentation to demonstrate that adequate good faith efforts were made. The following items are listed in the Section entitled “Submission of DBE Commitment” of the Special Provisions:

A. The names and dates of each publication in which a request for DBE participation for this project was placed by the bidder (please attach copies of advertisements or proofs of publication):

Publications Dates of Advertisement

_________________________________________________________________ _________________________________________________________________ _________________________________________________________________

B. The names and dates of written notices sent to certified DBEs soliciting bids for this project and

the dates and methods used for following up initial solicitations to determine with certainty whether the DBEs were interested (please attach copies of solicitations, telephone records, fax confirmations, etc.):

Names of DBEs Solicited Date of Initial

Solicitation Follow Up Methods and Dates

___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________

Exhibit 15-H Local Assistance Procedures Manual DBE Information -Good Faith Effort

Page 15-2 June 29, 2012 OB 12-04

C. The items of work which the bidder made available to DBE firms including, where appropriate,

any breaking down of the contract work items (including those items normally performed by the bidder with its own forces) into economically feasible units to facilitate DBE participation. It is the bidder's responsibility to demonstrate that sufficient work to facilitate DBE participation was made available to DBE firms.

Items of Work Bidder Normally

Performs Item (Y/N)

Breakdown of Items

Amount ($)

Percentage Of

Contract

______________________________________________________________________________________ ______________________________________________________________________________________ ______________________________________________________________________________________

D. The names, addresses and phone numbers of rejected DBE firms, the reasons for the bidder's

rejection of the DBEs, the firms selected for that work (please attach copies of quotes from the firms involved), and the price difference for each DBE if the selected firm is not a DBE:

Names, addresses and phone numbers of rejected DBEs and the reasons for the bidder's rejection

of the DBEs: _______________________________________________________________ _______________________________________________________________ _______________________________________________________________ _______________________________________________________________

Names, addresses and phone numbers of firms selected for the work above: _______________________________________________________________ _______________________________________________________________ _______________________________________________________________ _______________________________________________________________

E. Efforts made to assist interested DBEs in obtaining bonding, lines of credit or insurance, and any

technical assistance or information related to the plans, specifications and requirements for the work which was provided to DBEs:

_______________________________________________________________ _______________________________________________________________ _______________________________________________________________ _______________________________________________________________

Local Assistance Procedures Manual Exhibit 15-H DBE Information - Good Faith Effort

Page 15-3 OB 12-04 June 29, 2012

F. Efforts made to assist interested DBEs in obtaining necessary equipment, supplies, materials or

related assistance or services, excluding supplies and equipment the DBE subcontractor purchases or leases from the prime contractor or its affiliate: ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________

G. The names of agencies, organizations or groups contacted to provide assistance in contacting,

recruiting and using DBE firms (please attach copies of requests to agencies and any responses received, i.e., lists, Internet page download, etc.):

Name of Agency/Organization Method/Date of Contact Results

____________________________________________________________________________________ ____________________________________________________________________________________

H. Any additional data to support a demonstration of good faith efforts (use additional sheets if

necessary): ______________________________________________________________________________ ______________________________________________________________________________

NOTE: USE ADDITIONAL SHEETS OF PAPER IF NECESSARY.

Documents

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