Precontractual Requirement

This section of the manual summarizes general precontractual requirements applicable to all Grantees. However, it is not an exhaustive list or a thorough description of the precontractual process. Depending on the type of construction project, other precontractual requirements may be necessary. Grantee representatives should work closely with their Board-assigned field representative throughout the process.

Prior to signing a grant contract with the Board, Grantees must meet specific state and/or federal requirements and have received approvals and/or acceptances from the Board. All precontractual submittals and subsequent approvals/acceptances should be coordinated by an authorized county representative (the Contact Person or the County Construction Administrator designated by the Board of Supervisors).

County Board of Supervisors Assurances

The grant award, and the formal grant contract that is entered into as a result, is between the State of California, acting by and through the Board, and the county identified as the Grantee. Certain precontractual assurances must be made by a county Board of Supervisors resolution(s). One copy of the resolution(s), certified by the county clerk as true and correct, must be filed with the Board that:

          Authorizes the Chair of the Board of Supervisors to: 1) sign the grant contract and any subsequent amendments between the county and the state Board; and 2) identify the County Construction Administrator, Project Financial Officer, and County Contact Person. (If a person other than the County Construction Administrator is authorized to be the Contact Person and act on behalf of the county, this person must be a county employee [not a contractor] and must be identified by resolution. Any and all instructions or information provided to or from the Board via the designated County Construction Administrator, Project Financial Officer, or other designated County Contact Person will be considered as official instructions or information to or from the Grantee.)

       Assures that the county will adhere to state and/or federal requirements and terms of the grant contract.

       Assures that grant funds and cash match do not replace (supplant) funds otherwise dedicated or appropriated for the same construction activities.

       Assures that the county has reviewed, approved, and is committed to the need for additional staff and operating costs should they result from the project.

       Approves the facility staffing plan and agrees to fully and safely staff and operate the facility subject to construction in the grant project within 90 days of project completion (consistent with Title 15, CCR).

      Assures (and county counsel attests) that the county has a fee simple or other such estate or interest in the site of the project and rights of access sufficient to assure undisturbed use and possession of the site and will not dispose of, modify the use of, or change the terms of the real property title or other interest in the site of the facility subject to construction in this grant project, or lease the facility for operation by other entities without permission and instructions from the state Board of Corrections (state grant funds) or the Office of Justice Programs, U.S. Department of Justice (federal grant funds).

      Attests to $_______ as the site acquisition land cost or current fair market value of the land for a new or expanded facility (land only - supported by actual cost documentation or county appraisal) if any portion of this cost/value is claimed as in-kind match. (This can be claimed for land cost/value for new facility construction, land cost/value of a closed facility that will be renovated and reopened, or land cost/value used for expansion of an existing facility. It cannot be used for land cost/value under an existing operational detention facility.)

Regional Facility

The county that holds a fee simple or other such estate or interest in the site of the project and has rights of access sufficient to assure undisturbed use and possession of the site will be the county that is designated to receive grant funds. This county will be placed under formal Board grant contract with the obligation to perform and complete construction and provide the required match.

The county under grant contract may enter into legal arrangements, as it deems appropriate, to ensure that its regional partners use the facility and/or provide a portion of cash to meet match requirements. However, notwithstanding any provision of any regional grant contract, compact, Memorandum of Understanding, or Joint Powers Agreement, the failure of any partner county to use the facility or to provide cash to the county under Board grant contract, does not relieve the county under Board grant contract from its construction and cash match performance obligations. This means the county under grant contract must successfully complete construction of the facility regardless of any changes in regional partnerships.

Architectural and Construction Specification Submittals

The Board does not grant "variances" to regulations. However, "pilot projects" and "alternate means of compliance" (both defined in Titles 15 and 24, CCR) may be proposed if a Grantee seeks Board approval to test a process that will "meet or exceed" the intent of a regulation in an innovative way. There is no guarantee that the Board will approve any pilot project or alternate means of compliance requests. Grantees that have any concerns about ability to meet standards or intend to request pilot projects or alternate means of compliance should immediately consult with their Board grant field representative, architectural plan reviewers and Board-assigned facility inspectors to discuss feasibility issues and options for proceeding before beginning construction drawings. In addition, the Board encourages pre-design meetings in Sacramento before counties begin schematic design-level drawings in order to address standards questions.

After grant awards, counties typically have architects begin development of formal drawings and construction plans. Board staff and the State Fire Marshal (located at the Board) are responsible for conducting formal architectural plan reviews for safety, security, and compliance with regulations. Two sets of full size (at least 1/8" scale) architectural drawings and construction specifications must be submitted to the Board at three stages for staff review and approval/acceptance: 1) Schematic Design; 2) Design Development; and 3) Construction Documents.

Board staff will review these submittals for compliance with Titles 15, 19, and 24, CCR (operational, fire, and construction standards). At each submittal stage, written responses are sent to the Grantee. Board staff review is necessary to ensure that proposed construction meets regulations and may help save costs or avoid mistakes that would be difficult to later remedy. Sometimes Grantees may be required to make design changes necessary to comply with regulations or to remedy safety or security defects.

Schematic Design stage means plans and specifications that are 30 percent (30%) complete and generally include a site plan, floor plan, exterior elevations and cross sections, type of construction, and actual gross floor area. An operational program statement must accompany the schematic plans. The program statement is a narrative description of project impact. The content of the program statement is defined in Title 24, CCR. Please note that this is not the same as the "Architectural Program." The schematic design submittal is the first formal, official review point of construction plans by the Board. Any response to general or conceptual inquiries before schematic design and program statement submittal and review does not constitute formal plan review or official acceptance by the Board or State Fire Marshal.

Design Development stage means plans and specifications that are 50 percent (50%) complete and generally include outline specifications (detention hardware, fixed equipment and fixed furnishings); floor plans (to scale with dimensions, room designations, references, wall types and ratings); building sections (heights and dimensions); interior elevations; and, preliminary structural, mechanical, and electrical drawings. A staffing plan and an operations and staffing cost analysis must accompany the design development documents for Board review and approval (staffing plan must be of sufficient detail to show 24 hours a day, 7 days a week staffing compliance with Title 15, CCR). Any exception to this policy must be discussed with and approved by the BOC assigned construction grant field representative.

Construction Documents stage means plans and specifications that are 100 percent (100%) complete and generally include completed specifications with bid proposal documents; completed construction documents; and special interest items (any corrections, modifications, or additions made to the documents).

Counties should follow this process in making all submittals to the Board:

       Send submittals to the Board using the County Transmittal cover form (Appendix B).

       Contact the Board architectural plan reviewer to ensure that the submittal has been received and to determine if a meeting is necessary to discuss the submittal.

Environmental Reports

Environmental Impact Report (EIR) is defined in detail in the California Environmental Quality Act (CEQA). The purpose of an EIR is to provide public agencies and citizens with detailed information about the effect which a proposed project is likely to have on the environment; list ways in which the significant effects of such a project might be minimized; and indicate alternatives to the project. Refer to the CEQA guidelines to determine whether or not the proposed project requires an EIR be performed. Counties are solely responsible for determining and complying with EIR and CEQA obligations for the project. The county must submit to the Board sufficient information attesting to compliance with CEQA such as a copy of its final notice of determination, negative declaration, or a statement of exemption on project environmental reports, if required under CEQA. CEQA applies to state- and federal-funded construction projects.

In addition, for federally funded projects, counties must comply with the National Environmental Policy Act (NEPA), to be initiated as part of the planning and site selection phase. Environmental reports must be completed and comply with the provisions of the Program Guidance on Environmental Protection Requirements (copies of federal environmental requirements are available upon request to the BOC). CEQA/NEPA procedures should be undertaken concurrently to save time and costs. Recipients of federal grant funds cannot: 1) purchase property; 2) initiate the development of or approve final plans and specifications; 3) advertise for construction bids; 4) accept construction bids; or 5) start construction until projects have received federal environmental approval.

Exemption Statement

If for any reason the project is exempted from any or all federal, state, or local laws, regulations, ordinances, standards or requirements, the county must provide the Board with a statement citing the appropriate exemption.

Construction Agreement, Bonds/Insurance, and Notice to Proceed

The county must submit the following to the Board: 1) a summary of all bids received for the project with a statement of which contractor(s) the bid was awarded to and why; and 2) a copy of the notice to proceed issued to its contractor(s).

The county shall ensure that its Agreement for Construction with its contractor(s) contains all necessary requirements and advisement as identified in provisions of the six-part Standard Board State/County Grant Contract in Appendix C. These include but are not limited to record keeping, nondiscrimination, and access requirements. In addition, the county shall require the contractor(s) to post payment and performance bonds, each of which shall be in an amount not less than 100 percent (100%) of the contract price.

The county shall have its contractor(s) list construction costs according to the Construction Specification Institute (CSI) Divisions and the Schedule of Values as specified in provisions of the county-specific grant contract with the Board. Generic CSI Division elements are contained in Appendix E. Since certain portions of the project may not be eligible for grant (or match) payment in all requests for reimbursement, the contractor(s) shall separately list work not eligible for payment with grant (or match) funds, and the County Construction Administrator shall identify such work for the contractor(s).

The county shall obtain all necessary insurance (e.g., fire and extended coverage, workers' compensation, public liability and property damage, "all-risk" coverage, and, if applicable, flood insurance). Proof of flood insurance, if applicable, shall be provided to the Board within 60 days after the grant contract begins.

County Submittals for State Grant Contract Development

In order for the Board to prepare a grant contract, the county must provide the Board with: 1) a schedule of values of grant funds, cash (hard) match, and in-kind (soft) match listed by appropriate budget items (see Grant Contract Requirements); 2) construction schedule, project management plan, and names/roles of key personnel; and 3) a description of official county arrangements to pay its project costs, including a copy of the appropriation schedule and identification of the source of cash match; estimated grant and cash match expenditure schedule; and reserves for cash flow during the construction period. The expenditure schedule of cash (hard) match must be at least proportional to the expenditure of grant funds. Cash flow must be sufficient to enable the county to operate its construction project on a quarterly reimbursement basis.