HomeMy WebLinkAboutItem 19 - Agreement with Robert D. Niehaus, Inc. for Long-Term Financial Planning and Water and Sewer Cost of Service Study Public Works Agency
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Item # 19
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
May 20, 2025
TOPIC: Agreement for Water and Sewer Long-term Financial Planning and Cost of
Service Study
AGENDA TITLE
Agreement with Robert D. Niehaus, Inc. for Long-Term Financial Planning and Water
and Sewer Cost of Service Study (Specification No. 25-013) (Non-General Fund)
RECOMMENDED ACTION
Approve an agreement with Robert D. Niehaus, Inc. to conduct long-term financial
planning and a water and sewer cost of service study for an amount not to exceed
$130,850, for a term beginning May 20, 2025 and expiring May 19, 2028, with a
provision for two one-year extensions (Agreement No. A-2025-XXX).
GOVERNMENT CODE §84308 APPLIES: Yes
DISCUSSION
The Public Works Agency’s (PWA) Water Resources Division oversees the daily
operations and maintenance of the City’s water and sanitary sewer systems. The water
system is comprised of approximately 480 miles of water main, 21 groundwater wells,
seven pump stations, 10 reservoirs with a storage capacity of 49 million gallons, four
pressure regulating stations, and seven connection points to the Metropolitan Water
District. The system has an average daily demand of 30 million gallons from its roughly
45,500 metered service connections.
On November 19, 2019, at the conclusion of a comprehensive rate study that developed
multi-year financial forecasting models for the Water and Sewer Enterprises to
determine the level of annual rate revenue required to satisfy projected annual
operating costs and identified capital needs, the City Council adopted a five-year rate
plan for the City’s water and sewer services. The final rate adjustment of the current
five-year plan took effect on July 1, 2023. To comply with California Proposition 218
requirements regarding the application of fair and equitable utility rates amongst
ratepayers, it is necessary to perform a new cost of service and rate study to ensure
Water Resources has the financial resources to continue the delivery of high-quality
water and sewer services.
Agreement for Water and Sewer Cost of Service Study
May 20, 2025
Page 2
5
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9
Since the adoption of the current rate plan, Water Resources has undertaken a number
of major infrastructure projects recommended in its master plan documents, including
the rehabilitation of several wells, replacement of water pipeline, the addition of a new
well, and the implementation of a smart water meter program. However, additional
capital improvements, including the emerging need of PFAS treatment facilities, as well
as the increased costs of operations and maintenance, require a review of the current
rate structure and enterprise finances to determine how to achieve these needs.
On January 30, 2025, the Public Works Agency released Request for Proposals (RFP)
No. 25-013 (Exhibit 1) for qualified firms to provide long-term financial planning and
water and sewer rate study services. The RFP was advertised on the City’s online bid
management and publication system, PlanetBids, with proposals due on February 27,
2025. A summary of system records of vendor participation and results is as follows:
1099 Vendors Notified
46 Santa Ana Vendors Notified
25 Vendors Downloaded the Bid Packet
4 Proposals Received
0 Proposals Received from Santa Ana Vendors
Staff recommends awarding an agreement (Exhibit 2) to Robert D. Niehaus, Inc. (RDN)
to provide long-term financial planning and water and sewer rate study services. RDN’s
proposal demonstrates the firm has the necessary technical expertise and capacity to
complete the scope of work identified in the RFP. RDN has developed financial plans
and rate studies for myriad utilities, both locally and nationally, and is familiar with City
operations, having previously worked with the Water Resources Division to review its
financial plans.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with the action.
FISCAL IMPACT
Funding is available in the FY 24-25 budget and funding for subsequent fiscal years will
be included in the proposed budgets for City Council consideration.
Fiscal Year Accounting
Unit –
Account #
Fund
Description
Accounting Unit,
Account
Description
Amount
Contract (3-Year Term)
2024-25 06017645-
62300
Water Water
Admin/Engineering,
Contract Services –
Professional
$20,000
Agreement for Water and Sewer Cost of Service Study
May 20, 2025
Page 3
5
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9
Fiscal Year Accounting
Unit –
Account #
Fund
Description
Accounting Unit,
Account
Description
Amount
2025-26 06017645-
62300
Water Water
Admin/Engineering,
Contract Services –
Professional
$109,350
2026-27 06017645-
62300
Water Water
Admin/Engineering,
Contract Services –
Professional
$500
Optional Two-Year Extension
2027-28 06017645-
62300
Water Water
Admin/Engineering,
Contract Services –
Professional
$500
2028-29 06017645-
62300
Water Water
Admin/Engineering,
Contract Services –
Professional
$500
Total $130,850
EXHIBIT(S)
1. RFP No. 25-013
2. Agreement with Robert D. Niehaus, Inc.
Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency
Approved By: Alvaro Nuñez, City Manager
EXHIBIT 1
CITY OF SANTA ANA
NOTICE INVITING PROPOSALS
NOTICE IS HEREBY GIVEN that proposals will be received from qualified consultant(s) for Long-Term
Financial Planning and Water Rate Study Services.
Responses to this Request for Proposal (RFP) will be accepted until Tuesday, February 25, 2025 at
2:00 p.m.
Proposals shall be submitted electronically through the PlanetBids system. No other form of submittal
will be accepted. It is the responsibility of the proposer to ensure that any proposals submitted has been
uploaded to PlanetBids prior to this proposal due date and time. Refer to “Response to RFP” section for
additional submittal instructions.
Proposals shall NOT be mailed or sent via telegraphic, electronic or facsimile means.
All notifications, requests for information, updates and addenda will be posted on PlanetBids at page at
https://www.planetbids.com/portal/portal.cfm?CompanyID=20137. Proposers shall be responsible for
monitoring the site to obtain information regarding this solicitation. Failure to respond to required updates
may result in a determination of a nonresponsive qualification.
LETTER OF INTENT: As a courtesy to the City, all interested firms are encouraged to submit a Letter
of Intent of their pending proposal to the noted Project Manager by the required date as shown on the
cover page of this RFP. Letters shall be sent via certified mail or email. A decision, by an interested
firm, not to be submit a Letter of Intent would not lead to the disqualification of the firm.
CITY OF SANTA ANA
TABLE OF CONTENTS
I. BACKGROUND ........................................................................................................................... 4
II. OVERVIEW OF PROJECT .......................................................................................................... 4
III. TERM OF AGREEMENT ............................................................................................................ 4
IV. MINIMUM QUALIFICATIONS ...................................................................................................... 4
V. RESPONSE TO RFP .................................................................................................................. 5
VI. CERTIFICATIONS (ATTACHMENTS) ......................................................................................... 9
VII. REFERENCES ............................................................................................................................ 9
VIII. MINIMUM SCOPE AND LIMIT OF INSURANCE ....................................................................... 10
IX. SELECTION PROCEDURES & CRITERIA ............................................................................... 10
X. WITHDRAWALS........................................................................................................................ 11
XI. GENERAL TERMS AND CONDITIONS .................................................................................... 11
XII. AWARD OF AGREEMENT ........................................................................................................ 16
XIII. IMPLEMENTATION ................................................................................................................... 16
EXHIBITS
Exhibits provided herein for Proposers’ reference only.
EXHIBIT I – SCOPE OF SERVICES
EXHIBIT II – SAMPLE AGREEMENT
ATTACHMENTS
A PROPOSER’S CERTIFICATION, PROPOSAL ITEM PRICING
B REFERENCES
C PROPOSER’S STATEMENT
D NON-COLLUSION AFFIDAVIT
E NON-LOBBYING CERTIFICATION
F NON-DISCRIMINATION CERTIFICATION
G SUBCONTRACTOR DESIGNATION FORM
CITY OF SANTA ANA
I. BACKGROUND
The City of Santa Ana, California, is rich in culture and pride, the county seat of Orange County,
and encompasses an area of approximately 27 square miles. For more information, please visit
https://www.santa-ana.org/
II. OVERVIEW OF PROJECT
The City of Santa Ana (City) is seeking proposals from qualified firms and organizations
(Proposers) to provide Long-Term Financial Planning and Water Rate Study Services. See
EXHIBIT I for complete Scope of Services.
The term “Vendor”, “Proposer”, “Firm”, “Consultants”, and “Contractor” shall refer to any legal
entity or entities submitting a proposal in response to this Request for Proposals (RFP).
III. TERM OF AGREEMENT
The anticipated term of the agreement is for an initial period of three (3) years. The City may, at
its discretion, extend the agreement with the same or more limited scope of required services for
two (2) additional one (1) year periods, upon mutual agreement contingent upon City Council
approval, or City Manager or City Attorney authorization, as appropriate. The total term of the
awarded agreement shall not exceed five (5) years.
Usage is not guaranteed. Execution of an agreement between the City and successful firm(s)
and/or individual(s) does not guarantee work throughout the duration of the contract period.
Numerous factors will be evaluated by the City in its delivery of project and assignments,
including technical expertise required.
IV. MINIMUM QUALIFICATIONS
1) Contractor must have been in business continuously for the most recent five (5) years prior
to the date of this RFP.
2) Minimum five (5) most recent years of experience performing similar services as those
detailed in the Scope of Services section of this RFP.
CITY OF SANTA ANA
V. RESPONSE TO RFP
A. SUBMITTAL INSTRUCTIONS
It is the responsibility of the Proposer to ensure that any proposals submitted have been
uploaded to PlanetBids prior to the RFP due date and time. Proposals, including all required
sections and forms, shall be submitted electronically via the City’s Bid Management System,
PlanetBids. No other form of submittal will be accepted. Additionally, it is a requirement that
five (5) hard copy proposals be delivered to the Public Works Agency drop box located on
the City Yard Admin Building in the first floor lobby in an enclosed sealed envelope and
marked clearly with the following:
Gentle note: staff will not timestamp or sign any hard copy deliveries as the electronic
submittal by the deadline will suffice. For further instructions regarding hard copy submission
of proposals, refer to PlanetBids.
PlanetBids will not accept late proposals and no exceptions shall be made. Proposers will
receive an e-bid confirmation number with a time stamp from PlanetBids indicating that their
proposal was submitted successfully. The City will only receive and consider those proposals
that were transmitted successfully. Submit proposal online at:
http://www.planetbids.com/portal/portal.cfm?CompanyID=20137.
Proposer shall be solely responsible for informing itself with respect to the proper utilization
of the bid management system, for ensuring the capability of their computer system to upload
the required documents, and for the stability of their internet service. Failure of the Proposer
to successfully submit an electronic proposal shall be at the Proposer’s sole risk and no relief
will be given for late and/or improperly submitted proposals. Proposers experiencing any
technical difficulties with the bid submission process may contact PlanetBids at (818) 992-
1771. Questions of an operational nature may be directed to the City’s assigned Buyer.
Neither the City, nor PlanetBids, makes any guarantee as to the timely availability of
assistance, or assurance that any given problem will be resolved by the bid submission
deadline.
Proposals shall NOT be sent via telegraphic, electronic, or facsimile means.
All notifications, updates and addenda will be posted online on PlanetBids at
https://www.planetbids.com/portal/portal.cfm?CompanyID=20137. Proposers shall be
responsible for monitoring the site to obtain information regarding this solicitation. Failure to
respond to required updates may result in a determination of a nonresponsive proposal.
“SEALED PROPOSAL FOR
LONG-TERM FINANCIAL PLANNING AND WATER RATE STUDY SERVICES
RFP NO. 25-013
IN THE CITY OF SANTA ANA
DO NOT OPEN WITH REGULAR MAIL.”
City of Santa Ana
Attn.: Armando Fernandez, P.E.
Public Works Agency
220 S. Daisy Ave.; M-85
Santa Ana, CA 92703
CITY OF SANTA ANA
B. COMMUNICATION / CONTACT WITH CITY STAFF
Unless otherwise authorized herein, Proposers who are considering submitting a proposal in
response to this RFP, or who submit a proposal in response to this RFP, are only to
communicate with the assigned Project Coordinator(s), and no other City staff about this RFP
from the date this RFP is issued until a contract is awarded. The City will provide all official
communication concerning this RFP in writing via the City’s Bid Management System,
PlanetBids.
The City will not be responsible for or bound by any oral communication or any other
information or contact that occurs outside the official communication process specified
herein, unless confirmed in writing by the designated Project Manager(s).
C. REQUEST FOR INFORMATION OR CLARIFICATION / QUESTIONS
Questions regarding this RFP shall be submitted via PlanetBids. Responses to all questions
will be posted on PlanetBids no later than the date and time shown at the schedule of key
RFP dates on the cover page of this RFP. All prospective Proposers are advised to visit
PlanetBids on a regular basis as responses may be posted earlier than the date above (if
applicable). No verbal requests or responses will be accepted. Significant interpretations or
clarifications will be addressed via addenda to this RFP.
Significant interpretations or clarifications and responses to questions received by the
deadline will be addressed via addenda to this RFP, which will be released and posted on
PlanetBids under the “Addenda/Emails” tab.
D. EXCEPTIONS
Requests submitted for City’s consideration of proposed terms and conditions, including
modifications to the City’s RFP and/or Contract terms and conditions must be submitted by
the deadline for questions. Such requests should include an attachment in Word or PDF
format on formal company letterhead that shows the requested modifications. Should the
Proposer be considered for award recommendation and progress into the negotiations
phase, the requests for exceptions or modifications to the City’s terms and conditions will be
discussed at that time. The City will not accept any requests after the deadline for questions
and reserves the right to reject or strike any requests for exceptions or additional terms and
conditions related to Agreement, RFP, and insurance and indemnification terms and
conditions.
E. ADDENDA
Any changes in RFP from the date of release to date of submittal will result in an addendum
or amendment. Notification of such addendum or amendment shall be posted on City’s
PlanetBids system, https://www.planetbids.com/portal/portal.cfm?CompanyID=20137.
Proposers shall be responsible for monitoring the site to obtain information regarding this
solicitation.
F. UNDERSTANDING PROPOSAL
It is the responsibility of each Proposer to inquire about any criteria, condition, term, provision,
or requirement of the RFP that the Proposer does not understand. Responses to inquiries,
if they significantly change or clarify the RFP requirements or any aspect of the procurement
process, will be forwarded by addenda to all Proposers. The City will not be bound by any
oral responses to inquiries. By submitting proposals, Proposers assert that they have fully
read the RFP and any addenda issued by the City, the proposed Contract and any other
Contract Documents, and affirm that the terms and conditions stated therein are fully
understood and are acceptable to the Proposer. Each Proposer accepts the terms and
CITY OF SANTA ANA
conditions of the Contract Documents and indicates their ability and willingness to perform
the requested services under such terms and conditions. Any exceptions to the terms and
conditions set forth in the Contract Document shall be submitted to the City by the deadline
to submit requests for information or clarification/questions set forth herein.
G. PROPOSAL CONTENTS
Proposals are to be prepared in such a way as to provide a straightforward, concise
delineation of capabilities to satisfy the requirements of this RFP. Colored displays,
promotional materials, photographs etc., are not necessary or desired. Emphasis should be
concentrated on conformance to RFP instructions, responsiveness to the RFP requirements,
and on completeness and clarity of content. Digital dividers and clear organization of content
and material are encouraged.
1. Statement of Qualifications (SOQ)
SOQ must include a Table of Contents and be limited to a maximum of 20 pages
(excluding City’s required Certifications listed in Section VIII below; Proposal Cover
Letter, section dividers, table of contents, front/back cover pages). The page limitation
includes all appendices, attachments, and supplemental information. Additionally, SOQ
must include the following:
a. Cover Letter
Proposals shall include a letter signed by a principal or authorized representative who
can make legally binding commitments for the entity. Include type of business entity.
Cover Letter shall not exceed one page.
Cover letter must be addressed to the following City Project Manager:
Armando Fernandez, P.E.
City of Santa Ana – Public Works Agency
220 S. Daisy Ave., M-85
Santa Ana, CA 92703
b. Services Provided
A description of proposed services to be provided and how they meet the needs of the
City as described in Exhibit I – Scope of Services.
c. Agreement Statement
Proposal shall include a statement outlining your concurrence or reference to concerns
previously submitted with any and all provisions as contained in EXHIBIT II – Sample
Agreement of this RFP (if any).
d. Firm and Team Experience
Proposal shall include a profile of the firm’s experience including the following:
i. A general description of the firm, including size and number of employees
working directly with the City on this agreement.
ii. Firm’s nearest address serving the City of Santa Ana and headquarters
address.
iii. Name and contact information of the supervising Project Manager/Principal
Agent, to be assigned to the agreement. The Project Manager/Principal
CITY OF SANTA ANA
Agent shall be the primary contact person to represent your firm and will be
the person to conduct the presentation, if invited to an interview.
iv. Resumes for all key staff proposed describing relevant experience.
e. Proposed Work Plan
Proposal shall include a statement demonstrating the firm’s understanding of the
Scope of Services.
Additionally, proposed work plan shall include Proposers’:
i. Anticipated approach to performing services as specified herein;
ii. Suggestions or special concerns the evaluation committee should take into
consideration (if any);
iii. Description of deliverables and implementation plan. Proposer shall submit a
general description of the deliverables, implementation plan, and timeline.
f. References: Attachment B – References shall be submitted for similar projects
performed for state and/or similar government clients.
2. Cost Proposal
All Proposers are required to submit a fixed rate fee with their Cost Proposal. Pricing
instructions should be clearly defined to ensure fees proposed can be compared and
evaluated. Cost Proposal must include a payment schedule if applicable. City reserves
the right to negotiate compensation and/or payment schedule prior to award of any
resulting agreement. When applicable, if providing hourly rate sheets, Proposer shall not
include rate ranges or averages.
The City shall not provide reimbursement for travel-related expenses, mileage, parking,
lodging, meals, incidental fees, insurance, freight/shipping and handling/delivery, and any
other business expenses, supplies and materials related to providing services as
specified herein. Additional costs will not be considered and will not be reimbursed by the
City, therefore, such costs must be absorbed in Proposer’s cost proposal fee structure.
Any language related to travel reimbursement shall be stricken from the document by the
City and if not stricken, shall be deemed invalid.
Proposals shall be valid for a minimum of one hundred eighty (180) days following
Proposal deadline. The cost for developing the Proposal is the sole responsibility of the
Proposer. All Proposals submitted become property of the City.
Pricing shall remain firm for the entire initial Agreement term. Thereafter, any proposed
pricing adjustment for follow-on renewal periods shall be submitted to the City
Representative in writing at least ninety (90) days prior to the new Agreement term. The
City reserves the right to accept, reject, or negotiate any proposed pricing adjustment not
to exceed the Bureau of Labor Statistics Consumer Price Index (CPI) data as follows:
Los Angeles-Long Beach-Anaheim, CA; All Urban Consumers; Not Seasonally Adjusted;
annualized change comparing the most recent month’s reported data to the same month
of the prior year. (This information may be found on the U.S. Department of Labor’s
website at www.bls.gov.)
CITY OF SANTA ANA
H. PROTEST PROCEDURES
Only respondents who have actually submitted a proposal may file a “protest” to an RFP
with the City’s Purchasing Department. In order for a Proposer’s protest to be considered
valid, the protest must:
1. Be filed in writing before 5:00 p.m. of the 5th business day following the posting of RFP
Results/Notice of Intent to Award on the City’s online bidding system;
2. Clearly identify the specific irregularity or accusation;
3. Clearly identify the specific City staff determination or recommendation being protested;
4. Specify, in detail, the grounds of the protest and the facts supporting the protest; and
5. Include all relevant, supporting documentation with the protest at time of filing.
If the protest does not comply with each of these requirements, it will be rejected as invalid. If
the protest is valid, the City’s Purchasing Manager, or other designated City staff member,
shall review the basis of the protest and all relevant information. The decision from the
Purchasing Manager, or her/her designee, is final and no further appeals will be considered.
VI. CERTIFICATIONS (ATTACHMENTS)
In addition to the SOQ, Narrative/Technical Proposal, and Cost Proposal, the following forms,
included in this RFP, shall be signed and included as part of the proposal submittal package:
· Attachment A: Proposer’s Certification and Proposal Item Pricing
· Attachment B: References
· Attachment C: Proposer’s Statement
· Attachment D: Non-Collusion Affidavit
· Attachment E: Non-Lobbying Certification
· Attachment F: Non-Discrimination Certification
· Attachment G: Subcontractor Designation Form
The proposal must be completely responsive to the RFP. Incomplete proposals will be deemed
as nonresponsive and will be rejected. The City reserves the right to reject any or all proposals
submitted and no representation is made hereby that any commitment will be awarded pursuant
to this RFP or otherwise.
PLEASE NOTE:
· All forms above must be signed by a representative of the Firm that is legally
authorized to contractually bind the Proposer.
· City will not waive notarization requirement when applicable on any of the
required attachments.
VII. REFERENCES
Contractor shall provide three (3) references from other similar public agencies for which services
similar to those specified in this RFP have been performed, including contact names and
CITY OF SANTA ANA
telephone numbers. Use ATTACHMENT B – References. The respondent grants permission
for the City to contact any individuals listed as references.
City may disqualify a Proposer if:
· References fail to substantiate Proposer’s description of services and
deliverables provided; or
· References fail to support that Proposer has a continuing pattern of providing
capable, productive, and skilled personnel, or
· City is unable to reach the point of contact with reasonable effort. It is the
Proposer’s responsibility to inform the point of contact(s) of normal City
working hours.
VIII. MINIMUM SCOPE AND LIMIT OF INSURANCE
See Exhibit II – Sample Agreement
IX. SELECTION PROCEDURES & CRITERIA
A. Evaluation: The City will establish a proposal review committee. The review committee will
evaluate proposals based on the response to the RFP, which includes adherence to outlined
directions and format, and the City evaluation criteria set forth below.
B. Scoring Criteria: Proposers will be ranked by the review committee based on the following
criteria:
CATEGORY POINTS
Responsiveness to RFP
· Proposal’s compliance with the requirements of this RFP.
· Scope of Services offered including ability to provide optional services.
· The value to any new and/or innovative product or service suggestions or
other new ideas and enhancements.
30
Understanding of Need
Include milestones of completion of key tasks, to be completed by specific
team members.
25
Relevant Project Experience/Schedule of Delivery
· Relevant project experience within the last 5 years, including experience
with public agencies.
The experience, resources, and qualifications of the firm and individuals
assigned to this account, including manager, supervisor and assigned staff.
35
References
· References that are similar in size and project scope to the City.
10
TOTAL POSSIBLE SCORE
(Before interviews – if held) 100
CITY OF SANTA ANA
C. Rankings: A final score will be calculated for each submitted proposal and used to rank
Proposers. Based upon the foregoing criteria, all proposals shall be ranked by score. Only
those proposals receiving a score above 70 will be considered for award. The City reserves
the right to award the contract to any proposer(s) with a score above 70. The review
committee will evaluate proposers based on their response to the RFP and the City
evaluation criteria set forth above.
D. Interviews: The review committee may invite the proposers to interview. If invited to interview,
Proposers must be prepared to include key personnel in the interview and/or presentation.
The City reserves the right to seek additional information from any or all Proposers invited to
present proposals. A final score will be calculated for each submitted proposal and used to
rank Proposers. City reserves the right to begin negotiations and enter into a contract without
holding interviews, or further discussions.
E. Selection: The City is under no obligation to accept any proposal and reserves the right to
negotiate with respondents as to fees and terms. The City may reject proposals at its sole
discretion. If proposal fails to satisfy any requirements outlined in this RFP, it may be
considered non-responsive and may be rejected.
The City shall not be obligated to accept the lowest priced proposals, but will make awards
in the best interests of the City after all factors have been evaluated. The review committee
will recommend the qualified Proposers to the City Council or City Manager for award of
contract, as appropriate.
X. WITHDRAWALS
Proposers are responsible for verifying all prices and information before submitting a proposal.
Prior to the proposal due date, the Proposer or Proposer’s representative may withdraw the
proposal by providing written notice of the proposal withdrawal to the City Contact/Project
Manager. Verbal or telephonic withdrawals are not permissible.
XI. GENERAL TERMS AND CONDITIONS
A. AMERICANS WITH DISABILITIES ACT
The awarded Contractor hereby certifies that it will comply, as applicable, with the Americans
with Disabilities Act of 1990 (“ADA”), 42 USC §§ 12101 et seq., and its implementing
regulations, including Subtitle A, Title II of the ADA. Contractor will not discriminate against
persons with disabilities nor against persons due to their relationship to or association with a
person with a disability. Any contract entered into by the awarded Contractor (or any
subcontract thereof), relating to this RFP, shall be subject to the provisions of this paragraph.
B. CITY BUSINESS LICENSE
The selected proposer must obtain a City of Santa Ana Business License prior to the
execution of a contract and must provide a copy to the Buyer assigned to this RFP. The
Interviews
· The City reserves the right to conduct interviews with the highest-rated
firm(s). In the event the City does perform an interview process, the
following is the maximum number of additive points that may be applied
to the proposal score. Total possible score may exceed 100 points.
20
CITY OF SANTA ANA
awarded party shall maintain a current business license throughout the term of the resulting
contract. Procedure to obtain a City of Santa Ana Business License is available by contacting
the Finance and Management Services, Business Tax Office at (714) 647-5447 or on the
City’s website: www.santa-ana.org
C. CITY RIGHT TO REJECT
The City reserves the right to reject any or all proposals submitted and no representation is
made hereby that any agreement will be awarded pursuant to this RFP or otherwise. The
City reserves the right to accept or reject the combined or separate components of this
proposal in part or in its entirety or to waive any minor inconsistency, informality or technical
defect in the proposal.
D. CONFLICT OF INTEREST
Contractor shall exercise reasonable care and diligence to prevent any actions or conditions
that could result in a conflict with the best interests of the City. This obligation shall apply to
the Contractor; the Contractor’s employees, agents, and Subcontractors associated with
accomplishing work and services hereunder. The Contractor’s efforts shall include, but not
be limited to, establishing precautions to prevent its employees, agents, and Subcontractors
from providing or offering gifts, entertainment, payments, loans or other considerations which
could be deemed to influence or appear to influence City staff or elected officers from acting
in the best interests of the City.
Each Proposer must disclose any existing or potential conflict of interest relative to the
performance of the contractual services resulting from this RFP. Any such relationship that
might be perceived or represented as a conflict should be disclosed. The City reserves the
right to disqualify any Proposer on the grounds of actual or apparent conflict of interest.
No person, firm, or subsidiary thereof who has been awarded this Contract may be awarded
a Contract for the provision of services, the delivery of supplies, or the provision of any other
related action which is required, suggested, or otherwise deemed appropriate as an end
product of this Contract. Therefore, Contractor is precluded from contracting for any work
recommended as a result of this Contract.
E. CONTRACTOR’S EXPENSE
Pre-Contractual Expenses: The City is not liable for any costs incurred by Proposers prior to
entering into a formal contract. Costs of developing a response to this RFP, are entirely the
responsibility of the Proposer, and shall not be reimbursed in any manner by the City. Pre-
contractual expenses are not to be included in the cost proposal. Pre-contractual expenses
include, but are not limited to, preparation of the proposal, submission of the proposal and
additional information, attendance at pre-proposal conference, negotiating any matter related
to this RFP with City, and/or any other expenses incurred by the Proposer prior to the date
of award and execution, if any, of the contract.
Other Expenses: The Contractor will be responsible for all costs related to photo copying,
telephone communications, fax communications, and parking while on City sites during the
performance of work and services under this Contract.
F. CONTRACTOR’S PROJECT MANAGER/KEY PERSONNEL
Except as formally approved by the City, the key personnel identified in Contractor’s proposal
shall be the individuals who will actually complete the work. Changes in staffing must be
reported in writing and approved by the City. The City shall have the right to require the
removal and replacement of the Contractor’s Project Manager and key personnel under the
CITY OF SANTA ANA
awarded contract. The City shall notify the Contractor in writing of such action. The City is
not required to provide any reason, rationale, or additional factual information if it elects to
request any specific key personnel be removed from performing services under the awarded
contract. The City shall review and approve the appointment of the replacement for the
Contractor’s personnel. Said approval shall not be unreasonably withheld.
Standards of Conduct: Contractor’s personnel shall be courteous and maintain good working
relationships with all stakeholders, state or outside agencies, other team members and staff
within the City.
G. COST PROPOSAL
The awarded Contractor agrees to provide the purchased services at the costs, rates, and
fees as set forth in their Fee Schedule in response to this RFP. No other costs, rates or fees
shall be payable to the awarded Subcontractor for implementation of their proposal.
H. DATA RETENTION
Contractor shall be responsible for retaining data, records, and documentation for the
preparation of required items. These materials shall be made available to and as requested
by City.
All materials, documents, data or information obtained from the City Data files or any City
medium furnished to Contractor in the performance of an awarded contract will at all times
remain the property of the City. Such data or information may not be used or copied for direct
or indirect use by Contractor after completion or termination of this Contract without the
express written consent of the City. All materials, documents, data or information, including
copies, must be returned to the City at the end of the contract.
All data, documents and other products used, developed, or produced during response
preparation of the RFP will become property of the City. All responses to the RFP shall
become property of the City. Proposer information identified as proprietary shall be
maintained confidential, to the extent allowed under the California Public Records Act.
I. DRUG-FREE WORKPLACE
The awarded Contractor certifies compliance with Government Code Section 8355 in matters
relating to providing a drug-free workplace. Failure to comply with these requirements may
result in suspension of payments under the Contract or termination of the contract or both,
and the Contractor may be ineligible for award of any future City contracts.
J. EXAMINATION
Proposer represents that it has thoroughly examined and become familiar with the services
and responsibilities required this RFP and that it is capable of effectively and efficiently
performing quality work to achieve the City’s objectives. Any attachments referenced herein
or any interpretations, clarifications or amendments subsequently posted in relation to this
RFP are fully incorporated.
Any irregularities or lack of clarity in the RFP should be brought to the designated City
Contact/Project Manager’s attention as soon as possible so that corrective addenda may be
furnished to prospective Proposers.
Proposals which appear unrealistic in the terms of technical commitments, lack of technical
competence, or are indicative of failure to comprehend the complexity and risk of this
contract, may be rejected.
CITY OF SANTA ANA
K. EXECUTION OF AGREEMENT
Upon successful negotiations, the City and the selected Proposer will enter into an
Agreement similar to that as shown in EXHIBIT II – Sample Agreement of this RFP. If a
Proposer is unwilling or unable to execute an Agreement within thirty (30) days after being
notified of selection under this RFP, the City reserves the right to disqualify them without any
further obligation
L. FISCAL NONFUNDING CLAUSE
In the event sufficient budgeted funds are not available for a new fiscal period, the City shall
retain the right to notify the provider of such occurrence in writing at least thirty (30) days
before the end of the current fiscal period and terminate the contract on the last day of the
current fiscal period without penalty or expense to the City.
M. INDEPENDENT CONTRACTOR
Contractor is considered an independent Contractor and neither Contractor, its employees,
nor anyone working under Contractor will be considered an agent or an employee of City.
Neither Contractor, its employees, nor anyone working under Contractor, will qualify for
workers’ compensation or other fringe benefits of any kind through City.
N. JOINT OFFERS/SUBCONSULTANTS
Where two or more Proposers desire to submit a single proposal in response to this RFP,
they should do so on a prime sub-consultant basis. The City intends to contract with a single
firm, also known as the prime, and not with multiple firms doing business as a joint venture.
Should the use of sub-consultants be offered, the Proposer shall provide the same
assurances of competence for the sub-consultant plus the demonstrated ability to manage
and supervise the subcontracted work. Sub-consultants shall not be allowed to further
subcontract with others for work under the Agreement. The provisions of the Agreement shall
apply to all sub-consultants in the same manner as the Proposer. The proposer is responsible
for all the actions taken by their sub-contractor.
The City reserves the right to reject, replace and approve any and all Subcontractors. All
Subcontractor(s) shall be identified in the response to the RFP and the City reserves the right
to reject any proposed Subcontractor(s). Subcontractors shall be the responsibility of the
prime Contractor and the City shall assume no liability of such Subcontractors.
O. LITIGATION STATUS
Each Proposer must include in its proposal a complete disclosure of any alleged significant
prior or ongoing contract failures, any civil or criminal litigation or investigation pending which
involves the Proposer or in which the Proposer has been judged guilty or liable. Failure to
comply with the terms of this provision will disqualify any proposal. The City reserves the
right to reject any proposal based upon the Proposer’s prior history with the City or with any
other party, which documents, without limitation, unsatisfactory performance, adversarial or
contentious demeanor, significant failure(s) to meet contract milestones or other contractual
failures.
P. NEGOTIATIONS
The City reserves the right to negotiate final contract terms with any Proposer selected. The
contract between the parties will consist of the RFP together with any modifications thereto,
and the awarded Contractor’s proposal, together with any modifications and clarifications
thereto that are submitted at the request of the City during the evaluation and negotiation
process. In the event of any conflict or contradiction between or among these documents,
the documents shall control in the following order of precedence: the final executed contract,
CITY OF SANTA ANA
the RFP, any modifications and clarifications to the awarded Contractor’s proposal, and the
awarded Contractor’s proposal. Specific exceptions to this general rule may be noted in the
final executed contract.
Negotiations shall be confidential and not subject to disclosure to competing Contractors
unless and until an agreement is reached. If contract negotiations cannot be concluded
successfully, the City reserves the right to negotiate a contract with another Contractor or
withdraw the RFP.
Q. NON-PAYMENTS
Note that payments will NOT be made for any unsatisfactory work until corrected. In the event
of nonpayment of undisputed sums by the City, Contractor shall give the City thirty (30)
working days to cure the alleged breach.
R. OWNERSHIP OF DOCUMENTS
The City has permanent ownership of all directly connected and derivative materials produced
under this contract by the Contractor. All documents, reports and other incidental or derivative
work or materials furnished hereunder shall become and remains the sole property of the City
and may be used by the City as it may require without additional cost to the City. Contractor
shall provide the City copies of documents upon its request at any time. None of the documents,
reports and other incidental or derivative work or furnished materials shall be used by the
Contractor without the express written consent of the City.
S. PARKING
The City will not provide free parking and/or reimbursement for the cost of parking while
providing services and conducting business with the City.
T. PROFESSIONAL STANDARDS
Contractor staff shall be courteous to the public and City staff utilizing facilities where
Contractor is performing work, but shall be responsive only to the requests of the City’s
Project Manager or designee. Contractor staff shall direct all inquiries to Project Manager or
designee.
Contractor acknowledges that City locations consist of public-use facilities and recognizes
the obligation to ensure Contractor personnel and agents maintain the highest level of
professional standards in attire, decorum, and interaction with the public and City personnel.
U. PROJECT MANAGER
The selected Proposer will assume responsibility for all services in its proposal. The selected
Proposer shall identify a sole point of contact, Project Manager, with the greatest
knowledge in regard to the required service operations and contractual matters, including
payment of any and all charges resulting from the Agreement.
V. PROPOSAL VALIDITY
Services, pricing, and warranties indicated in a Proposer’s Proposal must be valid for a period
of 180 days at minimum after the submission of the Proposal.
W. PUBLIC AGENCIES
Other public agencies, as defined by California Government Code Section 6500, may choose
to use the terms of this Contract, subject to Contractor’s acceptance. The City is not liable or
responsible for any obligations related to a subsequent contract between Contractor and
another public agency.
CITY OF SANTA ANA
X. PUBLIC RECORDS
Proposals will become public record after the award of a contract unless the proposal or
specific parts of the proposal can be shown to be exempt by law. Each Proposer may clearly
label all or part of a proposal as "CONFIDENTIAL" provided that the Proposer thereby agrees
to indemnify and defend the City for honoring such a designation. The failure to so label any
information that is released by the City shall constitute a complete waiver of any and all claims
for damages caused by any release of the information. Proposer information identified as
proprietary shall be maintained confidential, to the extent allowed under the California Public
Records Act.
Y. SUBCONTRACTORS
Proposals in response to this RFP must identify any Subcontractors, and outline the
contractual relationship between the Awarded Subcontractor and each Subcontractor. An
official of each proposed Subcontractor must sign, and include as part of the proposal
submitted by the Prime Contractor, a statement to the effect that the Subcontractor has read
and will agree to abide by the awarded Contractor’s obligations. Any Subcontractor proposed
after award of contract must be approved by the City before commencement of work.
The City will look solely to the awarded Contractor for the performance of all contractual
obligations which may result from an award based on this RFP, and the awarded Contractor
shall not be relieved for the non-performance of any or all Subcontractors.
XII. AWARD OF AGREEMENT
Selected Contractor(s) will be notified in writing. Any award is contingent upon the successful
negotiation of final contract terms.
A. EXECUTION OF AGREEMENT
A standard agreement is included as EXHIBIT II Sample Agreement of this RFP. “Proposer”
will hereinafter be referred to as “Consultant” or “Contractor” in standard agreement. The
term of the agreement will begin after the agreement is fully executed, and all required bonds,
insurance documents and contents of the payment information packet have been received
and approved.
XIII. IMPLEMENTATION
A. KICK-OFF MEETINGS
The successful proposer will be required to meet with City staff prior to commencement of
services or at any time as required by the City, to discuss and agree on operational issues
including transition of services and scheduling.
B. NOTICE TO PROCEED
Prior to issuance of a formal Notice to Proceed (NTP), Consultants shall provide all
required bonds, insurance documents, and contents of the Information Packet for review
and approval by the City. “On-Call” contracts require the City Project Managers to request
a project/task proposal from Consultants on an “as-needed” basis. Proposals will then be
evaluated by City Staff and a written NTP will be issued accordingly per task order.
CITY OF SANTA ANA
LONG-TERM FINANCIAL PLANNING AND WATER RATE STUDY SERVICES
RFP NO. 25-013
Introduction/Background
The City of Santa An is located in the heart of Orange County, California with a population of
approximately 311,000 people.
The City own maintain and operate the water, sewer and recycled water utility systems.
The water utility system is comprised of over 480 miles of water distribution and transmission mains,
20 active water wells, 7 imported connections with Metropolitan Water District (MWD), 7 booster
pump stations, 16 emergency connections and approximately 46,000 water meter connections.
The sewer sanitary system is comprised of 390 miles of sewer mains, 9,000 sewer manholes, 48500
sewer lateral connections and two sewer lift stations. All the sewage is conveyed to the Orange
County Sanitation District (OCSD).
The recycled water system serves 25 customers. This recycled water is provided by the Orange
County Water District. The transmission and distribution infrastructure currently in place is owned
and operated by OCWD. Although, any system expansion to this system network will need to be
funded and operated by the City.
The City oversees and manages the fats, oils, and grease (FOG) program. This program involves
inspections, best management practices trainings, and regulatory compliance with state and local
mandates. Currently, there are over 1,300 food service establishments under this program.
Scope of Services
The City of Santa Ana intends to retain qualified professional firm/consultant to develop a long term
financial plan for the water, sanitary sewer, recycled water, and the fats, oils, and grease (FOG)
programs.
In addition, the consultant on as needed basis shall provide financial review, economic cost analysis and
rate structure performance evaluations to meet the City financial goals and objectives during the term of
this contract agreement.
The last adopted five year rate study for these services was completed in and adopted in 2029.
https://www.santa-ana.org/water-rate-study
Project Goals:
· Develop a comprehensive financial plan for water, sewer, recycled water, and FOG
programs.
EXHIBIT I
SCOPE OF SERVICES
CITY OF SANTA ANA
· Design a cost of service rate structure in line with the American Water Works Association
(AWWA) Principles of Water Rates, Fees, and Charges: Manual of Water Supply Practices
AWWA M1 guidelines and Proposition 218.
· Ensure rates are:
o Stable, sufficient, fair, equitable, and aligned with the utility goals and objectives
o Understandable to customers and easy for the City to administer
Tasks Expected from Consultant:
1. Analyze Existing Rate Structures:
o Current rates
o Operations revenue/expenses
o Capital improvement programs, debt obligations, and reserve policies
2. Develop a Complete Financial Plan:
o Meet utility goals and strategic objectives
o Conduct a cost of service analysis
o Develop new rate structures
o Develop Rate Design Model
o Develop capital and operations reserves strategies
3. Provide Interactive Tools:
o Create a (10) year rate modeling program with an interactive dashboard for City
staff's use including trainings
4. Final Report and Adoption Assistance:
o Deliver a report with outcomes and recommendations
o Guide the City through the adoption and implementation of new rates
5. Engagement and Public Outreach:
o Participate in 10 public meetings (with City staff, the Mayor, City Council, and the
public)
o Work with the City’s outreach consultant to prepare and present materials
Quality and Compliance:
Consultant is responsible for the accuracy of their work and ensuring compliance with all statutory
regulations, including Proposition 218.
Value-Added Services:
Propose additional related services that could help achieve the City’s goals, if applicable.
Deliverables:
Financial plans, rate modeling program, final reports, public presentations, and compliance
documentation.
CITY OF SANTA ANA
CONSULTANT AGREEMENT
CITY OF SANTA ANA
THIS AGREEMENT is made and entered into on this day of , 20__ by and between
___________________________________________________________, (“Consultant”), and the City of Santa
Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State
of California (“City”).
RECITALS
A. The City desires to retain a Consultant having special skill and knowledge in the field of:
B. Consultant represents that Consultant is able and willing to provide such services to the City.
C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field
and that any services performed by Consultant under this Agreement will be performed in compliance with
such standards as may reasonably be expected from a professional consulting firm in the field.
NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and
conditions hereinafter set forth, the parties agree as follows:
1. SCOPE OF SERVICES
Consultant shall perform during the term of this Agreement, the tasks and obligations including all labor,
materials, tools, equipment, and incidental customary work required to fully and adequately complete the services
described and set forth in Scope of Services - Exhibit A, attached hereto and incorporated by reference.
2. COMPENSATION
a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates
and charges identified in Compensation - Exhibit B. The total amount to be expended during the
term of this Agreement shall not exceed $xxxxxx.
b. Payment by City shall be made within forty-five (45) days following receipt of proper invoice evidencing
work performed, subject to City accounting procedures. Payment need not be made for work which
fails to meet the standards of performance set forth in the Recitals which may reasonably be expected
by City.
3. TERM
This Agreement shall commence on [enter a Start Date or “the date first written above”] for a number (#)
year term with the option for the City to grant up to a number (#)-year renewals, exercisable by a writing by the
City Manager and the City Attorney, unless terminated earlier in accordance with Section 15, below.
4. INDEPENDENT CONTRACTOR
Consultant shall, during the entire term of this Agreement, be construed to be an independent Consultant
and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-
employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the
professional manner in which Consultant performs the services which are the subject matter of this Agreement;
however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable
standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social
EXHIBIT II
SAMPLE AGREEMENT
CITY OF SANTA ANA
security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all
applicable withholding taxes.
5. OWNERSHIP OF MATERIALS
This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or
sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies,
drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression,
including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes,
which are prepared or caused to be prepared by Consultant under this Agreement (“Documents & Data”).
Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual
license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and
warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such
representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City
shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not
within the purposes intended by this Agreement shall be at City’s sole risk.
6. INSURANCE
Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require
any subcontractors to obtain and maintain insurance as described below for the entire Term of this Agreement
against claims for injuries to persons or damage to property which may arise from or in connection with services,
products and materials supplied to City. Total cost of such insurance shall be borne by Consultant.
MINIMUM SCOPE OF INSURANCE
1. Commercial General Liability (CGL): Insurance Services Office Form CG 00 01covering CGL on an
“occurrence” basis, including products and completed operations, property damage, bodily injury and
personal & advertising injury with limits no less than $1,000,000 per occurrence and $2,000,000 aggregate.
Required policy limits can be met with primary and umbrella/excess insurance policies.
2. Automobile Liability: Insurance Services Office Form CA 00 01 covering Code 1 (any auto), with limits
no less than $1,000,000 combined single limits. In the event Consultant does not maintain commercial
automobile liability insurance, City will accept evidence of personal automobile insurance.
3. Workers’ Compensation: as required by the State of California, with Statutory Limits, and Employer’s
Liability Insurance with limit of no less than $1,000,000 per accident, policy or employee, for bodily injury
or disease. Coverage is not required if Consultant has no employees and signs request to waive such
insurance.
4. Professional Liability (Errors and Omissions): Insurance appropriate to the Contractor’s profession,
with limit no less than $1,000,000 per occurrence or claim, $2,000,000 aggregate.
If Consultant maintains broader coverage and/or higher limits than the minimum requirements for each line of
coverage shown above, City requires and shall be entitled to the broader coverage and/or the higher limits
maintained by Consultant. Any available insurance proceeds in excess of the specified minimum limits of
insurance and coverage shall be available to City.
Other Insurance Provisions
The above required insurance policies are to contain or be endorsed to contain the following provisions:
1. City, its City Council, its officers, officials, employees, agents, and volunteers are to be covered as
additional insureds, under Consultant’s CGL, Professional Liability, and Automobile Liability policies, with
respect to any liability arising out of work or operations performed by or on behalf of the Instructor
including materials, parts, equipment, and personnel furnished in connection with such work or
operations.
CITY OF SANTA ANA
2. Consultant’s Insurance company(ies) agrees to waive all rights of subrogation against City, its City
Council, its officers, officials, employees, agents, and volunteers for losses paid under the terms of any
policy which arise from work performed by Consultant under this Agreement.
3. For any claims related to this contract, Consultant’s insurance coverage shall be primary and any
insurance maintained by City, its City Council, its officers, officials, employees, agents, or volunteers shall
not contribute with it.
4. A severability of interest provision must apply for all the additional insureds, ensuring that Consultant’s
insurance shall apply separately to each insured against whom a claim is made or suit is brought, except
with respect to the insurer’s limits of liability.
5. Insurance policies required herein shall provide that coverage shall not be canceled, suspended, voided,
reduced in coverage or in limits, non-renewed by the carrier, or materially changed except after thirty (30)
days prior written notice has been given to City. Ten (10) days prior written notice shall be provided to
City for policy cancellation or non-renewal due to non-payment of premium.
6. Certificate Holder on each Evidence of Insurance certificate shall be: City of Santa Ana, Attention:
(Name of Department Staff Responsible for Agreement), Address of Department Responsible for
Agreement, M-XX, Santa Ana, CA 92701. The name and location of project must be included in the
Description of Operations section of each certificate.
Self-Insured Retentions
Self-insured retentions must be declared to and approved by the City. The City may require the Consultant to
purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim
administration, and defense expenses within the retention.
Acceptability of Insurers
Insurance is to be placed with insurers authorized to conduct business in the State of California with a current
A.M. Best rating of no less than A:VII, unless otherwise acceptable to City.
Verification of Coverage
Consultant shall furnish City with original Certificates of Insurance including all required amendatory
endorsements (or copies of the applicable policy language effecting coverage required by this clause) and a copy
of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements before work begins.
However, failure to obtain the required documents prior to the work beginning shall not waive Consultant’s
obligation to provide them.
City reserves the right to require complete, certified copies of all required insurance policies, including
endorsements required by these specifications, at any time.
Special Risks or Circumstances
City reserves the right to modify these requirements, including limits, based on the nature of the risk, prior
experience, insurer, coverage, or other special circumstances.
7. INDEMNIFICATION
Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents,
employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just
compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and
claims for property damage, which may arise from the negligent operations of the Contractor, its subcontractors,
agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this
Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable
relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless
agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or
alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or
CITY OF SANTA ANA
effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs
for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any
action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just
compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms
of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation
in any legal proceeding. Notwithstanding the foregoing, to the extent Contractor’s services are subject to Civil Code
Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims
that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor.
8. INTELLECTUAL PROPERTY INDEMNIFICATION
Consultant shall defend and indemnify the City, its officers, agents, representatives, and employees against
any and all liability, including costs, for infringement of any United States’ letters patent, trademark, or copyright
infringement, including costs, contained in the work product or documents provided by Consultant to the City
pursuant to this Agreement.
9. RECORDS
Consultant shall keep records and invoices in connection with the work to be performed under this
Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this
Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three
(3) years, or for any longer period required by law, from the date of final payment to Consultant under this
Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of
the City to examine, audit, and make transcripts or copies of such records and any other documents created
pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data,
documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of
final payment to Consultant under this Agreement.
10. CONFIDENTIALITY
If Consultant receives from the City information which due to the nature of such information is reasonably
understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information
except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to
protect its own information of like importance, but in no event less than reasonable care. “Confidential Information”
shall include all nonpublic information. Confidential information includes not only written information, but also
information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either
party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of
non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available
sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession
of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is
independently developed by the Consultant without reference to information disclosed by the City.
11. CONFLICT OF INTEREST CLAUSE
Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which
would conflict in any manner with performance of services specified under this Agreement.
12. NON-DISCRIMINATION
Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual
orientation, gender identity, gender expression, gender, medical conditions, genetic information, or military and
veteran status, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the
recruitment, selection, teaching, training, utilization, promotion, termination or other employment related activities
or any services provided under this Agreement. Consultant affirms that it is an equal opportunity employer and shall
comply with all applicable federal, state and local laws and regulations.
CITY OF SANTA ANA
13. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and Contractor, and
supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between
the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement
may not be modified except by written instrument signed by the City and by an authorized representative of
Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are
inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City.
Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally
or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein.
14. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Consultant may
not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and
any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered
null and void. Nothing in this Agreement shall be construed to limit the City’s ability to have any of the services
which are the subject to this Agreement performed by City personnel or by other Contractors retained by City.
15. TERMINATION
This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such
event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services
performed by Consultant prior to receipt of such notice of termination, subject to the following conditions:
a. As a condition of such payment, the Executive Director may require Consultant to deliver to the
City all work product(s) completed as of such date, and in such case such work product shall be
the property of the City unless prohibited by law, and Consultant consents to the City's use thereof
for such purposes as the City deems appropriate.
b. Payment need not be made for work which fails to meet the standard of performance specified in
the Recitals of this Agreement.
16. WAIVER
No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions
of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right
or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach,
failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing
so specifies.
17. JURISDICTION - VENUE
This Agreement has been executed and delivered in the State of California and the validity, interpretation,
performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the
laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any
action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement.
18. PROFESSIONAL LICENSES
Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits,
approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws
and regulations of the United States, the State of California, the City of Santa Ana and all other governmental
agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits,
licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement.
19. NOTICE
CITY OF SANTA ANA
Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing
and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage
prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following
persons:
To City:
Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA 92702-1988
Fax: 714- 647-6956
With courtesy copies to:
Executive Director, ------- Agency
City of Santa Ana
20 Civic Center Plaza (M-xx)
P.O. Box 1988
Santa Ana, California 92702
Fax:
To Contractor:
A party may change its address by giving notice in writing to the other party. Thereafter, any communication
shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed
to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified,
with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed
to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the
transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames,
weekends, federal, state, County or City holidays shall be excluded.
20. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature herein below has the power, authority
and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify
City fully, including reasonable costs and attorney’s fees, for any injuries or damages to City in the
event that such authority or power is not, in fact, held by the signatory or is withdrawn.
b. The Agreement is the final and complete agreement and any prior or contemporaneous
agreements for similar services between the parties is superseded by this Agreement. This shall
not apply where the Parties are currently engaged and Consultant is providing services not
contemplated by this Agreement.
c. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the
body of this Agreement.
First & Last Name
Title
Consultant Firm Name
Address
City, State, Zip
Fax:
CITY OF SANTA ANA
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written.
ATTEST: CITY OF SANTA ANA
Jennifer L. Hall Alvaro Nuñez
City Clerk City Manager
APPROVED AS TO FORM:
SONIA R. CARVALHO CONSULTANT:
City Attorney
By:
Assistant City Attorney
Tax ID#
RECOMMENDED FOR APPROVAL:
Executive Director
[INSERT] Agency
SAMPLE ONLY
(name)
(title)
CITY OF SANTA ANA
Certification - I certify that I have read, understand and agree to the terms and conditions of this Request
for Proposals. I have examined the Scope of Services (Exhibit I) and am qualified to provide services
being requested as specified herein. I understand and agree that I am responsible for reporting any
errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal.
PROPOSER’S STATEMENT: I have read, understood and agree to the terms and conditions on all
pages of the Request for Proposals. Upon request, I will transfer and deliver goods or services to the
City in accordance with said terms and conditions.
__________________________________________________________________________________
LEGAL NAME OF COMPANY PHONE AND FAX NUMBERS
__________________________________________________________________________________
BUSINESS ADDRESS
__________________________________________________________________________________
PRINTED NAME OF AUTHORIZED AGENT TITLE
__________________________________________________________________________________
SIGNATURE OF AUTHORIZED AGENT DATE E-MAIL ADDRESS
__________________________________________________________________________________
FEDERAL ID NUMBER (IF APPLICABLE) CONTRACTOR LICENSE NUMBER
(IFAPPLICABLE)
__________________________________________________________________________________
CITY OF SANTA ANA BUSINESS LICENSE NUMBER
(PLEASE PROVIDE IF AVAILABLE, BUT NOT REQUIRED UNTIL AND IF AN AWARD IS MADE TO PROPOSER.)
THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL.
PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.
ATTACHMENT A
PROPOSER’S CERTIFICATION, PROPOSAL PRICING
CITY OF SANTA ANA
List and describe fully the contracts performed by your firm which demonstrate your ability to provide the
supplies, equipment or services included in the scope of the proposal specifications. Attach additional
pages if required. The City reserves the right to contact each of the references listed for additional
information regarding your firm's qualifications.
REFERENCE
Customer Name:_________________________Contact Individual: ____________________________
Address: ________________________________Phone Number:
_______________________________ EMAIL: ____________________________________
Contract Amount: ________________________Year: ______________________________________
Description of supplies, equipment, or services provided:
__________________________________________________________________________________
REFERENCE
Customer Name:_________________________Contact Individual: ____________________________
Address: ________________________________Phone Number:
_______________________________ EMAIL: ____________________________________
Contract Amount: ________________________Year: ______________________________________
Description of supplies, equipment, or services provided:
__________________________________________________________________________________
REFERENCE
Customer Name:_________________________Contact Individual: ____________________________
Address: ________________________________Phone Number:
_______________________________ EMAIL: ____________________________________
Contract Amount: ________________________Year: ______________________________________
Description of supplies, equipment, or services provided:
THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL.
PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.
ATTACHMENT B
REFERENCES
CITY OF SANTA ANA
Proposer understands and agrees that this written RFP (or any part thereof specifically designated and
accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between proposer
and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with
her signature and official seal noting hereon the action of approval of the Council, signed by the Executive
Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of
this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or
deposited with the United States Postal Service properly addressed to the proposer with the correct postage
affixed thereto.
Proposer further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish
City all required required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays,
Sundays and City’s legal holidays), or the funds, check, draft, or proposer’s bond substituted in lieu thereof
accompanying this proposal shall become the property of the City and shall be considered as payment of
damages due to the delay and other causes suffered by City because of the failure to furnish the necessary
bonds and because it is distinctly agreed that the proof of damages actually suffered by City is difficult to
ascertain; otherwise said funds, check drafts, or proposer’s bond substituted in lieu thereof shall be returned
to the undersigned.
Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth
in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under
the contract will be based upon the actual quantities of work satisfactorily completed.
All terms contained in the specifications, the certification of nondiscrimination by contractors, and the
required insurance certificates are to be incorporated by reference into this agreement and are made
specifically as part of this RFP.
Firm________________________________________________________________________________
Signed and Printed Name: ______________________________________________________________
Title ________________________________________________________________________________
Date
THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL.
PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.
ATTACHMENT C
PROPOSER’S STATEMENT
CITY OF SANTA ANA
(Title 23 United States Code Section 112 and Public Contract Code Section 7106)
To the CITY OF SANTA ANA
In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the proposer
declares that the proposal is not made in the interest of, or on behalf of, any undisclosed person,
partnership, company, association, organization, or corporation; that the proposal is genuine and not
collusive or sham; that the proposer has not directly or indirectly induced or solicited any other proposer
to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived or
agreed with any proposer or anyone else to put in a sham proposal, or that anyone shall refrain from
bidding; that the proposer has not in any manner, directly or indirectly, sought by agreement,
communication, or conference with anyone to fix the proposal price of the proposer or any proposer, or
to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, or to
secure any advantage against the public body awarding the contract of anyone interested in the
proposed contract; that all statements contained in the proposal are true; and, further, that the proposer
has not, directly or indirectly, submitted his or her proposal price or any breakdown thereof, or the
contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any
corporation, partnership, company association, organization, bid depository, or to any member or agent
thereof to effectuate a collusive or sham proposal.
Note: The above non-collusion affidavit is part of the proposal. Signing this proposal on the signature
portion thereof shall also constitute signature of this non-collusion affidavit. Proposers are cautioned that
making a false certification may subject the certifier to criminal prosecution.
Signed____________________________________________________________________________
State of ________, County of __________________________________________________________
Subscribed and sworn to (or affirmed) before me on this________ day of_____________, 20____, by
________________________, proved to me on the basis of satisfactory evidence to be the person(s)
who appeared before me.
________________________
Notary Public Signature Notary Public Seal
THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL.
PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.
ATTACHMENT D
NON-COLLUSION AFFIDAVIT
CITY OF SANTA ANA
The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or
her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned,
to any person for influencing or attempting to influence an officer or employee of any Federal
agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member
of Congress in connection with the awarding of any Federal contract, the making of any Federal
grant, the making of any Federal loan, the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan,
or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person
for influencing or attempting to influence an officer or employee of any Federal agency, a Member
of Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned
shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in
conformance with its instructions.
This certification is a material representation of fact upon which reliance was placed when this transaction
was made or entered into. Submission of this certification is a prerequisite for making or entering into
this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for
each such failure.
The prospective participant also agrees by submitting his or her bid or proposal that he or she shall
require that the language of this certification be included in all lower tier subcontracts, which exceed
$100,000 and that all such subrecipients shall certify and disclose accordingly.
Signed:
Title:
Firm:
Date:
THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL.
PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.
ATTACHMENT E
NON-LOBBYING CERTIFICATION
CITY OF SANTA ANA
The undersigned consultant or corporate officer, during the performance of this contract, certifies as
follows:
1. The Consultant shall not discriminate against any employee or applicant for employment because of
race, color, religion, sex, or national origin. The Consultant shall take affirmative action to ensure that
applicants are employed, and that employees are treated during employment without, regard to their
race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the
following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising;
layoff or termination; rates of pay or other forms of compensation; and selection for training, including
apprenticeship. The Consultant agrees to post in conspicuous places, available to employees and
applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination
clause.
2. The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of
the Consultant, state that all qualified applicants will receive consideration for employment without
regard to race, color, religion, sex, or national origin.
3. The Consultant shall send to each labor union or representative of workers with which he/she has a
collective bargaining agreement or other contract or understanding, a notice to be provided advising
the said labor union or workers’ representatives of the Consultant’s commitments under this section,
and shall post copies of the notice in conspicuous places available to employees and applicants for
employment.
4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965,
and of the rules, regulations, and relevant orders of the Secretary of Labor.
5. The Consultant shall furnish all information and reports required by Executive Order 11246 of
September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant
thereto, and will permit access to his/her books, records, and accounts by the administering agency
and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules,
regulations, and orders.
6. In the event of the Consultant’s non-compliance with the nondiscrimination clauses of this contract or
with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or
suspended in whole or in part and the Consultant may be declared ineligible for further Government
contracts or federally assisted construction contracts in accordance with procedures authorized in
Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and
remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule,
regulations, or order of the Secretary of Labor, or as otherwise provided by law.
7. The Consultant shall include the portion of the sentence immediately preceding paragraph (1) and
the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted
by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive
Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract
ATTACHMENT F
NON-DISCRIMINATION CERTIFICATION
CITY OF SANTA ANA
or purchase order as the administering agency may direct as means of enforcing such provisions,
including sanctions for noncompliance; provided, however, that in the event the Consultant becomes
involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction
by the administering agency, the Consultant may request that the United States enter into such
litigation to protect the interests of the United States.
8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as
amended, no discrimination shall be made in the employment of persons upon public works because
of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital
status, or sex of such persons, except as provided in Section 1420, and any consultant of public
works violating this Section is subject to all the penalties imposed for a violation of the Chapter.
Signed:
Title:
Firm:
Date:
THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL.
PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.
CITY OF SANTA ANA
Bidder acknowledges and agrees that under Public Contract Code section 4100, et seq., it must clearly set forth
below the name and location of each subcontractor who will perform work or labor or render service to the bidder
in or about the work in an amount in excess of one-half of one percent (0.5%) of bidder’s total bid and the kind of
work that each will perform. Furthermore, bidder acknowledges and agrees that under Public Contract Code section
4100, et seq., if bidder fails to list as to any portion of work, or if bidder lists more than one subcontractor to perform
the same portion of work (i.e. bidder must indicate what portion of the work each subcontractor will perform), bidder
must perform that portion itself or be subjected to penalty under applicable law.
If alternate bids are called for and bidder intends to use subcontractors different from or in addition to those
subcontractors listed for work under the base bid, bidder must list subcontractors that will perform work in an
amount in excess of one half of one percent (0.5%) of bidder’s total bid, including alternates.
In case more than one subcontractor is named for the same kind of work, the Contractor is to state the portion of
work that each subcontractor will perform. Bidders or suppliers of materials only do not need to be listed. If further
space is required for the list of proposed subcontractors, additional sheets showing the required information, as
indicated below, shall be attached hereto and made a part of this document.
Listed below is the name of each subcontractor that will perform work, labor, or render services to the undersigned
related to the work of this project. This is to include any subcontractor that will specially fabricate and install a portion
of work according to detailed drawings contained in the plans and specifications in the amount greater than one
half of one percent (.05%) of the contractors total bid. Additional sheets may be attached if needed.
Subcontractor Name: Location:
Portion of Work/Trade:
Bid Amount
Contractor’s License Number
DIR Registration No.
Subcontractor Name: Location:
Portion of Work/Trade: Bid Amount:
Contractor’s License No: DIR Registration No:
• Contractor will not be subcontracting any portion of work.
THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL.
PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.
ATTACHMENT G
SUBCONTRACTOR DESIGNATION FORM
Page 1 of 9
AGREEMENT WITH ROBERT D. NIEHAUS, INC. TO PROVIDE LONG-TERM
FINANCIAL PLANNING AND WATER RATE STUDY FOR THE WATER AND
SEWER ENTERPRISES
THIS AGREEMENT is made and entered into on this 20th day of May, 2025 by and between
Robert D. Niehaus, Inc. (“Consultant”), and the City of Santa Ana, a charter city and municipal
corporation organized and existing under the Constitution and laws of the State of California
(“City”).
RECITALS
A. On January 30, 2025, the City issued Request for Proposals No. 25-013, by which it sought
a Consultant to perform long-term financial planning and water rate study services for the
City’s water and sewer enterprises.
B.Consultant submitted a responsive proposal that was selected by the City. Consultant
presents that it is able and willing to provide the services described in the scope of work
that was included in RFP 25-013.
C.In undertaking the performance of this Agreement, Consultant represents that it is
knowledgeable in its field and that any services performed by Consultant under this
Agreement will be performed in compliance with such standards as may reasonably be
expected from a professional consulting firm in the field.
NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the
terms and conditions hereinafter set forth, the parties agree as follows:
1.SCOPE OF SERVICES
Consultant shall perform the services described in the scope of work that was included in
RFP No. 25-013, which is attached as Exhibit A and incorporated in full.
2.COMPENSATION
a.City neither warrants nor guarantees any minimum or maximum compensation to
Consultant under this Agreement. Consultant shall be paid only for actual services
performed under this Agreement at the rates and charges identified in Exhibit B. The
total amount to be expended during the term of this Agreement under RFP 25-013 shall
not exceed One Hundred and Thirty Thousand, Eight Hundred and Fifty Dollars
($130,850), including any extension periods.
b.Payment by City shall be made within forty-five (45) days following receipt of proper
invoice evidencing work performed, subject to City accounting procedures. Payment
need not be made for work which fails to meet the standards of performance set forth
in the Recitals which may reasonably be expected by City.
EXHIBIT 2
Page 2 of 9
3.TERM
This Agreement shall commence on 20th day of May, 2025 for one three-year term, unless
terminated earlier in accordance with Section 15, below. The term of this Agreement may be
extended for up to two (2), one-year periods upon a writing executed by the City Manager and
City Attorney.
4. INDEPENDENT CONSULTANT
Consultant shall, during the entire term of this Agreement, be construed to be an
independent Consultant and not an employee of the City. This Agreement is not intended nor shall
it be construed to create an employer-employee relationship, a joint venture relationship, or to
allow the City to exercise discretion or control over the professional manner in which Consultant
performs the services which are the subject matter of this Agreement; however, the services to be
provided by Consultant shall be provided in a manner consistent with all applicable standards and
regulations governing such services. Consultant shall pay all salaries and wages, employer's social
security taxes, unemployment insurance and similar taxes relating to employees and shall be
responsible for all applicable withholding taxes.
5.OWNERSHIP OF MATERIALS
This Agreement creates a non-exclusive and perpetual license for City to copy, use,
modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property
embodied in plans, specifications, studies, drawings, estimates, and other documents or works of
authorship fixed in any tangible medium of expression, including but not limited to, physical
drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or
caused to be prepared by Consultant under this Agreement (“Documents & Data”). Consultant
shall require all subconsultants to agree in writing that City is granted a non-exclusive and
perpetual license for any Documents & Data the subconsultant prepares under this Agreement.
Consultant represents and warrants that Consultant has the legal right to license any and all
Documents & Data. Consultant makes no such representation and warranty in regard to
Documents & Data which were provided to Consultant by the City. City shall not be limited in
any way in its use of the Documents and Data at any time, provided that any such use not within
the purposes intended by this Agreement shall be at City’s sole risk.
6.INSURANCE
Prior to undertaking performance of work under this Agreement, Consultant shall
maintain and shall require any subcontractors to obtain and maintain insurance as described
below for the entire Term of this Agreement against claims for injuries to persons or damage
to property which may arise from or in connection with services, products and materials
supplied to City. Total cost of such insurance shall be borne by Consultant.
Page 3 of 9
MINIMUM SCOPE AND LIMIT OF INSURANCE
1. Commercial General Liability (CGL): Insurance Services Office Form CG 00 01
covering CGL on an “occurrence” basis, including products and completed operations,
property damage, bodily injury and personal & advertising injury with limits no less than
$1,000,000 per occurrence and $2,000,000 aggregate. Required policy limits can be met
with primary and umbrella/excess insurance policies.
2. Automobile Liability: Insurance Services Office Form CA 00 01 covering Code 1 (any
auto), with limits no less than $1,000,000 combined single limits. In the event Consultant
does not maintain commercial automobile liability insurance, City will accept evidence of
personal automobile insurance.
3. Workers’ Compensation: as required by the State of California, with Statutory Limits,
and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident,
policy or employee, for bodily injury or disease. Coverage is not required if Consultant
has no employees and signs request to waive such insurance.
4. Professional Liability Insurance: with limits no less than $1,000,000 per occurrence or
claim, and $2,000,000 aggregate.
If Consultant maintains broader coverage and/or higher limits than the minimum requirements
for each line of coverage shown above, City requires and shall be entitled to the broader
coverage and/or the higher limits maintained by Consultant. Any available insurance proceeds in
excess of the specified minimum limits of insurance and coverage shall be available to City.
Other Insurance Provisions
The above required insurance policies are to contain or be endorsed to contain the following
provisions:
1. City, its City Council, its officers, officials, employees, agents, and volunteers are to be
covered as additional insureds, under Consultant’s CGL, Professional Liability, and
Automobile Liability policies, with respect to any liability arising out of work or
operations performed by or on behalf of the Instructor including materials, parts,
equipment, and personnel furnished in connection with such work or operations.
2. Consultant’s Insurance company(ies) agrees to waive all rights of subrogation against
City, its City Council, its officers, officials, employees, agents, and volunteers for losses
paid under the terms of any policy which arise from work performed by Consultant under
this Agreement.
3. For any claims related to this contract, Consultant’s insurance coverage shall be primary
and any insurance maintained by City, its City Council, its officers, officials, employees,
agents, or volunteers shall not contribute with it.
4. A severability of interest provision must apply for all the additional insureds, ensuring
that Consultant’s insurance shall apply separately to each insured against whom a claim
is made or suit is brought, except with respect to the insurer’s limits of liability.
Page 4 of 9
5. Insurance policies required herein shall provide that coverage shall not be canceled,
suspended, voided, reduced in coverage or in limits, non-renewed by the carrier, or
materially changed except after thirty (30) days prior written notice has been given to
City. Ten (10) days prior written notice shall be provided to City for policy cancellation
or non-renewal due to non-payment of premium.
6. Certificate Holder on each Evidence of Insurance certificate shall be: City of Santa Ana,
Attention: Leif Lovegren, 215 S. Center Street, Santa Ana, CA 92703. The name and
location of project must be included in the Description of Operations section of each
certificate.
Self-Insured Retentions
Self-insured retentions must be declared to and approved by the City. The City may require the
Consultant to purchase coverage with a lower retention or provide proof of ability to pay losses
and related investigations, claim administration, and defense expenses within the retention.
Acceptability of Insurers
Insurance is to be placed with insurers authorized to conduct business in the State of California
with a current A.M. Best rating of no less than A:VII, unless otherwise acceptable to City.
Verification of Coverage
Consultant shall furnish City with original Certificates of Insurance including all required
amendatory endorsements (or copies of the applicable policy language effecting coverage
required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy
listing all policy endorsements before work begins. However, failure to obtain the required
documents prior to the work beginning shall not waive Consultant’s obligation to provide them.
City reserves the right to require complete, certified copies of all required insurance policies,
including endorsements required by these specifications, at any time.
Special Risks or Circumstances
City reserves the right to modify these requirements, including limits, based on the nature of the
risk, prior experience, insurer, coverage, or other special circumstances.
7. INDEMNIFICATION
Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers,
agents, employees, consultants, special counsel, and representatives from liability: (1) for personal
injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for
personal injury, including death, and claims for property damage, which may arise from the
negligent operations of the Consultant, its subconsultants, agents, employees, or other persons
acting on its behalf which relates to the services described in section 1 of this Agreement; and (2)
from any claim that personal injury, damages, just compensation, restitution, judicial or equitable
relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and
hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial
or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in
this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant
Page 5 of 9
further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including
fees and costs for special counsel to be selected by the City, regarding any action by a third party
challenging the validity of this Agreement, or asserting that personal injury, damages, just
compensation, restitution, judicial or equitable relief due to personal or property rights arises by
reason of the terms of, or effects arising from this Agreement. City may make all reasonable
decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing,
to the extent Consultant’s services are subject to Civil Code Section 2782.8, the above indemnity
shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of,
pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant.
8. INTELLECTUAL PROPERTY INDEMNIFICATION
Consultant shall defend and indemnify the City, its officers, agents, representatives, and
employees against any and all liability, including costs, for infringement of any United States’
letters patent, trademark, or copyright infringement, including costs, contained in the work product
or documents provided by Consultant to the City pursuant to this Agreement.
9. RECORDS
Consultant shall keep records and invoices in connection with the work to be performed
under this Agreement. Consultant shall maintain complete and accurate records with respect to
the costs incurred under this Agreement and any services, expenditures, and disbursements
charged to the City for a minimum period of three (3) years, or for any longer period required by
law, from the date of final payment to Consultant under this Agreement. All such records and
invoices shall be clearly identifiable. Consultant shall allow a representative of the City to
examine, audit, and make transcripts or copies of such records and any other documents created
pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all
work, data, documents, proceedings, and activities related to this Agreement for a period of three
(3) years from the date of final payment to Consultant under this Agreement.
10. CONFIDENTIALITY
If Consultant receives from the City information which due to the nature of such
information is reasonably understood to be confidential and/or proprietary, Consultant agrees that
it shall not use or disclose such information except in the performance of this Agreement, and
further agrees to exercise the same degree of care it uses to protect its own information of like
importance, but in no event less than reasonable care. “Confidential Information” shall include all
nonpublic information. Confidential information includes not only written information, but also
information transferred orally, visually, electronically, or by other means. Confidential
information disclosed to either party by any subsidiary and/or agent of the other party is covered
by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any
information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the
Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant
without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e)
is independently developed by the Consultant without reference to information disclosed by the
City.
Page 6 of 9
11. CONFLICT OF INTEREST CLAUSE
Consultant covenants that it presently has no interests and shall not have interests, direct
or indirect, which would conflict in any manner with performance of services specified under this
Agreement.
12. NON-DISCRIMINATION
Consultant shall not discriminate because of race, color, creed, religion, sex, marital status,
sexual orientation, gender identity, gender expression, gender, medical conditions, genetic
information, or military and veteran status, age, national origin, ancestry, or disability, as defined
and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization,
promotion, termination or other employment related activities or any services provided under this
Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all
applicable federal, state and local laws and regulations.
13. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and
Consultant, and supersedes any and all other agreements, oral or written, between the parties. In
the event of a conflict between the terms of this Agreement and any attachments hereto, the terms
of this Agreement shall prevail. This Agreement may not be modified except by written instrument
signed by the City and by an authorized representative of Consultant. The parties agree that any
terms or conditions of any purchase order or other instrument that are inconsistent with, or in
addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each
party to this Agreement acknowledges that no representations, inducements, promises or
agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any
party, which is not embodied herein.
14. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Consultant,
Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior
written consent of the City and any such assignment, transfer, delegation or subcontract without
the City's prior written consent shall be considered null and void. Nothing in this Agreement shall
be construed to limit the City’s ability to have any of the services which are the subject to this
Agreement performed by City personnel or by other Consultants retained by City.
15. TERMINATION
This Agreement may be terminated by the City upon thirty (30) days written notice of
termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant
compensation for all services performed by Consultant prior to receipt of such notice of
termination, subject to the following conditions:
a. As a condition of such payment, the Executive Director may require Consultant to
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deliver to the City all work product(s) completed as of such date, and in such case
such work product shall be the property of the City unless prohibited by law, and
Consultant consents to the City's use thereof for such purposes as the City deems
appropriate.
b. Payment need not be made for work which fails to meet the standard of
performance specified in the Recitals of this Agreement.
16. WAIVER
No waiver of breach, failure of any condition, or any right or remedy contained in or
granted by the provisions of this Agreement shall be effective unless it is in writing and signed by
the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or
remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not
similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies.
17. JURISDICTION - VENUE
This Agreement has been executed and delivered in the State of California and the validity,
interpretation, performance, and enforcement of any of the clauses of this Agreement shall be
determined and governed by the laws of the State of California. Both parties further agree that
Orange County, California, shall be the venue for any action or proceeding that may be brought or
arise out of, in connection with or by reason of this Agreement.
18. PROFESSIONAL LICENSES
Consultant shall, throughout the term of this Agreement, maintain all necessary licenses,
permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder
and required by the laws and regulations of the United States, the State of California, the City of
Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and
in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and
exemptions. Said inability shall be cause for termination of this Agreement.
19. NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this Agreement
shall be in writing and shall be deemed to be properly given if delivered in person or mailed by
first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in
the manner provided in this Section, to the following persons:
To City:
Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA 92702-1988
Fax: 714- 647-6956
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With courtesy copies to:
Executive Director, Public Works Agency
City of Santa Ana
20 Civic Center Plaza (M-21)
P.O. Box 1988
Santa Ana, California 92702
Fax:
To Consultant:
A party may change its address by giving notice in writing to the other party. Thereafter,
any communication shall be addressed and transmitted to the new address. If sent by mail,
communication shall be effective or deemed to have been given three (3) days after it has been
deposited in the United States mail, duly registered or certified, with postage prepaid, and
addressed as set forth above. If sent by fax, communication shall be effective or deemed to have
been given twenty-four (24) hours after the time set forth on the transmission report issued by the
transmitting facsimile machine, addressed as set forth above. For purposes of calculating these
time frames, weekends, federal, state, County or City holidays shall be excluded.
20. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature herein below has the
power, authority and right to bind their respective parties to each of the terms of
this Agreement, and shall indemnify City fully, including reasonable costs and
attorney’s fees, for any injuries or damages to City in the event that such authority
or power is not, in fact, held by the signatory or is withdrawn.
b. The Agreement is the final and complete agreement and any prior or
contemporaneous agreements for similar services between the parties is superseded
by this Agreement. This shall not apply where the Parties are currently engaged
and Consultant is providing services not contemplated by this Agreement.
c. All Exhibits referenced herein and attached hereto shall be incorporated as if fully
set forth in the body of this Agreement.
Robert D. Niehaus, Inc.
Attn: Jack Lyon, Director of Business Development
140 East Carrillo Street
Santa Barbara, CA 93101
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IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first
above written.
ATTEST: CITY OF SANTA ANA
Jennifer L. Hall Alvaro Nuñez
City Clerk City Manager
APPROVED AS TO FORM:
SONIA R. CARVALHO Robert D. Niehaus, Inc.
City Attorney
By:
Kyle Nellesen
Assistant City Attorney (title)
Tax ID#
RECOMMENDED FOR APPROVAL:
Nabil Saba, PE
Executive Director
Public Works Agency
Jack Lyon
Director of Business Development
Nabil Saba
Digitally signed by
Nabil Saba
Date: 2025.05.08
07:59:35 -07'00'
EXHIBIT A
CITY OF SANTA ANA
LONG-TERM FINANCIAL PLANNING AND WATER RATE STUDY SERVICES
RFP NO. 25-013
Introduction/Background
The City of Santa An is located in the heart of Orange County, California with a population of
approximately 311,000 people.
The City own maintain and operate the water, sewer and recycled water utility systems.
The water utility system is comprised of over 480 miles of water distribution and transmission mains,
20 active water wells, 7 imported connections with Metropolitan Water District (MWD), 7 booster
pump stations, 16 emergency connections and approximately 46,000 water meter connections.
The sewer sanitary system is comprised of 390 miles of sewer mains, 9,000 sewer manholes, 48500
sewer lateral connections and two sewer lift stations. All the sewage is conveyed to the Orange
County Sanitation District (OCSD).
The recycled water system serves 25 customers. This recycled water is provided by the Orange
County Water District. The transmission and distribution infrastructure currently in place is owned
and operated by OCWD. Although, any system expansion to this system network will need to be
funded and operated by the City.
The City oversees and manages the fats, oils, and grease (FOG) program. This program involves
inspections, best management practices trainings, and regulatory compliance with state and local
mandates. Currently, there are over 1,300 food service establishments under this program.
Scope of Services
The City of Santa Ana intends to retain qualified professional firm/consultant to develop a long term
financial plan for the water, sanitary sewer, recycled water, and the fats, oils, and grease (FOG)
programs.
In addition, the consultant on as needed basis shall provide financial review, economic cost analysis and
rate structure performance evaluations to meet the City financial goals and objectives during the term of
this contract agreement.
The last adopted five year rate study for these services was completed in and adopted in 2029.
https://www.santa-ana.org/water-rate-study
Project Goals:
· Develop a comprehensive financial plan for water, sewer, recycled water, and FOG
programs.
EXHIBIT I
SCOPE OF SERVICES
CITY OF SANTA ANA
· Design a cost of service rate structure in line with the American Water Works Association
(AWWA) Principles of Water Rates, Fees, and Charges: Manual of Water Supply Practices
AWWA M1 guidelines and Proposition 218.
· Ensure rates are:
o Stable, sufficient, fair, equitable, and aligned with the utility goals and objectives
o Understandable to customers and easy for the City to administer
Tasks Expected from Consultant:
1. Analyze Existing Rate Structures:
o Current rates
o Operations revenue/expenses
o Capital improvement programs, debt obligations, and reserve policies
2. Develop a Complete Financial Plan:
o Meet utility goals and strategic objectives
o Conduct a cost of service analysis
o Develop new rate structures
o Develop Rate Design Model
o Develop capital and operations reserves strategies
3. Provide Interactive Tools:
o Create a (10) year rate modeling program with an interactive dashboard for City
staff's use including trainings
4. Final Report and Adoption Assistance:
o Deliver a report with outcomes and recommendations
o Guide the City through the adoption and implementation of new rates
5. Engagement and Public Outreach:
o Participate in 10 public meetings (with City staff, the Mayor, City Council, and the
public)
o Work with the City’s outreach consultant to prepare and present materials
Quality and Compliance:
Consultant is responsible for the accuracy of their work and ensuring compliance with all statutory
regulations, including Proposition 218.
Value-Added Services:
Propose additional related services that could help achieve the City’s goals, if applicable.
Deliverables:
Financial plans, rate modeling program, final reports, public presentations, and compliance
documentation.
EXHIBIT B
i
Robert D. Niehaus, Inc.
City of Santa Ana
Cost Proposal for
Long-Term Financial Planning and Water Rate Study Services
RFP NO: 25-013
February 25, 2025
Submitted By:
Robert D. Niehaus, Inc.
140 East Carrillo Street
Santa Barbara, CA 93101
Authorized Representative: Jack Lyon
Title: Director of Business Development
Email: Jack@rdniehaus.com
Phone: 805.618.1356
Submitted To :
ATTN: Public Works Agency
220 S. Daisy Avenue, Building A
Santa Ana, CA 92703
Attn: Armando Fernandez, P.E.
Title: Project Manager
Email: AFernandez@Santa-Ana.gov
Phone: 714.647.3316
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iii
February 25,2025
Armando Fernandez P.E. Jack Lyon, Director of Business Development
Project Manager (805) 618-1356 | jack@rdniehaus.com
City of Santa Ana Robert D. Niehaus, Inc.
220 S. Daisy Avenue, M-85 140 E Carrillo Street
Santa Ana, CA 92703 Santa Barbara, CA 93101
Subject: Cost Proposal for Long-Term Financial Planning and Water Rate Study Services
Dear Mr. Fernandez and City of Santa Ana,
Robert D. Niehaus, Inc. (RDN) is pleased to submit our Cost Proposal for the City of Santa Ana’s (City) Long-
Term Financial Planning and Water Rate Study Services (Study). Enclosed is our fixed-price fee proposal and
our hourly rate compensation schedule.
We are excited for the opportunity to work with the City on this important project. To discuss our
technical or cost proposal, which is valid for a 180-day period, please coordinate with Jack Lyon, Director
of Business Development, at 805.618.1356 or jack@rdniehaus.com.
Respectfully submitted,
Robert D. Niehaus, Ph.D. Jack Lyon
Managing Director, Principal Economist Director of Business Development
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5
COST PROPOSAL
Table 1 presents our fixed-price cost proposal. This proposal is valid for 180 days from February 25, 2025
until August 24, 2025. Hourly rates include all travel-related expenses and other direct costs – no
additional costs will be requested by RDN or reimbursed by the City. Hourly rates will remain firm for the
duration of the Agreement. RDN’s fixed-price cost proposal for Long-Term Financial Planning and Water
Rate Study Services is $130,850.
Table 1. Cost Proposal
Project Director Project Manager Communicatons
Manager
QA/QC
Consultant Consultant
Niehaus Elowsky Gaur Kido Kallerud and
Van Dinther
Task 1 - Analyze Existing Rate Structures 3 30 2 10 28 73 $18,120
1.1 Evaluate the Current Rate Structure 0 4 1 2 8
1.2 Review Customer Classes 1 8 1 2 8
1.3 Operation and Maintenance Expense 1 6 0 2 4
1.4 Capital Improvement Funding 0 8 0 2 4
1.5 Reserve Funding 1 4 0 2 4
Task 2 - Develop a Complete Financial Plan 6 48 2 15 46 117 $28,980
2.1 Revenue Requirements 0 8 0 2 8
2.2 Demand Projections/Revenue Analysis 0 2 0 2 16
2.3 Cost Functionalization 0 6 0 2 8
2.4 Cost Allocation to Cost Causative Components 0 6 0 2 2
2.5 Cost Allocation to Customer Classes 2 6 0 2 4
2.6 Develop Recommended Rates 2 16 1 4 8
2.7 FOG Charge 2 4 1 1 4
Task 3 - Provide Interactive Tools 0 58 0 10 28 96 $24,240
3.1 Rate Models 0 16 0 8 24
3.2 Financial Reviews and Continued Assistance 0 42 0 2 4
Task 4 - Final Report and Adoption Assistance 2 17 14 9 34 76 $19,300
4.1 Rate Study Report 2 12 4 8 24
4.2 Rate Comparison Survey 0 1 6 1 4
4.3 Adoption Assistance 0 4 4 0 6
Task 5 - Engagement and Public Outreach 0 20 100 0 10 130 $42,600
5.1 Proposed Meetings 0 20 100 0 10
Total Hours 11 173 118 44 146 492
Labor Rate $340 $280 $350 $240 $200
Total Cost Proposal $3,060 $47,320 $40,950 $10,320 $29,200 $130,850
Task Total
Hours Total Cost