HomeMy WebLinkAbout19H - RFP - RIGHT OF WAY SRVS CAPITAL IMPROVEMENTREQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
OCTOBER 18, 2010
TITLE
REQUEST FOR PROPOSALS FOR
RIGHT OF WAY SERVICES FOR CIP
PROJECTS
CITY MANAGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
APPROVED
? As Recommended
? As Amended
? Ordinance on 1St Reading
? Ordinance on 2"d Reading
? Implementing Resolution
? Set Public Hearing For
CONTINUED TO
FILE NUMBER
Authorize the Public Works Agency to send Request for Proposals to qualified consulting firms to
provide right-of-way services for Capital Improvement Projects.
DISCUSSION
The Public Works Agency (PWA) oversees the right-of-way (ROW) acquisition for a variety of
street widening projects budgeted included the Capital Improvement Program (CIP). Several
current and future CIP projects are scheduled for widening such as: Bristol Street and Grand
Avenue.
Acquisition, relocation and other ROW related services are provided by the professional
consultants specialized in those fields. PWA has contracted with these firms annually to provide
the City with assistance in obtaining the necessary ROW for the CIP projects. The current
contracts will expire shortly and PWA needs to issue request for proposals (RFP) to qualified firms
in these specialty areas in order to acquire the necessary right-of-way for CIP projects and to meet
the State and Federal regulations.
Following is the list of separate RFP's proposed for the needed ROW services:
Project Management & Oversight
Property Appraisal
Acquisition, Relocation & Property Management
Furniture, Fixtures and Equipment Appraisal
Business Goodwill Appraisal
Environmental Assessment
Demolition
Surveying and Mapping
Staff is recommending approval to issue RFP's to qualified firms.
19H-1
Request for Proposals
For Right of Way Services
October 18, 2010
Page 2
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
Funds to pay for these services are budgeted in various projects in the CIP. The total estimated
contract amounts for all services are $3.0 million.
Raul Godinez II
Executive Director
Public Works Agency
APPROVED AS TO FUNDS AND ACCOUNTS:
Francisco Gutierrez
Executive Director
Finance & Management Services Agency
RG/SA
Exhibit 1: Request for Proposals
19H-2
REQUEST FOR PROPOSALS
FOR
RIGHT OF WAY CONSULTING AND RELATED SERVICES
CITY OF SANTA ANA
PUBLIC WORKS DEPARTMENT
20 CIVIC CENTER PLAZA M-36
SANTA ANA, CALIFORNIA 92701
Due Date and Time: November 11, 2010 Before 5:00 p.m.
Proposal Submittal: Proposals must be submitted to the City of Santa Ana, Public Works
Department, Attn: Souri Amirani, Deputy City Engineer, per the Submittal Instructions Section of
this RFP.
ALL PROPOSALS MUST BE RECEIVED BEFORE 5:00 PM on November 11, 2010.
NO LATE PROPOSALS WILL BE ACCEPTED.
Any requests for clarification or other questions concerning this RFP must be submitted via email
to Souri Amirani at samirani(c)-santa-ana.org before 4:00 pm on November 1, 2010. Responses
will be provided via an addendum sent via email.
The City of Santa Ana reserves the right to reject any or all Proposals, to waive any
informality in any Proposal, and to select the Proposals that best meet the City's needs.
19H-3
REQUEST FOR PROPOSALS (RFP)
FOR
RIGHT OF WAY CONSULTING AND RELATED SERVICES
INTRODUCTION
The City of Santa Ana ("City") is soliciting separate proposals from professional consulting firms
(individually referred to hereafter as "Consultant" and collectively as "Consultants") to provide
right of way and related services on an as-needed basis. The services being considered for
contract are the following "Specialty Areas":
Specialty Areas Contract Amount
(per thousand)
(Al) Project Management Services $350K
(A2) Property Appraisal Services $300K
(A3) Furniture, Fixtures and Equipment Appraisal Services $350K
(A4) Business Goodwill Appraisal Services $350K
(A5) Acquisition, Relocation, and Property Management Services $500K
(A6) Environmental Services $350K
(A7) Demolition Services $750K
(A8) Surveying and Mapping Services $150K
From the proposals received, it is the City's goal to select one firm to perform the Project
Management and Oversight Services and one to two firms for the other disciplines listed above.
The City will enter into separate agreements (the "Agreement") with each of these firms. Work
will be assigned by Contract Task Orders. As tasks are identified, they will be distributed among
these firms based upon their ability to perform the required work within the project schedule and
budget constraints. The fee and a detailed scope of work will be outlined when a specific task is
assigned to a consultant. The City reserves the right to distribute the work in any manner which
will best serve the City's interests.
BACKGROUND
The City of Santa Ana is planning various road widening and intersection projects. These
projects include, but are not limited to: Bristol Street Widening Project; Grand Avenue, First to
Fourth; 17th and Bristol Intersection; Bristol Warner Intersection. It is anticipated that the
consultant will be responsible for the establishment of right of way requirements, right of way
mapping, appraisals, environmental studies, right of way acquisition, relocation, property
management, demolition and site clearing, and title transfer to the City. It is also anticipated that
the City may have the responsibility to acquire by condemnation any parcels for which
negotiations become unsuccessful.
It is the City's intent to establish a right of way consultant team for all the Specialty Areas.
These Specialty Areas are included in the Scope of Work section of this document. The actual
number of consultants to be selected will depend on the availability of qualified firms,
evidenced by the proposal process.
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Minimum Qualifications
Following are the minimum qualifications to be used to evaluate responses to this Request for
Proposals. (Any firm failing to meet these minimum qualifications shall be disqualified.)
1. Consultant has a full-time service office in Orange County, California.
2. Proposed Project Manager and/or Firm has five (5) or more years experience managing
federal, state and locally funded projects for a public agency (i.e. Public Works
Department).
3. Firm has three or more excellent references for work performed in the past five (5) years.
Specialty Areas
The City's "General Requirements - Right of Way Services" as well as a "Scope of Work by
Specialty Area" are set forth in ATTACHMENT 1, included herein. Consultants may submit
proposals for as many Specialty Areas for which they deem themselves qualified. Separate
proposals should be submitted for each Specialty Area. A Consultant may be selected for
one or more Specialty Area, depending on qualifications.
Other Requirements
In addition to the requirements set forth in the City's Professional Consulting Services
Agreement, there may be other requirements imposed on a per project basis, especially for
certain federally funded projects. Any such City requirement shall be provided to Consultant
prior to obtaining a proposal for such a project.
The City of Santa Ana's Professional Consulting Services Agreement is included herein as
ATTACHMENT 2. The initial agreement term will be three (3) years, plus two (2) one-year option
terms for a total of up to five (5) years. The City intends to award multiple contracts from this
solicitation. Services will be performed under separate Contract Task Orders (CTO) issued
following contract award. Within the general Scope of Work Shown in ATTACHMENT 1, the City
will, at its sole discretion, issue CTO's for specific tasks. CTO award will be based upon factors
such as (1) experience in and understanding of the task, (2) capacity of the firm to perform the
CTO work within the required time frame given on-going commitments to other work, (3)
reasonableness and affordability of the price. There is no guarantee that any firm awarded a
contract will receive a minimum amount of work through CTO's.
Prevailinq Wages
CTO's issued under the Agreements awarded from this RFP may be funded under a financial
assistance contract by the U.S. Department of Transportation, and as such will be subject to all
conditions of the Davis-Bacon Act (40 U.S.C. 276a) and the Labor Code of the State of California
commencing in Section 1770 et. seq. It is required that all mechanics, laborers and technicians
subject to prevailing wages in their performance of services under the Agreements be paid not
less than the current basic hourly rates of pay and fringe benefits. Wage schedules are available
at the City's Offices or on the internet at -
www.dir.ca.gov/DLSR/statistics_research.html and -www.access.gpo.gov/davisbacon/.
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Consultants shall utilize the relevant prevailing wage determinations in effect on the date the
CTO proposal request was received. In the event there are any differences between the
minimum wage rates as determined by the United States Secretary of Labor and those
determined by the State of California, the highest rate must be paid.
SUBMITTAL REQUIREMENTS
This Request for Proposals is intended to assess each Consultant's general capabilities as
they would apply to the City of Santa Ana and to evaluate specific responses to each
Specialty Area and the expected scope of work. In order to maintain uniformity with all
proposals furnished by Consultants, it is hereby requested the proposals be limited to a
maximum of 30 pages (excluding front and back covers, section dividers, resumes and required
forms). Proposals shall be typed with a standard 12 point font, double spaced and submitted on 8
Y2" X 11" paper using a single method of fastening. Charts and schedules may be included in 11
X 17" format.
Consultant must address each of the following items in their response to this RFP•
1. _Proposal cover and letter of transmittal
State the name and the Specialty Area being submitted (e.g., "(A2) Real Property Appraisal
Services," etc.). Provide firm's full legal entity name and include the type of business
structure (e.g., a California corporation, a limited liability company or a sole proprietorship).
This information is critical; as it will be used for the ultimate contract if awarded
Corporations must include their state of incorporation.
The letter should also provide general contact information including the name of the proposed
Project Manager, the office address, phone, FAX and e-mail address from which he/she
will work. Consultants submitting proposals for multiple Specialty Areas must state a single
contact name and information including email address for the final single contract.
2. Technical Proposal
a. Qualifications, Related Experience and References of Consultant
This section of the proposal should establish the ability of Consultant to satisfactorily
perform the required work by reasons of: experience in performing work of a similar
nature; demonstrated competence in the services to be provided; strength and stability
of the firm; staffing capability; work load; record of meeting schedules on similar
projects; and supportive client references. The Consultant shall:
(1) Provide a brief profile of the firm, including the types of services offered; the year
founded; form of the organization (corporation, partnership, sole proprietorship);
number, size and location of offices; and number of employees.
(2) Provide a general description of the firm's financial condition and identify any
conditions (e.g., bankruptcy, pending litigation, planned office closures, impending
merger) that may impede Consultant's ability to complete the project.
(3) Describe the firm's experience in performing work of a similar nature to that
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solicited in this RFP, and highlight the participation in such work by the key
personnel proposed for assignment to this project. Describe experience in working
with the various government agencies identified in this RFP.
(4) Identify subcontractors by company name, address, contact person, telephone
number and project function. Describe Consultant's experience working with each
subcontractor.
(5) Provide as a minimum three (3) references for the projects cited as related
experience, and furnish the name, title, address and telephone number of the
person(s) at the client organization who is most knowledgeable about the work
performed. Consultant may also supply references from other work not cited in this
section as related experience.
b. Proposed Staffing and Project Organization
This section of the proposal should establish the method, which will be used by the
Consultant to manage the project as well as identify key personnel assigned. The Consultant
shall:
(1) Provide education, experience, and applicable professional credentials of project staff.
(2) Furnish brief resumes (not more than two [2] pages each) for the proposed Project
Manager and other key personnel.
(3) Indicate adequacy of labor resources utilizing a table projecting the labor-hour
allocation to the project by individual task.
(4) Identify key personnel proposed to perform the work in the specified tasks and include
major areas of subcontract work. Include the person's name, current location,
proposed position for this project, current assignment, level of commitment to that
assignment, availability for this assignment and how long each person has been with
the firm.
(5) Include a project organization chart, which clearly delineates communication/reporting
relationships among the project staff.
(6) Include a statement that key personnel will be available to the extent proposed for the
duration of the project acknowledging that no person designated as "key" to the project
shall be removed or replaced without the prior written concurrence of the City.
C. Work Plan
Consultant should provide a narrative, which addresses the Scope of Work, and shows
Consultant's understanding of City's needs and requirements. The Consultant shall:
(1) Describe the approach to completing the tasks specified in the Scope of Work. The
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work plan shall be of such detail to demonstrate the Consultants ability to accomplish
the project objectives and overall schedule.
(2) Outline sequentially the activities that would be undertaken in completing the tasks and
specify who would perform them.
(3) Furnish a project schedule for completing the tasks in terms of elapsed weeks from the
project commencement date.
(4) Identify methods that Consultant will use to ensure quality control as well as budget
and schedule control for the project.
(5) Identify any special issues or problems that are likely to be encountered in this project
and how the Consultant would propose to address them.
(6) Consultant is encouraged to propose enhancements or procedural or technical
innovations to the Scope of Work that do not materialy deviate from the objectives or
required content of the project.
d. Exceptions/Deviations
State any exceptions to or deviations from the requirements of this RFP, segregating
"technical" exceptions from "contractual" exceptions. Where Consultant wishes to propose
alternative approaches to meeting the City's technical or contractual requirements, these
should be thoroughly explained. If no contractual exceptions are noted, Consultant will be
deemed to have accepted the contract requirements as set forth in ATTACHMENT 2.
4. Cost and Price Proposal
As part of the cost and price proposal, the Consultant shall submit proposed pricing to
provide the services for each work task described in Attachment 1, Scope of Work.
Consultant shall complete "List of Key Personnel" form included with this RFP (Exhibit A) and
shall complete the "Price Summary Sheet" form included with this RFP (Exhibit B), and
furnish any narrative required to explain the prices quoted in the schedules. The Agreement
will have a time-and materials type of payment provision, with the consultant paid for actual
hours worked plus other direct costs for a CTO. Each CTO will have an estimated price, and
the consultant shall exercise due diligence to perform its work within the estimated price.
Appendices
Information considered by Consultant to be pertinent to this project and which has not been
specifically solicited in any of the aforementioned sections may be placed in a separate
appendix section. Consultants are cautioned, however, that this does not constitute an
invitation to submit large amounts of extraneous materials. Appendices should be relevant
and brief.
DBE 3 SOLICITATION PROVISIONS AND PARTICIPATION FORMS
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The Consultant shall complete and submit with its proposal Enclosures 4a through 4d in
accordance with the instructions set forth in EXHIBIT D "Disadvantaged Business Enterprise
Requirements and Instructions."
REFERENCES
Provide a minimum of three (3) references for similar projects performed only within the past five
(5) years. Include the project cost and year of completion, along with the client's name,
address, phone number and email address. Rank them in order according to their
similarity to the City of Santa Ana Public Works Department Projects and your
understanding of the general scope of work. Describe the project or type of work provided
for each reference.
CERTIFICATION FORM
Complete and include the Certification of Non-Discrimination by Consultants form
(ATTACHMENT 3) with your proposal.
SUBMITTAL INSTRUCTIONS
Submit five (5) bound copies of your proposal signed by a company official with the power to
bind the company in its proposal before 5:00 PM on or before November 11, 2010.
Proposals must be clearly and submitted to:
City of Santa Ana, Public Works Department
Attn: Souri Amirani, Deputy City Engineer
20 Civic Center Plaza M-36
Santa Ana, CA 92701
CONSULTANT SELECTION
The response to this Request for Proposal shall contain documentation of Consultant's
credentials and expertise pertaining to your specialty in this field. Substantial consideration will
be given to Consultants with demonstrable and documented experience in similar work.
Proposals will be evaluated on the basis of the qualifications, abilities, and responsiveness of the
proposing Consultant.
The City of Santa Ana has established a Consultant Selection Committee to evaluate
Consultant's proposals. The evaluation of each proposal will be based on technical criteria and
qualifications listed within the RFP, reference checks, and other information which will be
gathered independently. The following general selection criteria will be used to evaluate each
consultant firm:
1. Qualifications of the Firm - 30%
Technical experience in performing work of a closely similar nature; experience working
with public agencies; strength and stability of the firm; strength, stability experience and
technical competence of subcontractors; assessment by client references.
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2. Staffing & Project Organization - 30%
Qualifications of project staff, particularly key personnel and especially the Project
Manager; key personnel's level of involvement in performing related work cited in
"Qualifications of the Firm" section; logic of project organization; adequacy of labor
commitment; concurrence in the restrictions on changes in key personnel.
3. Work Plan - 20%
Depth of Consultant's understanding of City's requirements and overall quality of work
plan; logic, clarity and specificity of work plan; appropriateness of labor distribution
among the tasks; ability to meet the project deadline; reasonableness of proposed
schedule; utility of suggested technical or procedural innovations.
4. Cost and Price - 20%
Reasonableness and affordability of the proposed hourly rates and other direct costs
compared with other offers received. Adequacy of data in support of figures quoted;
reasonableness of individual task budgets; basis on which prices are quoted.
EVALUATION PROCEDURE
An evaluation committee will be appointed to review all proposals received for this RFP. The
committee is comprised of City staff and may include outside personnel. The committee
members will evaluate the written proposals using criteria identified in Consultant Selection
above. A list of top ranked proposals, firms within a competitive range, will be developed based
upon averaging of the committee members' scores for each proposal.
During the evaluation period, the City may interview some or all of the proposing firms.
At any time during the evaluation process, and before or after selection for award, the City may
negotiate contract terms with some or all Consultants, and expressly reserves the right to
negotiate with several Consultants simultaneously, and thereafter to award a contract to the
Consultant or Consultants presenting the most favorable terms to the City. Consultants may
also be asked to submit a Best and Final Offer (BAFO). The BAFO will include, but not
necessarily be limited to, additional information, confirmation or clarification of issues, and
submission of a final cost/price proposal.
At the conclusion of the evaluation process, the evaluation committee will recommend to the
appropriate Board Committee, the Consultant with the highest final ranking or a short list of top
ranked Consultants within the competitive range The Board Committee will review the evaluation
committee's recommendation and forward its decision to the full Board of Directors for final
action.
AWARD
The City Council will consider the recommendation of staff and may approve contract award or
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modify the recommendation.
The City reserves the right to award its total requirements to one Consultant or to apportion those
requirements among several Consultants as the City may deem to be in its best interest. In
addition, negotiations may or may not be conducted with Consultants; therefore, the proposal
submitted should contain the Consultant's most favorable terms and conditions, since the
selection and award may be made without discussion with any Consultant.
GENERAL INFORMATION
Any requests for clarification or other questions regarding this RFP shall be sent via email to
Souri Amirani, Deputy City Engineer, at samirani@santa-ana.org no later than 4:00 p.m. on
November 1, 2010. Responses to questions, if applicable, shall be emailed as an addendum on
or about November 8, 2010.
The City of Santa Ana reserves the right to reject any or all Proposals, to waive any informality in
any Proposal, and to select the Proposals that best meet the City's needs.
THE CITY'S AFFIRMATIVE ACTION PROGRAM
It is the policy of the City of Santa Ana to ensure that minority, women, and other disadvantaged
and small businesses can fairly compete for and perform on all the City of Santa Ana's contracts
and subcontracts. In accordance with the City of Santa Ana's Federal financial assistance
agreements with the U.S. Department of Transportation and Caltrans, the City of Santa Ana will
comply with Title 49 CFR Part 26; Participation by Disadvantaged Business Enterprises in
Department of Transportation Programs; as well as in accordance with the American Recovery
and Reinvestment Act (ARRA). Please complete the Certification of Non-Discrimination by
Consultants Form (included herein as ATTACHMENT 3), and submit as an attachment with each
of your proposals. Further DBE requirements may be provided to consultants on a per project
basis for applicable projects.
INSURANCE REQUIREMENTS
A Certificate of Liability Insurance and Additional Insured Endorsement for Commercial General
Liability Policy Forms are enclosed for your reference as ATTACHMENT 4. Please refer to the
Professional Consulting Services Agreement (ATTACHMENT 2) for the necessary amounts of
general liability, automotive, worker's compensation and professional liability insurance. The
certificate shall include the City and its officers and employees as insured or additional insured.
PROFESSIONAL CONSULTING SERVICES AGREEMENT
A Professional Consulting Services Agreement is enclosed for your review, as ATTACHMENT 2.
The RFP and the Consultant's proposal will be attached and become part of the agreement as
exhibits. Be prepared when submitting a proposal to approve the Professional Consulting
Services Agreement in this Request for Proposals.
COORDINATION
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The City will decide the manner in which the coordination of individual matters is undertaken. At
the City's option, coordination efforts may be performed by the Consultant's direct contact, by the
Consultant acting through the City or by the City only. When coordination efforts require
agreements, such agreements shall be coordinated through the City.
RIGHT TO REJECT PROPOSALS
City reserves the right to reject any or all proposals submitted and no representation is made
hereby that any contract will be awarded pursuant to this RFP or otherwise.
All costs incurred in the preparation of the proposal, the submission of additional information
and/or any aspect of a proposal prior to award of a written contract will be borne by the
respondent. The City will provide only the staff assistance and documentation specifically
referred to herein and will not be responsible for any cost or obligation of any kind, which may be
incurred by the respondent. All proposals submitted to City shall become property of the City.
TENTATIVE SCHEDULE
The City's tentative schedule for this RFP is as follows:
City Release RFP October 19, 2010
Proposal Due November 11, 2010
Estimated Contract Award December 6, 2010
PROPOSAL SUBMITTAL DEADLINE
Proposals are due before 5:00 p.m. on Friday November 11, 2010 to the City of Santa Ana,
Public Works Department, Third Floor, Attn: Souri Amirani, Deputy City Engineer, 20 Civic Center
Plaza M-36, Santa Ana, CA 92701.
ADDENDA
Any subsequent changes in RFP from the date of issuance to date of submittal will result in an
addendum by the issuing office.
PRIME CONSULTANT RESPONSIBILITIES
The selected Consultant will be required to assume responsibilities for all services in his/her
proposal. The selected Consultant will be the sole point of contact with regard to contractual
matters, including payment of any and all charges resulting from the Agreement.
DELAYS
The City reserves the right to delay schedule dates if it is to the advantage of the City of Santa
Ana.
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PROJECT CONTROL
Control of the project shall remain the total responsibility of the City of Santa Ana.
RULES FOR PROPOSALS
The signer of the proposal must declare in writing that the only person, persons, company or
parties interested in the proposal as principals are named therein; that the proposal is made
without collusion with any other person, persons, company or parties submitting a proposal; that
it is in all respects fair and in good faith without collusion or fraud; and, that the signer of the
proposal has full authority to bind the principal proposer.
METHOD OF PAYMENT
The Consultant shall submit a monthly invoice to the City for the services rendered in that
month. The invoice shall include a detailed breakdown of the services, the project title, the
tasks, the hours, and hourly rates.
REGULATIONS
The selected Consultant shall be expected to comply with all applicable federal, state, city
regulations, and contract provisions.
ATTACHMENT 1
SCOPE OF WORK
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GENERAL REQUIREMENTS - RIGHT OF WAY SERVICES
Consultants under contract with the City of Santa Ana will provide support to City of Santa
Ana staff or their designee. The Consultants shall be thoroughly familiar with the Statement
of Work prior to submitting a response to this Request for Qualifications (RFQ).
• The Consultant shall perform work to produce a high quality, professional and complete
work product.
• Consultant must have experience with State and Federally funded projects. All work shall
be performed in conformance with all applicable regulations, policies, procedures and
standards.
• Real estate appraisers provided by the Consultant must be certified and a Member of the
Appraisal Institute.
• All acquisition agents and property managers, performing work for the City, must hold a
valid California Real Estate License. Salespersons must be registered with California
Department of Real Estate (DRE), as working solely under the Consultant's supervising
broker of record.
• Work may include, but not be limited to, the following: onsite review of the project area;
review of existing records; conducting research and performing analysis; information
gathering; negotiations; development of strategies.
• The Consultant shall carry out the instructions received from the City and shall cooperate
with the City and other agencies.
• The Consultant has total responsibility for the accuracy and completeness of the work
produced. The work will be reviewed by the City for conformity with the requirements of
the Agreement. Reviews by the City may NOT include a detailed review for the accuracy
of items submitted. The responsibility for accuracy and completeness of such items
remains solely that of Consultant.
• The Consultant shall be responsible for coordination and supervision of all work
performed by its sub-consultants. The Consultant shall review all work performed by its
sub-consultants and the responsibility for accuracy and completeness of work performed
remains solely that of Consultant.
• The Consultant shall have a Quality Control Plan in effect during the entire time work is
being performed under the Agreement. The Quality Control Plan shall establish a process
whereby work products are independently checked, corrected and back checked. All
projects related correspondences and documents should be maintained and bound in
appropriate project files.
• The Consultant shall diligently work on each assignment and complete each task in
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accordance with the schedule and accommodate the City's needs.
• The Consultant's work will be subject to inspections by City, County, State and Federal
representatives.
• Project files including copies of all correspondences, reports, documents, and electronic
files shall be submitted to the City when requested.
• All work, including reports, analysis, data, and intellectual properties developed during the
life of the Agreement shall become the properties of the City.
• The Consultant will receive written notification of the award of the contract. Upon on such
notification, the Consultant will proceed with the services required by the Agreement.
Listed on the following pages are the Scope of Work for each Specialty Area.
SCOPE OF WORK BY SPECIALTY AREA
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(A1) PROJECT MANAGEMENT SERVICES
Project management and oversight services tasks may include:
• Establishment of right of way requirements for road widening projects
• Review accuracy of Right of way mapping and legal descriptions
• Review Title reports and identify pertinent
• Review and comment on Real estate appraisals
• Review and comment on Fixtures and equipment appraisals
• Review and comment on Loss of business goodwill appraisals
• Review and comment on Environmental studies
• Review and comment on Acquisition tasks such as offer packages
• Monitor negotiations.
• Review Relocation plan and monitor status of relocation and eviction efforts.
• Monitor condition of City property and provide property management services
• Prepare documentation for administrative settlements
• Provide Condemnation support
• Monitor Demolition activities
• Prepare documentation for Right of way disposition
• Attend meetings and present progress status reports to City staff
• Manage sales activities on City owned property including:
o Set-up procedure to sell surplus property
o Assemblage of smaller parcels into marketable units
o Market for sale properties via traditional and non-traditional methods
(A2) REAL PROPERTY APPRAISAL SERVICES
Consultant will provide appraisal services that include full and part take of residential property;
commercial property; industrial property; easements; special use or zoned property; furniture,
fixtures and equipment appraisals; review appraisals; and goodwill valuation. Appraisal Services
shall be in accordance federal, state, and local regulations, policies, procedures and standards.
Appraiser may perform the following tasks:
• Real Estate Appraisals (full and partial takes)
• Preparation of Appraisal Summary Statements to accompany City's Offer documents
• Valuation of Agency's Landscape Setback requirements
• Preparation of a detailed appraisal necessary for condemnation
• Coordination with Fixtures and Equipment Appraisers
• Coordination with Business Goodwill Appraisers
• Communication with property owners
• Prepare all necessary correspondence, letters and reports
• Provide effective communication with engineers, planners, attorneys, and City staff
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• Comply with federal, state and local regulations
• Create files and maintain all records
• Provide condemnation consultations
• Attend meetings/public hearings and conduct presentations
• Provide expert witness testimony
• Coordinate and review of Phase I and Phase II Environmental Studies
(A3) FURNITURE, FIXTURES AND EQUIPMENT APPRAISAL SERVICES
The Consultant shall complete work under the direction of City staff. The Consultant will be
expected to provide experienced and knowledgeable professional staff. The Consultants shall be
responsive and maintain excellent working relationships with property owners, tenants, and City
staff. The Consultant shall be committed to provide adequate staffing levels at all times in order
to adhere to established schedules. The Consultants shall be knowledgeable and very familiar
with federal, state and local regulations, policies and procedures as pertain to the right of way
services provided. Consultant services will include providing:
Budgetary Estimates of Fixtures and Equipment Values
Budgetary estimates are used by public agencies in planning and preparing a project
budget. Consultant's estimates of fixtures and equipment values will be based upon a
"drive by" site inspection of the subject businesses, limited market research, and any
publicly available data. In addition, the estimates take into consideration Consultant's
experience in preparing fixtures and equipment appraisals of comparable businesses, as
well as our knowledge of relevant statutes and case law, negotiated settlements and jury
awards in eminent domain proceedings. Consultant's results will be presented in a brief
letter.
Fixtures and Equipment Appraisals
Consultant will provide a fully contained appraisal report, in triplicate, of the improvements
pertaining to the realty and major movable equipment of each business appraised. The
report will include an estimate of the fair market value in place and liquidation value of all
appropriate items and will be prepared in conformance with Article 3 of the California
Code of Civil Procedure, Sections 1263.205 and 1263.210. (Compensation for losses in
connection with movable personal property is included in the California Code of
Regulations, Title 25, Sections 6090 and 6092.) Appraisal procedures will be guided by
the Uniform Standards of Professional Appraisal Practice (USPAP).
In preparing each comprehensive appraisal, Consultant will: inspect the business' facility;
prepare an inventory of the improvements pertaining to the realty and major movable
equipment; coordinate appraisal activities with the real estate appraiser to avoid
duplication of compensation; interview the business' owner/manager regarding the
business' history, operations and tangible assets owned; and utilize generally accepted
valuation methodology to determine the fair market value in place and liquidation value of
the appropriate items owned by the business.
(A4) BUSINESS GOODWILL APPRAISAL SERVICES
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The Consultant shall complete work under the direction of City staff. The Consultant will be
expected to provide experienced and knowledgeable professional staff. The Consultants shall be
responsive and maintain excellent working relationships with property owners, tenants, and City
staff. The Consultant shall be committed to provide adequate staffing levels at all times in order
to adhere to established schedules. The Consultants shall be knowledgeable and very familiar
with federal, state and local regulations, policies and procedures as pertain to the right of way
services provided. Consultant services will include providing:
Budgetary Estimates of Goodwill Loss
Budgetary estimates are used by public agencies in planning and preparing a project
budget. Consultant's estimates of goodwill loss will be based upon a "drive by" site
inspection of the subject businesses, limited market research, and any publicly available
data. In addition, these estimates will take into consideration Consultant's experience in
preparing goodwill loss appraisals of comparable businesses, as well as our knowledge of
relevant statutes and case law, negotiated settlements and jury awards in eminent domain
proceedings. Consultant's results will be presented in a brief letter.
Goodwill Loss Acquisition Appraisals
During the early stages of property acquisition, Consultant can provide preliminary
estimates of goodwill loss. Acquisition appraisals are based upon data, which may be
provided by the business' ownership at its discretion. Such information may include:
leases; background on the business provided via owner/management interviews;
historical and prospective financial data; and information about proposed relocation sites.
In addition, Consultant shall perform basic transactional research in light of our
understanding of the business' operations and financial condition. Consultant will also
coordinate with real estate and fixtures and equipment appraisers to avoid duplication of
compensation. Further, Consultant's analyses will be guided by relevant statutory and
case law pertaining to compensation for loss of goodwill.
The results of each acquisition appraisal study is presented in a brief report with attached
schedules. Included within this document are the purpose of the assignment, the sources of
information utilized, a brief description of the subject business and the valuation methods
employed. Consultant will note any assumptions made in performing the analysis, as well as all
information requested from the business' ownership, but not received, which, upon review by
Consultant, may have an impact on the value conclusion.
Real Property Appraisals
• Obtain appraisals for each acquisition prepared in accordance with the State of California
Laws and USPAP.
• Review appraisal report and prepare an Appraisal Summary Statement.
Furniture, Fixtures and Equipment Appraisals
Inspect the business facility.
Prepare separate inventories for the Fixtures & Immovable Equipment and Movable
Personal Property.
Coordinate appraisal activities with the real estate appraiser to avoid duplication of
compensation
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• Interview the business owner regarding the history, operation and tangible assets owned.
• Prepare report utilizing accepted valuation methodology to estimate the replacement cost
new, fair market value in place and salvage value of the appropriate items owned by each
business operation.
Review Appraisals (Required For Federally Funded Projects)
• Coordinate, direct and obtain review appraisals in accordance with the Uniform Relocation
Assistance and Real Property Acquisition Policies Act (Uniform Act) and Caltrans
guidelines.
• Examine all appraisals and corresponding reports
• Seek any corrections or revisions deemed appropriate.
(A5) ACQUISITION, RELOCATION, AND PROPERTY MANAGEMENT SERVICES
ACQUISITION SERVIES:
Assist City staff with the coordination of all the various aspects of the real property acquisition
process, ensuring all work will be performed in accordance with the public agency's policies and
procedures and federal, state and local regulations.
Acquisition tasks may include:
• Meet with City staff to discuss assignments and procedures.
• Perform the services required by the City with qualified personnel, equipment, materials,
supplies, and management and administration services.
• All personnel and subcontractors, referred to as "Approved Personnel", shall be
approved by Agency, prior to providing services. There shall be no changes in the
Approved Personnel without written concurrence of the City.
• Prepare a schedule of major activities and milestones and provide an estimate of the
cost to conduct proposed assignments including assignments to subcontractors. Upon
City's written approval of the estimated cost, initiate the assignment in a timely manner.
• Be responsible for the accuracy of work and promptly make all necessary revisions or
corrections resulting from errors and omissions by Approved Personnel.
• As deemed necessary by the City, meet with the City and other staff as requested.
• Monitor and maintain all files to ensure overall project integrity.
• Prepare and assemble the "Offer Package" using the format approved by the City.
• Prepare and maintain a file for those properties assigned for acquisition by the City.
• Present written purchase offers to property owners as directed by staff.
• Meet on an ongoing basis with property owners or business tenants (or their appointed
representatives) to coordinate and negotiate the purchase and sale transaction.
• Supplement negotiations by obtaining and reviewing counter offers or demands from
property owners, recommendations for settlements, coordinating with the agency to
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review and discuss all possible solutions and problems, including condemnation.
• Prepare all acquisition agreements, deeds and other documents necessary to complete
the acquisition.
• In the course of acquisition process, provide all the necessary information and work with
the relocation consultant in addition to the City staff member in order to expeditiously
and professionally complete the project.
• Obtain reconveyance and subordination agreements as necessary.
• Maintain an accurate and current record of all-pertinent information and contacts
concerning the property owners and tenants.
• Assist City in condemnation support activities.
RELOCATION SERVICES
Provide a complete relocation assistance program to comply with the Uniform Relocation
Assistance and Real Property Acquisition Policies Act of 1970 (Uniform Act) or Title 25, California
Code of Regulations, its amendments, and other pertinent laws and regulations. Prepare
Relocation Plans, Relocation Guidelines, relocation cost estimates, project area surveys and
other specialized reports. Consultant's relocation services include, but are not limited to the
following:
Relocation Plan
Consultant will prepare a Relocation Plan, in accordance with all requirements of State Law,
State HCD Guidelines, the Relocation Assistance and Real Property Acquisition Rules and
Regulations of the Agency. The purpose of this Relocation Plan is to provide the City with
summary and statistical information regarding the impact of a project to potential displacees.
Specifically, this report should concern the identification of potential impacts that may occur as a
result of the demolition of existing structures, proposed displacement of occupants, and a plan to
mitigate respective impacts.
The Relocation Plan shall include:
• Description of the proposed project and project location;
• Assessment of needs;
• Replacement housing resources;
• Residential and commercial displacements;
• Temporary housing (if applicable);
• Program assurances and standards;
• Relocation assistance program;
• Citizen participation and plan review period;
• Description of relocation benefits;
• Eviction policies and procedures;
• Appeals and grievance procedures;
• Displacement schedule;
• Estimated relocation costs.
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Residential Relocation Services shall include:
• Prepare "Relocation Package" in accordance with City approved format.
• Provide advisory services
• Interview displaced persons
• Distribute Relocation Packages in accordance with City staff directives.
• Inform displaced persons of available relocation assistance, the relocation process and
benefits.
• Search for relocation sites and provide referrals of sites to displacees.
• Prepare and distribute informational brochures and other required notices and
documents.
• Provide referrals and advice
• Determine relocation eligibility and amount for relocation benefits.
• Review entitlement packages in accordance with applicable rules and regulations.
• Review requested moving entitlements.
• Inspect replacement dwellings.
• Thoroughly document all contacts with the displacee.
• Prepare and transmit to the City all applicable invoices and relocation claim forms.
• Prepare and deliver residential entitlement letters and other required documents.
• Provide status reports to City staff.
• Advise and update City staff on various aspects of state and federal relocation law.
Business Relocation Services
Consultant shall meet with owners of businesses within a reasonable time after the offer to
purchase has been made and interview them to complete the Displacees Needs Questionnaire.
Collect data regarding the type of business, work schedule, number of employees and the
owner's proposed plans. Provide advisory assistance.
• Determine potential eligibility for moving payments by reviewing eligibility criteria and
case data.
• Personally contact the displacees and present required forms and explain in detail the
options for payment of reasonable moving expenses.
• Extract from appraisal report information regarding improvements that have been
acquired so as to eliminate them from consideration in determining moving expenses.
• Review and approve the compilation of a certified personal property inventory.
• Interview the displacee again to identify in detail displacee's needs, desires, and issues.
• Summarize all interviews, contacts and contact attempts in diary for official record.
• Provide assistance in locating a suitable replacement site.
• Monitor the move as much as feasible to determine that all items are moved that should
be moved and that no items are moved that were purchased during the acquisition of the
property.
• Collect supporting documents and submit payment of moving expenses.
• Determine what expenses are necessary and eligible as reestablishment expenses.
• Inspect the replacement property, obtain cost estimates, discuss the issues with the
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displacee, verify expenses and income and project next two years to assess whether
increased operating costs will exist.
• Determine eligibility for actual reasonable search expenses.
• Determine eligibility for In-Lieu business payment, utilizing IRS tax returns and/or
certified financial statements.
• If Business Good-Will becomes an issue, an appraisal, or letter of exposure, may be
required.
• Arrange for a final walk-through inspection of the property.
• Collect final supporting documentation, prepare final claim, prepare certification and
close file.
Construction and moving bid services
Movers:
• Conduct on site inventory and photos
• Complete certified inventory and mover instruction form
• Schedule and coordinate bids
• Attend site inspection, if necessary
• Review and compare bids
Contractors:
• Verify licensing
• Prepare mover instruction form
• Schedule and coordinate bids
• Attend site inspection, if necessary
• Review and compare bids
• Evaluate for eligibility
PROPERTY MANAGEMENT SERVICES
Consultant will coordinate all of the property management tasks with City staff and the demolition
contractor as deemed necessary. Consultant shall provide interim property management during
the transition from occupancy to demolition. This includes the coordination of utility connections
and disconnections, preparing and facilitating short-term rental agreements, rent collections,
providing eviction services, property maintenance and security, preparing and issuing notices to
vacate in accordance with state law, coordination of final asbestos and lead surveys, and
monitoring the demolition of structures and removal of underground storage tanks or other
environmental concerns.
Duties will include:
• Property Management Coordination
• Acting as Property Management Liaison
• Utility Coordination
• Invoice Services
• Security Services
• Lawn Care
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• Facilitate Maintenance Services
• Month-to-Month Occupancy Agreements
• Collect Rent
• Prepare Rental Agreements
• Complete Vacancy of Unit Tasks
• Disconnect Utilities
• Coordinate Fencing Services
• Secure Property
• Eviction Coordination
• Demolition Coordination
(A6) ENVIRONMENTAL SERVICES
Phase I Environmental Site Assessment
Coordinate a Phase I study to be performed in compliance with the standard practices of the
American Society for Testing and Materials (ASTM) Phase I ESA Process (Standard: E 1527-
00). Monitor to see that: reasonable attempts are made to interview the existing and former
owners of the properties; a visual survey of the site and adjacent sites is made; reasonable
attempts are made to contact local government officials regarding conditions in connection with
the property; a review of site and area land use history is completed; and a review of site area for
geology and subsurface/surface potential for pollutant transport from public sources. Review
complete report to assure contents of inspections and interviews, site characteristics, record and
historical review information and potential contamination issue, and conclusions and
recommendations for any work required. Copies to be distributed to City file, City Attorney and
Property Management consultant, if required, on the site.
Phase II Environmental Site Assessment
Review with City staff the Phase I ESA to determine the need for a Phase II ESA Survey. If
necessary, coordinate the completion of a Phase II ESA. Upon receipt of the Phase II report,
prepare recommendation to for additional environmental analysis. Distribute the Environmental
Site Report and written recommendations to City staff and City Attorney's office.
Demolition Asbestos & Follow Up Surveys
Coordinate or assist the Property Management Consultant with the coordination and completion
of asbestos and lead surveys. Coordinate distribution of these reports to applicable consultants.
Perform a follow-up inspections before the beginning the demolition process.
(A7) DEMOLITION SERVICES
Contractor is responsible for demolishing improvements, including, but not limited to: foundations
and footings, slabs, basement, detached garage and all landscaping. Contractor is also
responsible for clearing the site, grading the parcel for drainage, importing and exporting fill dirt
as needed, capping all sewer lines.
All work is to be done in accordance with all applicable federal, state and local regulations,
standards and codes governing demolition and any othertrade work done in conjunction with the
demolition. Copies of all demolition permits, sewer cap inspection approval and a letter of
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completion should be submitted for City's files prior to the Contractor receiving payment.
The Contractor shall supply all necessary labor, materials, services, insurance, permits, and
equipment to carry out the work in accordance with all applicable federal, state, and local
regulations.
Additional duties will include:
• Asbestos abatement
• Rat and/or vermin abatement
M) SURVEYING AND MAPPING SERVICES
The work, in general, consists of performing digital mapping by photogrammetric methods as well
as surveying for arterial streets. In addition, City may need consultant services for legal
description preparation.
• Provide survey services as requested. A detailed scope of work will be outlined when
specific project is assigned to the consultant. Services shall include, but are not limited to,
cross-sections, intersection grids, centerline determination, digital terrain models (.dtm),
right of way determination, and the preparation of legal descriptions with exhibits.
• Generate a computer drawing in Microstation V8 format showing survey per the attached
City of Santa Ana CADD Standards as well as the sample survey drawing on the City of
Santa Ana website listed below:
• All survey needs to be prepared to the satisfaction of the City's Senior Surveyor and meet
the following standards:
o Horizontal control shall be based on the 1983 North American Datum (NAD83), tied to
a minimum of two proximate County of Orange, CCS83, Zone VI, 1991.35 Epoch
Adjustment control points. Project coordinate values shall be provided in U.S. Survey
Feet. The County control points shall determine the Basis of Bearing for the project.
o Vertical control shall be based on the North American Vertical Datum of 1988
(NAVD88), tied to a minimum of two proximate County of Orange bench marks.
Project elevations shall be provided in U.S. Survey Feet.
o Horizontal alignment(s) for the project shall be tied to the survey centerline
monuments within the project area.
o With the coordinate values, a full location and detailed description, including point
character with reference(s), shall be provided for all found and set monuments for the
project. For this purpose, a sketch of the control network is required.
o Copies of all survey field notes and raw data files shall be provided along with a listing
of the final coordinates for all surveyed points. The digital file format for the listing
shall be: point number, northing, easting, elevation, description (comma delineated
with no spaces, one point per line). The coordinate precision shall be one hundredth
of a foot.
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o At any given time the City may need to mobilize survey crews to different project sites,
the consultant shall have a minimum of three (3) survey crews for mobilization.
• All City CADD standards as well as Microstation configuration files are located at:
http://www.santa-ana.or-g/pwa/EngineeringServices.asp
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19H-26
SAMPLE AGREEMENT FOR PROVISION OF
PROFESSIONAL SERVICES
ATTACHMENT 2
THIS AGREEMENT, made and entered into this day of , 20 by and
between , a California (hereinafter "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 (hereinafter "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 provide services as set forth in Exhibit A.
2. REPRESENTATIVES
For purposes of implementing this Agreement, the representative of City shall be the Executive
Director of the Public Works Agency, or his designated representative, and the representative of the
Consultant shall be the President or his/her designated representative. Except as may be otherwise
stated herein, such representatives shall have the authority to act on behalf of their respective parties in
carrying out the terms of this Agreement.
3. DELIVERY OF WORK PRODUCT - OWNERSHIP
Consultant warrants and represents that it has the absolute right to enter into and perform this
Agreement and will perform its obligations hereunder in accordance with standards and practices
prevailing in the industry. Consultant's contribution to the Project, including works to be produced by
assigned Consultant personnel hereunder, will not infringe or misappropriate the proprietary or
personal rights of any third person or party. Consultant assigned personnel shall deliver to City any
work product which results from the services provided. Said work product shall be submitted in hard
copy and produced in a form compatible with City's information systems, as agreed between the
Project Manager and Consultant.
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19H-27
In regard to all material produced as a deliverable under this Agreement, including but not
limited to records, papers, drawings, specifications, programs, systems and other materials prepared by
Consultant, Consultant agrees, for itself and its affected officers, employees, agents, contractors, and
volunteer workers, that (a) other such material shall be the property of the City, and may not be
copyrighted without prior review from the City, and (b) the authors of all such material, whether
copyrighted or not, award to the City, and to its officers, agents and employees acting within the scope
of their official duties, as a condition of payment to the Consultant, a royalty-free, nonexclusive,
irrevocable license throughout the world for governmental purposes to disclose, publish, translate,
reproduce, and use such materials.
4. COMPENSATION
a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the
rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not
exceed $ , during the term of this Agreement.
b. Payment by City shall be made within thirty (30) days following receipt of proper invoice
evidencing service provided in the previous month, subject to City accounting procedures. The
invoice shall include the temporary employee's name, billing rate and number of hours worked. A
copy of the timesheet(s) for the billing period shall be attached. 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.
5. TERM
This Agreement shall commence on the date first written above and terminate on ,
unless terminated earlier in accordance with Section 14, below. The term may be extended upon a
writing executed by the Executive Director of Public Works and the City Attorney.
6. INDEPENDENT CONTRACTOR
Consultant and its assigned personnel shall, during the entire term of this Agreement, be
construed to be independent contractors and not employees 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 and its assigned personnel 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.
7. INSURANCE
Prior to undertaking performance of work under this Agreement, Consultant shall maintain and
shall require its subcontractors, if any, to obtain and maintain insurance as described below:
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a. Commercial General Liability Insurance. Consultant shall maintain commercial general
liability insurance which shall include, but not be limited to protection against claims arising from
bodily and personal injury, including death resulting therefrom and damage to property, resulting from
any act or occurrence arising out of Consultant's operations in the performance of this Agreement,
including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than
the following: single limit coverage applying to bodily and personal injury, including death resulting
therefrom, and property damage, in the total amount of $1,000,000 per occurrence, $2,000,000 in the
aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and
representatives as additional insured(s); (b) be primary with respect to insurance or self-insurance
programs maintained by the City; and (c) contain standard separation of insureds provisions.
b. Business automobile liability insurance, or equivalent form, with a combined single limit of
not less than $2,000,000 combined single limit. Such insurance shall include coverage for owned,
hired and non-owned automobiles.
c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of
the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability
for worker's compensation or to undertake self-insurance. Prior to commencing the performance of
the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability
insurance with limits not less than $1,000,000 per accident.
d. If Consultant is or employs a licensed professional such as an architect or engineer:
Professional liability (errors and omissions) insurance, with a combined single limit of not less than
$1,000,000 per claim.
The following requirements apply to the insurance to be provided by Consultant pursuant
to this section:
(i) Consultant shall maintain all insurance required above in full force and effect
for the entire period covered by this Agreement.
(ii) Certificates of insurance shall be furnished to the City upon execution of this
Agreement and shall be approved in form by the City Attorney.
(iii) Certificates and policies shall state that the policies shall not be canceled or
reduced in coverage or changed in any other material aspect without thirty (30)
days prior written notice to the City.
f. If Consultant fails or refuses to produce or maintain the insurance required by this section or
fails or refuses to furnish the City with required proof that insurance has been procured and is in force
and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement.
Such termination shall not effect Consultant's right to be paid for its time and materials expended
prior to notification of termination. Consultant waives the right to receive compensation and agrees to
indemnify the City for any work performed prior to approval of insurance by the City.
8. INDEMNIFICATION
Consultant agrees to and shall indemnify, defend and hold harmless the City, its officers,
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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 health, and claims for property damage, which may arise from the direct or
indirect operations of the Consultant or its contractors, subcontractors, agents, employees, or other
persons acting on their 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. 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 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.
9. CONFIDENTIALITY
If Consultant or its assigned personnel 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.
10. 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.
11. 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 telefacsimile 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, California 92702-1988
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telefacsimile (714) 647-6956
With courtesy copies to:
Executive Director
Public Works Agency
and
To Consultant:
City of Santa Ana
20 Civic Center Plaza (M-36)
P.O. Box 1988
Santa Ana, California 92702-1988
telefacsimile (714) 647-5622
City Attorney
City of Santa Ana
20 Civic Center Plaza (M-29)
P.O. Box 1988
Santa Ana, California 92702
telefacsimile (714) 647-5635
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 telefacsimile, 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.
12. 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 nor 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 are not
embodied herein.
13. 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
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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.
14. 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 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.
15. DISCRIMINATION
Consultant shall not discriminate because of race, color, creed, religion, sex, marital status,
sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable
law, in the recruitment, selection, training, utilization, promotion, termination or other employment
related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all
applicable federal, state and local laws and regulations.
16. JURISDICTION -VENUE
This Agreement and all questions relating to its validity, interpretation, performance, and
enforcement shall be government and construed in accordance with the laws of the State of California.
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.
17. 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
her inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said
inability shall be cause for termination of this Agreement.
18. MISCELLANEOUS PROVISIONS
Page 29 of 48
19H-32
a. Each undersigned represents and warrants that its signature hereinbelow 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. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in
the body of this Agreement.
19. WORK PRODUCT
All work product prepared by Consultant pursuant to this Agreement shall be the property of the City
and Consultant consents to the City's use thereof for such purposes as the City deems appropriate.
Consultant shall submit all work product to City in hard copy and produced in a form compatible
with City's computer system, as agreed between the City and Consultant.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first
above written.
ATTEST:
MARIA D. HUIZAR
Clerk of the Council
APPROVED AS TO FORM:
JOSEPH W. FLETCHER
City Attorney
By:
Laura Sheedy
Assistant City Attorney
CITY OF SANTA ANA:
DAVID N. REAM
City Manager
CONSULTANT
(NAME)
Title
Tax ID#
ATTACHMENT 3
CERTIFICATION OF NON-DISCRIMINATION BY CONSULTANTS
As suppliers of goods or services to the City of Santa Ana, the Firm listed below certifies that it
does not discriminate in its employment with regard to race, color, religion, sex, or national origin;
Page 30 of 48
19H-33
that it is in compliance with all federal, state and local directives and executive orders regarding
non-discrimination in employment; and that it agrees to demonstrate positively and aggressively
the principle of equal opportunity in employment.
WE AGREE SPECIFICALLY:
1. To take affirmative steps to hire minority employees with the company.
2. To establish or observe employment policies within affirmative promotion opportunities
for minority persons at all job levels.
3. To communicate this policy to all persons concerned, including all company employees,
outside recruiting services, especially those servicing minority communities, and to the
minority communities at large.
FIRM
NAM I
PRINTED NAME
TITLE OF PERSON SIGNING
SIGNATURE
DATE
Please include any additional information available regarding equal opportunity employment
programs now in effect within your company.
ATTACHMENT 4
Page 31 of 48
19H-34
AC W. CERTIFICATE OF LIABILITY INSURANCE
_ __ 01,31J2001
.Y AND CONFERS wo views
.DER. THIS CERTIFICATE DOES
INSURERS AFFORDING COVERAGE
INSURER A:
INSURrR D
I nt HvLAats Lw INSLJHJw ;t L151ED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED
NOTVWTHSTANDNJG
.
ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR
MAY PERTAIN THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS. EXCLUSIONS AND CONDITION S OF SUCH
POLICIES.. AGGREGATE LIMITS SHOWN MAY HAVE BEEN RPM Ir.Fn FLY PAIn C..LANAAS,
NM TYPE OF MMttNANCE POLICY "Lou" PDLLCY TIME POLICY ETOSTAi1ON -LIMITS
GENERAL LIASNLm
' X111111111 01/0112001 0110112662 EAC!1OCCuRREVCL s 1.000,000
x CDUMERCIAL GENERAL LIABILITY i I FIRE DAMAGE iAny ane 5m} T 5 _ 50,000
«LAAK3 AIDE X : OCCUR I NEU E%P ORa t j S S,ODD
-?. -.--- - { PERSONAL A ADY INJURY 5 1.000,000
-- GENERA. AGGREGATE __It 2,000,0,)0
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plt0Dl1CT5•COHAP'OPAGG i E
2,000,900
POLIGr ! Pkn I NOW
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I X i ANY -,UTO COMBINED SIIOLE LIMIT
I IEa aPatlenlt E
1,090.000
ALL OWNED AUTOS
SCHEDJLEDAU10S BODILY INJURY
{ (PHxr Ptrannj . E
i HIRED AUTOS --
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A?YAL>rO INSURED ENDORSEMENT
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?C 4 TpNAND XXX3333a3333 01101/2001 9110112002 x I w
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DTHIEN I PL444444
Profesannal Liability 01101!2001 01/0112002 EaGI Gccwrence
! I I 1_pp6,066
OESCRWT" OF OPERATKMWLOCATIONSNW #HCLKSAXCLUSX*M ADDED BY iNDORSS&* AW=IAL rlt4yygly
Certificate Holder is additional Maured per aflached.
Project No
CERTIFICATE Atli nd:R 6 W..e...-...-..Y_._? _
SNOUtD ANY OF THE ABOVE 099CPAM POUCHES DE CANC HARD SSFORE THE EXPIRATION
City of Santa Ana DATE THEREOF, THE MUM MSIUMP WILL MMAVOR TO MAIL 30 DAYS
WMrrLW
20 Civic Center Plaza -Ross Annex (M- ) NOTCE TO THE COMWATE MU" NAILED TO TIRE LEFT. SUIT FAILURE TO 00 SO
SHALL
Santa Ana, CA 92701 ?D'E NO oaL+BJ1TroN OR LlAanrrtr of ANY UM LION THE IMINRER. ITS AGENTS OR
AUTHORIZED IEPIESCWTATM
ACORD 2-&A (71071
CO ACORD CORPORATION 1986
ADDITIONAL INSURED ENDORSEMENT
Page 32 of 48
19H-35
FOR COMMERCIAL GENERAL LIABILITY POLICY
Insurance Company
This endorsement modifies such insurance as is afforded by the provisions of Policy
# relating to the following:
1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701; its
officers, employees, agents, volunteers and representatives are named as additional insured's
("additional insured's") with regard to liability and defense of suits arising from the operations and
uses performed by or on behalf of the named insured.
2. With respect to claims arising out of the operations and uses performed by or on
behalf of the named insured, such insurance as is afforded by this policy is primary and is not
additional to or contributing with any other insurance carried by or for the benefit of the additional
insured's.
3. This insurance applies separately to each insured against whom claim is made or
suit is brought except with respect to the company's limits of liability. The inclusion of any
person or organization as an insured shall not affect any right which such person or organization
would have as a claimant if not so included.
4. With respect to the additional insured's, this insurance shall not be cancelled, or
materially reduced in coverage or limits except after thirty (30) days written notice has been given
to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701.
(Completion of the following, including countersignature, is required to make this endorsement
effective.)
Effective
Policy #
Issued to
Named Insured
Countersigned by
Authorized Representative
this endorsement form as a part of
EXHIBIT A
Page 33 of 48
19H-36
Page 1 of 1
Right of Way Consulting and Related Services
PART I - LIST OF KEY PERSONNEL
Names Functions
PART II - LIST OF SUBCONSULTANT/SUBCONTRACTORS
Subcontractor Name/Address I Function
EXHIBIT B
Page 34 of 48
19H-37
19H-38
Page 1 of 2
Right of Way Consulting and Related Services
PRICE SUMMARY SHEET
SCHEDULE I -- HOURLY RATES
Name Job Title/ Job Function Fully Burdened
Classification Hourly Rate*
ruiiy tsuraenea-- rates inciuae all overhead, general costs, administration costs and profit.
EXHIBIT B
Page 35 of 48
19H-39
Page 2 of 2
SCHEDULE II ---- OTHER DIRECT COSTS
TYPE OF COST UNIT OF MEASURE UNIT RATE
1. I acknowledge receipt of RFP and Addenda No. (s)
2. This offer shall remain firm for
of proposal
COMPANY NAME
days (MINIMUM OF 180) from the date
ADDRESS
TELEPHONE
SIGNATURE OF PERSON
AUTHORIZED TO BIND
CONSULTANT
NAME AND TITLE
DATE SIGNED
DISADVANTAGED BUSINESS ENTERPRISE
EXHIBIT D
Page 36 of 48
19H-40
REQUIREMENTS AND INSTRUCTIONS
1. TERMS AS USED IN THIS DOCUMENT
• The term "Disadvantaged Business Enterprise" or "DBE" means a for-profit small business
concern owned and controlled by a socially and economically disadvantaged person(s) as
defined in Title 49, Part 26.5, Code of Federal Regulations (CFR).
• The term "Underutilized Disadvantaged Business Enterprise" or "UDBE" is a firm
meeting the definition of a DBE as specified in 49 CFR and is one of the following
groups:
o Black American
o Asian-Pacific American
o Native American
• The term "bidder" also means "proposer" or "offerer."
• The term "Agreement" also means "Contract."
• The term "Agency" also means the local entity entering into this contract with the
Contractor or Consultant.
• The term "Small Business" or "SB" is as defined in 49 CFR 26.65.
2. AUTHORITY AND RESPONSIBILITY
A. DBEs and other small businesses are strongly encouraged to participate in the
performance of Agreements financed in whole or in part with federal funds (See 49 CFR
26, "Participation by Disadvantaged Business Enterprises in Department of Transportation
Financial Assistance Programs"). The Offerer should ensure that DBEs and other small
businesses have the opportunity to participate in the performance of the work that is the
subject of this solicitation and should take all necessary and reasonable steps for this
assurance. The Offerer shall not discriminate on the basis of race, color, national origin, or
sex in the award and performance of subcontracts.
B. Offerer's are encouraged to use services offered by financial institutions owned and
controlled by DBEs.
3. SUBMISSION OF UDBE AND DBE INFORMATION
"Enclosure 4a" Local Agency Proposer UDBE (Consultant Contract) Commitment"
If there is a UDBE goal on the contract, a "Local Agency Proposer UDBE (Consultant
Contract) Commitment" form shall be included in the Request for Proposal. In order for an
Offerer to be considered responsible and responsive, the Offerer must make good faith efforts
to meet the goal established for the contract. If the goal is not met, the bidder/proposer must
document adequate good faith efforts. Only UDBE participation will be counted towards the
contract goal; however, all DBE participation shall be collected and reported.
EXHIBIT D
Page 37 of 48
19H-41
"Enclosure 4b" Local Agency Proposer DBE (Consultant Contract) Information"
(Successful Offerer Only)
A "Local Agency Proposer DBE (Consultant Contract) Information" form shall be
included with the Request for Proposal. The purpose of the form is to collect data required
under 49 CFR 26. For contracts with UDBE goals, this form collects DBE participation by
DBEs owned by Hispanic American and Subcontinent Asian Americans. For contracts with no
goals, this form collects information on all DBEs, including UDBEs. Even if no DBE
participation will be reported, the Offerer must execute and return the form.
"Enclosure 4c" Bidders List
The U.S. Department of Transportation (DOT) requires the Authority to create and
maintain a "Bidders List" containing information about all firms (DBE and non-DBE) that bid,
propose or quote on the Authority's DOT-assisted contracts, in accordance with 49 CFR Part
26.11, for use in the Authority's overall annual DBE goal-setting process. Therefore, the
Offerer shall provide the requested information for every firm who submitted a bid, proposal or
quote, including the primary Offerer, whether successful or unsuccessful in their attempt to
obtain a contract:
a. Firm name;
b. Firm address;
c. Firm's status as a DBE or non-DBE;
d. Age of the firm;
e. Type of services provided by the firm; and
f. Range of annual gross receipts for the last year.
The "Bidders List" information must be submitted on Enclosure 4c and should be included
with the proposal submittal; however, in the event that the referenced Exhibit is not included,
the Exhibit shall be submitted to the Authority no later than 48 hours following proposal
submission due date and timeline for the Offerer to be deemed responsive.
Page 38 of 48
19H-42
4. DBE PARTICIPATION GENERAL INFORMATION EXHIBIT D
It is the Offerer's responsibility to be fully informed regarding the requirements of 49
CFR, Part 26, and the Department's (California Department of Transportation) DBE
program developed pursuant to the regulations. Particular attention is directed to the following:
A. A DBE must be a small business firm defined pursuant to 13 CFR 121 and be certified
through the California Unified Certification Program (CUCP).
B. A certified DBE may participate as a prime contractor, subcontractor, joint venture
partner, as a vendor of material or supplies, or as a trucking company.
C. A UDBE bidder, not bidding as a joint venture with a non-DBE, will be required to
document one or a combination of the following:
1. The bidder is a UDBE and will meet the goal by performing work with its own
forces.
2. The bidder will meet the goal through work performed by UDBE
subcontractors, suppliers or trucking companies.
3. The bidder, prior to bidding, made adequate good faith efforts to meet the
goal.
D. A DBE joint venture partner must be responsible for specific contract items of work or clearly
defined portions thereof. Responsibility means actually performing, managing and supervising
the work with its own forces. The DBE joint venture partner must share in the capital
contribution, control, management, risks and profits of the joint venture commensurate with its
ownership interest.
E. A DBE must perform a commercially useful function pursuant to 49 CFR 26.55; that is, a DBE
firm must be responsible for the execution of a distinct element of the work and must carry out
its responsibility by actually performing, managing and supervising the work.
F. The bidder (prime contractor) shall list only one subcontractor for each portion of work as
defined in their bid/proposal and all DBE subcontractors should be listed in the bid/cost
proposal list of subcontractors
G. An Offerer who is a certified DBE is eligible to claim all of the work in the Agreement toward
the DBE participation except that portion of the work to be performed by non-DBE
subcontractors.
Page 39 of 48
19H-43
5. RESOURCES EXHIBIT D
A. The CUCP database includes the certified DBEs from all certifying agencies participating in
the CUCP. If you believe a firm is certified that cannot be located on the database, please
contact the Caltrans Office of Certification toll free number 1-866-810-6346 for assistance.
Bidder/Proposer may call (916) 440-0539 for web or download assistance.
B. Access the CUCP database from the Department of Transportation, Civil Rights,
Business Enterprise Program website at: http://www.dot.ca.gov/hq/bep/ .
-Click on the link in the left menu titled Find a Certified Firm
• Click on Query Form link, located in the first sentence
• Click on Certified DBE's (UCP) located on the first line in the center of the page
-Click on Click To Access DBE Query Form
-Searches can be performed by one or more criteria
-Follow instructions on the screen
"Start Search," "Requery," "Civil Rights Home," and "Caltrans Home" links are
located at the bottom of the query form
C. How to Obtain a List of Certified DBEs without Internet Access
DBE Directory: If you do not have Internet access, Caltrans also publishes a
directory of certified DBE firms extracted from the on-line database. A copy of the
directory of certified DBEs may be ordered from the Caltrans Division of Procurement
and Contracts/Material and Distribution Branch/Publication Unit, 1900 Royal Oaks
Drive, Sacramento, CA 95815, Telephone: (916) 445-3520.
6. MATERIALS OR SUPPLIES PURCHASED FROM DBEs COUNT TOWARDS DBE CREDIT, AND IF A DBE
IS ALSO A UDBE, PURCHASES WILL COUNT TOWARDS THE UDBE GOAL UNDER THE FOLLOWING
CONDITIONS:
A. If the materials or supplies are obtained from a DBE manufacturer, count one hundred
percent of the cost of the materials or supplies. A DBE manufacturer is a firm that
operates or maintains a factory, or establishment that produces on the premises, the
materials, supplies, articles, or equipment required under the Agreement and of the
general character described by the specifications.
B. If the materials or supplies are purchased from a DBE regular dealer, count sixty
percent of the cost of the materials or supplies. A DBE regular dealer is a firm that owns,
operates or maintains a store, warehouse, or other establishment in which the materials,
supplies, articles or equipment of the general character described by the specifications and
required under the Agreement are bought, kept in stock, and regularly sold or leased to the
public in the usual course of business. To be a DBE regular dealer, the firm must be an
established, regular business that engages, as its principal business and under its own
name, in the purchase and sale or lease of the products in question. A person may be a
DBE regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone
or asphalt without owning, operating or maintaining a place of business provided in this
section.
Page 40 of 48
19H-44
EXHIBIT D
C. If the person both owns and operates distribution equipment for the products, any
supplementing of regular dealers' own distribution equipment shall be by a long-term
lease agreement and not an ad hoc or Agreement-by -Agreement basis. Packagers,
brokers, manufacturers' representatives, or other persons who arrange or expedite
transactions are not UDBE regular dealers within the meaning of this section.
D. Materials or supplies purchased from a DBE, which is neither a manufacturer nor a
regular dealer, will be limited to the entire amount of fees or commissions charged for
assistance in the procurement of the materials and supplies, or fees or transportation
charges for the delivery of materials or supplies required on the job site, provided the
fees are reasonable and not excessive as compared with fees charged for similar
services
7. FOR DBE TRUCKING COMPANIES: CREDIT FOR DBES WILL COUNT TOWARDS DBE
CREDIT, AND IF A DBE IS A UDBE, CREDIT WILL COUNT TOWARDS THE UDBE GOAL,
UNDER THE FOLLOWING CONDITIONS:
A. The DBE must be responsible for the management and supervision of the entire trucking
operation for which it is responsible on a particular Agreement, and there cannot be a
contrived arrangement for the purpose of meeting the UDBE goal.
B. The DBE must itself own and operate at least one fully licensed, insured and operational
truck used on the Agreement.
C. The DBE receives credit for the total value of the transportation services it provides on
the Agreement using trucks it owns, insures, and operates using drivers it employs.
D. The DBE may lease trucks from another DBE firm, including an owner-operator who is
certified as a DBE. The DBE who leases trucks from another DBE receives credit for the
total value of the transportation services the lessee DBE provides on the Agreement
Page 41 of 48
19H-45
E. The DBE may also lease trucks from a non-DBE firm, including an owner-operator. The
DBE who leases trucks from a non-DBE is entitled to credit only for the fee or commission
it receives as a result of the lease arrangement. The DBE does not receive credit for the
total value of the transportation services provided by the lessee, since these services are
not provided by the DBE.
F. For the purposes of this Section D, a lease must indicate that the DBE has exclusive
use and control over the truck. This does not preclude the leased truck from working
for others during the term of the lease with the consent of the DBE, as long as the
lease gives the DBE absolute priority for use of the leased truck. Leased trucks must
display the name and identification number of the DBE.
Page 42 of 48
19H-46
EXHIBIT D
Local Agency Proposer UDBE Commitment (Consultant Contracts)
NOTE: PLEASE REFER TO INSTRUCTIONS ON THE REVERSE SIDE OF THIS
AGENCY: LOCATION: PROJECT
DESCRIPTION: CONTRACT GOAL:
$ PROPOSAL
DATE: PROPOSER'S
NAME:
NAME OF UDBEs (Must be
WORK ITEM
NO. DESCRIPTION OR SERVICES TO
BE SUBCONTRACTED DBE Cert. No. AND
EXPIRATION DATE certified on the date the
proposals are opened - include
UDBE address and phone PERCENTAGE
AMOUNT OF EACH
UDBE
number
For Local Agency to Complete: Local Agency Contract Number: Total Claimed Participation
Federal Aid Project Number:
Federal Share:
Proposal Award
Date: Local Agency Q
$
certifies that the UDBE certification(s) has been verified and all information is
complete and accurate. po
Print Name Signature Date Local
Agency Representative (Area Code) Telephone Number:
For Caltrans Review: Signature of Proposer
Print Name
Signature Date Caltrans District Local Assistance Engineer Date
(Area Code) Tel. No.
Local
Agency Bidder - UDBE Commitment (Rev 3/09)
Page 43 of 48
19H-47
Local Agency Proposer DBE Information (Consultant Contracts)
SUCCESSFUL PROPOSER ONLY
PLEASE NOTE: It is the proposer's responsibility to verify that the UDBE(s) falls into one of
the following groups in order to count towards the UDBE contract goal: 1) Black American; 2)
Asian-Pacific American; 3) Native American; 4) Women. This information shall be submitted
with your proposal. Failure to submit the required UDBE commitment will be grounds for
finding the proposal nonresponsive
UDBE is a firm meeting the definition of a DBE as specified in 49 CFR and is one of the
following groups:
1. Black American
2. Asian-Pacific American
3. Native American
4. Women The form requires specific information regarding the consultant contract: Agency,
Location, Project Descriptions, Federal Aid Project Number (assigned by Caltrans-Local
Assistance), Proposal Date, Proposer's Name, and Contract Goal.
The form has a column for the Work Item Number (or Item No's) and Description or Services to be
Subcontracted to UDBEs. The UDBE should provide a certification number to the Consultant. Notify
the Consultant in writing with the date of the decertification if their status should change during the
course of the contract. The form has a column for the Names of certified UDBEs to perform the work
(must be certified on the date proposals are received and include UDBE address and phone number).
Enter the UDBE prime consultant and subconsultant certification numbers. Prime consultants shall
indicate all work to be performed by UDBEs including, if the prime consultant is a UDBE, work
performed by its own forces.
There is a column for the total UDBE percentage. Enter the Total Claimed UDBE Participation
percentage of items of work submitted with the proposal pursuant to the Special Provisions. (If 100%
of item is not to be performed or furnished by the UDBE, describe exact portion of time to be
performed or furnished by the UDBE.) See Notice to Bidders/Proposers Disadvantaged Business
Enterprise Information to determine how to count the participation of UDBE firms. Note: If the
proposer has not met the contract goal, the local agency must evaluate the proposer's good faith
efforts to meet the goal in order to be considered for award of the contract.
Exhibit H-1 must be signed and dated by the consultant proposing. Also list a phone number in the
space provided and print the name of the person to contact.
For the Successful Proposer only, local agencies should complete the Contract Award Date and
Federal Share fields and verify that all information is complete and accurate before signing and
sending a copy of the form to the District Local Assistance Engineer within 15 days of award. Failure
to submit a completed and accurate form within the 15-day time period may result in the de-
obligation of funds on this project.
District DBE Coordinator should verify that all information is complete and accurate. Once the
information has been verified, the District Local Assistance Engineer signs and dates the
form.
INSTRUCTIONS - LOCAL AGENCY PROPOSER- UDBE COMMITMENT ALL PROPOSERS
Enclosure 4a Page 2 of 2 Page 44 of 48
19H-48
Enclosure 4b Page 1 of 2
NOTE: PLEASE REFER TO INSTRUCTIONS ON THE REVERSE SIDE OF THIS FORM
AGENCY: LOCATION: PROJECT
DESCRIPTION: TOTAL CONTRACT
AMOUNT:$ PROPOSAL
DATE: PROPOSER'S
NAME:
CONTRACT
ITEM NO. DESCRIPTION OR SERVICES TO
BE SUBCONTRACTED DBE Cert. No. AND
EXPIRATION DATE NAME OF DBEs (Must be
certified on the date bids are
opened - include DBE address
PERCENTAGE OF DBE
and hone number
For Local Agency to Complete: Local Agency Contract Number: Total Claimed Participation
Federal Aid Project Number:
Federal Share:
Contract Award
Date: Local Agency $
certifies that the DBE certification(s) has been verified and all information is
complete and accurate. %
Print Name Signature Date Local
Agency Representative Area Code) Telephone Number:
For Caltrans Review:
Signature of Proposer
Print Name Date
Signature Date Caltrans District Loc (Area Code) Tel. No.
al Assistance Engineer Local
Agency Bidder - DBE Commitment(Rev 3/09)
Distribution: (1) Copy - Fax or scan a copy to the Caltrans District Local Assistance Engineer (DLAE) within 15 days of contract
execution. Failure to send a copy to the DLAE within 15 days of contract execution may result in de-obligation of funds for this
project. (2) Original - Local agency files
Page 45 of 48
19H-49
INSTRUCTIONS - LOCAL AGENCY PROPOSER DBE INFORMATION
SUCCESSFUL PROPOSER:
The form requires specific information regarding the consultant contract: Agency, Location,
Project Description, Federal Aid Project Number (assigned by Caltrans-Local Assistance),
Proposal Date, and Successful Proposer's Name.
The form has a column for the Description or Services to be Subcontracted by DBEs. The DBE
should provide a certification number to the prime consultant. The form has a column for the
Names of DBE certified consultants to perform the work (must be certified on the date the
proposal is received and include DBE address and phone number). Enter DBE prime
consultant's and subconsultants' certification numbers. The prime consultant shall indicate all
work to be performed by DBEs including, if the prime consultant is a DBE, work performed by its
own forces.
Enter the Total Claimed DBE Participation percentage of items of work in the total DBE Dollar
Amount column. (If 100% of item is not to be performed by the DBE, describe the exact portion of
time to be performed by the DBE.) See Notice to Proposers/Bidders Disadvantaged Business
Enterprise Information to determine how to count the participation of DBE firms.
Exhibit H-2 must be signed and dated by the successful proposer at contract execution. Also
list a phone number in the space provided and print the name of the person to contact.
For the successful proposer, local agencies should complete the Contract Award Date
and Federal Share fields and verify that all information is complete and accurate before
signing and sending a copy of the form to the District Local Assistance Engineer within 15
days of contract execution. Failure to submit a completed and accurate form within the 15-
day time period may result in the de-obligation of funds on this project.
District DBE Coordinator should verify that all information is complete and accurate.
Once the information has been verified, the District Local Assistance Engineer signs and
dates the form.
Page 46 of 48
19H-50
DProvide the following information for every firm (DBE and non-
• assisted project, whether
Firm m Name: DBE)
attempt Iobtain a contract.-
Phone: () - -
Firm Address: FAX: ( ) - -
Type of work/services/materials provided:
Number of years in business:
Contact Person: Title:
Is the firm currently certified as a DBE under 49 CFR Part
26? Yes .No . Check the box below for your firm's annual gross
receipts last year:
DBE Certification Eligibility (place an "X"): African
American -Asian Pacific American -Native American Less than $1 million
-Woman -Hispanic American -Subcontinent Asian
American Other Less than $5 million
Less than $10 million
Less than $15 million
More than $15 million
Firm Name:
Phone:
()-
"
Firm Address: FAX: ( ) - -
Number of years in business: Type of work/services/materials provided:
Contact Person: Title:
Is the firm currently certified as a DBE under 49 CFR Part
26? Yes .No . Check the box below for your firm's annual gross
receipts last year:
DBE Certification Eligibility (place an "X"): African
American -Asian Pacific American -Native American
W
Hi
i
A
i Less than $1 million
-
oman -
span
c
mer
can -Subcontinent Asian
American Other Less than $5 million
Less than $10 million
Less than $15 million
More than $15 million
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BIDDERS LIST
Bidder/Offerer: IFB/RFP No.:
THE DEPARTMENT OF TRANSPORTATION REQUIRES THE AUTHORITY TO CREATE AND MAINTAIN A "BIDDERS LIST"
CONTAINING INFORMATION ABOUT ALL FIRMS (DBE AND NON-DBE) THAT BID, PROPOSE OR QUOTE ON THE
AUTHORITY'S DOT-ASSISTED CONTRACTS, IN ACCORDANCE WITH 49 CFR PART 26.11. THE "BIDDERS LIST" IS
INTENDED TO BE A COUNT OF ALL FIRMS THAT ARE PARTICIPATING, OR ATTEMPTING TO PARTICIPATE, ON DOT-
ASSISTED CONTRACTS, WHETHER SUCCESSFUL OR UNSUCCESSFUL IN THEIR ATTEMPT TO OBTAIN A CONTRACT.
The Bidder/Offerer is to complete all requested information on Form H-3: "Bidders List" for every firm who
submitted a bid, proposal or quote, including the primary Bidder/Offerer, and submit this information at the time of
bid submission. However, if not elected to do so at the time of bid submission, Bidders/Offerers must submit
such information at the request of the Authority within the prescribed timeline set forth in the solicitation. The
AUTHORITY will utilize this information to assist in the AUTHORITY's overall annual DBE goal-setting process.
Name of Prime's Firm: Phone: ( ) -
Firm Address: FAX: () -
Type of work/services/materials provided: Number of years in business: Contact Person: Title: Is the firm
currently certified as a DBE under 49 CFR Part Check the box below for your firm's annual gross
26? No Yes.
receipts last year:
Less than $1 million
DBE Certification Eligibility (place an "X"):
African Asian Pacific American Less than $5 million
American
-Native -Woman Less than $10 million
American
-Hispanic American -Subcontinent Asian American Less than $15 million
Other More than $15 million
Enclosure4c Page 2 of 2
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