HomeMy WebLinkAboutItem 13 - Safe Mobility Santa Ana Planning and Engineering Services Public Works Agency
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Item # 13
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 2, 2022
TOPIC: Safe Mobility Santa Ana Planning and Engineering Services
AGENDA TITLE
Approve an Agreement with KTUA for Traffic Planning and Engineering Services for the
Safe Mobility Santa Ana Plan Update in the Amount of $180,000 for a up to a Five-year
Term (Non-General Fund)
RECOMMENDED ACTION
Authorize the City Manager to execute an agreement with KTUA, for transportation/traffic
planning and engineering services for the Safe Mobility Santa Ana (SMSA) plan update,
for a three-year period beginning August 2, 2022, and ending on August 1, 2025, with the
option to extend for up to a two-year period, in a total aggregate amount not to exceed
$180,000, subject to non-substantive changes approved by the City Manager and City
Attorney.
DISCUSSION
On August 30, 2021, the Public Works Agency issued a Request for Proposal (RFP) for
contractors to provide transportation/traffic planning and engineering services to update
the existing Safe Mobility Santa Ana (SMSA) plan (Exhibit 1). The goal of the SMSA
update is to reevaluate citywide traffic safety, identify new areas of concern, contributing
factors and patterns, recommend and prioritize improvements, and analyze traffic
collisions of pedestrians and bicyclists, to reduce the number of persons killed or injured
in collisions.
The RFP was advertised on the City’s online bid management and publication system,
with bids due on September 20, 2021. Six proposals were received and evaluated by a
three-member panel of Public Works Agency Staff selection. The scores were based on
criteria as outlined in the RFP. Listed below are the responding contractors and their
ranking:
Rank Firm Average Score Location
1 KTUA 95 San Diego
2 NN Engineering, Inc.92 San Francisco
3 Toole Design 91 Los Angeles
4 IBI Group 87 Irvine
Safe Mobility Santa Ana Planning and Engineering Services
August 2, 2022
Page 2
2
8
6
0
Rank Firm Average Score Location
5 Koa 84 Orange
6 TJKM Transportation Consultants 84 Pleasanton
In accordance with the RFP, staff recommends awarding the contract to KTUA in an
amount not to exceed $180,000 for up to a five-year term. (Exhibit 2) The consultant has
demonstrated a high technical competency and has experience performing similar
services. The proposal contained a clear path toward achieving City goals and objectives
as required by the RFP.
KTUA has performed quality work on projects for the City in the past. KTUA successfully
completed the Downtown Complete Streets Plan in January 2016 and the Central Santa
Ana Complete Streets Plan in February 2019. These complete street plans are very
similar to the report the consultant will develop under this agreement.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
The total cost of the agreement is not to exceed $179,965 for the 3-year term of the
agreement. Any remaining balances not expended at the end of the Fiscal Year will be
carried forward into subsequent Fiscal Years for expenditure for continued
transportation/traffic engineering services as shown below.
Funds are budgeted and available for expenditures as shown below.
EXHIBIT(S)
1. RFP 21-082 Safe Mobility Santa Ana (SMSA) Update
2. Agreement - KTUA
Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency
Approved By: Kristine Ridge, City Manager
Fiscal
Year
Accounting Unit-
Account No.
Fund
Description
Accounting Unit,
Account Description Amount
2021-22 14717611-66220
(22-6994)
Federal Aid
Safety
Program
Pub. Svs-Street Safety
Projects, Improvements
Other Than Buildings
$147,000
2021-22 03217662-66220
(22-6994)
Measure M
Street
Construction
Measure M2 Local
Fairshare, Improvements
Other Than Buildings
$33,000
Total $180,000
REQUEST FOR PROPOSALS (RFP)
FOR
SAFE MOBILITY SANTA ANA UPDATE
RFP NO.: 21-082
CITY OF SANTA ANA
Public Works Agency
20 Civic Center Plaza, M-43
Santa Ana, CA 92701
Mauricio Castaneda
Project Manager
(714) 647-5643 Office
mcastaneda@santa-ana.org
Approved for Release:
Zdenek Kekula
Principal Civil Engineer
Public Works Agency
KEY RFP DATES (Subject to change at discretion of City):
Issue Date: Monday, August 30, 2021
Deadline for Requests for Information: Monday, September 13, 2021
Proposal Due Date: Monday, September 20, 2021; 5:00 PM.
Anticipated Projected Award Date: Tuesday, December 7, 2021
EXHIBIT 1
NOTICE INVITING PROPOSALS
NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms for
Construction Management and Inspection Services.
Responses to this Request for Proposals (RFP) must be submitted electronically to the PlanetBids
system no later than August 9, 2021 at 5:00 p.m. Proposals received after this date/time will not
be considered. It is the responsibility of the proposer to ensure that any proposals submitted have
sufficient time to be received by the City of Santa Ana prior to this proposal due date and time.
Additionally, it is a requirement that hard copy proposals also be sent by courier service, mailed,
or hand delivered in an enclosed sealed envelope and marked clearly with the following
“SEALED PROPOSAL FOR
SAFE MOBILITY SANTA ANA UPDATE
RFP NO. 21-082
IN THE CITY OF SANTA ANA
DO NOT OPEN WITH REGULAR MAIL.”
City of Santa Ana
Attn.: Mauricio Castaneda
Public Works Agency; M-43
20 Civic Center Plaza; Ross Annex
Santa Ana, CA 92701
For further instructions regarding hard copy submission of proposals, refer to PlanetBids.
All notifications, requests for information, updates and addenda will be posted online on
PlanetBids at https://www.planetbids.com/portal/portal.cfm?CompanyID=20137. Proposers shall
be responsible for monitoring the site to obtain information regarding this solicitation. Failure to
respond to required updates may result in a determination of a nonresponsive qualification.
EXHIBIT 1
TABLE OF CONTENTS
I. INTRODUCTION / PROJECT DESCRIPTION 4
II. INSTRUCTIONS TO PROPOSERS 6
A. CITY RESPONSIBILITIES
B. PROPOSER RESPONSIBILITIES
C. REQUEST FOR INFORMATION OR CLARIFICATION
D. ADDENDA
E. LICENSES & PERMITS
F. INSURANCE
G. INFORMATION PACKET
H. PRE-PROPOSAL MEETING
I. CITY RIGHT TO REJECT
J. BID PROTESTS
III. SUBMITTAL REQUIREMENTS 8
A. GENERAL
B. PROPOSAL CONTENTS
1. STATEMENT OF QUALIFICATIONS
2. SCOPE OF SERVICES AND SCHEDULE
3. FEE PROPOSAL
4. CERTIFICATIONS
IV. PROPOSAL REVIEW (CONSULTANT SELECTION) 10
A. EVALUATION AND RATING
B. SELECTION
V. CONTRACT AWARD 10
A. REQUEST FOR COUNCIL ACTION
B. EXECUTION OF AGREEMENT
VI. IMPLEMENTATION 10
A. KICK-OFF MEETING
B. NOTICE TO PROCEED
VII. PUBLIC RECORDS 11
VIII. APPENDIX
ATTACHMENT 1: SCOPE OF WORK
ATTACHMENT 2: AGREEMENT
ATTACHMENT 3: CERTIFICATION
ATTACHMENT 4: TRAFFIC STATISTICS
EXHIBIT 1
I. INTRODUCTION / PROJECT DESCRIPTION
Nature of Work:
The City of Santa Ana is seeking a traffic counting service company. A detailed Scope of
Work is included in the Appendix of this RFP as Attachment 1.
Number of Proposals and Signature:
Five (5) hard copies are required to accompany an electronic submittal of the complete
proposal package on PlanetBids. One of the hard copies shall be marked as “ORIGINAL”
and be signed by a company official with the power to bind the company, and
submitted to the City of Santa Ana. Please be explicit in identifying the appropriate
person with legal authority to bind the company.
The Statement of Qualifications shall be limited to a maximum of (10) double-sided
pages (excluding front and back covers, section dividers and attachments such as
resumes, forms). Font size shall be minimum 11 -point Arial. Proposal exhibits shall be
maximum 11” x 17”.
Proposal Evaluation and Rating:
The criteria for evaluating the SOQ submitted will take the following items into
consideration:
Firm/Team Experience 30%
Understanding of Need 30%
Relevant Project Experience 20%
Schedule of Delivery 10%
References 10%
The City has established a proposal review committee to evaluate proposers based on the
response to this RFP, which includes adherence to outlined directions and format, and the
City evaluation criteria set forth above. A final score will be calculated for each
submitted proposal and used to rank the proposers.
EXHIBIT 1
Project Funding:
Funding sources for each project may vary and shall comply with the funding agency’s
requirements. Special conditions may apply. Refer to Attachment 1 (Scope of Work) in
the Appendix of this RFP.
Term of Contract Agreement:
The City desires to enter into a contract with the top scoring firm for an initial three (3)
year term with a City option for two (2) one (1) year extension period. This term is outlined
in the Standard Consultant Agreement, as contained in the Appendix of this RFP as
Attachment 2.
EXHIBIT 1
II. INSTRUCTIONS TO PROPOSERS
A. CITY RESPONSIBILITIES
The City will provide information in its possession relevant to preparation of required
information in this RFP. The City will provide only the staff assistance and
documentation specifically referred to herein.
B. PROPOSER RESPONSIBILITIES
Point of Contact: The selected proposer will assume responsibilities for all services in its
proposal. The selected proposer shall identify a sole point of contact with the greatest
knowledge concerning the required service operations and contractual matters, including
payment of all charges resulting from the Agreement. Contact information such as email
and phone number must be included into the proposal.
Evidence of Financial Capacity: Proposer may be requested to submit its most recent
audited financial statement, evidencing proposer’s financial capacity to fully perform the
required services, including provision of equipment and personnel expenses over a ninety
(90) day period. If said financial statement does not reflect full ninety (90) day
operational capacity, proposer may include a letter of credit as evidence of supplemental
capacity.
C. REQUEST FOR INFORMATION OR CLARIFICATION
All questions or requested clarifications shall be made only in writing to the Q&A section
located in PlanetBids no fewer than five (5) calendar days prior to the date and time set
for opening of proposals. No verbal requests or responses will be accepted. Significant
interpretations or clarifications will be addressed via addenda to this RFP.
D. ADDENDA
Any changes in RFP from the date of release to date of submittal will result in an
addendum or amendment. Notification of such addendum or amendment shall be posted
on PlanetBids at https://www.planetbids.com/portal/portal.cfm?CompanyID=20137 as
set forth in the Notice Inviting Proposals. Addenda shall become part of the agreement
documents.
E. LICENSES & PERMITS
The selected proposer shall be required to obtain a City of Santa Ana Business license
within ten (10) business days of selection and must provide a copy to the City’s project
manager or designee prior to commencing any work in Santa Ana.
Additionally, Proposer will be responsible for obtaining any licenses/permits required by
the Scope of Work.
F. INSURANCE
EXHIBIT 1
The Selected Proposer shall provide the required evidence of insurance coverage as set
forth in the Scope of Work within ten (10) business days after receipt of notice that the
contract has been awarded. Failure to provide the required insurance certificates shall be
cause for the annulment of the award and the forfeiture of the proposal guaranty. The
City will provide the Selected Proposer with a “New Vendor Checklist”, which outlines
insurance requirements.
G. PAYMENT INFORMATION PACKET
The selected proposer shall return a completed payment information packet within ten
(10) business days after the successful proposer has received notice that the contract has
been awarded.
H. PRE-PROPOSAL MEETING
Should a pre-proposal meeting be scheduled, the date, time, and location is identified on
the cover page of this RFP. The meeting will include discussion of the project scope
and a question-and-answer session. It is highly recommended that the Proposer’s key
team members attend this meeting. Significant interpretations or clarifications will be
addressed via addenda to this RFP, as described above in “Section D: Addenda.”
I. CITY RIGHT TO REJECT
The 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.
The City reserves the right to accept or reject the combined or separate components of
this proposal in part or in its entirety or to waive any minor inconsistency,
informality or technical defect in the proposal.
The City reserves the right to reject, replace, and approve any and all subcontractors. All
subcontractor(s) shall be identified in response to this RFP. Subcontractors shall be the
responsibility of the successful proposer and the City shall assume no liability of such
subcontractors.
J. BID PROTESTS
Proposers with concerns or rebuttal of any staff determination of non-responsiveness or
non- responsibility may submit, in writing within five (5) business days, to the Project
Manager, any concerns regarding the RFP process or staff determination. Such writing
shall be considered by the City Manager or her designated representative, and may be
acted upon within five (5) business days. If no action is taken within such time, there
shall be no change to the staff determination. The exercise by the Proposer of its right to
submit written concerns shall be a condition precedent to seeking judicial review of
any award of a contract hereunder.
EXHIBIT 1
III. SUBMITTAL REQUIREMENTS
A. GENERAL
1. The number of Proposal Copies and signature is specified in:
RFP SECTION I - INTRODUCTION / PROJECT DESCRIPTION
2. Deadline:
Proposals are due to the City of Santa Ana at the date, time, and location
specified in the Notice Inviting Proposals.
B. PROPOSAL CONTENTS
The proposal format and page limitation, if any, is specified in:
RFP SECTION I - INTRODUCTION / PROJECT DESCRIPTION
1. STATEMENT OF QUALIFICATIONS
a. Cover Letter: Proposals shall include a letter signed by a principal or
authorized representative who can make legally binding commitments
for the entity.
b. Contract Agreement Statement: Proposal shall include a
statement outlining your concurrence or concerns with any and all
provisions contained in the Agreement attached herein as
Attachment 2 in the Appendix.
c. Firm and Team Experience: Proposal shall include a profile of the
firm’s experience. Include resumes of project team/sub-consultants
that will be providing services which outline their technical and design
experience. At a minimum, this should include the project
manager/principal agent, associates in charge when project
manager/principal agent is unavailable, key personnel, firm size, and
an organization chart identifying only those who will perform work for
the proposed project and the percentage of each individual’s time
devoted to this project. The project manager/principal agent shall be
the primary contact person to represent your firm and will be the
person to conduct the presentation, if invited for an interview.
EXHIBIT 1
d. Understanding of Need: Proposal shall include an outline which
demonstrates the firm’s understanding of the work. This outline should
include anticipated approach, tasks necessary for successful
completion, deliverables, and suggestions or special concerns that the
City should be made aware of. Identify any assumptions and/or
exclusions used in preparation of the scope of work and associated
fee estimate.
e. Relevant Project Experience: Proposal shall include a list of relevant
projects, which your firm or personnel have completed within the last
5 years, including significant work with public agencies. Project
information should include project description, project location, year
completed, client name and contact information, and name of consultant
project manager[LM1][LM2]. City of Santa Ana staff may conduct site visits
at select projects.
f. References: Proposals shall include a listing of relevant projects with
references for three public entities with valid current emails for which
Proposer has performed similar work within the past five (5) years.
2. SCOPE OF SERVICES AND SCHEDULE:
Proposal shall include a Scope of Services and Schedule which details the work
phases to be completed, the tasks to be accomplished, the deliverables to be
provided, and the schedule / timeline to complete the project, based upon the
requested Scope of Work detailed in Attachment 1 of this RFP.
3. FEE PROPOSAL:
The fee proposal shall be submitted separate and concurrently with the technical
proposal, both submitted electronically in PlanetBids and as a hard copy in a
separately sealed envelope, clearly labeled as “Fee Proposal.” This shall include
the firm’s Standard Hourly Fee Schedule, a table outlining the tasks and team
hourly effort for each of the major tasks, and a Project Fee Schedule as outlined
in the Scope of Work.
The fee proposal will not be opened until the proposals have been evaluated by
the proposal selection committee. The City will select the consultant based on
qualifications, and then negotiate a contract price based on available funding.
4. CERTIFICATIONS:
The following forms shall be signed and included as part of the proposal
submittal package:
EXHIBIT 1
• Attachment 3-1: Non-Collusion Affidavit
• Attachment 3-2: Non-Lobbying Certification
• Attachment 3-3: Non-Discrimination Certification
IV. PROPOSAL REVIEW (CONSULTANT SELECTION)
A. EVALUATION AND RATING
The criteria for evaluating the proposals are specified in:
RFP SECTION I - INTRODUCTION / PROJECT DESCRIPTION.
B. SELECTION
The selection committee will be comprised of at least (3) City staff from multiple
departments. The committee may interview the top ranking proposers. The City will
recommend award of contracts to the proposers who will provide the best value to the
City. The City reserves the right to begin negotiations and enter into a contract without
interview or further discussions.
V. CONTRACT AWARD
A. REQUEST FOR COUNCIL ACTION
Following evaluation and rating by the proposal review committee and acceptance from
Funding agency following financial audit, the Project Manager will recommend award
contracts to the three top-ranking proposers that will provide the best value to the City.
B. EXECUTION OF AGREEMENT
The Scope of Services, Schedule, and Fees submitted in the proposal will be the basis of
any negotiation of final terms, which will lead to a completed agreement ready for
execution based on the standard Agreement attached herein as Attachment 2 in the
Appendix.
VI. IMPLEMENTATION
A. KICK-OFF MEETING
A kick-off meeting will be held after award of contracts. Consultants and their team
will meet with City of Santa Ana staff to conduct introductions, discuss scope of services,
and implementation processes.
B. NOTICE TO PROCEED
Prior to issuance of a formal Notice to Proceed (NTP), Consultants shall provide all
required bonds, insurance documents, and contents of the Information Packet for review
and approval by the City.
EXHIBIT 1
For “On-Call” contracts, individual City Project Managers will request project/task
specific proposals from Consultants on an as-needed basis. Proposals will then be
evaluated by City staff and written NTPs will be issued accordingly per each task order.
VII. PUBLIC RECORDS
All data, documents and other products used, developed, or produced during response
preparation of this RFP will become property of the City. All responses to this RFP shall
become property of the City. Proposer information identified as proprietary information
be maintained confidential, to the extent allowed under the California Public
Records Act.
Proposals will become public record after award of contract. Proposer information
identified as proprietary information shall be maintained confidential, to the extent
allowed under the California Public Records Act.
EXHIBIT 1
Appendix
ATTACHMENT 1
SCOPE OF WORK
CITY OF SANTA ANA
REQUEST FOR PROPOSALS
FOR
SAFE MOBILITY SANTA ANA UPDATE
RFP NO.: 21-082
INTRODUCTION
The City of Santa Ana (City) has seen the number of cyclists and pedestrians injured or killed in traffic
collisions remain unacceptably high for a number of years. The Santa Ana City Council and community are
now calling for a change to the City’s mobility priorities. The statistics tell the story:
Most densely populated City in Orange County (Ranking 4th Nationally)
52% of Residents are under the age of 30
18% of Households are without a car
14% of Residents use public transit
Santa Ana ranks 3rd out of the 13 highest population cities in California in injury/fatal traffic collisions
o Pedestrian involved: 5/13
o Bicyclist involved: 3/13
Safe all-around Santa Ana mobility must be better balanced with regional mobility priorities! The response
must be customized to address the specific needs and characteristics of Santa Ana.
DESCRIPTION
The City is issuing this Request for Proposals (RFP) for the Safe Mobility Santa Ana (SMSA) Update that
involves evaluating citywide traffic safety. The SMSA Update will analyze traffic collisions, identify contributing
factors or patterns, recommend improvements, develop cost estimates, and prioritization for improvements.
PROJECT TASKS
The Consultant shall provide all necessary services to perform the following tasks:
Task 1: Project Management: The City shall be the lead agency for the SMSA Update, and the designated
City Project Manager will coordinate project management through the Traffic Engineering Section of
the Public Works Agency. However, because this Project will require multi-jurisdictional cooperation
with other agencies, the Consultant shall show a demonstrated ability to interface and coordinate with
multiple agencies. Other agencies will provide necessary input on project design including:
Public Works Agency
Planning & Building Agency
Santa Ana Police Department
OCTA
Caltrans
SAUSD
The Consultant shall be expected to interface both locally with City staff and other affected agencies
as necessary, as well as participating in discussions and presentations with the wider design team at
periodic project milestones. In order to ensure a timely progression of the project from inception to
EXHIBIT 1
final deliverable, the following activities should be anticipated once the Notice to Proceed (NTP) is
authorized and as the Project progresses:
Project Kick-off Meeting
Weekly PDT Meetings
Up to Five Community/Stakeholder Meetings
Two City Council Meetings/Presentations
Project Schedule Management
Monthly Progress Reports
Monthly Cost Accounting
Quality Assurance / Quality Control
Of particular importance is the monthly PDT Meetings. The consultant shall prepare, update, and
provide staff with a punch list prior to the meeting. City staff will be participating and guiding the
development of the SMSA Update throughout the process.
Task 2: Data collection: Data collection will include, but not be limited to; traffic counts, collision data for the
past five years, posted speed limit, 85% tile speed limit, lane configurations, street classification, lane
widths, traffic citations, street lighting, trees, transit stops, transit boarding/alighting, street crossings,
and adjacent land uses.
Task 3: Community Survey: A community survey to assess safety concerns shall be conducted to assist in
determining the prioritization criteria in later tasks.
Task 4: Analysis: The analysis will consist of a thorough review and study of the data collected particularly the
citywide collisions within the past five-years (20,000+). Special focus will be placed on all pedestrian
and bicycle involved collisions. The analysis will review collisions to identify correctable collision
patterns. The review will include, but not be limited to; time of day, day of the week, night time, age of
parties, year by year trends, primary collision factors, type of collisions, severity of injury, and
fatalities. Review of actual collision reports for the past five-years will be required.
Task 5: Location Prioritization and Field Review: Conduct a safety evaluation and field reviews for street
segments and intersections that present the highest risk to vulnerable roadways users (bicyclists and
pedestrians). A prioritization of risk factors shall be established as part of this Task and may include
collision patterns, severity of injuries, and proximity to school, parks, or other pedestrian/bicycle
generating uses. The field reviews shall be conducted while school is in session.
Task 6: Recommended Countermeasures: Based on the data collection, field review and collision analysis;
street improvements/counter-measures shall be proposed to mitigate potential future collisions,
including multiple alternatives where appropriate. The alternative street improvement options may
vary in cost or ease of implementation. Countermeasures shall include engineering, enforcement, and
education activities. All options will be considered. This project will encourage use of innovative and
creative street improvement options.
Task 7: Consistency Review: All proposed countermeasures shall be reviewed for consistency with local,
regional, and state policies, regulations, and guidelines. Potential countermeasures shall not be ruled
out due to inconsistency, however inconsistencies shall be identified and recommendations to allow
implementation offered. These recommendations may include, but not be limited to; engineering
EXHIBIT 1
surveys for speed limit reductions, reclassification of streets, or obtaining approval for pilot/study
projects.
Task 8: Cost Estimates: Cost estimates will be prepared for each street improvement option for each street
segment and/or intersection.
Task 9: Improvement Prioritization: A prioritization system to rank proposed countermeasures along street
segments or intersections with the highest opportunity for collision reductions shall be developed. The
prioritization system will establish criteria from the data collection, community survey, field review,
and collision analysis. Criteria may include, but not be limited to; volumes of motor vehicles, volumes
of pedestrians and bicyclists, speed of motor vehicles, number of collisions, collision patterns,
severity of injuries, ease of implementation, cost, and proximity to specific land-uses.
Task 10: Coordination of Multiple Projects: In addition to this project, the consultant must be in coordination
with the Sustainable Communities Program – Active Transportation & Safety SCAG project and
required coordination of the abovementioned project by the consultant awarded the contract to
perform the work of each respective project shall be required to ensure the efficient and effective
implementation of the proposed projects in a safe and timely manner. Consultants shall make every
effort necessary to avoid any delays on each of the project schedules. Consultants shall notify the
Engineer as soon as any potential delay on any portion of contract work is known or identified.
Consultants shall work together in a good faith effort to ensure projects are delivered in an efficient,
effective, safe, and timely manner.
Task 11: Final Plan Report: Final report shall include but not be limited to the following:
i. Introduction
ii. Relationship of this document to existing documents
iii. Collision analysis
iv. Toolbox of potential street improvements
v. Recommended improvements
vi. Cost estimates
vii. Prioritization
viii. Matrix of proposed countermeasures
ix. Appendices (include all relevant data)
SUMMARY OF PRODUCTS
The required products, which are to be delivered to the Traffic Engineering section of the City of Santa Ana
Public Works Agency, shall be as follows:
1. All data collection information for each street segment/intersection.
2. The draft SMSA Update report. (electronic)
3. The final SMSA Update report. (10 hard copies, one electronic)
All written reports, information, data, charts, tables, maps, drawings, etc. in electronic format acceptable to the City
of Santa Ana.
SCHEDULE
EXHIBIT 1
This project is a high priority project for the City of Santa Ana Public Works Agency. As a result, the SMSA
Update has a very aggressive schedule. 9 to 12 months from the date notice to proceed is issued, in
coordination with the Sustainable Communities Program – Active Transportation & Safety SCAG project.
Organizations submitting Proposals must show how they will meet this schedule including staff allocation,
responsiveness, and quality control.
SPECIAL REQUIREMENTS (ATTACHMENT 4)
This project will utilize California Department of Transportation (Caltrans) funds and shall
therefore comply with all state and federal requirements. The below referenced forms included in
Attachment 4 (Additional Provisions) of the Appendix must be completed in their entirety and
submitted with your proposal:
LAPM Exhibit 10-H: Sample Cost Proposal
LAPM Exhibit 10-O1: Consultant Proposal DBE Commitment
LAPM Exhibit 10-O2: Consultant Contract DBE Commitment
LAPM Exhibit 10-K: Consultant Certification of Contract Costs and Financial Management System
Please reference Caltrans Local Assistance Procedure Manual, Consultant Selection, Chapter
10, for further instructions and guidelines pertaining to the completion of these
forms:https://dot.ca.gov/-/media/dot-media/programs/local-assistance/documents/lapm/ch10.pdf
COMPLIANCE WITH REQUIREMENTS OF FUNDING AGENCY:
This agreement may be funded with state and/or federal grant funds administered by Caltrans.
Proposer shall comply with all requirements as they pertain to the use of these funds. Refer to
Attachment 4 for Caltrans required forms, including Exhibit 10-H – Sample Cost Proposal (H2
for On-Call Contracts) in the Appendix of this RFP.
DISADVANTAGED BUSINESS ENTERPRISES (DBE) GOAL:
The Agency has established a DBE goal for this Contract. Proposers are encouraged to obtain DBE
participation for this contract. Refer to Exhibit 10-I – Notice to Proposers DBE Information
included in the Appendix of this RFP. Proposers must submit Exhibits 10-O1 & 10-O2 –
Consultant Proposal & Contract DBE Commitment to demonstrate compliance with Agency’s
DBE goal.
CONSULTANT AUDIT AND REVIEW PROCESS:
Prior to contract award and dependent on contract award amount, the selected Consultant shall be
subject to an audit or review by Caltrans’ Audit and Investigations (A&I), other state audit
organizations, or the federal government. The selected Consultant shall complete Exhibit 10-K –
Consultant Annual Certification of Indirect Costs and Financial Management System for all
prime and sub-consultants in the Appendix of this RFP.
To independently download any of the Caltrans Exhibits required per this RFP, visit:
https://dot.ca.gov/programs/local-assistance/forms/local-assistance-procedures-manual-forms
EXHIBIT 1
Appendix
ATTACHMENT 2
STANDARD AGREEMENT
CONSULTANT AGREEMENT
CITY OF SANTA ANA
CITY OF SANTA ANA
REQUEST FOR PROPOSALS
FOR
SAFE MOBILITY SANTA ANA UPDATE
RFP NO.: 21-082
THIS AGREEMENT is made and entered into on this day of , 2022 by and between
___________________________________________________________, (“Consultant”), and
the City of Santa Ana, a charter city and municipal corporation organized and existing under the
Constitution and laws of the State of California (“City”).
RECITALS
A. The City desires to retain a consultant having special skill and knowledge in the field of:
B. Consultant represents that Consultant is able and willing to provide such services to the
City.
C. In undertaking the performance of this Agreement, Consultant represents that it is
knowledgeable in its field and that any services performed by Consultant under this
Agreement will be performed in compliance with such standards as may reasonably be
expected from a professional consulting firm in the field.
NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the
terms and conditions hereinafter set forth, the parties agree as follows:
1. SCOPE OF SERVICES
Consultant shall perform during the term of this Agreement, the tasks and obligations
including all labor, materials, tools, equipment, and incidental customary work required to fully
and adequately complete the services described and set forth in Scope of Work - Exhibit 1,
attached hereto and incorporated by reference.
EXHIBIT 1
2. COMPENSATION
a. City agrees to pay, and Consultant agrees to accept as total payment for its services
under this Agreement, 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, including any extension periods exercised under Section 3. This sum is
comprised of (1) the base amount of $ and (2) a contingency in the amount
of $ for additional services at the City’s sole discretion.
b. Payment by City shall be made within 45 days (forty-five) days following receipt of
proper invoice evidencing work performed, subject to City accounting procedures.
Payment need not be made for work which fails to meet the standards of performance
set forth in the Recitals which may reasonably be expected by City.
3. TERM
This Agreement shall commence on the date first written above for a ________________
with the option for the City to grant up to a _________________ renewals, exercisable by a writing
by the City Manager and the City Attorney, unless terminated earlier in accordance with Section
16, below.
4. PREVAILING WAGES
Consultant is aware of the requirements of California Labor Code Section 1720, et seq.,
and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq.,
(“Prevailing Wage Laws”), which require the payment of prevailing wage rates and the
performance of other requirements on “public works” and “maintenance” projects. If the services
being performed are part of an applicable “public works” or “maintenance” project, as defined by
the Prevailing Wage Laws, and the total compensation is $1,000 or more, Consultant agrees to
fully comply with such Prevailing Wage Laws. Consultant shall defend, indemnify and hold the
City, its elected officials, officers, employees and agents free and harmless from any claim or
liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws.
5. INDEPENDENT CONTRACTOR
Consultant shall, during the entire term of this Agreement, be construed to be an
independent contractor and not an employee of the City. This Agreement is not intended nor shall
it be construed to create an employer-employee relationship, a joint venture relationship, or to
allow the City to exercise discretion or control over the professional manner in which Consultant
performs the services which are the subject matter of this Agreement; however, the services to be
provided by Consultant shall be provided in a manner consistent with all applicable standards and
regulations governing such services. Consultant shall pay all salaries and wages, employer's social
security taxes, unemployment insurance and similar taxes relating to employees and shall be
responsible for all applicable withholding taxes.
EXHIBIT 1
6. OWNERSHIP OF MATERIALS
This Agreement creates a non-exclusive and perpetual license for City to copy, use,
modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property
embodied in plans, specifications, studies, drawings, estimates, and other documents or works of
authorship fixed in any tangible medium of expression, including but not limited to, physical
drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or
caused to be prepared by Consultant under this Agreement (“Documents & Data”). Consultant
shall require all subcontractors to agree in writing that City is granted a non-exclusive and
perpetual license for any Documents & Data the subcontractor prepares under this Agreement.
Consultant represents and warrants that Consultant has the legal right to license any and all
Documents & Data. Consultant makes no such representation and warranty in regard to
Documents & Data which were provided to Consultant by the City. City shall not be limited in
any way in its use of the Documents and Data at any time, provided that any such use not within
the purposes intended by this Agreement shall be at City’s sole risk.
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:
a. Commercial General Liability Insurance. Consultant shall maintain commercial
general liability insurance naming the City, its officers, employees, agents,
volunteers and representatives as additional insured(s) and 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, with $2,000,000 in the
aggregate. Such insurance shall (a) name the City, its officers, employees, agents,
and representatives as additional insured(s); (b) be primary and not contributory
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 $1,000,000 per occurrence. Such insurance shall include
coverage for owned, hired and non-owned automobiles.
c. Worker’s Compensation Insurance. In accordance with the provisions of Section
3700 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.
EXHIBIT 1
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 with $2,000,000 in the aggregate.
e. 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 by the City.
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.
iv. Where the amounts or coverage provided by the certificates of insurance
provides coverage greater than those listed by this Agreement, the amounts
provided by the certificates of insurance shall be incorporated by reference
into the Agreement.
v. Consultant shall supply City with a fully executed additional insured
endorsement.
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 affect
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 defend, and shall indemnify and hold harmless the City, its officers,
agents, employees, contractors, special counsel, and representatives from liability: (1) for personal
injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for
personal injury, including death, and claims for property damage, which may arise from the
negligent operations of the Consultant, its subcontractors, agents, employees, or other persons
acting on its behalf which relates to the services described in section 1 of this Agreement; and (2)
from any claim that personal injury, damages, just compensation, restitution, judicial or equitable
relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and
hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial
or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in
this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant
further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including
fees and costs for special counsel to be selected by the City, regarding any action by a third party
challenging the validity of this Agreement, or asserting that personal injury, damages, just
compensation, restitution, judicial or equitable relief due to personal or property rights arises by
reason of the terms of, or effects arising from this Agreement. City may make all reasonable
EXHIBIT 1
decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing,
to the extent Consultant’s services are subject to Civil Code Section 2782.8, the above indemnity
shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of,
pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant.
9. INTELLECTUAL PROPERTY INDEMNIFICATION
Consultant shall defend and indemnify the City, its officers, agents, representatives, and
employees against any and all liability, including costs, for infringement of any United States’
letters patent, trademark, or copyright infringement, including costs, contained in the work product
or documents provided by Consultant to the City pursuant to this Agreement.
10. RECORDS
Consultant shall keep records and invoices in connection with the work to be performed
under this Agreement. Consultant shall maintain complete and accurate records with respect to
the costs incurred under this Agreement and any services, expenditures, and disbursements
charged to the City for a minimum period of three (3) years, or for any longer period required by
law, from the date of final payment to Consultant under this Agreemen t. All such records and
invoices shall be clearly identifiable. Consultant shall allow a representative of the City to
examine, audit, and make transcripts or copies of such records and any other documents created
pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all
work, data, documents, proceedings, and activities related to this Agreement for a period of three
(3) years from the date of final payment to Consultant under this Agreement.
11. CONFIDENTIALITY
If Consultant receives from the City information which due to the nature of such
information is reasonably understood to be confidential and/or proprietary, Consultant agrees that
it shall not use or disclose such information except in the performance of thi s 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.
12. CONFLICT OF INTEREST CLAUSE
Consultant covenants that it presently has no interests and shall not have interests, direct
EXHIBIT 1
or indirect, which would conflict in any manner with performance of services specified under this
Agreement.
13. NON-DISCRIMINATION
Consultant shall not discriminate because of race, color, creed, religion, sex, marital status,
sexual orientation, gender identity, gender expression, gender, medical conditions, genetic
information, or military and veteran status, age, national origin, ancestry, or disability, as defined
and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization,
promotion, termination or other employment related activities or any services provided under this
Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all
applicable federal, state and local laws and regulations.
14. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and
Consultant, and supersedes any and all other agreements, oral or written, between the parties. In
the event of a conflict between the terms of this Agreement and any attachments hereto, the terms
of this Agreement shall prevail. This Agreement may not be modified except by written instrument
signed by the City and by an authorized representative of Consultant. The parties agree that any
terms or conditions of any purchase order or other instrument that are inconsistent with, or in
addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each
party to this Agreement acknowledges that no representations, inducements, promises or
agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any
party, which is not embodied herein.
15. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Consultant,
Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior
written consent of the City and any such assignment, transfer, delegation or subcontract without
the City's prior written consent shall be considered null and void. Nothing in this Agreement shall
be construed to limit the City’s ability to have any of the services which are the subject to this
Agreement performed by City personnel or by other consultants retained by City.
16. TERMINATION
This Agreement may be terminated by the City upon thirty (30) days written notice of
termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant
compensation for all services performed by Consultant prior to receipt of such notice of
termination, subject to the following conditions:
a. As a condition of such payment, the Executive Director may require Consultant to
deliver to the City all work product(s) completed as of such date, and in such case
such work product shall be the property of the City unless prohibited by law, and
Consultant consents to the City's use thereof for such purposes as the City deems
EXHIBIT 1
appropriate.
b. Payment need not be made for work which fails to meet the standard of
performance specified in the Recitals of this Agreement.
17. WAIVER
No waiver of breach, failure of any condition, or any right or remedy contained in or
granted by the provisions of this Agreement shall be effective unless it is in writing and signed by
the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or
remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not
similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies.
18. JURISDICTION - VENUE
This Agreement has been executed and delivered in the State of California and the validity,
interpretation, performance, and enforcement of any of the clauses of this Agreement shall be
determined and governed by the laws of the State of California. Both parties further agree that
Orange County, California, shall be the venue for any action or proceeding that may be brought or
arise out of, in connection with or by reason of this Agreement.
19. PROFESSIONAL LICENSES
Consultant shall, throughout the term of this Agreement, maintain all necessary licenses,
permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder
and required by the laws and regulations of the United States, the State of California, the City of
Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and
in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and
exemptions. Said inability shall be cause for termination of this Agreement.
20. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature herein below has the
power, authority and right to bind their respective parties to each of the terms of
this Agreement, and shall indemnify City fully, including reasonable costs and
attorney’s fees, for any injuries or damages to City in the event that such authority
or power is not, in fact, held by the signatory or is withdrawn.
b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully
set forth in the body of this Agreement.
21. NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this Agreement
shall be in writing and shall be deemed to be properly given if delivered in person or mailed by
first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in
the manner provided in this Section, to the following persons:
EXHIBIT 1
To City:
Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA 92702-1988
Fax: 714- 647-6956
With courtesy copies to:
Nabil Saba
Executive Director, Public Works Agency
City of Santa Ana
20 Civic Center Plaza (M-21)
P.O. Box 1988
Santa Ana, California 92702
Fax: 714-647-5635
To Consultant:
A party may change its address by giving notice in writing to the other party. Thereafter,
any communication shall be addressed and transmitted to the new address. If sent by mail,
communication shall be effective or deemed to have been given three (3) days after it has been
deposited in the United States mail, duly registered or certified, with postage prepaid, and
addressed as set forth above. If sent by fax, communication shall be effective or deemed to have
been given twenty-four (24) hours after the time set forth on the transmission report issued by the
transmitting facsimile machine, addressed as set forth above. For purposes of calculating these
time frames, weekends, federal, state, County or City holidays shall be excluded.
First & Last Name
Title
Consultant Firm Name
Address
City, State, Zip
Fax:
EXHIBIT 1
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first
above written.
ATTEST: CITY OF SANTA ANA
Daisy Gomez Kristine Ridge
Clerk of the Council City Manager
APPROVED AS TO FORM:
SONIA R. CARVALHO CONSULTANT:
City Attorney
By:
John Funk
Assistant City Attorney (title)
Tax ID#
RECOMMENDED FOR APPROVAL:
Nabil Saba
Executive Director
Public Works Agency
(name)
(title)
EXHIBIT 1
EXHIBIT 1
SCOPE OF WORK
EXHIBIT 1
EXHIBIT B
COMPENSATION
Fee Proposal including hourly rates if applicable
EXHIBIT 1
CITY OF SANTA ANA
REQUEST FOR PROPOSALS
FOR
SAFE MOBILITY SANTA ANA UPDATE
RFP NO.: 21-082
NON-COLLUSION AFFIDAVIT
(Title 23 United States Code Section 112 and
Public Contract Code Section 7106)
To the CITY OF SANTA ANA DEPARTMENT OF PUBLIC WORKS
In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER
declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership,
company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the
BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid,
and has not directly or indirectl y colluded, conspired, connived or agreed with any BIDDER or anyone else
to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner,
directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price
of the BIDDER or an y BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of
any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone
interested in the proposed contract; that all statements contained in the bid are true; and, further, that the
BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the
contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any
corporation, partnership, company association, organization, bid depository, or to any member or agent
thereof to effectuate a collusive or sham bid.
Note: The above Non-collusion Affidavit is part of the Proposal. Signing this Proposal on the
signature portion thereof shall also constitute signature of this Non-collusion Affidavit. BIDDERS
are cautioned that making a false certification may subject the certifier to criminal prosecution.
Signed
State of California
County of
Subscribed and sworn to (or Affirmed) before me on this day of , 20 ,
by , proved to me on the basis of satisfactory evidence to be the
person(s) who appeared before me.
Notary Public Signature Notary Public Seal
EXHIBIT 1
The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her
knowledge and belief, that:
1. No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to
any person for influencing or attempting to influence an officer or employee of any federal agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress
in connection with the awarding of any federal contract, the making of any federal grant, the making
of any federal loan, the entering into of any cooperative agreement, and the extension, continuation,
renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement.
2. If any funds other than federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence any officer or employee of any federal agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with this federal contract, grant loan, loan or cooperative agreement, the undersigned
shall complete and submit a “Disclosure of Lobbying Activities”.
This certification is a material representation of fact upon which reliance was placed when this transaction was made
or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed
by Section 1352, Title 31, U. S. Code. Any person who fails to file the required certification shall be subject to a civil
penalty of not less than $10,000 and not more than $100,000 for each such failure.
The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the
language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub
recipients shall certify and disclose accordingly.
Firm
Signed and Printed Name:
Title
Date
EXHIBIT 1
The undersigned consult ant or corporate officer, during the performance of this contract, certifies as
follows:
1. The Consultant shall not discriminate against an y emplo yee or applicant for emplo yment because of
race, color, religion, sex, or national origin. The Consultant shall take affirmative action to ensure
that applicants are employed, and that employees are treated during employment without, regard to
their race, color, reli gion, sex, or national origin. Such action shall include, but not be limited to, the
following: emplo yment, upgrading, demotion, or transfer; recruitment or recruitment advertising;
layoff or termination; rates of pa y or other forms of compensation; and selection for training, including
apprenticeship. The Consultant agrees to post in conspicuous places, available to employees and
applicants for emplo yment, notices to be provided setting forth the provisions of this nondiscrimination
clause.
2. The Consultant shall, in all solicitations or advertisements for emplo yees placed b y or on behalf of
the Consultant, state that all qualified applicants will receive consideration for emplo yment without
regard to race, color, religion, sex, or national origin.
3. The Consultant shall send to each labor union or representative of workers with which he/she has a
collective bargaining agreement or other contract or understanding, a notice to be provided advising
the said labor union or workers’ representatives of the Consultant’s commitments under this section,
and shall post copies of the notice in conspicuous places available to employees and applicants for
employment.
4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965,
and of the rules, regulations, and relevant orders of the Secretary of Labor.
5. The Consultant shall furnish all information and reports required by Executive Order 11246 of
September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant
thereto, and will permit access to his/her books, records, and accounts by the administering agenc y
and the Secretar y of Labor for purposes of investigation, to ascertain compliance with such rules,
regulations, and orders.
6. In the event of the Consultant’s non-compliance with the nondiscrimination clauses of this contract
or with an y of the said rules, regulations, or orders, the contract may be canceled, terminated, or
suspended in whole or in part and the Consultant may be declared ineligible for further Government
contracts or federall y assisted construction contracts in accordance with procedures authorized in
Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies
invoked as provided in Executive Order 11246 of September 24, 1965, or b y rule, regulations, or order
of the Secretar y of Labor, or as otherwise provided by law.
7. The Consultant shall include the portion of the sentence immediatel y preceding paragraph (1) and
the provisions of paragraphs (1) through (7) in ever y subcontract or purchase order unless exempted
EXHIBIT 1
by rules, regulations, or orders of the Secretar y of Labor issued pursuant to Section 204 of Executive
Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract
or purchase order as the administering agenc y may direct as means of enforcing such provisions,
including sanctions for noncompliance; provided, however, that in the event the Consultant becomes
involved in, or is threatened with, litigation with a sub-consultant or vendor as a result of such direction
by the administering agenc y, the Consultant may request that the United States enter into such
litigation to protect the interests of the United States.
8. Pursuant to California Labor Code Section 1735, as added b y Chapter 643 Stats. 1939, and as
amended,
No discrimination shall be made in the emplo yment of persons upon public works because of race,
religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex
of such persons, except as provided in Section 1420, and any consultant of public works violating this
Section is subject to all the penalties imposed for a violation of the Chapter.
Signed:
Title:
Firm:
Date:
EXHIBIT 1
Appendix
ATTACHMENT 4
CALTRANS ATTACHMENTS
Please see below.
---------------------
EXHIBIT 1
EXHIBIT 10-H1 COST PROPOSAL Page 1 of 3
COST-PLUS-FIXED FEE OR LUMP SUM OR FIRM FIXED PRICE CONTRACTS
(DESIGN, ENGINEERING AND ENVIRONMENTAL STUDIES)
Note: Mark-ups are Not Allowed ☐Prime Consultant ☐ Subconsultant ☐ 2nd Tier Subconsultant
Consultant __________________________________________________________
Project No. _______________________ Contract No. ____________________ Date ____________________
DIRECT LABOR
Classification/Title Name Hours Actual Hourly Rate Total
____________________________
____________________________
____________________________
____________________________
________
________
________
________
LABOR COSTS
a)Subtotal Direct Labor Costs
b)Anticipated Salary Increases (see page 2 for calculation)
_______________
_______________
c) TOTAL DIRECT LABOR COSTS [(a) + (b)] _______________
INDIRECT COSTS
d)Fringe Benefits (Rate: _____ )
f)Overhead (Rate: _____ )
e)Total Fringe Benefits [(c) x (d)] _______________
g)Overhead [(c) x (f)] _______________
h) General and Administrative (Rate: ___ __ ) i) Gen & Admin [(c) x (h)] _______________
FIXED FEE
j) TOTAL INDIRECT COSTS [(e) + (g) + (i)] _______________
k) TOTAL FIXED FEE [(c) + (j)] x fixed fee ______ ] ______________
l)CONSULTANT’S OTHER DIRECT COSTS (ODC) – ITEMIZE (Add additional pages if necessary)
Description of Item Quantity Unit Unit Cost Total
l) TOTAL OTHER DIRECT COSTS
m)SUBCONSULTANTS’ COSTS (Add additional pages if necessary)
Subconsultant 1:
Subconsultant 2:
Subconsultant 3:
Subconsultant 4:
m) TOTAL SUBCONSULTANTS’ COSTS
n) TOTAL OTHER DIRECT COSTS INCLUDING SUBCONSULTANTS [(l)+(m)] ___________________
TOTAL COST [(c) + (j) + (k) + (n)] _____________________
NOTES:
1.Key personnel must be marked with an asterisk (*) and employees that are subject to prevailing wage requirements must be marked
with two asterisks (**). All costs must comply with the Federal cost principles. Subconsultants will provide their own cost proposals.
2.The cost proposal format shall not be amended. Indirect cost rates shall be updated on an annual basis in accordance with the
consultant’s annual accounting period and established by a cognizant agency or accepted by Caltrans.
3.Anticipated salary increases calculation (page 2) must accompany.
EXHIBIT 1
$ 0.00
$ 0.00
$ 0.00
$ 0.00
$ 0.00
$ 0.00
0.00%$ 0.00
0.00%$ 0.00
0.00%$ 0.00
$ 0.00$ 0.00
0.00%$ 0.00
$ 0.00
$ 0.00
$ 0.00
$ 0.00
Mileage Costs
Equipment Rental and Supplies
Permit Fees
Plan Sheets
Test
EXHIBIT 10-H 1 COST PROPOSAL Page 2 of 3
COST-PLUS-FIXED FEE OR LUMP SUM OR FIRM FIXED PRICE CONTRACTS
(CALCULATIONS FOR ANTICIPATED SALARY INCREASES)
1.Calculate Average Hourly Rate for 1st year of the contract (Direct Labor Subtotal divided by total hours)
Direct Labor Total Hours per Avg 5Year
Subtotal per Cost Cost Proposal Hourly Contract
Proposal Rate Duration
= $250,000.00 500 $50.00 Year 1 Avg
Hourly Rate
2.Calculate hourly rate for all years (Increase the Average Hourly Rate for a year by proposed escalation%)
Avg Hourly Rate Proposed Escalation
Year 1 $50.00 +2%= $51.00 Year 2 Avg Hourly Rate
Year 2 $51.00 +2%= $52.02 Year 3 Avg Hourly Rate
Year 3 $52.02 +2%= $53.06 Year 4 Avg Hourly Rate Year 4 $53.06 +2%= $54.12 Year 5 Avg Hourly Rate
3.Calculate estimated hours per year (Multiply estimate% each year by total hours)
Estimated % Completed Total Hours per Cost Total Hours per
Each Year Proposal Year
Year 1 20.0% 5000 = 1000 Estimated Hours Year 1
Year 2 400% 5000 = 2000 Estimated Hours Year 2 Year 3 15.0% 5000 = 750 Estimated Hours Year 3
Year 4 15.0% 5000 = 750 Estimated Hours Year 4
Years 100% 5000 = 500 Estimated Hours Year 5
Total 100% Total = 5000
4.Calculate Total Costs including Escalation (Multiply Average Hourly Rate by the number of hours)
Avg Hourly Rate Estimated hours Cost per
(calculated above) (calculated above) Year
Year 1 $50.00 1000 $50,000.00 Estimated Hours Year 1 =
Year 2 $51.00 2000 $102,000.00 Estimated Hou rs Year 2 =
Year 3 $52.02 750 $39,015.00 Estimated Hours Year 3 =
Year 4 $53.06 750 $39,795.30 Estimated Hou rs Year 4 =
Years $54.12 500 = $27,060.80 Estimated Hours Year 5
Total Direct Labor Cost with Escalation $257,871.10 =
Direct Labor Subtotal before Escalation = $250,000.00
Estimated total of Direct Labor Salary Transfer to Page 1 =
Increase $7,871.10
NOTES:
1.This is not the only way to estimate salary increases. Other methods will be accepted if they clearly indicate the %increase, the # of years of the contract, and a breakdown of the labor to be performed each year.
2.An estimation that is based on direct labor multiplied by salary increase % multiplied by the# of years is not
acceptable.(i e. $250,000 x 2% x 5 yrs= $25,000 is not an acceptable methodology)
3.This assumes that one year will be worked at the rate on the cost proposal before salary increases are granted.
4.Calculations for anticipated salary escalation must be provided.
EXHIBIT 1
_
EXHIBIT 10-H 1 COST PROPOSAL Page 3 of 3
Certification of Direct Costs:
I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the
cost proposal{s) in this contract are actual, reasonable, allowable, and allocable to the contract in
accordance with the contract terms and the following requirements:
1. Generally Accepted Accounting Principles {GAAP)
2. Terms and conditions of the contract
3. Title 23 United States Code Section 112 -Letting of Contracts
4. 48 Code of Federal Regulations Part 31 -Contract Cost Principles and Procedures
5. 23 Code of Federal Regulations Part 172 -Procurement, Management, and
Administration of Engineering and Design Related Service
6. 48 Code of Federal Regulations Part 9904 - Cost Accounting Standards Board {when
applicable)
All costs must be applied consistently and fairly to all contracts. All documentation of compliance must
be retained in the project files and be in compliance with applicable federal and state requirements.
Costs that are noncom pliant with the federal and state requirements are not eligible for reimbursement.
Local governments are responsible for applying only cognizant agency approved or Caltrans accepted
Indirect Cost Rate{s).
Prime Consultant or Subconsultant Certifying:
Name: ______________ _ Title*:
Signature: ____ _ _ ____ __ ____ _ Date of Certification {mm/dd/yyyy): _
Email: ______ ______ __ _ Phone Number:
Address: ________________________________ _
*An individual executive or financial officer of the consultant's or subconsultant's organization at
a level no lower than a Vice President or a Chief Financial Officer, or equivalent, who has
authority to represent the financial information utilized to establish the cost proposal for the
contract.
List services the consultant is providinq under the proposed contract:
EXHIBIT 1
EXHIBIT 10-H2 COST PROPOSAL Page 1 of3
SPECIFIC RATE OF COMPENSATION (USE FOR ON-CALL OR AS-NEEDED CONTRACTS)
(CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS)
Note: Mark-ups are Not Allowed
Consultant _________________ _ D Prime Consultant D Subconsultant D 2nd Tier Subconsultant
Project No. _________ _ Contract No. --------Participation Amount $ ________ _ Date ----
For Combined Rate
Fringe Benefit% + General &Administrative% = Combined ICR%
OR
For Home Office Rate
Fringe Benefit % + General &Administrative% = Home Office ICR%
For Field Office Rate
Frinqe Benefit % + General &Administrative% = Field Office ICR%
= Fee %
BILLING INFORMATION CALCULATION INFORMATION
Name/Job Title/Classification 1 Hourly Billing Rates2
Str aight 3 OT(1.5x) OT(2x) Effective Date of Hourly Rate From To Actual or Avg. Hourly Rate4 % or$ Increase Hourly Range -for Classifications Only
John Doe -Project Manager* Civil Engineer II $0.00 $0.00 $0.00
$0.00 $0.00 $0.00
$0.00 $0.00 $0.00
01/01/2016 01/01/2017 01/01/2018
12/31/2016 12/31/2017 12/31/2018
$0.00 $0.00 $0.00 0.0% 0.0%
Not Applicable
Sue Jones-Construction Engineeri1nspector Engineer I
$0.00 $0.00 $0.00
$0.00 $0.00 $0.00
$0.00 $0.00 $0.00
01/01/2016 01/01/2017 01/01/2018
12/31/2016 12/31/2017 12/31/2018
$0.00 $0.00 $0.00 0.0% 0.0%
Not Applicable
Buddy Black -Claims Engineer Engineer Ill
Land Surveyor **
$0.00 $0.00 $0.00
$0.00 $0.00 $0.00
$0.00 $0.00 $0.00
$0.00 $0.00 $0.00
$0.00 $0.00 $0.00
$0.00 $0.00 $0.00
01/01/2016 01/01/2017 01/01/2018
01/01/2016 01/01/2017 01/01/2018
12/31/2016 12/31/2017 12/31/2018
12/31/2016 12/31/2017 12/31/2018
$0.00 $0.00 $0.00
$0.00 $0.00 $0.00
0.0% 0.0%
0.0% 0.0%
Not Applicable
$00-$00 $00-$00 $00-$00
Technician $0.00 $0.00 $0.00
$0.00 $0.00 $0.00
$0.00 $0.00 $0.00
01/01/2016 01/01/2017 01/01/2018
12/31/2016 12/31/2017 12/31/2018
$0.00 $0.00 $0.00 0.0% 0.0%
$00-$00 $00-$00 $00-$00
(Add pages as necessary)
Page 4 of 9 January 2020
EXHIBIT 1
NOTES:
1. Key personnel must be marked with an asterisk (*) and employees that are subject to prevailing wage requirements must be marked with two asterisks (**).All costs
must comply with the Federal cost principles. Subconsultants will provide their own cost proposals.
2. The cost proposal format shall not be amended. 3. Billing rate= actual hourly rate * (1 + ICR) * (1 + Fee). Indirect cost rates shall be updated on an annual basis in accordance with the consultants annual accounting
period and established by a cognizant agency or accepted by Caltrans. All costs must comply with the Federal cost principles for reimbursement. 4. For named employees and key personnel enter the actual hourly rate. For classifications only, enter the Average Hourly Rate for that classification.
EXHIBIT 10-H2 COST PROPOSAL Page2ot3
SPECIFIC RATE OF COMPENSATION (USE FOR ON-CALL OR AS-NEEDED CONTRACTS)
(CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS)
Consultant __________________ _ □ Prime Consultant □ Subconsultant
Project No. __________ _ Contract No. -----------Date ________ _
SCHEDULE OF OTHER DIRECT COST ITEMS (Add additional pages as necessary)
Description of Item Quantity Unit Unit Cost Total
Subconsultant 1:
Subconsultant 2:
Subconsultant 3:
Subconsultant 4:
Subconsultant 5:
Note: Add additional pages if necessary.
NOTES:
1. List other direct cost items with estimated costs. These costs should be competitive in their respective industries and supported with appropriate documentation.
2. Proposed ODC items should be consistently billed regardless of client and contract type.
3. Items when incurred for the same purpose, in like circumstance, should not be included in any indirect cost pool or in the overhead rate.
4. Items such as special tooling, will be reimbursed at actual cost with supporting documentation (invoice).
5. Items listed above that would be considered "tools of the trade" are not reimbursable as other direct cost
6. Travel related costs should be pre-approved by the contracting agency and shall not exceed current State Department of Personnel Administration rules.
Page 5 of 9
January 2020
EXHIBIT 1
Mileage Costs 2 1 $ 10.00
Equipment Rental and Supplies 2 $ 20.00
Permit Fees 3 $ 30.00
Plan Sheets
Test
Vehicle $ 0.00
$ 100.00
$ 200.00
$ 300.00
$ 500.00
7. If mileage is claimed, the rate should be properly supported by the consultant's calculation of their actual costs for company vehicles. In addition, the miles claimed
should be supported by mileage logs.
8. If a consultant proposes rental costs for a vehicle, the company must demonstrate that this is its standard procedure for all of their contracts and that they do not
own any vehicles that could be used for the same purpose. 9. The cost proposal format shall not be amended. All costs must comply with the Federal cost principles.
10. Add additional pages if necessary. 11. Subconsultants must provide their own cost proposals.
Page 6 of 9
January 2020
EXHIBIT 1
EXHIBIT 10-H2 COST PROPOSAL Page 3 of 3
Certification of Direct Costs:
I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the
cost proposal(s) in this contract are actual, reasonable, allowable, and allocable to the contract in
accordance with the contract terms and the following requirements:
7. Generally Accepted Accounting Principles (GAAP)
8. Terms and conditions of the contract
9. Title 23 United States Code Section 112 -Letting of Contracts
10. 48 Code of Federal Regulations Part 31 -Contract Cost Principles and Procedures
11. 23 Code of Federal Regulations Part 172 -Procurement, Management, and
Administration of Engineering and Design Related Service
12 . 48 Code of Federal Regulations Part 9904 -Cost Accounting Standards Board (when
applicable)
All costs must be applied consistently and fair1y to all contracts. All documentation of compliance must
be retained in the project files and be in compliance with applicable federal and state requirements.
Costs that are nonc ompliant with the federal and state requirements are not eligible for reimbursement.
Prime Consultant or Subconsultant Certifying:
Name: ______________ _ Title*: ______________ _
Signature�: _____________ _ Date of Certification (mm/dd/yyyy):
Email: ______________ _ Phone Number: ___________ _
Address: ________________________________ _
* An individual executive or financial officer of the consultant's or subconsultant's organization at
a level no lower than a Vice President or a Chief Financial Officer, or equivalent, who has
authority to represent the financial information utilized to establish the cost proposal for the
contract.
List services the consultant is providing under the proposed contract:
EXHIBIT 1
EXHIBIT 10-HJ COST PROPOSAL Page 1 of 2
COST PER UNIT OF WORK CONTRACTS
(GEOTECHNICAL AND MATERIAL TESTING)
Note: Mark-ups are Not Allowed □ Prime Consultant □ Subconsultant □ 2nd Tier Subconsultant
Consultant __________________ _
Project No. _________ _ Contract No. ---------Date -------
Unit/Item of Work:
(Example: Log of Test Boring for Soils Report, or ADL Testing for Hazardous Waste Material
Study} Include as many Items as necessary.
DIRECT LABOR Hours Billing Hourly Rate {$) Total{$)
Professional {Classification)*
Sub-professional/Technical**
EQUIPMENT 1 {with Operator)
EQUIPMENT 2 {with Operator)
Consultant's Other Direct Costs (ODC)-Itemize:
Description of Item Quantity Unit Unit Cost Total
Subconsultant 1:
Subconsultant 2:
Subconsultant 3:
Subconsultant 4:
Subconsultant 5:
Nole: Attach addtllonal pages if necessary.
TOTAL COST PER UNIT OF WORK
NOTES:
1 . Key personnel must be marked with an asterisk (*) and employees that are subject to prevailing wage requirements
must be marked with two asterisks (**). All costs must comply with the Federal cost principles. Subconsultants will provide their own cost proposals. The cost proposal format shall not be amended.
2. Hourly billing rates should include prevailing wage rates and be consistent with publicly advertised rates charged to
all clients (Commercial, Private or Public). 3. Mobilization/De-mobilization is based on site location and number and frequency of tests/items.
4. ODC items shall be based on actual costs and supported by historical data and other documentation. 5. ODC items that would be considered "tools of the trade' are not reimbursable.
6. Billing Hourly Rates must be actual, allowable, and reasonable.
EXHIBIT 1
Mileage Costs 2 1 $ 10.00
Equipment Rental and Supplies 2 $ 20.00
Permit Fees 3 $ 30.00
Plan Sheets
Test
$ 100.00
$ 200.00
$ 300.00
$ 500.00
4 4 4
_ _
EXHIBIT 10-H3 COST PROPOSAL Page 2 of 2
Certification of Direct Costs:
I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the
cost proposal{s) in this contract are actual, reasonable, allowable, and allocable to the contract in
accordance with the contract terms and the following requirements:
13. Generally Accepted Accounting Principles {GAAP)
14. Terms and conditions of the contract
15. Title 23 United States Code Section 112 -Letting of Contracts
16. 48 Code of Federal Regulations Part 31 -Contract Cost Principles and Procedures
17. 23 Code of Federal Regulations Part 172 -Procurement, Management, and
Administration of Engineering and Design Related Service
18. 48 Code of Federal Regulation Part 9904 -Cost Accounting Standards Board {when
applicable)
All costs must be applied consistently and fair1y to all contracts. All documentation of compliance must
be retained in the project files and be in compliance with applicable federal and state requirements.
Costs that are nonc ompliant with the federal and state requirements are not eligible for reimbursement.
Prime Consultant or Subconsultant Certifying:
Name: ______________ _ Title*: ______________ _
Signature�: _____________ _ Date of Certification {mm/dd/yyyy...._____ : _
Email: ______________ Phone Number,_,_: ___________
Address: ________________________________ _
* An individual executive or financial officer of the consultant's or subconsultant's organization at
a level no lower than a Vice President or a Chief Financial Officer, or equivalent, who has
authority to represent the financial information utilized to establish the cost proposal for the
contract.
List services the consultant is providinq under the proposed contract:
EXHIBIT 1
Local Assistance Procedures Manual EXHBIT 10-1
Notice to Proposers DBE Information
EXHIBIT 10-1 NOTICE TO PROPOSERS DBE INFORMATION
(Federally funded projects only)
The Agency has established a DBE goal for this Contract of _____
1.
2.
3.
4.
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,
Code of Federal Regulations (CFR), Part 26.5.
•The term "Agreement" also means "Contract."
•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.
AUTHORITY AND RESPONSIBILITY
A.DBEs and other small businesses are strongly encouraged to participate in the performance of
Contracts 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 Consultant must 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 proposer must not discriminate on the basis of race, color,
national origin, or sex in the award and performance of subcontracts.
B.Proposers are encouraged to use services offered by financial institutions owned and controlled by
DBEs.
SUBMISSION OF DBE INFORMATION
If there is a DBE goal on the contract, Exhibit 10-01 Consultant Proposal DBE Commitment must be included
in the Proposal. In order for a proposer to be considered responsible and responsive, the proposer must
make good faith efforts to meet the goal established for the contract. If the goal is not met, the proposer must
document adequate good faith efforts. All DBE participation will be counted towards meeting the contract
goal; therefore, all DBE participation shall be collected and reported.
Exhibit 10-02 Consultant Contract DBE Information must be included in best qualified consultant's executed
consultant contract. Even if no DBE participation will be reported, the successful proposer must execute and
return the form.
DBE PARTICIPATION GENERAL INFORMATION
It is the proposer's responsibility to be fully informed regarding the requirements of 49 CFR, Part 26, and the
Department's 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 consultant, subconsultant, joint venture partner, as a vendor
of material or supplies, or as a trucking company.
C.A DBE proposer not proposing as a joint venture with a non-DBE, will be required to document one or a
combination of the following:
1.The proposer is a DBE and will meet the goal by performing work with its own forces.
2.The proposer will meet the goal through work performed by DBE subconsultants, suppliers or
trucking companies.
3.The proposer, prior to proposing, made adequate good faith efforts to meet the goal.
Page 1 of 2
January 2020
EXHIBIT 1
0.00%
Local Assistance Procedures Manual EXHBIT 10-1
Notice to Proposers DBE Information
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 proposer shall list only one subconsultant for each portion of work as defined in their proposal and
all DBE subconsultants should be listed in the bid/cost proposal list of subconsultants.
G. A prime consultant who is a certified DBE is eligible to claim all of the work in the Contract toward the
DBE participation except that portion of the work to be performed by non-DBE subconsultants.
5. RESOURCES
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.
B. Access the CUCP database from the Department of Transportation, Office of Civil Rights website
1. Click on the link titled Disadvantaged Business Enterprise;
2. Click on Search for a DBE Firm link;
3. Click on Access to the DBE Query Form located on the first line in the center of the page.
Searches can be performed by one or more criteria. Follow instructions on the screen.
6. MATERIALS OR SUPPLIES PURCHASED FROM DBES COUNT TOWARDS THE DBE GOAL UNDER THE FOLLOWING
CONDITIONS:
A. If the materials or supplies are obtained from a DBE manufacturer, count 100 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 Contract and of the general character described by the specifications.
B. If the materials or supplies purchased from a DBE regular dealer, count 60 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 Contract 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.
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 DBE 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.
Page 2 of 2
January 2020
EXHIBIT 1
Local Assistance Procedures Manual Exhibit 10-K
Consultant Annual Certification of Indirect Costs and Financial Management System
EXHIBIT 10-K CONSULTANT ANNUAL CERTIFICATION OF
INDIRECT COSTS AND FINANCIAL MANAGEMENT SYSTEM
(Note: If a Safe Harbor Indirect Cost Rate is approved, this form is not required.)
Consultant’s Full Legal Name:
Important: Consultant means the individual or consultant providing engineering and design related
services as a party of a contract with a recipient or sub-recipient of Federal assistance. Therefore, the
Indirect Cost Rate(s) shall not be combined with its parent company or subsidiaries.
Indirect Cost Rate:
Combined Rate % OR
Home Office Rate % and Field Office Rate (if applicable) %
Facilities Capital Cost of Money % (if applicable)
Fiscal period *
* Fiscal period is annual one year applicable accounting period that the Indirect Cost Rate was developed (not
the contract period). The Indirect Cost Rate is based on the consultant’s one-year applicable accounting period
for which financial statements are regularly prepared by the consultant.
I have reviewed the proposal to establish an Indirect Cost Rate(s) for the fiscal period as specified above and have
determined to the best of my knowledge and belief that:
• All costs included in the cost proposal to establish the indirect cost rate(s) are allowable in
accordance with the cost principles of the Federal Acquisition Regulation (FAR) 48, Code of
Federal Regulations (CFR), Chapter 1, Part 31 (48 CFR Part 31);
• The cost proposal does not include any costs which are expressly unallowable under the cost
principles of 48 CFR Part 31;
• The accounting treatment and billing of prevailing wage delta costs are consistent with our
prevailing wage policy as either direct labor, indirect costs, or other direct costs on all federally-
funded A&E Consultant Contracts.
• All known material transactions or events that have occurred subsequent to year-end affecting the
consultant’s ownership, organization, and indirect cost rates have been disclosed as of the date of
this certification.
I am providing the required and applicable documents as instructed on Exhibit 10-A.
Financial Management System:
Our labor charging, job costing, and accounting systems meet the standards for financial reporting, accounting
records, and internal control adequate to demonstrate that costs claimed have been incurred, appropriately
accounted for, are allocable to the contract, and comply with the federal requirements as set forth in Title 23
United States Code (U.S.C.) Section 112(b)(2); 48 CFR Part 31.201-2(d); 23 CFR, Chapter 1, Part 172.11(a)(2);
and all applicable state and federal rules and regulations.
Our financial management system has the following attributes:
• Account numbers identifying allowable direct, indirect, and unallowable cost accounts;
• Ability to accumulate and segregate allowable direct, indirect, and unallowable costs into separate cost
Page 1 of 2
March 2018
EXHIBIT 1
Local Assistance Procedures Manual Exhibit 10-K
Consultant Annual Certification of Indirect Costs and Financial Management System
accounts;
• Ability to accumulate and segregate allowable direct costs by project, contract and type of cost;
• Internal controls to maintain integrity of financial management system;
• Ability to account and record costs consistently and to ensure costs billed are in compliance with FAR;
• Ability to ensure and demonstrate costs billed reconcile to general ledgers and job costing system; and
• Ability to ensure costs are in compliance with contract terms and federal and state requirement
Cost Reimbursements on Contracts:
I also understand that failure to comply with 48 CFR Part 16.301-3 or knowingly charge unallowable costs to
Federal-Aid Highway Program (FAHP) contracts may result in possible penalties and sanctions as provided by
the following:
• Sanctions and Penalties -23 CFR Part 172.11(c)(4)
• False Claims Act -Title 31 U.S.C. Sections 3729-3733
• Statements or entries generally -Title 18 U.S.C. Section 1001
• Major Fraud Act -Title 18 U.S.C. Section 1031
All A&E Contract Information:
• Total participation amount $___________________ on all State and FAHP contracts for Architectural &
Engineering services that the consultant received in the last three fiscal periods.
• The number of states in which the consultant does business is .
• Years of consultant’s experience with 48 CFR Part 31 is .
• Audit history of the consultant’s current and prior years (if applicable)
☐ Cognizant ICR Audit ☐ Local Gov’t ICR Audit □ Caltrans ICR Audit
☐ Federal Gov’t ICR Audit ☐ CPA ICR Audit
I, the undersigned, certify all of the above to the best of my knowledge and belief and that I have reviewed the
Indirect Cost Rate Schedule to determine that any costs which are expressly unallowable under the Federal cost
principles have been removed and comply with Title 23 U.S.C. Section 112(b)(2), 48 CFR Part 31, 23 CFR Part 172, and
all applicable state and federal rules and regulations. I also certify that I understand that all documentation of
compliance must be retained by the consultant. I hereby acknowledge that costs that are noncompliant with the
federal and state requirements are not eligible for reimbursement and must be returned to Caltrans.
Name**: _ Title**:
Signature: Date of Certification (mm/dd/yyyy):
Email**: Phone Number**:
**An individual executive or financial officer of the consultant’s or subconsultant’s organization at a level no lower than a Vice President, a
Chief Financial Officer, or equivalent, who has authority to represent the financial information used to establish the indirect cost rate.
Note: Both prime and subconsultants as parties of a contract must complete their own Exhibit 10-K forms.
Caltrans will not process local agency’s invoices until a complete Exhibit 10-K form is accepted and approved by
Caltrans Audits and Investigations.
Distribution: 1) Original -Local Agency Project File
2) Copy -Consultant
3) Copy -Caltrans Audits and Investigations
Page 2 of 2
March 2018
EXHIBIT 1
Local Assistance Procedures Manual Exhibit 10-O1
Consultant Proposal DBE Commitment
EXHIBIT 10-O1 CONSULTANT PROPOSAL DBE COMMITMENT
1. Local Agency: 2. Contract DBE Goal:
3. Project Description:
4. Project Location:
5. Consultant's Name: 6. Prime Certified DBE:
7. Description of Work, Service, or Materials
Supplied
8. DBE
Certification
Number
10. DBE %
%
Local Agency to Complete this Section
17. Local Agency Contract Number:
18. Federal-Aid Project Number:
19. Proposed Contract Execution Date:
20. Consultant’s Ranking after Evaluation: __________________________
Local Agency certifies that all DBE certifications are valid and information on
this form is complete and accurate.
9. DBE Contact Information
11. TOTAL CLAIMED DBE PARTICIPATION
IMPORTANT: Identify all DBE firms being claimed for credit,
regardless of tier. Written confirmation of each listed DBE is
required.
12. Preparer's Signature 13. Date
14. Preparer's Name 15. Phone
16. Preparer's Title
DISTRIBUTION: Original – Included with consultant’s proposal to local agency.
ADA Notice: For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 654-6410 or TDD (916) 654-
3880 or write Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.
LPP 18-01 Page 1 of 2
January 2019
EXHIBIT 1
4
Local Assistance Procedures Manual Exhibit 10-O1
Consultant Proposal DBE Commitment
INSTRUCTIONS – CONSULTANT PROPOSAL DBE COMMITMENT
CONSULTANT SECTION
1. Local Agency - Enter the name of the local or regional agency that is funding the contract.
2. Contract DBE Goal - Enter the contract DBE goal percentage as it appears on the project advertisement.
3. Project Location - Enter the project location as it appears on the project advertisement.
4. Project Description - Enter the project description as it appears on the project advertisement (Bridge Rehab,
Seismic Rehab, Overlay, Widening, etc.).
5. Consultant’s Name - Enter the consultant’s firm name.
6. Prime Certified DBE - Check box if prime contractor is a certified DBE.
7. Description of Work, Services, or Materials Supplied - Enter description of work, services, or materials to be
provided. Indicate all work to be performed by DBEs including work performed by the prime consultant’s own
forces, if the prime is a DBE. If 100% of the item is not to be performed or furnished by the DBE, describe the
exact portion to be performed or furnished by the DBE. See LAPM Chapter 9 to determine how to count the
participation of DBE firms.
8. DBE Certification Number - Enter the DBE’s Certification Identification Number. All DBEs must be certified
on the date bids are opened.
9. DBE Contact Information - Enter the name, address, and phone number of all DBE subcontracted consultants.
Also, enter the prime consultant’s name and phone number, if the prime is a DBE.
10. DBE % - Percent participation of work to be performed or service provided by a DBE. Include the prime
consultant if the prime is a DBE. See LAPM Chapter 9 for how to count full/partial participation.
11. Total Claimed DBE Participation % - Enter the total DBE participation claimed. If the total % claimed is
less than item “Contract DBE Goal,” an adequately documented Good Faith Effort (GFE) is required (see Exhibit
15-H DBE Information - Good Faith Efforts of the LAPM).
12. Preparer’s Signature - The person completing the DBE commitment form on behalf of the consultant’s firm
must sign their name.
13. Date - Enter the date the DBE commitment form is signed by the consultant’s preparer.
14. Preparer’s Name - Enter the name of the person preparing and signing the consultant’s DBE commitment
form.
15. Phone - Enter the area code and phone number of the person signing the consultant’s DBE commitment form.
16. Preparer’s Title - Enter the position/title of the person signing the consultant’s DBE commitment form.
LOCAL AGENCY SECTION
17. Local Agency Contract Number - Enter the Local Agency contract number or identifier.
18. Federal-Aid Project Number - Enter the Federal-Aid Project Number.
19. Proposed Contract Execution Date - Enter the proposed contract execution date.
20. Consultant’s Ranking after Evaluation – Enter consultant’s ranking after all submittals/consultants are
evaluated. Use this as a quick comparison for evaluating most qualified consultant.
21. Local Agency Representative’s Signature - The person completing this section of the form for the Local
Agency must sign their name to certify that the information in this and the Consultant Section of this form is
complete and accurate.
22. Date - Enter the date the DBE commitment form is signed by the Local Agency Representative.
23. Local Agency Representative’s Name - Enter the name of the Local Agency Representative certifying the
consultant’s DBE commitment form.
24. Phone - Enter the area code and phone number of the person signing the consultant’s DBE commitment form.
25. Local Agency Representative Title - Enter the position/title of the Local Agency Representative certifying the
consultant’s DBE commitment form.
LPP 18-01 Page 2 of 2
January 2019
EXHIBIT 1
Local Assistance Procedures Manual Exhibit 10-O2
Consultant Contract DBE Commitment
EXHIBIT 10-O2 CONSULTANT CONTRACT DBE COMMITMENT
1. Local Agency: 2. Contract DBE Goal:
3. Project Description:
4. Project Location:
5. Consultant's Name: 6. Prime Certified DBE: 7. Total Contract Award Amount:
8. Total Dollar Amount for ALL Subconsultants: 9. Total Number of ALL Subconsultants:
10. Description of Work, Service, or Materials
Supplied
11. DBE
Certification
Number
12. DBE Contact Information
13. DBE
Dollar
Amount
Local Agency to Complete this Section
14. TOTAL CLAIMED DBE PARTICIPATION
$ 20. Local Agency Contract
Number:
21. Federal-Aid Project Number:
22. Contract Execution
Date:
Local Agency certifies that all DBE certifications are valid and information on
this form is complete and accurate.
23. Local Agency Representative's Signature 24. Date
25. Local Agency Representative's Name 26. Phone
27. Local Agency Representative's Title
%
IMPORTANT: Identify all DBE firms being claimed for credit,
regardless of tier. Written confirmation of each listed DBE is
required.
15. Preparer's Signature 16. Date
17. Preparer's Name 18. Phone
19. Preparer's Title
DISTRIBUTION: 1. Original – Local Agency
2. Copy – Caltrans District Local Assistance Engineer (DLAE). Failure to submit to DLAE within 30 days of contract
execution may result in de-obligation of federal funds on contract.
ADA Notice: For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 654-6410 or TDD (916) 654-
3880 or write Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.
Page 1 of 2
July 23, 2015
EXHIBIT 1
Local Assistance Procedures Manual Exhibit 10-O2
Consultant Contract DBE Commitment
INSTRUCTIONS – CONSULTANT CONTRACT DBE COMMITMENT
CONSULTANT SECTION
1. Local Agency -Enter the name of the local or regional agency that is funding the contract.
2. Contract DBE Goal -Enter the contract DBE goal percentage as it appears on the project advertisement.
3. Project Description -Enter the project description as it appears on the project advertisement (Bridge Rehab, Seismic
Rehab, Overlay, Widening, etc).
4. Project Location -Enter the project location as it appears on the project advertisement.
5. Consultant’s Name -Enter the consultant’s firm name.
6. Prime Certified DBE - Check box if prime contractor is a certified DBE.
7. Total Contract Award Amount -Enter the total contract award dollar amount for the prime consultant.
8. Total Dollar Amount for ALL Subconsultants – Enter the total dollar amount for all subcontracted consultants.
SUM = (DBEs + all Non-DBEs). Do not include the prime consultant information in this count.
9. Total number of ALL subconsultants – Enter the total number of all subcontracted consultants. SUM = (DBEs + all
Non-DBEs). Do not include the prime consultant information in this count.
10. Description of Work, Services, or Materials Supplied -Enter description of work, services, or materials to be
provided. Indicate all work to be performed by DBEs including work performed by the prime consultant’s own forces, if
the prime is a DBE. If 100% of the item is not to be performed or furnished by the DBE, describe the exact portion to be
performed or furnished by the DBE. See LAPM Chapter 9 to determine how to count the participation of DBE firms.
11. DBE Certification Number -Enter the DBE’s Certification Identification Number. All DBEs must be certified on
the date bids are opened.
12. DBE Contact Information -Enter the name, address, and phone number of all DBE subcontracted consultants.
Also, enter the prime consultant’s name and phone number, if the prime is a DBE.
13. DBE Dollar Amount - Enter the subcontracted dollar amount of the work to be performed or service to be
provided. Include the prime consultant if the prime is a DBE. See LAPM Chapter 9 for how to count full/partial
participation.
14. Total Claimed DBE Participation -$: Enter the total dollar amounts entered in the “DBE Dollar Amount” column.
%: Enter the total DBE participation claimed (“Total Participation Dollars Claimed” divided by item “Total Contract
Award Amount”). If the total % claimed is less than item “Contract DBE Goal,” an adequately documented Good Faith
Effort (GFE) is required (see Exhibit 15-H DBE Information - Good Faith Efforts of the LAPM).
15. Preparer’s Signature -The person completing the DBE commitment form on behalf of the consultant’s firm must
sign their name.
16. Date -Enter the date the DBE commitment form is signed by the consultant’s preparer.
17. Preparer’s Name -Enter the name of the person preparing and signing the consultant’s DBE commitment form.
18. Phone -Enter the area code and phone number of the person signing the consultant’s DBE commitment form.
19. Preparer’s Title -Enter the position/title of the person signing the consultant’s DBE commitment form.
LOCAL AGENCY SECTION
20. Local Agency Contract Number -Enter the Local Agency contract number or identifier.
21. Federal-Aid Project Number -Enter the Federal-Aid Project Number.
22. Contract Execution Date -Enter the date the contract was executed.
23. Local Agency Representative’s Signature - The person completing this section of the form for the Local Agency
must sign their name to certify that the information in this and the Consultant Section of this form is complete and
accurate.
24. Date -Enter the date the DBE commitment form is signed by the Local Agency Representative.
25. Local Agency Representative’s Name -Enter the name of the Local Agency Representative certifying the
consultant’s DBE commitment form.
26. Phone -Enter the area code and phone number of the person signing the consultant’s DBE commitment form.
27. Local Agency Representative Title -Enter the position/title of the Local Agency Representative certifying the
consultant’s DBE commitment form.
Page 2 of 2
July 23, 2015
EXHIBIT 1
Page 1 of 9
AGREEMENT WITH KTU&A DBA KTUA TO PROVIDE SAFE MOBILITY
ANALYSIS SERVICES
THIS AGREEMENT is made and entered into this 2nd day of August 2022, by and between
KTU&A dba KTUA, a California corporation (“Consultant”), and the City of Santa Ana, a charter
city and municipal corporation organized and existing under the Constitution and laws of the State
of California (“City”).
RECITALS
A.On August 30, 2021, the City issued Request for Proposal No. 21-082, by which it
sought a qualified consultant to provide safe mobility analysis services for the
City’s Public Works Agency.
B.Consultant submitted a responsive proposal that was selected by the City.
Consultant represents that it is able and willing to provide the services described in
the scope of work that was included in RFP 21-082.
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 contracting firm in the field.
NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the
terms and conditions hereinafter set forth, the parties agree as follows:
1.SCOPE OF SERVICES
Consultant shall perform the services described in the scope of work that was included in
RFP No. 21-082, which is attached as Exhibit A and incorporated in full, and as further described
in Consultant’s Proposal, which is attached as Exhibit B and incorporated in full.
2.COMPENSATION
a.City agrees to pay, and Consultant agrees to accept as total payment for its services
for City, the rates and charges identified in Exhibit C. The total amount to be
expended under this Agreement shall not exceed One Hundred Seventy Nine
Thousand, Nine Hundred Sixty-Five Dollars and Zero Cents ($179,965).
b.Payment by City shall be made within forty-five (45) days following receipt of
proper invoice evidencing work performed, subject to City accounting procedures.
Payment need not be made for work which fails to meet the standards of
performance set forth in the Recitals and Scope of Work, which may reasonably be
expected by City.
EXHIBIT 2
Page 2 of 9
3.TERM
This Agreement shall commence on the date first written above and terminate on August
1, 2025, unless terminated earlier in accordance with Section 17, below. The term of this
Agreement may be extended for up to a two (2) year period upon a writing executed by the City
Manager and City Attorney.
4.PREVAILING WAGES
Consultant is aware of the requirements of California Labor Code Section 1720, et seq.,
and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq.,
(“Prevailing Wage Laws”), which require the payment of prevailing wage rates and the
performance of other requirements on “public works” and “maintenance” projects. If the services
being performed are part of an applicable “public works” or “maintenance” project, as defined by
the Prevailing Wage Laws, and the total compensation is $1,000 or more, Consultant agrees to
fully comply with such Prevailing Wage Laws. Consultant shall defend, indemnify and hold the
City, its elected officials, officers, employees and agents free and harmless from any claim or
liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws.
5.INDEPENDENT CONSULTANT
Consultant shall, during the entire term of this Agreement, be construed to be an
independent contractor and not an employee of the City. This Agreement is not intended nor shall
it be construed to create an employer-employee relationship, a joint venture relationship, or to
allow the City to exercise discretion or control over the professional manner in which Consultant
performs the services which are the subject matter of this Agreement; however, the services to be
provided by Consultant shall be provided in a manner consistent with all applicable standards and
regulations governing such services. Consultant shall pay all salaries and wages, employer's social
security taxes, unemployment insurance and similar taxes relating to employees and shall be
responsible for all applicable withholding taxes.
6.OWNERSHIP OF MATERIALS
This Agreement creates a non-exclusive and perpetual license for City to copy, use,
modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property
embodied in plans, specifications, studies, drawings, estimates, and other documents or works of
authorship fixed in any tangible medium of expression, including but not limited to, physical
drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or
caused to be prepared by Consultant under this Agreement (“Documents & Data”). Consultant
shall require all subcontractors to agree in writing that City is granted a non-exclusive and
perpetual license for any Documents & Data the subcontractor prepares under this Agreement.
Consultant represents and warrants that Consultant has the legal right to license any and all
Documents & Data. Consultant makes no such representation and warranty in regard to
Documents & Data which were provided to Consultant by the City. City shall not be limited in
any way in its use of the Documents and Data at any time, provided that any such use not within
the purposes intended by this Agreement shall be at City’s sole risk.
EXHIBIT 2
Page 3 of 9
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:
a. Minimum Scope and Limit of Insurance
1. Commercial General Liability (CGL): Insurance Services Office Form CG
00 01 covering CGL on an “occurrence” basis, including products and
completed operations, property damage, bodily injury and personal &
advertising injury with limits no less than $1,000,000 per occurrence. If a
general aggregate limit applies, either the general aggregate limit shall apply
separately to this project/location (ISO CG 25 03 or 25 04) or the general
aggregate limit shall be twice the required occurrence limit.
2. Automobile Liability: ISO Form Number CA 00 01 covering any auto (Code
1), or if Consultant has no owned autos, hired, (Code 8) and non-owned autos
(Code 9), with a limit no less than $1,000,000 per accident for bodily injury and
property damage.
3. Workers’ Compensation: as required by the State of California, with Statutory
Limits, and Employer’s Liability Insurance with limit of no less than
$1,000,000 per accident for bodily injury or disease.
4. Professional Liability: 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 $2,000,000 per claim
with a $2,000,000 aggregate.
5. Broader Coverage: if the Consultant maintains broader coverage and/or higher
limits than the minimums shown above, the City requires and shall be entitled
to the broader coverage and/or the higher limits maintained by the Consultant.
Any available insurance proceeds in excess of the specified minimum limits of
insurance and coverage shall be available to the City.
b. Other Insurance Provisions
1. Additional Insured Status: The City, its officers, officials, employees, and
volunteers are to be covered as additional insureds on the CGL policy with
respect to liability arising out of work or operations performed by or on behalf
of the Consultant including materials, parts, or equipment furnished in
connection with such work or operations. General liability coverage can be
provided in the form of an endorsement to the Consultant’s insurance (at least
as broad as ISO Form CG 20 10 11 85 or if not available, through the addition of
both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 if a later
edition is used).
EXHIBIT 2
Page 4 of 9
2. Primary Coverage: For any claims related to this contract, the Consultant’s
insurance coverage shall be primary coverage at least as broad as ISO CG 20
01 04 13 as respects the City, its officers, officials, employees, and volunteers.
Any insurance or self-insurance maintained by the City, its officers, officials,
employees, or volunteers shall be excess of the Consultant’s insurance and shall
not contribute with it.
3. Notice of Cancellation: Each insurance policy required above shall provide
that coverage shall not be canceled, except with notice to the City.
4. Waiver of Subrogation: Consultant hereby grants to City a waiver of any right
to subrogation that any insurer of said Consultant may acquire against the City
by virtue of the payment of any loss under such insurance. Consultant agrees
to obtain any endorsement that may be necessary to affect this waiver of
subrogation, but this provision applies regardless of whether or not the City has
received a waiver of subrogation endorsement from the insurer.
5. Self-Insured Retentions: Self-insured retentions must be declared to and
approved by the City. The City may require the Consultant to purchase coverage
with a lower retention or provide proof of ability to pay losses and related
investigations, claim administration, and defense expenses within the retention.
The policy language shall provide, or be endorsed to provide, that the self-
insured retention may be satisfied by either the named insured or City.
6. Acceptability of Insurers: Insurance is to be placed with insurers authorized
to conduct business in the state with a current A.M. Best’s rating of no less
than A:VII, unless otherwise acceptable to the City.
7. Claims Made Policies (applicable only to professional liability):
i. The Retroactive Date must be shown, and must be before the date of the
contract or the beginning of contract work.
ii. Insurance must be maintained and evidence of insurance must be
provided for at least five (5) years after completion of the contract of
work.
iii. If coverage is canceled or non-renewed, and not replaced with another
claims-made policy form with a Retroactive Date prior to the contract
effective date, the Consultant must purchase “extended reporting”
coverage for a minimum of five (5) years after completion of work.
8. Verification of Coverage: Consultant shall furnish the City with original
Certificates of Insurance including all required amendatory endorsements (or
copies of the applicable policy language effecting coverage required by this
clause) and a copy of the Declarations and Endorsement Page of the CGL policy
listing all policy endorsements to City before work begins. However, failure to
EXHIBIT 2
Page 5 of 9
obtain the required documents prior to the work beginning shall not waive the
Consultant’s obligation to provide them.
The City reserves the right to require complete, certified copies of all required
insurance policies, including endorsements required by these specifications, at
any time.
9. Subcontractors: Consultant shall require and verify that all subcontractors
maintain insurance meeting all the requirements stated herein, and Consultant
shall ensure that City is an additional insured on insurance required from
subcontractors.
10. Special Risks or Circumstances: City reserves the right to modify these
requirements, including limits, based on the nature of the risk, prior experience,
insurer, coverage, or other special circumstances.
8. INDEMNIFICATION
Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers,
agents, employees, contractors, special counsel, and representatives from liability: (1) for personal
injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for
personal injury, including death, and claims for property damage, which may arise from the
negligent operations of the Consultant or its 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. This
indemnity and hold harmless agreement applies to all claims for damages, just compensation,
restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the
events referred to in this Section or by reason of the terms of, or effects, arising from this
Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the
defense of the City, including fees and costs for special counsel to be selected by the City,
regarding any action by a third party challenging the validity of this Agreement, or asserting that
personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal
or property rights arises by reason of the terms of, or effects arising from this Agreem ent. City
may make all reasonable decisions with respect to its representation in any legal proceeding.
Notwithstanding the foregoing, to the extent Consultant’s services are subject to Civil Code
Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section
2782.8, to claims that arise of, pertain to, or relate to the negligence, recklessness, or willful
misconduct of the Consultant.
9. INTELLECTUAL PROPERTY INDEMNIFICATION
Consultant shall defend, indemnify and hold harmless the City, its officers, agents,
representatives, and employees against any and all liability, including costs, and attorney’s fees,
for infringement of any United States’ letters patent, trademark, or copyright contained in the work
product or documents provided by Consultant to the City pursuant to this Agreement.
EXHIBIT 2
Page 6 of 9
10.RECORDS
Consultant shall keep records and invoices in connection with the work to be performed
under this Agreement. Consultant shall maintain complete and accurate records with respect to
the costs incurred under this Agreement and any services, expenditures, and disbursements
charged to the City for a minimum period of three (3) years, or for any longer period required by
law, from the date of final payment to Consultant under this Agreement. All such records and
invoices shall be clearly identifiable. Consultant shall allow a representative of the City to
examine, audit, and make transcripts or copies of such records and any other documents created
pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all
work, data, documents, proceedings, and activities related to this Agreement for a period of three
(3)years from the date of final payment to Consultant under this Agreement.
11.CONFIDENTIALITY
If Consultant receives from the City information which due to the nature of such
information is reasonably understood to be confidential and/or proprietary, Consultant agrees that
it shall not use or disclose such information except in the performance of this Agreement, and
further agrees to exercise the same degree of care it uses to protect its own information of like
importance, but in no event less than reasonable care. “Confidential Information” shall include all
nonpublic information. Confidential information includes not only written information, but also
information transferred orally, visually, electronically, or by other means. Confidential
information disclosed to either party by any subsidiary and/or agent of the other party is covered
by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any
information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the
Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant
without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e)
is independently developed by the Consultant without reference to information disclosed by the
City.
12.CONFLICT OF INTEREST CLAUSE
Consultant covenants that it presently has no interest and shall not have interests, direct or
indirect, which would conflict in any manner with performance of services specified under this
Agreement.
13.NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this Agreement
shall be in writing and shall be deemed to be properly given if delivered in person or mailed by
first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in
the manner provided in this Section, to the following persons:
To City: Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M-30)
EXHIBIT 2
Page 7 of 9
P.O. Box 1988
Santa Ana, CA 92702-1988
Fax 714- 647-6956
Executive Director
Public Works Agency
City of Santa Ana
20 Civic Center Plaza (M-21)
P.O. Box 1988
Santa Ana, CA 92702
To Consultant: KTU&A dba KTUA
3916 Normal Street
San Diego, CA 92103
Attn: Michael Singleton, President
A party may change its address by giving notice in writing to the other party. Thereafter,
any communication shall be addressed and transmitted to the new address. If sent by mail,
communication shall be effective or deemed to have been given three (3) days after it has been
deposited in the United States mail, duly registered or certified, with postage prepaid, and
addressed as set forth above. If sent by fax, communication shall be effective or deemed to have
been given twenty-four (24) hours after the time set forth on the transmission report issued by the
transmitting facsimile machine, addressed as set forth above. For purposes of calculating these
timeframes, weekends, federal, state, County or City holidays shall be excluded.
14.EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and
Consultant regarding the subject matter herein, and supersedes any and all other agreements, oral
or written, between the parties. In the event of a conflict between the terms of this Agreement and
any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be
modified except by written instrument signed by the City and by an authorized representative of
Consultant. The parties agree that any terms or conditions of any purchase order or other
instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not
bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no
representations, inducements, promises or agreements, orally or otherwise, have been made by any
party, or anyone acting on behalf of any party, which are not embodied herein.
15.ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Consultant,
Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior
written consent of the City and any such assignment, transfer, delegation or subcontract without
the City’s prior written consent shall be considered null and void. Nothing in this Agreement shall
be construed to limit the City’s ability to have any of the services that are the subject to this
Agreement performed by City personnel or by other contractors retained by City.
EXHIBIT 2
Page 8 of 9
16. WAIVER
No waiver of breach, failure of any condition, or any right or remedy contained in or
granted by the provisions of this Agreement shall be effective unless it is in writing and signed by
the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or
remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not
similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies.
17. 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 that fails to meet the standard of performance
specified in the Recitals of this Agreement.
18. NON-DISCRIMINATION
Consultant shall not discriminate because of race, color, creed, religion, sex, marital
status, sexual orientation, gender identity, gender expression, gender, medical conditions, genetic
information, or military and veteran status, age, national origin, ancestry, or disability, as defined
and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization,
promotion, termination or other employment related activities or any services provided under
this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply
with all applicable federal, state and local laws and regulations.
19. JURISDICTION-VENUE
This Agreement has been executed and delivered in the State of California and the validity,
interpretation, performance, and enforcement of any of the clauses of this Agreement shall be
determined and governed by the laws of the State of California. Both parties further agree that
Orange County, California, shall be the venue for any action or proceeding that may be brought or
arise out of, in connection with or by reason of this Agreement.
20. PROFESSIONAL LICENSES
Consultant shall, throughout the term of this Agreement, maintain all necessary licenses,
EXHIBIT 2
Page 9 of 9
permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder
and required by the laws and regulations of the United States, the State of California, the City of
Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and
in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and
exemptions. Said inability shall be cause for termination of this Agreement.
21.MISCELLANEOUS PROVISIONS
a.Each undersigned represents and warrants that its signature herein below has the
power, authority and right to bind their respective parties to each of the terms of
this Agreement, and shall indemnify City fully, including reasonable costs and
attorney’s fees, for any injuries or damages to City in the event that such authority
or power is not, in fact, held by the signatory or is withdrawn.
b.All exhibits referenced herein and attached hereto shall be incorporated as if fully
set forth in the body of this Agreement.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first
above written.
ATTEST: CITY OF SANTA ANA
________________________ _________________________
Daisy Gomez Kristine Ridge
Clerk of the Council City Manager
APPROVED AS TO FORM KTU&A dba KTUA
SONIA R. CARVALHO
City Attorney
By: _____________________ ____________________________
Brandon Salvatierra Michael Singleton
Deputy City Attorney President
RECOMMENDED FOR APPROVAL
____________________________
Nabil Saba, PE
Executive Director
Public Works Agency
EXHIBIT 2