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Item # 17
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 16, 2021
TOPIC: Agreements for On-Call Property Appraisal Services
AGENDA TITLE
Approve Agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and
Hennessey & Hennessey LLC for On-Call Property Appraisal Services in an Amount Not
to Exceed $449,500, for a Three-Year Term (Non-General Fund)
RECOMMENDED ACTION
1. Authorize the City Manager to execute an agreement with Santolucito Doré Group,
Inc., to provide completion of final close-out work per Caltrans requirements and
property appraisal services, on an as needed basis, in an amount not to exceed
$149,500, for a three-year term beginning November 16, 2021 and expiring November
15, 2024, with an option for two, one-year extensions, subject non-substantive
changes approved by the City Manager and City Attorney.
2. Authorize the City Manager to execute agreements with Santolucito Doré Group, Inc.,
Integra Realty Resources, and Hennessey & Hennessey LLC to provide right-of-way
property appraisal services, in a shared aggregate amount not to exceed $300,000,
for a three-year term beginning November 16, 2021 and expiring November 15, 2024,
with an option for two, one-year extensions, subject non-substantive changes
approved by the City Manager and City Attorney.
DISCUSSION
On August 27, 2021, the Public Works Agency released Request for Proposal (RFP) No.
21-103 by which it sought the services of a professional engineering firm to provide On-
Call Property Appraisal services on an as-needed or “on-call” basis for the City of Santa
Ana Public Works Agency. The capital improvement projects needing the right-of-way
services include, but are not limited to, Warner Avenue, Bristol Street, Fairview Street,
and Grand Avenue street improvements.
The RFP was advertised on the City’s online procurement management and publication
system, with proposals due on September 15, 2021. Five proposals were received and
evaluated by a selection committee. Based on criteria outlined in the RFP, the following
summarizes the responding firms and their ranking:
Agreement with Santolucito Doré Group Inc., Integra Realty Resources, and Hennessey
& Hennessey LLC
November 16, 2021
Page 2
2
2
2
3
Firm City Rank
Santolucito Doré Group, Inc. Canyon Lake 1
Integra Realty Resources Encino 2
Hennessey & Hennessey LLC Tustin 3
Approval of the recommended action will authorize two sets of consultant agreements to
be utilized for future task orders, depending on the project funding source. For grant-
funded projects that require adherence to Caltrans Architecture and Engineering
requirements, task orders will be issued on the Caltrans version of the on-call agreement
(Exhibit 1). All other task orders for projects funded with local or discretionary funds shall
utilize the standard version of the consultant agreement (Exhibits 2, 3, and 4), which does
not contain the same Caltrans provisions and requirements for federally grant-funded
project tasks.
Based upon the scope of work and selection criteria outlined in RFP 21-103, staff
recommends awarding two sets of agreements: One to Santolucito Doré Group, Inc., to
provide completion of appraisal work per Caltrans requirements, on an on-call basis, and
the other to Integra Realty Resources, Hennessey & Hennessey LLC, and Santolucito
Doré Group, Inc., to provide right-of-way property appraisal services not subject to
Caltrans requirements, on an on-call basis. Their proposals demonstrated the firms have
the necessary capacity and expertise to complete the required services. The firms’ rates
are reasonable and within industry standard, the teams’ qualifications are appropriate,
and the proposals were determined to provide the best value for the City.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with the action.
FISCAL IMPACT
The following table summarizes the projects with funds budgeted and available for
expenditure on the right-of-way acquisition and relocation services to be provided by the
agreements in Fiscal Year 2021-2022.
Federal Funded Project(s)
Fiscal
Year
Accounting Unit -
Account No.
(Project No.)
Fund
Description
Accounting Unit -
Account No.
Description
Amount
2021-22 05917663-66220
(15-6827)
Select Street
Construction
Gas Tax HUTA 2103,
Improvements Other
Than Building
$20,000
Agreement with Santolucito Doré Group Inc., Integra Realty Resources, and Hennessey
& Hennessey LLC
November 16, 2021
Page 3
2
2
2
3
2021-22 03217663-66220
(15-6827)
Measure M
Street
Construction
Measure M2
Competitive Street,
Improvements Other
Than Building
$60,000
Total $80,000
Non-Federal Funded Project(s)
Fiscal
Year
Accounting Unit -
Account No.
(Project No.)
Fund
Description
Accounting Unit -
Account No.
Description
Amount
2021-22 03217663-66220
(18-6901)
Measure M
Street
Construction
Measure M2
Competitive Street,
Improvements Other
Than Building
$37,500
2021-22 05917668-66220
(18-6901)
Select Street
Construction
Warner Ave-Tustin
Community Facilities
District, Improvements
Other Than Building
$12,500
2021-22 03517660-66220
(17-6883)
New
Transportation
System
Improvement-
Area F
New Transportation
System Improvement-
Area F, Improvements
Other Than Building
$20,000
2021-22 05917661-66220
(11-6741)
Measure M
Street
Construction
Measure M2
Competitive Street,
Improvements Other
Than Building
$60,000
Total $130,000
Any unused agreement amounts may be utilized by projects not listed above by following
the established on-call services process during the FY 2021-22 and for the remaining
agreement term. Prior to utilizing the on-call services for any future task orders without
accounts identified above, City staff must receive Finance and Management Services
Agency approval of funding and accounts to be used to ensure funds are available within
the authorization limit of $149,500 for any federally funded projects and under the shared
$300,000 aggregate for any projects using local or discretionary funds. Upon successful
completion of the fiscal review, a corresponding Notice to Proceed containing the specific
scope and maximum expenditure for the task order will be issued.
Agreement with Santolucito Doré Group Inc., Integra Realty Resources, and Hennessey
& Hennessey LLC
November 16, 2021
Page 4
2
2
2
3
EXHIBIT(S)
1. Agreement with Santolucito Doré Group, Inc., for On-Call Property Appraisal
Services – Caltrans Version
2. Agreement with Integra Realty Resources for On-Call Property Appraisal
Services
3. Agreement with Hennessey & Hennessey LLC for On-Call Property Appraisal
Services
4. Agreement with Santolucito Doré Group, Inc., for On-Call Property Appraisal
Services
Submitted By:
Nabil Saba, P.E., Executive Director – Public Works Agency
Approved By: Kristine Ridge, City Manager
Page 1
AGREEMENT TO PROVIDE ON CALL PROPERTY APPRAISAL SERVICES
THIS AGREEMENT is made and entered into this 16th day of November, 2021 by and between,
Santolucito Dore Group, Inc., 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 27, 2021, the City issued Request for Proposal (“RFP”) No. 21-103, by which
it sought a consultant to provide Property Appraisal Services on an on-call basis for the
City’s Public Works Agency.
B.Consultant submitted a responsive proposal that was among those 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 No. 21-103.
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
On an on-call basis, and at the City’s sole discretion, Consultant shall perform the property
appraisal services described in the scope of work that was included in RFP No. 21-103 and is
attached hereto and marked as Exhibit A and as more specifically delineated in Consultant’s
proposal (excluding addenda and fee proposal), which is attached as Exhibit B and incorporated
in full.
2.ALLOWABLE COSTS AND PAYMENTS
a.City neither warrants nor guarantees any minimum or maximum compensation to
Consultant under this Agreement. Consultant shall be paid only for actual services
performed under this Agreement at the rates and charges identified in Consultant’s
Cost Proposal attached as Exhibit C. Consultant is the top-ranking consultant to
provide property appraisal services on an as-needed basis under RFP No. 21-103.
The total compensation for these services provided under RFP No. 21-103 to
perform them shall not exceed an aggregate amount of $149,500.00 during the term
of the Agreement, including any extension periods.
b.Consultant’s Cost Proposal attached as Exhibit C. The specified hourly rates shall
include direct salary costs, employee benefits, overhead, and fee. These rates are
not adjustable for the performance period set forth in this Agreement. In addition,
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Consultant will be reimbursed for incurred (actual) direct costs other than salary
costs that are in the cost proposal and identified in the cost proposal and in the
executed Task Order.
c. Specific projects will be assigned to Consultant through issuance of Task Orders.
After a project to be performed under this Agreement is identified by City, City will
prepare a draft Task Order less the cost estimate. A draft Task Order will identify
the scope of services, expected results, project deliverables, period of performance,
project schedule and will designate a City Project Coordinator. The draft Task
Order will be delivered to Consultant for review. Consultant shall return the draft
Task Order within ten (10) calendar days along with a Cost Estimate, including a
written estimate of the number of hours and hourly rates per staff person, any
anticipated reimbursable expenses, overhead, fee if any, and total dollar amount.
After agreement has been reached on the negotiable items and total cost, the
finalized Task Order shall be signed by both City and Consultant.
d. Task Orders may be negotiated for a lump sum (Firm Fixed Price) or for specific
rates of compensation, both of which must be based on the labor and other rates set
forth in Consultant Cost Proposal.
e. Reimbursement for transportation and subsistence costs shall not exceed the rates
as specified in the approved Cost Proposal.
f. When milestone cost estimates are included in the approved Cost Proposal,
Consultant shall obtain prior written approval for a revised milestone cost estimate
from City before exceeding such estimate.
g. Progress payments for each Task Order will be made monthly in arrears based on
services provided and actual costs incurred.
h. Consultant shall not commence performance of work or services until this
Agreement has been approved by City, and notification to proceed has been issued
by City. No payment will be made prior to approval or for any work performed
prior to approval of this Agreement.
i. A Task Order is of no force or effect until returned to City and signed by an
authorized representative of City. No expenditures are authorized on a project, and
work shall not commence until a Task Order for that project has been executed by
City.
j. Consultant will be reimbursed, as promptly as fiscal procedures will permit upon
receipt by City of itemized invoices in triplicate. Separate invoices itemizing all
costs are required for all work performed under each Task Order. Invoices shall be
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submitted no later than 45 calendar days after the performance of work for which
Consultant is billing, or upon completion of the Task Order. Invoices shall detail
the work performed on each milestone, on each project as applicable. Invoices shall
follow the format stipulated for the approved Cost Proposal and shall reference this
Agreement number, project title, and Task Order number. Credits due to City that
include any equipment purchased under the Equipment Purchase provision of this
Agreement must be reimbursed by Consultant prior to the expiration or termination
of this Agreement. Invoices shall be mailed to City at the following address: City
of Santa Ana, Public Works Agency M-36, 20 Civic Center Plaza, P.O. Box 1988,
Santa Ana, CA 92702.
k. The period of performance for Task Orders shall be in accordance with dates
specified in the Task Order. No Task Order will be written which extends beyond
the expiration date of this Agreement.
l. The total amount payable by City for an individual Task Order shall not exceed the
amount agreed to in the Task Order, unless authorized by contract amendment.
m. If the Consultant fails to satisfactorily complete a deliverable according to the
schedule set forth in a Task Order, no payment will be made until the deliverable
has been satisfactorily completed.
n. Task Orders may not be used to amend this Agreement and may not exceed the
scope of work under this Agreement.
o. The total amount payable by City for all Task Orders resulting from this Agreement
shall not exceed an aggregate amount of $149,500. It is understood and agreed that
there is no guarantee, either expressed or implied, that this dollar amount will be
authorized under this Agreement through Task Orders.
p. Consultant shall submit progress reports on each specific project in accordance with
the Task Order. These reports shall be submitted at least once a month. The report
should be sufficiently detailed for the City’s Project Manager to determine, if
Consultant is performing to expectations, or is on schedule; to provide
communication of interim findings, and to sufficiently address any difficulties or
special problems encountered, so remedies can be developed.
q. Consultant’s Project Manager shall meet with City’s Project Manager, as needed,
to discuss progress on the project(s).
r. This Agreement is valid and enforceable only if sufficient funds are made available
to the City for the purpose of this Agreement. In addition, this Agreement is subject
to any additional restrictions, limitations, conditions, or any statute enacted by
Congress, the State Legislature, or the City that may affect the provisions, terms or
funding of this Agreement in any manner.
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3. COST PRINCIPLES AND ADMINISTRATIVE REQUIREMENTS
a. Consultant agrees that the Contract Cost Principles and Procedures, 48 CFR Part
31, Contract Cost Principals and Procedures, shall be used to determine the
allowability of individual terms of cost. et seq., shall be used to determine the cost
allowability of individual items.
b. Consultant agrees to comply with federal procedures in accordance with 2 CFR,
Part 200, Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards.
c. Any costs for which payment has been made to Consultant that are determined by
subsequent audit to be unallowable under 2 CFR, Part 200 and 48 CFR, Federal
Acquisition Regulations System, Chapter 1, Part 31.000 et seq., are subject to
repayment by Consultant to City.
4. PERFORMANCE PERIOD
a. This Agreement shall go into effect on the date first written above, contingent upon
approval by City, and Consultant shall commence work after notification to proceed
by City. This Agreement shall end on November 15, 2024, unless terminated earlier
in accordance with Section 21. The term of this Agreement may be extended for
up to two 1-year periods upon a writing executed by the City Manager and City
Attorney.
b. Consultant is advised that any recommendation for contract award is not binding
on City until the Agreement is fully executed and approved by City.
c. The period of performance for each specific project shall be in accordance with the
Task Order for that project. If work on a Task Order is in progress on the expiration
date of this Agreement, the terms of the Agreement shall be extended by
amendment.
5. STATE PREVAILING WAGE RATES
a. If applicable, Consultant shall comply with the State of California’s General
Prevailing Wage Rate requirements in accordance with California Labor Code,
Section 1770, and all Federal, State, and local laws and ordinances applicable to the
work.
b. Any subcontract entered into as a result of this Agreement, if for more than $25,000
for public works construction or more than $15,000 for the alteration, demolition,
repair, or maintenance of public works, shall contain all of the provisions of this
Section, unless the awarding agency has an approved labor compliance program by
the Director of Industrial Relations.
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c. When prevailing wages apply to the services described in the scope of work,
transportation and subsistence costs shall be reimbursed at the minimum rates set
by the Department of Industrial Relations (DIR) as outlined in the applicable
Prevailing Wage Determination. See http://www.dir.ca.gov. Consultant shall be
responsible for any future adjustments to prevailing wage rates including, but not
limited to, base hourly rates and employer payments as determined by the
Department of Industrial Relations, Consultant is responsible for paying the
appropriate rate, including escalations that take place during the term of the
Agreement.
d. When prevailing rates apply, the Consultant is responsible for verifying compliance
with certified payroll requirements. Invoice payment will not be made until the
invoice is approved by City.
6. 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.
7. OWNERSHIP OF MATERIALS
This Agreement creates a non-exclusive and perpetual license for City to copy, use,
modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property
embodied in plans, specifications, studies, drawings, estimates, and other documents or works of
authorship fixed in any tangible medium of expression, including but not limited to, physical
drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or
caused to be prepared by Consultant under this Agreement (“Documents & Data”). Consultant
shall require all subconsultants to agree in writing that City is granted a non-exclusive and
perpetual license for any Documents & Data the subconsultant prepares under this Agreement.
Consultant represents and warrants that Consultant has the legal right to license any and all
Documents & Data. Consultant makes no such representation and warranty in regard to
Documents & Data, which were provided, to Consultant by the City. Ci ty 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.
8. MINIMUM INSURANCE REQUIREMENTS
A. Consultant shall procure and maintain for the duration of the contract insurance against
claims for injuries to persons or damages to property, which may arise from or in
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connection with the performance of the work hereunder by the Consultant, its agents,
representatives, or employees.
B. Insurance coverage shall be at least as broad as:
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 or
the general aggregate limit shall be twice the required occurrence limit.
2) Automobile Liability Insurance: Insurance Services Office Form Number CA 0001
covering, Code 1 (any auto), or if Consultant has no owned autos, Code 8 (hired)
and 9 (non-owned), with limit no less than $1,000,000 per accident for bodily injury
and property damage.
3) Workers’ Compensation Insurance- 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 (Errors and Omissions) Insurance- appropriate to the
Consultant’s profession, with limit no less than $1,000,000 per occurrence or claim,
$2,000,000 aggregate.
C. 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.
D. Other Insurance Provisions- the insurance policies are to contain, or be endorsed to
contain, the following 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 both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms
if later revisions used).
2) Primary Coverage- for any claims related to this contract, the Consultant’s
insurance coverage shall be primary insurance primary coverage at least as broad
as ISO CG 20 01 04 13 as respects the City, its officers, officials, employees, and
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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 state 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, which 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.
E. 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.
F. 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.
G. Claims Made Policies- If any of the required policies provide coverage on a claims-
made basis:
1) The Retroactive Date must be shown and must be before the date of the contract or
the beginning of contract work.
2) Insurance must be maintained and evidence of insurance must be provided for at
least five (5) years after completion of the contract of work.
3) 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 contract work.
H. 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 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.
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I. Subcontractors- Consultant shall require and verify that all subcontractors maintain
insurance meeting all the requirements stated herein, and Contractor shall ensure that
City is an additional insured on insurance required from subcontractors.
J. 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.
9. INDEMNIFICATION
Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers,
agents, employees, consultants, special counsel, and representatives from liability: (1) for
personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of
claims for personal injury, including death, and claims for property damage, which may arise
from the negligent operations of the Consultant or its subconsultants, 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 Agreement.
City may make all reasonable decisions with respect to its representation in any legal proceeding.
Notwithstanding the foregoing, to the extent Consultant’s services are subject to Civil Code
Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section
2782.8, to claims that arise of, pertain to, or relate to the negligence, recklessness, or willful
misconduct of the Consultant.
10. 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.
11. RETENTION OF RECORDS/AUDIT
For the purpose of determining compliance with Public Contract Code 10115, et seq. and
Title 21, California Code of Regulations, Chapter 21, Section 2500 et seq., when applicable, and
other matters connected with the performance of this Agreement, pursuant to Government Code
8546.7, Consultant, subconsultants, and City shall maintain and make available for inspection all
books, documents, papers, accounting records, and other evidence pertaining to the performance
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of the Agreement, including but not limited to, the costs of administering the Agreement. All
parties shall make such materials available at their respective offices at all reasonable times during
the Agreement period and for three years from the date of final payment under the Agreement. The
state, State Auditor, City, FHWA, or any duly authorized representative of the Federal Government
shall have access to any books, records, and documents of Consultant and its certified public
accountants work papers that are pertinent to the contract and indirect cost rates (ICR) for audit,
examinations, workpaper review, excerpts, and transactions, and copies thereof shall be furnished
if requested.
12. AUDIT REVIEW PROCEDURES
a. Any dispute concerning a question of fact arising under an interim or post audit of
this Agreement that is not disposed of by mutual agreement shall be reviewed by
the City.
b. Not later than 30 days after issuance of the final audit report, Consultant may
request a review by the City of unresolved audit issues. The request for review will
be submitted in writing, submitted to the project manager of RFP.
c. Neither the pendency of a dispute nor its consideration by City will excuse
Consultant from full and timely performance in accordance with the terms of this
Agreement.
13. 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.
14. CONFLICT OF INTEREST
a. Consultant shall disclose any financial, business, or other relationship with City that
may have an impact upon the outcome of this Agreement, or any ensuing City
construction project. Consultant shall also list current clients who may have a
financial interest in the outcome of this Agreement, or any ensuing City
construction project that will follow.
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b. Consultant hereby certifies that it does not now have, nor shall it acquire any
financial or business interest that would conflict with the performance of services
under this Agreement.
c. Consultant agrees to complete any statements of economic interest if required by
either City ordinance or State law.
15. REBATES, KICKBACKS, OR OTHER UNLAWFUL CONSIDERATION
Consultant warrants that this Agreement was not obtained or secured through rebates
kickbacks or other unlawful consideration, either promised or paid to any City employee. For
breach or violation of this warranty, City shall have the right in its discretion; to terminate the
contract without liability; to pay only for the value of the work actually performed; or to deduct
from the contract price; or otherwise recover the full amount of such rebate, kickback or other
unlawful consideration.
16. NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this Agreement
shall be in writing and shall be deemed to be properly given if delivered in person or mailed by
first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in
the manner provided in this Section, to the following persons:
To City: Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M-30) P.O. Box 1988
Santa Ana, CA 92702-1988
Fax 714- 647-6956
Executive Director
Public Works
Agency City of
Santa Ana
20 Civic Center Plaza (M-
21) P.O. Box 1988
Santa Ana, CA 92702
Fax 714-647-5635
To Consultant: Christine S. Santolucito,
President
Santolucito Dore Group, Inc.
31600 Railroad Canyon Road, Suite 100-L
Canyon Lake, CA 92587
Page 11
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.
17. 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.
18. SUBCONTRACTING
a, Nothing contained in this Agreement or otherwise, shall create any contractual
relation between City and any subconsultant(s), and no subcontract shall relieve
Consultant of its responsibilities and obligations hereunder. Consultant agrees to
be as fully responsible to City for the acts and omissions of its subconsultant(s) and
of persons either directly or indirectly employed by any of them as it is for the acts
and omissions of persons directly employed by Consultant. Consultant’s obligation
to pay its subconsultant(s) is an independent obligation from City’s obligation to
make payments to the Consultant.
b. Consultant shall perform the work contemplated with resources available within
its own organization and no portion of the work pertinent to this Agreement shall
be subcontracted without written authorization by City, except that which is
expressly identified in the approved Cost Proposal.
c. Consultant shall pay its subconsultants within fifteen (15) calendar days from
receipt of each payment made to Consultant by City.
d. All subcontracts entered into as a result of this Agreement shall contain all the
provisions stipulated in this Agreement to be applicable to subconsultants.
e. Any substitution of subconsultant(s) must be approved in writing by City prior to
the start of work by the subconsultant(s).
Page 12
19. EQUIPMENT PURCHASE
a. Prior authorization in writing by City shall be required before Consultant enters
into any unbudgeted purchase order, or subcontract exceeding $5,000 for supplies,
equipment, or consultant services. Consultant shall provide an evaluation of the
necessity or desirability of incurring such costs.
b. For purchase of any item, service or consulting work not covered in Consultant’s
Cost Proposal and exceeding $5,000 prior authorization by City, three competitive
quotations must be submitted with the request, or the absence of bidding must be
adequately justified.
c. Any equipment purchased as a result of this Agreement is subject to the following
condition: “Consultant shall maintain an inventory of all nonexpendable property.
Nonexpendable property is defined as having a useful life of at least two years and
an acquisition cost of $5,000 or more. If the purchased equipment needs
replacement and is sold or traded in, City shall receive a proper refund or credit at
the conclusion of the Agreement, or if the Agreement is terminated, Consultant may
either keep the equipment and credit City in an amount equal to its fair market
value, or sell such equipment at the best price obtainable at a public or private sale,
in accordance with established City procedures and credit City in an amount equal
to the sales price. If Consultant elects to keep the equipment, fair market value
shall be determined at Consultant’s expense, based on a competent independent
appraisal of such equipment. Appraisals shall be obtained from an appraiser
mutually agreeable to by City and Consultant. If it is determined to sell the
equipment, the terms and conditions of such sale must be approved in advance by
City.” 2 CFR, Part 200 requires a credit to Federal funds when participating
equipment with a fair market value greater than $5,000 is credited to the project.
20. 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.
21. TERMINATION
a. City reserves the right to terminate this Agreement upon thirty (30) calendar days
written notice to Consultant with the reasons for termination stated in the notice. Upon
termination, City shall be entitled to all work including but not limited to, reports, investigations,
appraisals, inventories, studies, analyses, drawings and data estimates performed to that date,
whether completed or not.
Page 13
b. Notwithstanding any provisions of this Agreement, Consultant shall not be relieved
of liability to City for damages sustained by the City by virtue of any breach of this Agreement by
Consultant, and City may withhold any payments due to Consultant until such time as the exact
amount of damages, if any, due City from Consultant is determined.
22. 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.
23. 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.
24. STATEMENT OF COMPLIANCE
a. Consultant’s signature affixed herein, and dated, shall constitute a certification
under penalty of perjury under the laws of the State of California that Consultant
has, unless exempt, complied with, the nondiscrimination program requirements of
Government Code Section 12990 and Title 2, California Administrative Code,
Section 11102.
b. During the performance of this Agreement, Consultant and its subconsultants shall
not unlawfully discriminate, harass, or allow harassment against any employee or
applicant for employment because of sex, race, color, ancestry, religious creed,
national origin, physical disability (including HIV and AIDS), mental disability,
medical condition (e.g., cancer), age (over 40), marital status, gender, gender
identity, gender expression, sexual orientation, military or veteran status, and
denial of family care leave. Consultant and subconsultants shall insure that the
evaluation and treatment of their employees and applicants for employment are
free from such discrimination and harassment.
c. Consultant and subconsultants shall comply with the provisions of the Fair
Employment and Housing Act (Gov. Code §12990 (a-f) et seq.) and the applicable
regulations promulgated thereunder (California Code of Regulations, Title 2,
Section 7285 et seq.). The applicable regulations of the Fair Employment and
Housing Commission implementing Government Code Section 12990 (a-f), set
forth in Chapter 5 of Division 4 of Title 2 of the California Code of Regulations,
Page 14
are incorporated into this Agreement by reference and made a part hereof as if set
forth in full. Consultant and its subconsultants shall give written notice of their
obligations under this clause to labor organizations with which they have a
collective bargaining or other Agreement.
d. The Consultant shall comply with regulations relative to Title VI
(nondiscrimination in federally assisted programs of the Department of
Transportation – Title 49 Code of Federal Regulations, Part 21 – Effectuation of
Title VI of the 1964 Civil Rights Act). Title VI provides that the recipients of
federal assistance will implement and maintain a policy of nondiscrimination in
which no person in the state of California shall, on the basis of race, color, national
origin, religion, sex, age, disability, be excluded from participation in, denied the
benefits of or subject to discrimination under any program or activity by the
recipients of federal assistance or their assignees and successors in interest.
e. The Consultant, with regard to the work performed by it during the Agreement shall
act in accordance with Title VI. Specifically, the Consultant shall not discriminate
on the basis of race, color, national origin, religion, sex, age, or disability in the
selection and retention of subconsultants, including procurement of materials and
leases of equipment. The Consultant shall not participate either directly or
indirectly in the discrimination prohibited by Section 21.5 of the U.S. DOT’s
Regulations, including employment practices when the Agreement covers a
program whose goal is employment.
f. Consultant, subrecipient or subconsultant will never exclude any person from
participation in, deny any person the benefits of, or otherwise discriminate against
anyone in connection with the award and performance of any contract covered by
40 Code of Federal Regulations Part 26 on the basis of race, color, sex or national
origin. In administering the City components of the Disadvantaged Business
Enterprises (DBE) Program Plan, Consultant, subreceipient or subconsultant will
not, directly, or through contractual or other arrangements, use criteria or methods
of administration that have the effect of defeating or substantially impairing
accomplishment of the objectives of the DBE Program Plan with respect to
individuals of a particular race, color, sex, or national origin.
g. Under 49 CFR 26.13(b): Consultant shall not discriminate on the basis of race,
color, national origin, or sex in the performance of this Agreement, Consultant
shall carryout applicable requirements of 49 CFR 26 in the award and
administration of federal-aid contracts.
Failure by Consultant to carry out these requirements is a material breach of this
Agreement, which may result in the termination of this Agreement or such other
remedy, which the City deems appropriate, which may include, but is not limited
to:
1) Withholding monthly progress payment if applicable;
Page 15
2) Assessing sanctions;
3) Liquidating damages; and/or
4) Disqualifying consultant from future proposing as non-responsible.
h. Termination and Substitution of DBE Subconsultants. Consultant shall utilize the
specific DBEs listed to perform the work and supply the materials for which each
is listed unless Consultant or DBE subconsultant obtains the City’s written consent.
Consultant shall not terminate or substitute a listed DBE for convenience and
perform work with their own forces or obtain materials from other sources without
authorization from City. Unless the City’s consent is provided, the Consultant shall
not be entitled to any payment for work or material unless it is performed or
supplied by the listed DBE on the Exhibit 10-02 Consultant Contract DBE
Commitment form, included in the Bid.
i. Consultant shall notify City’s designated representative of any changes to its
anticipated DBE participation before starting the affected work. Consultant shall
notify City of any notices of decertification or certification regarding a
subconsultant’s DBE status.
j. Consultant shall provide all required DBE forms to the City as required pursuant to
applicable law.
k. All certifications required for the Bid are attached hereto as part of Exhibit B to the
Agreement.
25. DEBARMENT AND SUSPENSION CERTIFICATION
a. Consultant’s signature affixed herein, shall constitute a certification under penalty
of perjury under the laws of the State of California, that Consultant has complied
with Title 2 CFR, Part 180, “OMB Guidelines to Agencies on Government wide
Debarment and Suspension (nonprocurement)”, which certifies that he/she or any
person associated therewith in the capacity of owner, partner, director, officer, or
manager, is not currently under suspension, debarment, voluntary exclusion, or
determination of ineligibility by any federal agency; has not been suspended,
debarred, voluntarily excluded, or determined ineligible by any federal agency
within the past three (3) years; does not have a proposed debarment pending; and
has not been indicted, convicted, or had a civil judgment rendered against it by a
court of competent jurisdiction in any matter involving fraud or official misconduct
within the past three (3) years. Any exceptions to this certification must be
disclosed to City.
b. Exceptions to the Federal Government Excluded Parties List System maintained by
the General Services Administration are to be determined by the Federal Highway
Administration.
Page 16
26. 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 CONSULTANT
SONIA R. CARVALHO
City Attorney
By: _
Laura A. Rossini Christine S. Santolucito
Chief Assistant City Attorney President
RECOMMENDED FOR APPROVAL
NABIL SABA
Executive Director
Public Works Agency
Page 17
EXHIBIT A
SCOPE OF SERVICES
City of Santa Ana RFP 21-103
Page A1-1
Appendix
ATTACHMENT 1
SCOPE OF WORK
CITY OF SANTA ANA
REQUEST FOR PROPOSALS
FOR
ON-CALL PROPERTY APPRAISAL SERVICES
RFP NO. 21-103
INTRODUCTION/PROJECT BACKGROUND
The City of Santa Ana is issuing this Request for Proposals (RFP) to seek qualified firms to
provide On-Call Property Appraisal services on an as-needed or “on-call” basis.
It is the City’s goal to select one or more firms to enter into an agreements with to provide as
needed property appraiser services for capital improvement projects (CIP). The CIP projects
needing these right-of-way services include, but are not limited, to Warner Avenue, Bristol Street,
Fairview Street, and Grand Avenue Street Improvements.
Property Appraisal Services
Maximum Contract
Aggregate Amount
$148,000
From the proposals received, it is the City’s goal to select up to three firms for property appraisal
services for the on-call pool. The City will enter into separate agreements (the “Agreement”) with
each of these firms, with a not-to-exceed aggregate amount shared amongst all. Work will be
assigned by Contract Task Orders. As tasks are identified, they will be distributed among these
firms based upon their ability to perform the required work within the project schedule and budget
constraints. A detailed scope of work and corresponding fee will be outlined when a specific task
is assigned to a consultant. The City reserves the right to distribute the work in any manner which
will best serve the City’s interests.
MINIMUM QUALIFICATIONS
Consultants must demonstrate the minimum qualifications as established in the California
Department of Transportation (Caltrans) Right of Way Manual which can be accessed at:
http://www.dot.ca.gov/hq/row/rowman/manual/index.htm.
Consultants must demonstrate ability to have successfully negotiated and closed escrow on
acquisition of parcels and minimized the eminent domain process on similar projects.
DESCRIPTION OF WORK
City of Santa Ana RFP 21-103
Page A1-2
Consultants under contract with the City of Santa Ana will provide support to City of Santa Ana
staff or their designee on an as-needed basis. The Consultants shall be thoroughly familiar with
the Statement of Work prior to submitting a response to this Request for Proposal (RFP).
The Consultant shall perform work to produce a high quality, professional and complete
work product.
Consultant must have experience with State and federally funded projects. All work shall
be performed in conformance with all applicable regulations, policies, procedures and
standards.
All acquisition/relocation agents, performing work for the City, must hold a valid
California Real Estate License. Salespersons must be registered with the California
Department of Real Estate (DRE), as working solely under the Consultant’s supervising
broker of record.
Work may include, but is not be limited to, the following:
o onsite review of the project area
o review of existing records
o conducting research and performing analysis
o information gathering
o negotiations
o developing strategies
o prepare memos and letters
o attend community meetings as needed
The Consultant shall carry out the instructions received from the City and shall cooperate
with the City and other agencies.
The Consultant has total responsibility for the accuracy and completeness of the work
produced. The work will be reviewed by the City for conformity with the requirements of
the Agreement. Reviews by the City may NOT include a detailed review for the accuracy
of items submitted. The responsibility for accuracy and completeness of such items
remains solely that of the Consultant.
The Consultant shall be responsible for coordination and supervision of all work
performed by its sub-consultants. The Consultant shall review all work performed by its
sub-consultants and the responsibility for accuracy and completeness of work performed
remains solely that of Consultant. Sub-consultant markup is not allowed in this contract.
The Consultant shall have a Quality Control Plan in effect during the entire time work is
being performed under the Agreement. The Quality Control Plan shall establish a process
whereby work products are independently checked, corrected and back checked. All
project related correspondences and documents shall be maintained and bound in
appropriate project files. Additionally, all electronic files shall conform to the City’s file
naming system.
The Consultant shall diligently work on each assignment and complete each task in
accordance with the schedule and accommodate the City’s needs.
The Consultant’s work will be subject to inspection and audit by City, County, State and
Federal representatives
Consultant’s Project Manager and critical staff must attend the monthly meetings with
City of Santa Ana RFP 21-103
Page A1-3
City Staff and other consultants requested by the City to review project progress, the
schedule and any critical issues/items and the follow up action items necessary. All status
reports must be submitted ahead of the meetings.
Consultant must prepare a Weekly Status report and submit to the City. Format and
specific items of each status report must be reviewed and approved by the City.
Consultant must maintain electronic files of all the project parcels and correspondence
including all reports generated by other related consultants required to perform
acquisition/relocation and property management services.
All electronic submittals of files must be through a shared folder. Consultant must upload
and keep current the project parcel information and files in the shared folder established
for the project.
Consultant must prepare electronic files of the parcels according to the Caltrans Review
Process for right-of-way Certification.
Project files including copies of all correspondences, reports, documents, and electronic
files shall be submitted to the City when requested and electronically updated as requested
by the City.
All work, including reports, analysis, data, and intellectual properties developed during
the life of the Agreement shall become the properties of the City.
The Consultant will receive written notification of the award of the contract. Upon such
notification, the Consultant will proceed with the services required by the Agreement.
PROPERTY APPRAISAL SERVICES
Consultant shall prepare appraisal services that include full and partial acquisition for residential
property; commercial property; industrial property; easements; special use or zoned property; and
review appraisals. Appraisal Services shall be in accordance with federal, state, and local
regulations, policies, procedures and standards. Consultant must make every effort to meet with
the property owner prior to preparation of the report.
Appraiser shall perform the following tasks:
Prepare appraisal report in accordance with the State of California Laws and the Uniform
Standards of Professional Appraisal Practice (USPAP)
Research records, inspect the site and communicate with the property owner in
preparation of the appraisal report. This might require multiple attempts for site visit and
inspection
Prepare Real Estate Appraisal reports for full and partial acquisition
Prepare Appraisal Summary Statements to accompany City’s Offer Package
Prepare Valuation of City’s Landscape Setback Easement requirements
Prepare detailed appraisal report necessary for condemnation
Coordinate with Fixtures and Equipment Appraisers
Coordinate with Business Goodwill Appraisers
Communicate with property owners in writing and as required to obtain adequate
City of Santa Ana RFP 21-103
Page A1-4
information to prepare the report
Prepare all necessary correspondence, letters and reports
Provide effective communication with engineers, planners, attorneys, and City staff
Comply with federal, state and local regulations
Create files and maintain all records
Provide condemnation consultations as necessary
Attend meetings/public hearings and conduct presentations
Provide expert witness testimony as required for condemnation proceedings
Coordinate and review of Phase I and Phase II Environmental Studies
Review appraisal reports prepared by other consultants as required by the City and prepare
review summary
Prepare Review Appraisal Reports (Required For Federally Funded Projects)
Coordinate, direct and obtain Review Appraisals in accordance with the Uniform
Relocation Assistance and Real Property Acquisition Policies Act (Uniform Act) and
Caltrans guidelines
Examine all appraisals and corresponding reports
Seek any corrections or revisions deemed appropriate
Prepare Dual Appraisal Report as required for federally funded projects under Caltrans
Guidelines
Real estate appraisers must be certified and a Member of the Appraisal Institute
Sample Fee Proposal
Consultant shall describe the process (methods of appraisal, research, and any other necessary
tasks) and provide the proposal fee breakdown to appraise the below sample addresses. The
proposal will be used for fee comparison and evaluation process. The partial acquisition for
Cherry Aerospace shall be 10 feet from the back of sidewalk and all existing improvements within
the acquired area shall be appraised accordingly.
Sample locations for appraisal proposal are the following:
1224 E. Warner Avenue (Cherry Aerospace Park Take)
2246 S. Evergreen Street (Residential Full Take)
PAYMENT AND INVOICING:
Selected Consultant shall invoice the City based on time and material according to the City’s
standard invoice template. Tasks and hours shall be clearly identified and all rates must match
those included in the approved agreement. City shall retain ten percent (10%) of the invoice
amount from each payment until the completed Project has been accepted by the City.
Each invoice must include a Consultant Progress Report that contains tasks and activities
completed and summary of work in the next month period. Certificate of insurance must be
current in order for invoices to be processed.
City of Santa Ana RFP 21-103
Page A1-5
CITY RESPONSIBILITIES:
The City will provide information in its possession relevant to the preparation of the required
information in the RFP. The City will provide only the staff assistance and the documentation
specifically in referred to herein.
Facilitate meeting spaces and coordination with City staff
Access to City facilities
CONSULTANT RESPONSIBILITIES:
Provide all required insurance as outlined in Attachment 2 of this RFP.
Submit renewal of Certificate of Insurance 30 days before expiring.
Ensure Certificate of Insurance is current when submitting invoices.
SPECIAL REQUIREMENTS (ATTACHMENT 4)
This project may 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 (include within Fee
Proposal hard copy package)
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:
City of Santa Ana RFP 21-103
Page A1-6
The selected Consultant(s) 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
Page 18
EXHIBIT B
CONSULTANT’S PROPOSAL
PREPARED FOR:
City of Santa Ana
Public Works Agency; M-36
20 Civic Center Plaza
Ross Annex
Santa Ana, CA 92701
PREPARED BY:
Santolucito Doré Group, Inc.
31600 Railroad Canyon Road
Suite 100-L
Canyon Lake, CA 92587
PROPOSAL FOR ON-CALL PROPERTY APPRAISAL SERVICES
September 15, 2021 •4:00 pm
1. STATEMENT OF QUALIFICATIONS
City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services
City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services
City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services
City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services
*Key Personnel (Certified DBE, SBE, WBE)
(Certified DBE, SBE, WBE)
(Certified DBE, SBE, WBE)
(Certified DBE, SBE, WBE)
(Certified DBE, SBE, WBE)
(Certified DBE, SBE, WBE)
(Certified DBE, SBE, WBE)
(Certified DBE, SBE, WBE)
City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services
City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services
City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services
Detailed Inspection of the Property
Complete Highest and Best Use Analysis
Research Market Data of the Neighborhood, Subject Property, and Comparable Sales
City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services
Write a Narrative Appraisal Report
City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services
City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services
City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services
City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services
City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services
City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services
2. SCOPE OF SERVICES AND SCHEDULE
City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services
City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services
4. CERTIFICATIONS
FEE
PROPOSAL
PREPARED FOR:
City of Santa Ana
Public Works Agency; M-36
20 Civic Center Plaza
Ross Annex
Santa Ana, CA 92701
PREPARED BY:
Santolucito Doré Group, Inc.
31600 Railroad Canyon Road
Suite 100-L
Canyon Lake, CA 92587
PROPOSAL FOR ON-CALL PROPERTY APPRAISAL SERVICES
September 15, 2021 • 4:00 pm
3. FEE PROPOSAL
City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 1
FEE PROPOSAL
Appraisals are typically bid on a lump sum per subject property basis, depending on the type of
property and complexity of the appraisal problem. Other types of appraisal services are typically
billed on an hourly rate basis. SD Group’s fee for the appraisals of the sample properties
referenced in the RFP and our hourly rates for any additional services requested are provided
below. Our method of appraisal, research, applicable tasks, and proposed schedule are included
in the body of the technical proposal and included following our fee proposal as well. All appraisal
and appraisal review reports will be prepared in narrative format to be utilized for condemnation
purposes. They will comply with USPAP, the Caltrans Right of Way Manual, the Uniform Act, and
California Eminent Domain law.
REAL ESTATE APPRAISAL REPORT FEES
• Appraisal of 1224 East Warner Avenue (Cherry Aerospace Park Partial Acquisition)
o M1 Light Industrial property, 15.45-acre site, approximate 270,000 square foot
building (the building size was not provided on public records and was taken from
Google Earth measurements for this proposal)
o The acquisition of 10 feet from the back of sidewalk does not appear that it would
impact the building improvements, any business operations, or parking
o It appears a land only appraisal with compensation for site improvements
(including, but not limited to: grass, bushes, several trees, a flagpole, and brick
planter, as well as a monument sign that may need to be acquired, then relocated
further back on the site)
o An analysis of the value of the whole after acquisition will be made to determine if
damages exist due to the partial acquisition
o The fee for this type of appraisal would be approximately $4,000 for one appraisal
with a turn around time of 45-60 days, from notice to proceed and receipt of all
pertinent project and parcel information including the preliminary title report and
any other necessary documents (provided by the City), with discounts given when
receiving multiple parcels/appraisals of similar property types
• Appraisal of 2246 South Evergreen Street (Residential Full Acquisition)
o R1 Single Family Residential property, 7,835 square foot site, 931 square foot
residence, built in 1952
o The acquisition of the entire property in full fee
o The fee for this type of appraisal would be approximately $2,500 for one appraisal
with a turn-around time of 30-45 days, from notice to proceed and receipt of all
pertinent project and parcel information including the preliminary title report and
any other necessary documents (provided by the City), with discounts given when
receiving multiple parcels/appraisals of similar property types
HOURLY RATES
• Principal - $250-350 per hour for valuation and consultation
• Principal - $350-$450 per hour for litigation support/depositions/court appearances
• Senior - $150 per hour for valuation and consultation
• Administrative/Research - $75-$100 per hour for valuation support
City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 2
Our fees for the written narrative appraisal reports include site inspections with each property
owner and meetings at the City, as required. We will provide condemnation support, as
necessary, billed on an hourly basis. Draft electronic versions of the appraisal reports will be
delivered for review and final electronic and hard copies, when requested, will be delivered to the
client upon approval from the review appraiser. There are no additional document or historical
retrieval costs anticipated. Travel and material costs are included in our total fee for this
assignment.
City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 3
UNDERSTANDING OF NEED AND
PROPOSED METHOD TO ACCOMPLISH WORK
SD Group looks forward to tailoring specific processes to comply with the City’s policies,
procedures, and preferences. SD Group prides itself on its ability to complete complex projects
on schedule and within budget. Christie and Lance have years of experience coordinating with
various agencies and will strategize and coordinate each project thoroughly from the beginning
to deliver high quality outstanding appraisal services. Christie and Lance will work closely with
the City’s Project Managers and staff to discover ways to provide assistance, offer
recommendations whenever challenges are presented, and will seek feedback pertaining to
progress and satisfaction with SD Group’s performance.
Appraisal is unique to each property and all recognized appraisal methodologies are completed
with the highest level of quality. The following section describes our general work plan for
completing the various appraisal and appraisal review assignments.
APPRAISAL
The purpose of an appraisal report is to produce a document that can be used by the City in
negotiations for acquisition or disposition of property. The typical scope of work for an appraisal
includes, but is not necessarily limited to, the following steps:
Detailed Inspection of the Property
The acquisition process begins when the appraiser sends out the Notice of Intent to Appraise
letters to impacted property owners (for acquisitions). The appraiser will invite the property
owner to be present for the onsite inspection. Additionally, City staff, other consultants/experts
involved in the project, and, if applicable, the acquisition agent, are encouraged to attend the
inspection as well. A complete understanding of the larger parcel, the subject property and
overall impacts are a critical step in the appraisal process.
Complete Highest and Best Use Analysis
The cornerstone of the appraisal process is a detailed highest and best use of the property as
vacant and as improved, which will be performed to isolate any valuation issues that arise
after a detailed analysis of the legal, physical, and financial aspects of the property. This is
the essential basis for the valuation analysis and ultimately the just compensation. The last
critical stage is to determine the highest and best use of the remainder. Issues that may arise
from this final test is uneconomic remainders, determination of underlying fees, or additional
considerations for partial acquisitions and easements. This ultimately determines factors that
may result in severance damages.
Research Market Data of the Neighborhood, Subject Property, and Comparable Sales
After the determination of the highest and best use, the comparables are selected with similar
highest and best uses. When identifying sales of comparable properties, market research will
include discussions with appropriate real estate professionals and governmental agencies. All
sales data utilized in an appraisal report will be confirmed with a party to those transactions,
whenever possible. Details of the comparables are presented to fully disclose all issues for
adjustments applicable to the valuation of the subject.
City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 4
Write a Narrative Appraisal Report
The type of appraisal report utilized will be determined on a parcel-by-parcel basis. This
determination will be made after analyzing the particular assignment and interests to be
acquired, i.e., fee, easement, etc. A narrative appraisal report is typically used for public
agency/eminent domain purposes. The appraiser may also be required to complete an
Appraisal Summary Statement at the request of the City. Typical steps in the appraisal
process are listed below:
• Identify the larger parcel and the appraisal problem;
• Obtain and review legals, plats, title reports, environmental reports, and other
documents (provided by the City);
• Send out Notice of Intent to Appraise letter;
• Gather market data;
• Perform property inspection;
• Meet with project designer and others to address property impacts;
• Perform a detailed highest and best use analysis;
• Analyze and inspect comparables;
• Valuation via the three approaches to value (sales, cost, income), as applicable for the
property type;
• Coordinate with Fixtures and Equipment Appraisers and Business Goodwill Appraisers;
• Reconcile approaches to value;
• Valuation of the part(s) acquired and improvements located within the acquisition area;
• Valuation of the remainder after acquisition;
• Assess and value potential damages and project benefits;
• Prepare written appraisal report;
• Work with the Review Appraiser;
• Prepare the Appraisal Summary Statement; and
• Deliver the completed appraisal report.
After the delivery of the appraisal any review comments will be addressed, and when required,
the report will be corrected or expanded to ensure the most reliable document for public
scrutiny.
APPRAISAL REVIEW
Appraisers are required to comply with the Uniform Standards of Professional Appraisal Practice
(USPAP) when performing appraisals and appraisal reviews. As such, the review appraiser is
required to address a number of specific items pertaining to the report under review including the
completeness of the report, adequacy and relevance of the data, propriety of the adjustments,
form an opinion as to the appropriateness of the appraisal methods and techniques used to
complete the appraisal, form an opinion as to whether or not the analyses, opinions, and
conclusions are appropriate and reasonable or develop reasons for the disagreements, if any. In
addition to USPAP, eminent domain projects with federal and state funding require compliance
with various additional regulations and guidelines.
The scope of work for an appraisal review typically includes the following steps:
• Identify the appraiser(s) that conducted the appraisal;
• Become familiar with the subject property and review legals, plats, title reports,
environmental reports, and other documents;
City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 5
• Become familiar with the subject neighborhood and the comparable properties used in
the various analyses;
• Check all mathematical calculations made by the appraiser(s);
• Cross-reference narrative descriptions within the report with photographs, maps, and
other exhibits (when included in the work under review);
• Review the weighting assigned to the approaches to value used in the appraisal;
• Determine if accepted appraisal principles, techniques, and standards were followed in
arriving at property value in accordance with USPAP, California law, and Caltrans,
FHWA, and FTA regulations, when applicable;
• Ensure that the appraiser(s) did not overlook any feature that would materially affect the
property value;
• Develop an opinion as to the completeness of the material under review, given the
review appraiser’s scope of work;
• Develop an opinion as to the apparent adequacy and relevance of the data and the
propriety of any adjustments to the data, given the review appraiser’s scope of work;
• Develop an opinion as to appropriateness of the appraisal methods and techniques
used, given the review appraiser’s scope of work, and developed reasons for any
disagreement;
• Develop an opinion as to whether the analyses, opinions, and conclusions are
appropriate and reasonable, and developed the reasons for any disagreement; and
• Form an opinion as to whether the appraisal can be used to establish fair market value
for the subject larger parcel and make a recommendation as to whether the appraisers’
estimate of fair market value should be used as just compensation for the proposed
acquisition.
• Work with the appraiser whose work is under review to address any areas of concern
within the appraisal.
• Prepare and deliver the written appraisal review report.
SD Group has the availability to deliver appraisal services to the City on an on-call basis. We
have a history of delivering on time and within budget.
City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 6
SCOPE OF SERVICES AND SCHEDULE
SD Group has the availability to deliver appraisals and appraisal reviews to the City in a timely
manner. Appraisal assignments are typically completed within 45 to 60 days after notice to
proceed (NTP) and receipt of all pertinent project and parcel information. Reviews are typically
completed within 7 to 10 days. The steps necessary to complete and appraisal and appraisal
review were previously provided in the Understanding of Need and Proposed Method to
Accomplish Work section. Our proposed schedule for a typical right of way appraisal is as follows:
• Day 1 – NTP and receipt of Preliminary Title Reports (PTR) and other relevant documents;
• Day 2 – Send out Notice of Decision to Appraise (NODA) letters;
• Days 3-23 – Research subject properties (parcel size, existing land use/zoning, other
pertinent factors), identify the appraisal problem, review PTRs and other
reports/documents, research neighborhood and market data, perform detailed highest and
best use analyses, and select, analyze, and verify comparables;
• Days 23-25 – Property inspections and comparables inspections;
• Days 26-40 – Valuations via applicable approaches (sales, cost, income);
• Day 41 – Reconcile the approaches used;
• Days 41-45 – Type the narrative appraisal reports; and
• Days 45-60 – Deliver the draft appraisal reports.
We understand the description and scope of work outlined in the RFP Attachment 1, under
Property Appraisal Services, and will meet all requirements. All work will be under the oversight
of Christie, the Project Manager for this contract. Additionally, Lance will review and sign all
reports requiring an MAI signature. We have Quality Assurance/Quality Control (QA/QC) plan in
place for each assignment that is tailored to the specific needs of each client and project.
APPRAISAL METHODOLOGY AND PROCESS
Property will be appraised via one or more of the three traditional approaches to value (cost, sales,
and income capitalization), depending on the highest and best use and the quality and quantity of
data available for analysis.
The cost approach is a breakdown of property into land and building components. It assumes that
an informed buyer would pay no more for a property than the cost of acquiring land and reproducing
improvements of similar utility, less the amount of any depreciation. This approach is most
applicable when improvements are relatively new and represent the highest and best use of the
land, or in the case of special-use properties, for which there are few comparable sales.
The sales comparison approach is the comparison of similar properties, that recently sold or are
currently listed for sale, to the subject property. It assumes that an informed buyer would pay no
more for a property than the cost of acquiring a substitute property of similar utility and desirability.
This approach is most applicable when there are sufficient recent and reliable transactions of similar
properties. It is most often relied upon in the valuation of owner-user properties.
The income capitalization approach reflects the present value of the future benefits of property
ownership. It converts a property’s net operating income into a lump-sum value via capitalization.
The two methods of income capitalization are direct capitalization and yield capitalization (via a
discounted cash flow analysis), with one or both applied, as applicable to the property being
appraised. This approach is most applicable for income-producing properties.
City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 7
Reconciliation of the appropriate approaches to value is the final analytical step in the valuation
process. The relative dependability and applicability of each approach to value is each is evaluated
to derive a value conclusion for the subject property.
RESOURCES TO BE UTILIZED
SD Group has the latest in-house hardware (laptops, monitors, printers, scanners) and software
(Narrative1, Microsoft Office Suite, Adobe Acrobat Pro, Google Earth Pro, DeLorme), as well as
subscriptions to professional market data (RealQuest, NiteOwl Pro, MLS, CoStar, LoopNet) for
searching property information, records, deeds, and sale/rent comparables. We keep primarily
electronic files stored on a server that is backed up regularly. We have an extensive database of
market data, trends, and comparable data from previous projects to pull from, when relevant to
the current appraisal assignment. We are fully equipped to handle the City’s appraisal
assignment.
City of Santa Ana RFP 21-075
Page A4-1
Appendix
ATTACHMENT 4
CALTRANS ATTACHMENTS
Please see below.
Local Assistance Procedures Manual EXHIBIT 10-H2
Cost Proposal
Page 4 of 11
January 2020
EXHIBIT 10-H2 COST PROPOSAL Page 1 of 3
SPECIFIC RATE OF COMPENSATION (USE FOR ON-CALL OR AS-NEEDED CONTRACTS)
(CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS)
Note: Mark-ups are Not Allowed
Consultant __________________________________________ ☐Prime Consultant ☐Subconsultant ☐2nd Tier Subconsultant
Project No. _______________________ Contract No. _________________ Participation Amount $____________________ Date ________________
For Combined Rate
Fringe Benefit % + General &Administrative % = Combined ICR 110.00%
OR
For Home Office Rate
Fringe Benefit % + General &Administrative % = Home Office ICR%
For Field Office Rate
Fringe Benefit % + General &Administrative % = Field Office ICR%
Fee = 10%
BILLING INFORMATION CALCULATION INFORMATION
Name/Job Title/Classification Hourly Billing Rates
Effective Date of Hourly
Rate Actual or
Avg. Hourly
Rate
% or $
Increase
Hourly Range for
Classifications Only Straight OT(1.5x) OT(2x) From To
Christine Santolucito, R/W-AC* $250 N/A N/A 11/9/2021 12/31/2022 108.22 -- N/A
Principal Appraiser $350 N/A N/A 1/1/2023 12/31/2023 151.50 3.0% N/A
For valuation and consultation (1) $360 N/A N/A 1/1/2024 12/31/2024 156.05 3.0% N/A
$371 N/A N/A 1/1/2025 12/31/2025 160.73 3.0% N/A
$382 N/A N/A 1/1/2026 12/31/2026 165.55 3.0% N/A
Christine Santolucito, R/W-AC* $350 N/A N/A 11/9/2021 12/31/2022 151.50 -- N/A
Principal Appraiser $450 N/A N/A 1/1/2023 12/31/2023 195.00 3.0% N/A
For litigation support / depositions
/ court appearances (1)
$464 N/A N/A 1/1/2024 12/31/2024 200.85 3.0% N/A
$478 N/A N/A 1/1/2025 12/31/2025 206.88 3.0% N/A
$492 N/A N/A 1/1/2026 12/31/2026 213.08 3.0% N/A
Santolucito Dore Group, Inc.X
TBD TBD Up to $149,000 11/9/2021
Local Assistance Procedures Manual EXHIBIT 10-H2
Cost Proposal
Page 5 of 11
January 2020
Lance Doré, MAI, FRICS* $350 N/A N/A 11/9/2021 12/31/2022 151.50 -- N/A
Principal Appraiser $360 N/A N/A 1/1/2023 12/31/2023 156.05 3.0% N/A
For valuation and consultation $371 N/A N/A 1/1/2024 12/31/2024 160.73 3.0% N/A
$382 N/A N/A 1/1/2025 12/31/2025 165.55 3.0% N/A
$394 N/A N/A 1/1/2026 12/31/2026 170.51 3.0% N/A
Lance Doré, MAI, FRICS* $450 N/A N/A 11/9/2021 12/31/2022 195.00 -- N/A
Principal Appraiser $464 N/A N/A 1/1/2023 12/31/2023 200.85 3.0% N/A
For litigation support / depositions
/ court appearances
$478 N/A N/A 1/1/2024 12/31/2024 206.88 3.0% N/A
$492 N/A N/A 1/1/2025 12/31/2025 213.08 3.0% N/A
$507 N/A N/A 1/1/2026 12/31/2026 219.47 3.0% N/A
Meredith McDonald $150 N/A N/A 11/9/2021 12/31/2022 65.00 -- N/A
Senior Appraiser $155 N/A N/A 1/1/2023 12/31/2023 66.95 3.0% N/A
$159 N/A N/A 1/1/2024 12/31/2024 68.96 3.0% N/A
$164 N/A N/A 1/1/2025 12/31/2025 71.03 3.0% N/A
$169 N/A N/A 1/1/2026 12/31/2026 73.16 3.0% N/A
Mark Demkiw $150 N/A N/A 11/9/2021 12/31/2022 65.00 -- N/A
Senior Appraiser $155 N/A N/A 1/1/2023 12/31/2023 66.95 3.0% N/A
$159 N/A N/A 1/1/2024 12/31/2024 68.96 3.0% N/A
$164 N/A N/A 1/1/2025 12/31/2025 71.03 3.0% N/A
$169 N/A N/A 1/1/2026 12/31/2026 73.16 3.0% N/A
Matthew Sunderland $150 N/A N/A 11/9/2021 12/31/2022 65.00 -- N/A
Senior Appraiser $155 N/A N/A 1/1/2023 12/31/2023 66.95 3.0% N/A
$159 N/A N/A 1/1/2024 12/31/2024 68.96 3.0% N/A
$164 N/A N/A 1/1/2025 12/31/2025 71.03 3.0% N/A
$169 N/A N/A 1/1/2026 12/31/2026 73.16 3.0% N/A
Paul Kim $150 N/A N/A 11/9/2021 12/31/2022 65.00 -- N/A
Senior Appraiser $155 N/A N/A 1/1/2023 12/31/2023 66.95 3.0% N/A
$159 N/A N/A 1/1/2024 12/31/2024 68.96 3.0% N/A
$164 N/A N/A 1/1/2025 12/31/2025 71.03 3.0% N/A
$169 N/A N/A 1/1/2026 12/31/2026 73.16 3.0% N/A
Noble Tucker $100 N/A N/A 11/9/2021 12/31/2022 43.50 -- N/A
Trainee Appraiser $103 N/A N/A 1/1/2023 12/31/2023 44.81 3.0% N/A
$107 N/A N/A 1/1/2024 12/31/2024 46.15 3.0% N/A
Local Assistance Procedures Manual EXHIBIT 10-H2
Cost Proposal
Page 6 of 11
January 2020
$110 N/A N/A 1/1/2025 12/31/2025 47.53 3.0% N/A
$113 N/A N/A 1/1/2026 12/31/2026 48.96 3.0% N/A
Sky Sylvester $51 N/A N/A 11/9/2021 12/31/2022 22.00 -- N/A
Admin/Researcher $52 N/A N/A 1/1/2023 12/31/2023 22.66 3.0% N/A
$54 N/A N/A 1/1/2024 12/31/2024 23.34 3.0% N/A
$56 N/A N/A 1/1/2025 12/31/2025 24.04 3.0% N/A
$57 N/A N/A 1/1/2026 12/31/2026 24.76 3.0% N/A
Senior Appraiser $150 N/A N/A 11/9/2021 12/31/2022 65.00 -- $60.00 - $80.00
$155 N/A N/A 1/1/2023 12/31/2023 66.95 3.0%
$159 N/A N/A 1/1/2024 12/31/2024 68.96 3.0%
$164 N/A N/A 1/1/2025 12/31/2025 71.03 3.0%
$169 N/A N/A 1/1/2026 12/31/2026 73.16 3.0%
Trainee Appraiser / Analyst $100 N/A N/A 11/9/2021 12/31/2022 43.50 -- $25.00 - $50.00
$103 N/A N/A 1/1/2023 12/31/2023 44.81 3.0%
$107 N/A N/A 1/1/2024 12/31/2024 46.15 3.0%
$110 N/A N/A 1/1/2025 12/31/2025 47.53 3.0%
$113 N/A N/A 1/1/2026 12/31/2026 48.96 3.0%
Administrative/Researcher $51 N/A N/A 11/9/2021 12/31/2022 22.00 -- $16.00 - $25.00
$52 N/A N/A 1/1/2023 12/31/2023 22.66 3.0%
$54 N/A N/A 1/1/2024 12/31/2024 23.34 3.0%
$56 N/A N/A 1/1/2025 12/31/2025 24.04 3.0%
$57 N/A N/A 1/1/2026 12/31/2026 24.76 3.0%
* Key Personnel
(1)Christine's rate jumps 1/1/2023 upon completion of her MAI designation.
(Add pages as necessary)
NOTES:
1.Key personnel must be marked with an asterisk (*) and employees that are subject to prevailing wage requirements must be marked with two asterisks (**).All costs must comply
with the Federal cost principles. Subconsultants will provide their own cost proposals.
2.The cost proposal format shall not be amended.
3.Billing rate = actual hourly rate * (1+ ICR) * (1+ Fee). Indirect cost rates shall be updated on an annual basis in accordance with the consultant’s annual accounting period and
established by a cognizant agency or accepted by Caltrans. All costs must comply with the Federal cost principles for reimbursement.
4.For named employees and key personnel enter the actual hourly rate. For classifications only, enter the Average Hourly Rate for that classification.
EXHIBIT 10-H2 COST PROPOSAL Page 2 of 3
Local Assistance Procedures Manual EXHIBIT 10-H2
Cost Proposal
Page 7 of 11
January 2020
SPECIFIC RATE OF COMPENSATION (USE FOR ON-CALL OR AS-NEEDED CONTRACTS)
(CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS)
Consultant __________________________________________ ☐ Prime Consultant ☐ Subconsultant
Project No. _______________________ Contract No. ____________________ Date ____________________
SCHEDULE OF OTHER DIRECT COST ITEMS (Add additional pages as necessary)
Description of Item Quantity Unit Unit Cost Total
Mileage Costs N/A $ $
Equipment Rental and Supplies N/A $ $
Permit Fees N/A $ $
Plan Sheets N/A $ $
Test N/A $ $
Vehicle N/A $ $
Subconsultant 1: N/A $
Subconsultant 2: N/A $
Subconsultant 3: N/A $
Subconsultant 4: N/A $
Subconsultant 5: N/A $
Note: Add additional pages if necessary.
NOTES:
1.List other direct cost items with estimated costs. These costs should be competitive in their respective industries and supported with appropriate documentation.
2. Proposed ODC items should be consistently billed regardless of client and contract type.
3.Items when incurred for the same purpose, in like circumstance, should not be included in any indirect cost pool or in the overhead rate.
4.Items such as special tooling, will be reimbursed at actual cost with supporting documentation (invoice).
5.Items listed above that would be considered "tools of the trade" are not reimbursable as other direct cost.
6.Travel related costs should be pre-approved by the contracting agency and shall not exceed current State Department of Personnel Administration rules.
7.If mileage is claimed, the rate should be properly supported by the consultant's calculation of their actual costs for company vehicles. In addition, the miles claimed should 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.
XSantolucito Dore Group, Inc.
TBD TBD 11/9/2021
Local Assistance Procedures Manual EXHIBIT 10-H2
Cost Proposal
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:
Page 7 of 9
January 2020
President
11/9/2021
Christine S. Santolucito
951-225-3500 x 101christie@sdgroupinc.com
31600 Railroad Canyon Road, Suite 100-L, Canyon Lake, CA 92587
On-Call Property Appraisal Services
Our work for the City of Santa Ana's on-call contract will be billed on a lump sum per appraisal basis. It is
recommended that our firm is included as a Vendor or Other Direct Cost (ODC) for any projects associated with
the on-call contract.
I
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
0.00%TBD
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
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
Santolucito Dore Group, Inc.
N/A
N/A
N/A
N/A
N/A
SD Group does not have an ICR Rate because we are a small, woman-owned,
disadvantaged business enterprise without a sophisticated financial management
system as mentioned in this certification. SD Group bills on a lump sum basis per
appraisal report as a direct cost and should be listed as a vendor.
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
N/A
Christine S. Santolucito President
christie@sdgroupinc.com
9/15/2021
951-225-3500
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
4
City of Santa Ana
City of Santa Ana
On-Call Property Appraisal Services
TBD
Santolucito Doré Group, Inc.
Property Appraisal and Appraisal Review Services 43345 100%
Christine S. Santolucito, R/W-AC
951-225-3500 ext. 101
christie@sdgroupinc.com
100
9/15/2021
Christine S. Santolucito 951-225-3500
President
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
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
Property Appraisal and Appraisal Review Services 43345 Christine S. Santolucito, R/W-AC
951-225-3500 x 101
christie@sdgroupinc.com
up to
$149,500
up to
149,500
100
9/15/2021
Christine S. Santolucito 951-225-3500 x 101
President
City of Santa Ana 8%
On Call Property Appraisal Services
Santolucito Doré Group, Inc.X up to $149,500
951-225-3500 • 31600 Railroad Canyon Road, Suite 100-L • Canyon Lake, CA 92587 • sdgroupinc.com
September 15, 2021
Mr. Kenny Nguyen
Project Manager
City of Santa Ana
Public Works Agency; M-36
20 Civic Center Plaza; Ross Annex
Santa Ana, CA 92701
RE: RFP No. 21-103
Appraisal Lump Sum Billing – 10-K Exception Request
Dear Mr. Nguyen:
The Santolucito Doré Group, Inc. (SD Group) is a small, women-owned, disadvantaged business
enterprise. We offer essentially one type of service – valuation services and typically bill our
services on a lump sum per appraisal basis. As such, we do not have the need for sophisticated
financial management software with cost segregation features as required on Exhibit 10-K,
Consultant Annual Certification of Indirect Costs and Financial Management System.
Implementing such software and practices would be cost prohibitive for us as a small DBE firm
and we cannot certify to something we can’t comply with.
If selected, our work for the City of Santa Ana's on-call contract will be billed on a lump sum per
appraisal basis. It is recommended that our firm is included as a Vendor or Other Direct Cost
(ODC) for any projects associated with the on-call contract. The Caltrans Local Assistance
Procedures Manual allows DBE’s to participate in a number of ways, including being contracted
as a vendor. Please see the attached page from the manual.
Please let me know if you have any questions or need any additional information. We are excited
for the opportunity to work with the City on this project.
Sincerely,
Christine S. Santolucito, R/W-AC
President
I
Local Assistance Procedures Manual Chapter 9
Civil Rights & Disadvantaged Business Enterprise
and conditions of the contract. The mechanisms may also provide that any delay or
postponement of payment among the parties may take place only for good cause with the
Agency’s prior written approval.
9.7 DBE Participation on the Contract
Participation Opportunities
The local agency should structure its contracts and cost estimates by task to provide
opportunities for DBE participation. Participation by DBEs is possible during the Preliminary
Engineering, Environmental, Final Design, Right of Way, and Construction phases of the
project, and includes work as lead consultants, prime contractors, sub-consultants,
subcontractors, suppliers, vendors and truckers.
DBE Contract Goals
All federal-aid contracts that have subcontracting opportunities must have a DBE goal set. This
includes, but is not limited to: construction, consultant services such as project specific
Architectural & Engineering (A&E), and master on-call A&E contracts. A DBE contract goal is a
percentage of the total contract amount that is expected to be performed by certified DBE firms.
The DBE contract goal will vary depending on the type of work involved, the location of the
work, and the availability of DBEs for the work of the particular contract.
The contract goal may be zero in situations such as extremely limited subcontracting
opportunities, the lack of certified DBEs available in the District for the work to be performed, or
other reasons. The local agency will need to keep documentation in the project file when a zero
percent DBE contract goal is deemed appropriate.
Some contracts, such as Emergency Opening, Sole-source, Nonprofit do not require a DBE
goal. Work performed through Force Account also does not need a DBE goal. In these cases,
there is no contract goal (different from zero percent goal).
Setting the DBE Contract Goal
When setting a DBE goal, the Agency may use contract goals only on those federal-aid
contracts that have subcontracting possibilities. The goal for a specific contract may be higher
or lower than the percentage level of the statewide overall goal, depending on such factors as
the type of work involved, the location of the work, and the availability of DBEs for the work of
the particular contract. However, over the period covered by the State’s overall goal, the Agency
must set contract goals, and these individual contract goals will cumulatively result in meeting
any portion of the state’s overall goal. The actual DBE participation for each of the local
agency’s contracts contributes to the calculation used to determine if the statewide goal has
been met.
Caltrans approval of each contract goal is not necessarily required. However, Caltrans may
review and approve or disapprove any contract goal the Agency establishes. The Agency’s
contract goals must provide for participation by all certified DBEs and must not be subdivided
into group-specific goals.
DBE contract goals are established to encourage more participation of DBEs for federal-aid
transportation contracts. The bullets below provide a summary guidance of how to set the DBE
contract goal. For a detailed set of instructions and a template example, please refer to Exhibit
9-D: DBE Contract Goal Methodology.
Page 21 of 38
January 2021
Page 1
Non-Fed Funding (6.1.2020)
AGREEMENT TO PROVIDE ON-CALL PROPERTY APPRAISAL SERVICES
FOR THE CITY OF SANTA ANA
THIS AGREEMENT is made and entered into on this 16th day of November, 2021 by and between
Ellis Group, Inc. dba Integra Realty Resources - Los Angeles (“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
property appraisal and services on an as needed basis.
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
On an on-call basis, and at the City’s sole discretion, Consultant shall perform the services
described in the scope of work that was included in RFP No. 21-103, which is attached as Exhibit
A, and as more specifically delineated in Consultant’s proposal, which is incorporated by reference
as though set forth fully herein.
2. COMPENSATION
a. City neither warrants nor guarantees any minimum or maximum compensation to
Consultant under this Agreement. Consultant shall be paid only for actual services
performed under this Agreement at the rates and charges identified in Exhibit B.
Consultant is one of three (3) consultants selected to provide property appraisal services
on an on-call basis under RFP 21-103. The total compensation for these services
provided by all such consultants selected under RFP 21-103 shall not exceed the shared
aggregate amount of $300,000 during the term of the Agreement, including any
extension periods.
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.
Page 2
Non-Fed Funding (6.1.2020)
3. TERM
This Agreement shall commence on the date first written above and terminate on November
15, 2024, unless terminated earlier in accordance with Section 17, below. The term of this
Agreement may be extended for two 1-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 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.
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
Page 3
Non-Fed Funding (6.1.2020)
the purposes intended by this Agreement shall be at City’s sole risk.
7. MINIMUM INSURANCE REQUIREMENTS
A. Consultant shall procure and maintain for the duration of the contract insurance against
claims for injuries to persons or damages to property, which may arise from or in
connection with the performance of the work hereunder by the Consultant, its agents,
representatives, or employees.
B. Coverage shall be at least as broad as:
1. Commercial General Liability (CGL Insurance: 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 Insurance: Insurance Services Office Form Number CA
0001 covering, Code 1 (any auto), or if Consultant has no owned autos, Code 8
(hired) and 9 (non-owned), with limit no less than $1,000,000 per accident for
bodily injury and property damage.
3. Workers’ Compensation Insurance: 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 (Errors and Omissions) Insurance: appropriates to the
Consultant’s profession, with limit no less than $2,000,000 per occurrence or
claim, $2,000,000 aggregate.
C. 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.
D. Other Insurance Provisions- the insurance policies are to contain, or be endorsed to contain,
the following 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
Page 4
Non-Fed Funding (6.1.2020)
10 11 85 or both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms
if later revisions used).
2. Primary Coverage- For any claims related to this contract, the Consultant’s
insurance coverage shall be primary insurance 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 state 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, which 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.
E. 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.
F. 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.
G. Claims Made Policies- If any of the required policies provide coverage on a claims-made
basis:
1. The Retroactive Date must be shown and must be before the date of the contract
or the beginning of contract work.
2. Insurance must be maintained and evidence of insurance must be provided for
at least five (5) years after completion of the contract of work.
3. If coverage is canceled or non-renewed, and not replaced with another claims-
made policy form with a Retroactive Dat e prior to the contract effective date,
the Consultant must purchase “extended reporting” coverage for a minimum of
five (5) years after completion of contract work.
Page 5
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H. 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 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.
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
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 Agreement. All such records and
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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 interests and shall not have interests, direct
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, o r 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
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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
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 b reach, 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.
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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:
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
Page 9
To Consultant:
Beth B. Finestone, Managing Director
Integra Realty Resources – Los Angeles
16030 Ventura Boulevard, Suite 620
Encino, CA 91436-4473
With Copy To:
Integra Realty Resources – Los Angeles
16030 Ventura Boulevard, Suite 620
Encino, CA 914364473
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.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first
above written.
ATTEST: CITY OF SANTA ANA
Kristine Ridge
City Manager
CONSULTANT:
Daisy Gomez
Clerk of the Council
APPROVED AS TO FORM:
SONIA R. CARVALHO
City Attorney
By:
Laura A. Rossini
Chief Assistant City Attorney
[Signatures continue on the next page]
Non-Fed Funding (6.1.2020)
Beth B. Finestone
Managing Director
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RECOMMENDED FOR APPROVAL:
Nabil Saba, PE
Executive Director
Public Works Agency
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EXHIBIT A
SCOPE OF SERVICES
City of Santa Ana RFP 21-103
Page A1-1
Appendix
ATTACHMENT 1
SCOPE OF WORK
CITY OF SANTA ANA
REQUEST FOR PROPOSALS
FOR
ON-CALL PROPERTY APPRAISAL SERVICES
RFP NO. 21-103
INTRODUCTION/PROJECT BACKGROUND
The City of Santa Ana is issuing this Request for Proposals (RFP) to seek qualified firms to
provide On-Call Property Appraisal services on an as-needed or “on-call” basis.
It is the City’s goal to select one or more firms to enter into an agreements with to provide as
needed property appraiser services for capital improvement projects (CIP). The CIP projects
needing these right-of-way services include, but are not limited, to Warner Avenue, Bristol Street,
Fairview Street, and Grand Avenue Street Improvements.
Property Appraisal Services
Maximum Contract
Aggregate Amount
$148,000
From the proposals received, it is the City’s goal to select up to three firms for property appraisal
services for the on-call pool. The City will enter into separate agreements (the “Agreement”) with
each of these firms, with a not-to-exceed aggregate amount shared amongst all. Work will be
assigned by Contract Task Orders. As tasks are identified, they will be distributed among these
firms based upon their ability to perform the required work within the project schedule and budget
constraints. A detailed scope of work and corresponding fee will be outlined when a specific task
is assigned to a consultant. The City reserves the right to distribute the work in any manner which
will best serve the City’s interests.
MINIMUM QUALIFICATIONS
Consultants must demonstrate the minimum qualifications as established in the California
Department of Transportation (Caltrans) Right of Way Manual which can be accessed at:
http://www.dot.ca.gov/hq/row/rowman/manual/index.htm.
DESCRIPTION OF WORK
Consultants under contract with the City of Santa Ana will provide support to City of Santa Ana
staff or their designee on an as-needed basis. The Consultants shall be thoroughly familiar with
the Statement of Work prior to submitting a response to this Request for Proposal (RFP).
City of Santa Ana RFP 21-103
Page A1-2
The Consultant shall diligently work on each assignment and complete each task in
accordance with the schedule and accommodate the City’s needs.
The Consultant’s work will be subject to inspection and audit by City, County, State and
Federal representatives
All electronic submittals of files must be through a shared folder. Consultant must upload
and keep current the project parcel information and files in the shared folder established
for the project.
Consultant must prepare electronic files of the parcels according to the Caltrans Review
Process for right-of-way Certification.
Project files including copies of all correspondences, reports, documents, and electronic
files shall be submitted to the City when requested and electronically updated as requested
by the City.
All work, including reports, analysis, data, and intellectual properties developed during
the life of the Agreement shall become the properties of the City.
The Consultant will receive written notification of the award of the contract. Upon such
notification, the Consultant will proceed with the services required by the Agreement.
PROPERTY APPRAISAL SERVICES
Consultant shall prepare appraisal services that include full and partial acquisition for residential
property; commercial property; industrial property; easements; special use or zoned property; and
review appraisals. Appraisal Services shall be in accordance with federal, state, and local
regulations, policies, procedures and standards. Consultant must make every effort to meet with
the property owner prior to preparation of the report.
Appraiser shall perform the following tasks:
Prepare appraisal report in accordance with the State of California Laws and the Uniform
Standards of Professional Appraisal Practice (USPAP)
Research records, inspect the site and communicate with the property owner in
preparation of the appraisal report. This might require multiple attempts for site visit and
inspection
Prepare Real Estate Appraisal reports for full and partial acquisition
Prepare Appraisal Summary Statements to accompany City’s Offer Package
Prepare Valuation of City’s Landscape Setback Easement requirements
Prepare detailed appraisal report necessary for condemnation
Coordinate with Fixtures and Equipment Appraisers
Coordinate with Business Goodwill Appraisers
Communicate with property owners in writing and as required to obtain adequate
information to prepare the report
Prepare all necessary correspondence, letters and reports
Provide effective communication with engineers, planners, attorneys, and City staff
Comply with federal, state and local regulations
City of Santa Ana RFP 21-103
Page A1-3
Create files and maintain all records
Provide condemnation consultations as necessary
Attend meetings/public hearings and conduct presentations
Provide expert witness testimony as required for condemnation proceedings
Coordinate and review of Phase I and Phase II Environmental Studies
Review appraisal reports prepared by other consultants as required by the City and prepare
review summary
Prepare Review Appraisal Reports (Required For Federally Funded Projects)
Coordinate, direct and obtain Review Appraisals in accordance with the Uniform
Relocation Assistance and Real Property Acquisition Policies Act (Uniform Act) and
Caltrans guidelines
Examine all appraisals and corresponding reports
Seek any corrections or revisions deemed appropriate
Prepare Dual Appraisal Report as required for federally funded projects under Caltrans
Guidelines
Real estate appraisers must be certified and a Member of the Appraisal Institute
Sample Fee Proposal
Consultant shall describe the process (methods of appraisal, research, and any other necessary
tasks) and provide the proposal fee breakdown to appraise the below sample addresses. The
proposal will be used for fee comparison and evaluation process. The partial acquisition for
Cherry Aerospace shall be 10 feet from the back of sidewalk and all existing improvements within
the acquired area shall be appraised accordingly.
Sample locations for appraisal proposal are the following:
1224 E. Warner Avenue (Cherry Aerospace Park Take)
2246 S. Evergreen Street (Residential Full Take)
PAYMENT AND INVOICING:
Selected Consultant shall invoice the City based on time and material according to the City’s
standard invoice template. Tasks and hours shall be clearly identified and all rates must match
those included in the approved agreement. City shall retain ten percent (10%) of the invoice
amount from each payment until the completed Project has been accepted by the City.
Each invoice must include a Consultant Progress Report that contains tasks and activities
completed and summary of work in the next month period. Certificate of insurance must be
current in order for invoices to be processed.
CITY RESPONSIBILITIES:
The City will provide information in its possession relevant to the preparation of the required
information in the RFP. The City will provide only the staff assistance and the documentation
City of Santa Ana RFP 21-103
Page A1-4
specifically in referred to herein.
Facilitate meeting spaces and coordination with City staff
Access to City facilities
CONSULTANT RESPONSIBILITIES:
Provide all required insurance as outlined in Attachment 2 of this RFP.
Submit renewal of Certificate of Insurance 30 days before expiring.
Ensure Certificate of Insurance is current when submitting invoices.
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EXHIBIT B
COMPENSATION
Fee Proposal including hourly rates if applicable
Integra Realty Resources
Los Angeles
Response to Request for Proposals (RFP) for
On-Call Property Appraisal Services
RFP No.: 21-103 – Fee Proposal
City of Santa Ana
Attn.: Kenny Nguyen, Project Manager
Public Works Agency; M-36
20 Civic Center Plaza; Ross Annex
Santa Ana, California 92701
September 15, 2021
Response to Request for Proposals (RFP) for
On-Call Property Appraisal Services
RFP No.: 21-103
SECTION 3:
FEE PROPOSAL
Response to Request for Proposals (RFP) for
On-Call Property Appraisal Services
RFP No.: 21-103 17
3. FEE PROPOSAL
In completing other large, multi-parcel assignments, we have found that the most effective way
to minimize costs is to organize each assignment after gaining an understanding of all of the
work involved. That is, we would carefully consider all of the appraisal assignments to be
completed in the reasonably foreseeable future. By identifying all appraisal assignments to be
completed, we are able to make most efficient use of our time in completing field inspections,
and in cross-referencing factual data contained within the specific appraisal reports. In
simultaneously completing multiple appraisals, we would prepare a matrix identifying all of the
properties along one axis and identifying the various tasks within each appraisal along the other
axis. In this manner, we are able to complete our work in the most efficient manner possible.
By organizing our work in this manner, we have found that appraisal fees (on a per parcel basis)
are frequently 15% to 30% less in a multi-parcel project area than they would be if the appraisal
of each parcel was completed one at a time.
The anticipated pricing schedule for specific types of appraisals (non-eminent domain) is
summarized as follows:
Response to Request for Proposals (RFP) for
On-Call Property Appraisal Services
RFP No.: 21-103 18
We will provide firm fixed fee estimates for each assignment or grouping of assignments prior to
the onset of undertaking the assignment. The fixed-fee estimates provided will include all costs
associated with the completion of the appraisals. The City will not be billed for expenses we
incur in the preparation of the appraisal, unless these are approved in writing by the City at the
onset of an assignment. For the purpose of providing supplemental consulting services and
expert testimony, our fully burdened hourly rates will be as follows:
Low High Desk Field
Vacant Land $2,700 $6,000 $1,000 $1,600
SFR $1,800 $3,500 $1,000 $1,600
Duplex-Triplex-Quadriplex $2,500 $4,500 $1,200 $1,800
Small Multifamily (5-9 units) $2,700 $4,500 $1,400 $2,000
Multifamily (10-20 units) $2,700 $5,000 $1,500 $2,500
Multifamily (20+ units) $3,500 $9,000 $1,800 $3,000
Vacant Land $3,000 $10,000 $1,500 $2,000
General $4,000 $8,000 $1,800 $2,500
Complex $7,000+$2,500 $3,500+
Complex $6,000 $15,000 $2,200 $3,000
Religious facilities $5,500 $7,500 $1,500 $3,400
Educational Facilities $5,500 $7,500 $1,500 $3,400
Hospital Facilities
Lodging Facilities $5,500 $10,000 $1,800 $3,400
Parks/Recreation Facilities $4,000 $10,000 $1,500 $2,400
Planned SFR/Subdivisions $6,000 $11,000 $2,200 $3,600
Planned Multifamily $4,000 $8,500 $1,800 $3,400
Planned $5,000 $12,000 $2,200 $3,600
Planned Special Use $6,500 $20,000 $2,400 $3,600
Complex Planned
Developments
Commercial/Industrial
Special Use Properties
To be quoted on an
as-needed basis
Planned Developments
To be quoted on an
as-needed basis
Residential Properties
Typical Costs for Appraisal ServicesSummary Report Appraisal Review
Typical Cost Range Median Cost Range
Response to Request for Proposals (RFP) for
On-Call Property Appraisal Services
RFP No.: 21-103 19
John G. Ellis, MAI, CRE, FRICS:
(Senior Managing Director)
$400 per hour for appraisal and consulting
$600 per hour for trial preparation and expert
testimony
Beth B. Finestone, MAI, AI-GRS, FRICS,
CRE:
(Managing Director)
$375 per hour for appraisal and consulting
$450 per hour for trial preparation and expert
testimony
J. Richard Donahue, MAI, FRICS:
(Senior Managing Director,
IRR-Orange County)
$375 per hour for appraisal and consulting
$450 per hour for trial preparation and expert
testimony
Robert M. Lea, MAI:
(Director)
$400 per hour for appraisal and consulting
$550 per hour for trial preparation and expert
testimony
Adam M. Bogorad, MAI:
(Senior Director)
$350 per hour for appraisal and consulting
$425 per hour for trial preparation and expert
testimony
Other Directors, Senior Consultants,
and Senior Analysts:
$225 to $325 per hour
Analysts:$130 to $200 per hour
Researchers:$125 per hour
Administrative Staff:
(For supplemental
documentation requests)
$100 per hour
The following Caltrans Exhibits as referenced in Attachment 4 of the RFP are included as part of
our Fee Proposal following this page:
LAPM Exhibit 10-H: Cost Proposal (IRR-Los Angeles)
LAPM Exhibit 10-H: Cost Proposal (IRR-Orange County)
LAPM Exhibit 10-K: Consultant Annual Certification of Indirect Costs and Financial
Management System (IRR-Los Angeles)
LAPM Exhibit 10-K: Consultant Annual Certification of Indirect Costs and Financial
Management System (IRR-Orange County)
LAPM Exhibit 10-O1: Consultant Proposal DBE Commitment
LAPM Exhibit 10-O2: Consultant Contract DBE Commitment
Response to Request for Proposals (RFP) for
On-Call Property Appraisal Services
RFP No.: 21-103 20
Sample Fee Proposal
In addition to the information provided above, you requested that we provide a sample fee
proposal for two properties, 1) 1224 E. Warner Avenue and 2) 2246 S. Evergreen Street. The
following addresses this request.
1. 1224 E. Warner Avenue is the Cherry Aerospace partial acquisition. If awarded this
assignment we would immediately notify the property owner, in writing, of our intent to
appraise their property and invite them to be present at the time of inspection. We
understand that a partial acquisition of 10 feet from the back of the sidewalk is required
from this property. Based on our review of aerial photographs, this is a relatively minor
acquisition in terms of its impact to the property. It appears that the structural
improvements (building) will not be impacted and that pedestrian access to the
property (larger parcel) will still be possible in the after condition. We do not anticipate
any severance damages to the remainder and as such propose to value the property
on a land only basis. That is, we would value the underlying land associated with the
larger parcel in the before condition and would then use the unit value of the land that
is concluded to, to value the part being acquired. We would value the land utilizing the
sales comparison approach.
If one assumes that the 10-foot strip is a fee acquisition, it would be valued at 100% of
the underlying fee value of the land associated with the larger parcel. We would add
the value of any site improvements in the acquisition area to the value of the land being
taken. Based on aerial photographs these improvements appear to include
landscaping, concrete and brick planter walls. For any site improvements that need to
be replaced in the after condition, we will provide compensation based on replacement
cost new. For site improvements that do not need to be replaced in the after condition,
we would provide compensation based on depreciated replacement cost. Please note
that landscaping (trees, plants and shrubs are not depreciated).
We also noted that there is a chain link gate at the east side of the property. While it is
not in the acquisition area, it may need to be moved to the south so as to allow for
proper automobile queuing in the after condition. If this is the case, our appraisal
would include compensation to move or replace the gate.
Our fee to appraise this property, assuming it is the only assignment awarded to us at
the time is $5,000 and our timing would be six weeks. If this assignment is awarded as
part of a larger group of properties that are part of the same project, out fee would
decrease substantially as we could benefit from economies of scale by conducting
multiple appraisals in the immediate area at the same time.
2. 2246 S. Evergreen Street is a single-family residential property that is proposed as a
full acquisition. If awarded this assignment we would immediately notify the property
owner, in writing, of our intent to appraise their property and invite them to be present
at the time of inspection. We would value the property as improved, based on the
sales comparison approach. We would compare the value of the property as improved
to the value of the underlying land and would base our concluded value on whichever
is higher. That is, we would appraise the property to its highest and best use. If a
furniture, fixtures and equipment appraiser is retained, we would coordinate with them
to confirm that there is no double counting of items being acquired.
Response to Request for Proposals (RFP) for
On-Call Property Appraisal Services
RFP No.: 21-103 21
Our fee to appraise this property, assuming it is the only assignment awarded to us at
the time is $4,000 and our timing would be six weeks. If this assignment is awarded as
part of a larger group of properties that are part of the same project, our fee would
decrease substantially as we could benefit from economies of scale by conducting
multiple appraisals in the immediate area at the same time.
Page 1 of 11
Non-Fed Funding (6.1.2020)
AGREEMENT TO PROVIDE ON-CALL PROPERTY APPRAISAL SERVICES
FOR THE CITY OF SANTA ANA
THIS AGREEMENT is made and entered into on this 16th day of November, 2021 by and between
Hennessey & Hennessey LLC, a California limited liability company (“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
property appraisal and services on an as needed basis.
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
On an on-call basis, and at the City’s sole discretion, Consultant shall perform the services
described in the scope of work that was included in RFP No. 21-103, which is attached as Exhibit
A, and as more specifically delineated in Consultant’s proposal, which is incorporated by reference
as though set forth fully herein.
2. COMPENSATION
a. City neither warrants nor guarantees any minimum or maximum compensation to
Consultant under this Agreement. Consultant shall be paid only for actual services
performed under this Agreement at the rates and charges identified in Exhibit B.
Consultant is one of three (3) consultants selected to provide property appraisal services
on an on-call basis under RFP 21-103. The total compensation for these services
provided by all such consultants selected under RFP 21-103 shall not exceed the shared
aggregate amount of $300,000 during the term of the Agreement, including any
extension periods.
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.
Page 2 of 11
Non-Fed Funding (6.1.2020)
3. TERM
This Agreement shall commence on the date first written above and terminate on November
15, 2024, unless terminated earlier in accordance with Section 17, below. The term of this
Agreement may be extended for two 1-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 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.
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
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the purposes intended by this Agreement shall be at City’s sole risk.
7. MINIMUM INSURANCE REQUIREMENTS
A. Consultant shall procure and maintain for the duration of the contract insurance against
claims for injuries to persons or damages to property, which may arise from or in
connection with the performance of the work hereunder by the Consultant, its agents,
representatives, or employees.
B. Coverage shall be at least as broad as:
1. Commercial General Liability (CGL Insurance: 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 Insurance: Insurance Services Office Form Number CA
0001 covering, Code 1 (any auto), or if Consultant has no owned autos, Code 8
(hired) and 9 (non-owned), with limit no less than $1,000,000 per accident for
bodily injury and property damage.
3. Workers’ Compensation Insurance: 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 (Errors and Omissions) Insurance: appropriates to the
Consultant’s profession, with limit no less than $2,000,000 per occurrence or
claim, $2,000,000 aggregate.
C. 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.
D. Other Insurance Provisions- the insurance policies are to contain, or be endorsed to contain,
the following 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
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10 11 85 or both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms
if later revisions used).
2. Primary Coverage- For any claims related to this contract, the Consultant’s
insurance coverage shall be primary insurance 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 state 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, which 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.
E. 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.
F. 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.
G. Claims Made Policies- If any of the required policies provide coverage on a claims-made
basis:
1. The Retroactive Date must be shown and must be before the date of the contract
or the beginning of contract work.
2. Insurance must be maintained and evidence of insurance must be provided for
at least five (5) years after completion of the contract of work.
3. 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 contract work.
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H. 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 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.
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
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 Agreement. All such records and
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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 interests and shall not have interests, direct
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, o r 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
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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
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 b reach, 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.
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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:
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
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EXHIBIT A
SCOPE OF SERVICES
City of Santa Ana RFP 21-103
Page A1-1
Appendix
ATTACHMENT 1
SCOPE OF WORK
CITY OF SANTA ANA
REQUEST FOR PROPOSALS
FOR
ON-CALL PROPERTY APPRAISAL SERVICES
RFP NO. 21-103
INTRODUCTION/PROJECT BACKGROUND
The City of Santa Ana is issuing this Request for Proposals (RFP) to seek qualified firms to
provide On-Call Property Appraisal services on an as-needed or “on-call” basis.
It is the City’s goal to select one or more firms to enter into an agreements with to provide as
needed property appraiser services for capital improvement projects (CIP). The CIP projects
needing these right-of-way services include, but are not limited, to Warner Avenue, Bristol Street,
Fairview Street, and Grand Avenue Street Improvements.
Property Appraisal Services
Maximum Contract
Aggregate Amount
$148,000
From the proposals received, it is the City’s goal to select up to three firms for property appraisal
services for the on-call pool. The City will enter into separate agreements (the “Agreement”) with
each of these firms, with a not-to-exceed aggregate amount shared amongst all. Work will be
assigned by Contract Task Orders. As tasks are identified, they will be distributed among these
firms based upon their ability to perform the required work within the project schedule and budget
constraints. A detailed scope of work and corresponding fee will be outlined when a specific task
is assigned to a consultant. The City reserves the right to distribute the work in any manner which
will best serve the City’s interests.
MINIMUM QUALIFICATIONS
Consultants must demonstrate the minimum qualifications as established in the California
Department of Transportation (Caltrans) Right of Way Manual which can be accessed at:
http://www.dot.ca.gov/hq/row/rowman/manual/index.htm.
Consultants must demonstrate ability to have successfully negotiated and closed escrow on
acquisition of parcels and minimized the eminent domain process on similar projects.
DESCRIPTION OF WORK
City of Santa Ana RFP 21-103
Page A1-2
Consultants under contract with the City of Santa Ana will provide support to City of Santa Ana
staff or their designee on an as-needed basis. The Consultants shall be thoroughly familiar with
the Statement of Work prior to submitting a response to this Request for Proposal (RFP).
The Consultant shall perform work to produce a high quality, professional and complete
work product.
Consultant must have experience with State and federally funded projects. All work shall
be performed in conformance with all applicable regulations, policies, procedures and
standards.
All acquisition/relocation agents, performing work for the City, must hold a valid
California Real Estate License. Salespersons must be registered with the California
Department of Real Estate (DRE), as working solely under the Consultant’s supervising
broker of record.
Work may include, but is not be limited to, the following:
o onsite review of the project area
o review of existing records
o conducting research and performing analysis
o information gathering
o negotiations
o developing strategies
o prepare memos and letters
o attend community meetings as needed
The Consultant shall carry out the instructions received from the City and shall cooperate
with the City and other agencies.
The Consultant has total responsibility for the accuracy and completeness of the work
produced. The work will be reviewed by the City for conformity with the requirements of
the Agreement. Reviews by the City may NOT include a detailed review for the accuracy
of items submitted. The responsibility for accuracy and completeness of such items
remains solely that of the Consultant.
The Consultant shall be responsible for coordination and supervision of all work
performed by its sub-consultants. The Consultant shall review all work performed by its
sub-consultants and the responsibility for accuracy and completeness of work performed
remains solely that of Consultant. Sub-consultant markup is not allowed in this contract.
The Consultant shall have a Quality Control Plan in effect during the entire time work is
being performed under the Agreement. The Quality Control Plan shall establish a process
whereby work products are independently checked, corrected and back checked. All
project related correspondences and documents shall be maintained and bound in
appropriate project files. Additionally, all electronic files shall conform to the City’s file
naming system.
The Consultant shall diligently work on each assignment and complete each task in
accordance with the schedule and accommodate the City’s needs.
The Consultant’s work will be subject to inspection and audit by City, County, State and
Federal representatives
Consultant’s Project Manager and critical staff must attend the monthly meetings with
City of Santa Ana RFP 21-103
Page A1-3
City Staff and other consultants requested by the City to review project progress, the
schedule and any critical issues/items and the follow up action items necessary. All status
reports must be submitted ahead of the meetings.
Consultant must prepare a Weekly Status report and submit to the City. Format and
specific items of each status report must be reviewed and approved by the City.
Consultant must maintain electronic files of all the project parcels and correspondence
including all reports generated by other related consultants required to perform
acquisition/relocation and property management services.
All electronic submittals of files must be through a shared folder. Consultant must upload
and keep current the project parcel information and files in the shared folder established
for the project.
Consultant must prepare electronic files of the parcels according to the Caltrans Review
Process for right-of-way Certification.
Project files including copies of all correspondences, reports, documents, and electronic
files shall be submitted to the City when requested and electronically updated as requested
by the City.
All work, including reports, analysis, data, and intellectual properties developed during
the life of the Agreement shall become the properties of the City.
The Consultant will receive written notification of the award of the contract. Upon such
notification, the Consultant will proceed with the services required by the Agreement.
PROPERTY APPRAISAL SERVICES
Consultant shall prepare appraisal services that include full and partial acquisition for residential
property; commercial property; industrial property; easements; special use or zoned property; and
review appraisals. Appraisal Services shall be in accordance with federal, state, and local
regulations, policies, procedures and standards. Consultant must make every effort to meet with
the property owner prior to preparation of the report.
Appraiser shall perform the following tasks:
Prepare appraisal report in accordance with the State of California Laws and the Uniform
Standards of Professional Appraisal Practice (USPAP)
Research records, inspect the site and communicate with the property owner in
preparation of the appraisal report. This might require multiple attempts for site visit and
inspection
Prepare Real Estate Appraisal reports for full and partial acquisition
Prepare Appraisal Summary Statements to accompany City’s Offer Package
Prepare Valuation of City’s Landscape Setback Easement requirements
Prepare detailed appraisal report necessary for condemnation
Coordinate with Fixtures and Equipment Appraisers
Coordinate with Business Goodwill Appraisers
Communicate with property owners in writing and as required to obtain adequate
City of Santa Ana RFP 21-103
Page A1-4
information to prepare the report
Prepare all necessary correspondence, letters and reports
Provide effective communication with engineers, planners, attorneys, and City staff
Comply with federal, state and local regulations
Create files and maintain all records
Provide condemnation consultations as necessary
Attend meetings/public hearings and conduct presentations
Provide expert witness testimony as required for condemnation proceedings
Coordinate and review of Phase I and Phase II Environmental Studies
Review appraisal reports prepared by other consultants as required by the City and prepare
review summary
Prepare Review Appraisal Reports (Required For Federally Funded Projects)
Coordinate, direct and obtain Review Appraisals in accordance with the Uniform
Relocation Assistance and Real Property Acquisition Policies Act (Uniform Act) and
Caltrans guidelines
Examine all appraisals and corresponding reports
Seek any corrections or revisions deemed appropriate
Prepare Dual Appraisal Report as required for federally funded projects under Caltrans
Guidelines
Real estate appraisers must be certified and a Member of the Appraisal Institute
Sample Fee Proposal
Consultant shall describe the process (methods of appraisal, research, and any other necessary
tasks) and provide the proposal fee breakdown to appraise the below sample addresses. The
proposal will be used for fee comparison and evaluation process. The partial acquisition for
Cherry Aerospace shall be 10 feet from the back of sidewalk and all existing improvements within
the acquired area shall be appraised accordingly.
Sample locations for appraisal proposal are the following:
1224 E. Warner Avenue (Cherry Aerospace Park Take)
2246 S. Evergreen Street (Residential Full Take)
PAYMENT AND INVOICING:
Selected Consultant shall invoice the City based on time and material according to the City’s
standard invoice template. Tasks and hours shall be clearly identified and all rates must match
those included in the approved agreement. City shall retain ten percent (10%) of the invoice
amount from each payment until the completed Project has been accepted by the City.
Each invoice must include a Consultant Progress Report that contains tasks and activities
completed and summary of work in the next month period. Certificate of insurance must be
current in order for invoices to be processed.
City of Santa Ana RFP 21-103
Page A1-5
CITY RESPONSIBILITIES:
The City will provide information in its possession relevant to the preparation of the required
information in the RFP. The City will provide only the staff assistance and the documentation
specifically in referred to herein.
Facilitate meeting spaces and coordination with City staff
Access to City facilities
CONSULTANT RESPONSIBILITIES:
Provide all required insurance as outlined in Attachment 2 of this RFP.
Submit renewal of Certificate of Insurance 30 days before expiring.
Ensure Certificate of Insurance is current when submitting invoices.
SPECIAL REQUIREMENTS (ATTACHMENT 4)
This project may 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 (include within Fee
Proposal hard copy package)
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:
City of Santa Ana RFP 21-103
Page A1-6
The selected Consultant(s) 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
Proposal for RFP No. 21-103
On-Call Property Appraisal
Services
City of Santa Ana
Attn: Mr. Kenny Nguyen
Public Works Agency; M-36
20 Civic Center Plaza; Ross Annex
Santa Ana, California 92701
September 10, 2021
Fee Proposal
Original
Fee Proposal
1. Hourly Fee Schedule
Employee/Subcontractor Services and Hourly Rate Schedule
Name
Job Title/
Classification Job Function
Fully Burdened
Hourly Rate*
Sharon A. Hennessey Senior appraiser Real estate appraisal $265
Court testimony $350
Susan D. Taylor Associate Appraisal assistant $130
Joseph S. Montano Associate Appraisal assistant $100
Subconsultants
Document All Stars Project support Document preparation $75
Geri Easley Senior appraiser Real estate appraisal $265
Court testimony $350
2. Table Outlining Tasks and Team Efforts
Hennessey & Hennessey utilizes its permanent staff and selected subcontractors on an as-needed
basis to ensure that adequate labor resources are available to complete all contract task orders on
a timely basis.
The following table illustrates a typical labor-hour allocation for a hypothetical assignment, the full
take of a commercially improved property.
Task
Hours to Complete Tasks
Sharon A.
Hennessey
Joseph S.
Montano
Susan D.
Taylor
Document
All Stars
Gather information on subject (e.g., physical
characteristics, zoning, general plan, taxes,
flood zone)
--1.00 ----
Inspect subject neighborhood 0.50 0.50 ----
Inspect and photograph subject property 1.50 1.50 ----
Conduct comparable sales search --6.00 ----
Conduct rental survey ----4.00 --
View comparable sales and rentals in field 6.00 6.00 ----
Verify sales ----3.00 --
Analyze valuation and write report 12.00 --2.00 --
Type and prepare report ------4.00
Prepare exhibits --2.00 ----
Review, edit, refine document 2.00 --3.00 --
Prepare final document --1.00 --1.00
Total 22.00 18.00 12.00 5.00
Proposal for On-Call Property Appraisal Services 1
RFP No. 21-103, City of Santa Ana
3. Project Fee Schedule
Process for Completing Appraisal Assignment for Addresses
a. Define the appraisal problem, which includes identifying the real estate and real property
rights to be valued, the date of value, the date of the report, the intended uses and users
of the appraisal, the definition of fair market value, and other assumptions and limiting
conditions.
b. Send by mail, in compliance with the statutory requirement, a letter to each property
owner offering the opportunity to accompany the appraiser during a property inspection.
This notice and all contacts with the property owner will be recorded in a parcel diary.
c. For the partial acquisition assignments, contact the City of Santa Ana’s representative to
request that surveyors stake or mark the right of way lines on the subject properties for
clarity, prior to the inspection.
d. Conduct the on-site inspections of the subject properties. Photograph, measure, and
itemize the improvements. For the partial acquisition, itemize the improvements within
the part taken.
e. Conduct a field investigation of the subject properties' environs, including gathering data
on the region, city, and neighborhood from governmental agencies, real estate
agencies, city historical documents, planning and zoning documents from the
appropriate city, information from county and city taxing authorities, and other published
sources. The subject data is gathered in order to analyze the pertinent trends and
constraints that could affect the value of the properties.
f. Analyze the highest and best use of each of the subject properties as though vacant and
available for development and as improved (if appraised as improved) as defined in the
appraisal.
g. Search for and analyze relevant, comparable data. Confirm factual information regarding
each sale with the County Assessor’s records, the appropriate city's Planning
Department, and other data sources. Confirm the sale with buyers, sellers, or brokers,
when possible.
h. Use the above information in the application of the approach to value. In the case of the
single-family residence, the Sales Comparison Approach will be used. For the partial
taking, the Sales Comparison Approach would be used to appraise the underlying land.
A Modified Cost Approach is used to value the site improvements.
I. Estimate and analyze the fair market value of the full acquisition and the partial
acquisition. For the partial acquisition, specifically analyze the parts to be taken and any
damage and/or benefits that may accrue to the remainders by reason of the takes and
the construction of the project in the manner proposed.
j. Prepare an Appraisal Report in conformance with the Uniform Standards of Professional
Appraisal Practice (USPAP), the Caltrans Right of Way Manual - Chapter 7, Appraisals
(when applicable), State and Federal Uniform Relocation Assistance and Real Property
Acquisition Policies Acts, applicable eminent domain law, state-approved appraisal
requirements, and in some cases Uniform Appraisal Standards for Federal Land
Acquisitions.
k. Provide one draft appraisal report to the review appraiser, if required. Upon approval of
the draft report, provide one original of the final appraisal report and one electronic copy
Proposal for On-Call Property Appraisal Services 2
RFP No. 21-103, City of Santa Ana
to the City of Santa Ana. Prepare the Appraisal Summary Statement to accompany the
City’s offer package.
All of the above activities in the Approach to Scope of Work will be performed by Sharon A.
Hennessey, Susan D. Taylor, or Joseph S. Montano. Subcontractors will be utilized as
necessary.
The fee for appraising the sample properties is as follows:
• 1224 E. Warner Avenue $4,500
This fee assumes that only the underlying land and site improvements are to be
appraised. No mitigation/cost-co-cure measures are required. No severance damages.
• 2246 S. Evergreen Street $2,850
Proposal for On-Call Property Appraisal Services 3
RFP No. 21-103, City of Santa Ana
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AGREEMENT TO PROVIDE ON-CALL PROPERTY APPRAISAL SERVICES
FOR THE CITY OF SANTA ANA
THIS AGREEMENT is made and entered into on this 16th day of November, 2021 by and between
Santolucito Dore Group Inc., 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. The City desires to retain a consultant having special skill and knowledge in the field of
property appraisal and services on an as needed basis.
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
On an on-call basis, and at the City’s sole discretion, Consultant shall perform the services
described in the scope of work that was included in RFP No. 21-103, which is attached as Exhibit
A, and as more specifically delineated in Consultant’s proposal, which is incorporated by reference
as though fully set forth herein.
2. COMPENSATION
a. City neither warrants nor guarantees any minimum or maximum compensation to
Consultant under this Agreement. Consultant shall be paid only for actual services
performed under this Agreement at the rates and charges identified in Exhibit B.
Consultant is one of three (3) consultants selected to provide property appraisal services
on an on-call basis under RFP 21-103. The total compensation for these services
provided by all such consultants selected under RFP 21-103 shall not exceed the shared
aggregate amount of $300,000 during the term of the Agreement, including any
extension periods.
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.
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3. TERM
This Agreement shall commence on the date first written above and terminate on November
15, 2024, unless terminated earlier in accordance with Section 17, below. The term of this
Agreement may be extended for two 1-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 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.
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
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the purposes intended by this Agreement shall be at City’s sole risk.
7. MINIMUM INSURANCE REQUIREMENTS
A. Consultant shall procure and maintain for the duration of the contract insurance against
claims for injuries to persons or damages to property, which may arise from or in
connection with the performance of the work hereunder by the Consultant, its agents,
representatives, or employees.
B. Coverage shall be at least as broad as:
1. Commercial General Liability (CGL Insurance: 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 Insurance: Insurance Services Office Form Number CA
0001 covering, Code 1 (any auto), or if Consultant has no owned autos, Code 8
(hired) and 9 (non-owned), with limit no less than $1,000,000 per accident for
bodily injury and property damage.
3. Workers’ Compensation Insurance: 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 (Errors and Omissions) Insurance: appropriates to the
Consultant’s profession, with limit no less than $1,000,000 per occurrence or
claim, $2,000,000 aggregate.
C. 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.
D. Other Insurance Provisions- the insurance policies are to contain, or be endorsed to contain,
the following 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
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10 11 85 or both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms
if later revisions used).
2. Primary Coverage- For any claims related to this contract, the Consultant’s
insurance coverage shall be primary insurance 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 state 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, which 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.
E. 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.
F. 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.
G. Claims Made Policies- If any of the required policies provide coverage on a claims-made
basis:
1. The Retroactive Date must be shown and must be before the date of the contract
or the beginning of contract work.
2. Insurance must be maintained and evidence of insurance must be provided for
at least five (5) years after completion of the contract of work.
3. 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 contract work.
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H. 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 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.
7. INDEMNIFICATION
Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers,
agents, employees, contractors, special counsel, and representatives from liability: (1) for personal
injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for
personal injury, including death, and claims for property damage, which may arise from the
negligent operations of the 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
decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing,
to the extent Consultant’s services are subject to Civil Code Section 2782.8, the above indemnity
shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of,
pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant.
8. INTELLECTUAL PROPERTY INDEMNIFICATION
Consultant shall defend and indemnify the City, its officers, agents, representatives, and
employees against any and all liability, including costs, for infringement of any United States’
letters patent, trademark, or copyright infringement, including costs, contained in the work product
or documents provided by Consultant to the City pursuant to this Agreement.
9. RECORDS
Consultant shall keep records and invoices in connection with the work to be performed
under this Agreement. Consultant shall maintain complete and accurate records with respect to
the costs incurred under this Agreement and any services, expenditures, and disbursements
charged to the City for a minimum period of three (3) years, or for any longer period required by
law, from the date of final payment to Consultant under this Agreement. All such records and
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invoices shall be clearly identifiable. Consultant shall allow a representative of the City to
examine, audit, and make transcripts or copies of such records and any other documents created
pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all
work, data, documents, proceedings, and activities related to this Agreement for a period of three
(3) years from the date of final payment to Consultant under this Agreement.
10. CONFIDENTIALITY
If Consultant receives from the City information which due to the nature of such
information is reasonably understood to be confidential and/or proprietary, Consultant agrees that
it shall not use or disclose such information except in the performance of this Agreement, and
further agrees to exercise the same degree of care it uses to protect its own information of like
importance, but in no event less than reasonable care. “Confidential Information” shall include all
nonpublic information. Confidential information includes not only written information, but also
information transferred orally, visually, electronically, or by other means. Confidential
information disclosed to either party by any subsidiary and/or agent of the other party is covered
by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any
information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the
Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant
without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e)
is independently developed by the Consultant without reference to information disclosed by the
City.
11. CONFLICT OF INTEREST CLAUSE
Consultant covenants that it presently has no interests and shall not have interests, direct
or indirect, which would conflict in any manner with performance of services specified under this
Agreement.
12. NON-DISCRIMINATION
Consultant shall not discriminate because of race, color, creed, religion, sex, marital status,
sexual orientation, gender identity, gender expression, gender, medical conditions, genetic
information, or military and veteran status, age, national origin, ancestry, or disability, as defined
and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization,
promotion, termination or other employment related activities or any services provided under this
Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all
applicable federal, state and local laws and regulations.
13. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and
Consultant, and supersedes any and all other agreements, oral or written, between the parties. In
the event of a conflict between the terms of this Agreement and any attachments hereto, the terms
of this Agreement shall prevail. This Agreement may not be modified except by written instrument
signed by the City and by an authorized representative of Consultant. The parties agree that any
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terms or conditions of any purchase order or other instrument that are inconsistent with, or in
addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each
party to this Agreement acknowledges that no representations, inducements, promises or
agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any
party, which is not embodied herein.
14. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Consultant,
Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior
written consent of the City and any such assignment, transfer, delegation or subcontract without
the City's prior written consent shall be considered null and void. Nothing in this Agreement shall
be construed to limit the City’s ability to have any of the services which are the subject to this
Agreement performed by City personnel or by other consultants retained by City.
15. TERMINATION
This Agreement may be terminated by the City upon thirty (30) days written notice of
termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant
compensation for all services performed by Consultant prior to receipt of such notice of
termination, subject to the following conditions:
a. As a condition of such payment, the Executive Director may require Consultant to
deliver to the City all work product(s) completed as of such date, and in such case
such work product shall be the property of the City unless prohibited by law, and
Consultant consents to the City's use thereof for such purposes as the City deems
appropriate.
b. Payment need not be made for work which fails to meet the standard of
performance specified in the Recitals of this Agreement.
16. WAIVER
No waiver of breach, failure of any condition, or any right or remedy contained in or
granted by the provisions of this Agreement shall be effective unless it is in writing and signed by
the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or
remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not
similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies.
17. JURISDICTION - VENUE
This Agreement has been executed and delivered in the State of California and the validity,
interpretation, performance, and enforcement of any of the clauses of this Agreement shall be
determined and governed by the laws of the State of California. Both parties further agree that
Orange County, California, shall be the venue for any action or proceeding that may be brought or
arise out of, in connection with or by reason of this Agreement.
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18. PROFESSIONAL LICENSES
Consultant shall, throughout the term of this Agreement, maintain all necessary licenses,
permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder
and required by the laws and regulations of the United States, the State of California, the City of
Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and
in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and
exemptions. Said inability shall be cause for termination of this Agreement.
19. 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.
20. NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this Agreement
shall be in writing and shall be deemed to be properly given if delivered in person or mailed by
first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in
the manner provided in this Section, to the following persons:
To City:
Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA 92702-1988
Fax: 714- 647-6956
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
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To Consultant:
Christine S. Santolucito
President
Santolucito Dore Group Inc.
31600 Railroad Canyon Road, Suite 100-L
Canyon Lake, CA 92587
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.
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:
Laura A. Rossini
Chief Assistant City Attorney (title)
Tax ID#
RECOMMENDED FOR APPROVAL:
Nabil Saba
Executive Director
Public Works Agency
Christine S. Santolucito
President
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EXHIBIT A
SCOPE OF SERVICES
City of Santa Ana RFP 21-103
Page A1-1
Appendix
ATTACHMENT 1
SCOPE OF WORK
CITY OF SANTA ANA
REQUEST FOR PROPOSALS
FOR
ON-CALL PROPERTY APPRAISAL SERVICES
RFP NO. 21-103
INTRODUCTION/PROJECT BACKGROUND
The City of Santa Ana is issuing this Request for Proposals (RFP) to seek qualified firms to
provide On-Call Property Appraisal services on an as-needed or “on-call” basis.
It is the City’s goal to select one or more firms to enter into an agreements with to provide as
needed property appraiser services for capital improvement projects (CIP). The CIP projects
needing these right-of-way services include, but are not limited, to Warner Avenue, Bristol Street,
Fairview Street, and Grand Avenue Street Improvements.
Property Appraisal Services
Maximum Contract
Aggregate Amount
$148,000
From the proposals received, it is the City’s goal to select up to three firms for property appraisal
services for the on-call pool. The City will enter into separate agreements (the “Agreement”) with
each of these firms, with a not-to-exceed aggregate amount shared amongst all. Work will be
assigned by Contract Task Orders. As tasks are identified, they will be distributed among these
firms based upon their ability to perform the required work within the project schedule and budget
constraints. A detailed scope of work and corresponding fee will be outlined when a specific task
is assigned to a consultant. The City reserves the right to distribute the work in any manner which
will best serve the City’s interests.
MINIMUM QUALIFICATIONS
Consultants must demonstrate the minimum qualifications as established in the California
Department of Transportation (Caltrans) Right of Way Manual which can be accessed at:
http://www.dot.ca.gov/hq/row/rowman/manual/index.htm.
Consultants must demonstrate ability to have successfully negotiated and closed escrow on
acquisition of parcels and minimized the eminent domain process on similar projects.
DESCRIPTION OF WORK
City of Santa Ana RFP 21-103
Page A1-2
Consultants under contract with the City of Santa Ana will provide support to City of Santa Ana
staff or their designee on an as-needed basis. The Consultants shall be thoroughly familiar with
the Statement of Work prior to submitting a response to this Request for Proposal (RFP).
The Consultant shall perform work to produce a high quality, professional and complete
work product.
Consultant must have experience with State and federally funded projects. All work shall
be performed in conformance with all applicable regulations, policies, procedures and
standards.
All acquisition/relocation agents, performing work for the City, must hold a valid
California Real Estate License. Salespersons must be registered with the California
Department of Real Estate (DRE), as working solely under the Consultant’s supervising
broker of record.
Work may include, but is not be limited to, the following:
o onsite review of the project area
o review of existing records
o conducting research and performing analysis
o information gathering
o negotiations
o developing strategies
o prepare memos and letters
o attend community meetings as needed
The Consultant shall carry out the instructions received from the City and shall cooperate
with the City and other agencies.
The Consultant has total responsibility for the accuracy and completeness of the work
produced. The work will be reviewed by the City for conformity with the requirements of
the Agreement. Reviews by the City may NOT include a detailed review for the accuracy
of items submitted. The responsibility for accuracy and completeness of such items
remains solely that of the Consultant.
The Consultant shall be responsible for coordination and supervision of all work
performed by its sub-consultants. The Consultant shall review all work performed by its
sub-consultants and the responsibility for accuracy and completeness of work performed
remains solely that of Consultant. Sub-consultant markup is not allowed in this contract.
The Consultant shall have a Quality Control Plan in effect during the entire time work is
being performed under the Agreement. The Quality Control Plan shall establish a process
whereby work products are independently checked, corrected and back checked. All
project related correspondences and documents shall be maintained and bound in
appropriate project files. Additionally, all electronic files shall conform to the City’s file
naming system.
The Consultant shall diligently work on each assignment and complete each task in
accordance with the schedule and accommodate the City’s needs.
The Consultant’s work will be subject to inspection and audit by City, County, State and
Federal representatives
Consultant’s Project Manager and critical staff must attend the monthly meetings with
City of Santa Ana RFP 21-103
Page A1-3
City Staff and other consultants requested by the City to review project progress, the
schedule and any critical issues/items and the follow up action items necessary. All status
reports must be submitted ahead of the meetings.
Consultant must prepare a Weekly Status report and submit to the City. Format and
specific items of each status report must be reviewed and approved by the City.
Consultant must maintain electronic files of all the project parcels and correspondence
including all reports generated by other related consultants required to perform
acquisition/relocation and property management services.
All electronic submittals of files must be through a shared folder. Consultant must upload
and keep current the project parcel information and files in the shared folder established
for the project.
Consultant must prepare electronic files of the parcels according to the Caltrans Review
Process for right-of-way Certification.
Project files including copies of all correspondences, reports, documents, and electronic
files shall be submitted to the City when requested and electronically updated as requested
by the City.
All work, including reports, analysis, data, and intellectual properties developed during
the life of the Agreement shall become the properties of the City.
The Consultant will receive written notification of the award of the contract. Upon such
notification, the Consultant will proceed with the services required by the Agreement.
PROPERTY APPRAISAL SERVICES
Consultant shall prepare appraisal services that include full and partial acquisition for residential
property; commercial property; industrial property; easements; special use or zoned property; and
review appraisals. Appraisal Services shall be in accordance with federal, state, and local
regulations, policies, procedures and standards. Consultant must make every effort to meet with
the property owner prior to preparation of the report.
Appraiser shall perform the following tasks:
Prepare appraisal report in accordance with the State of California Laws and the Uniform
Standards of Professional Appraisal Practice (USPAP)
Research records, inspect the site and communicate with the property owner in
preparation of the appraisal report. This might require multiple attempts for site visit and
inspection
Prepare Real Estate Appraisal reports for full and partial acquisition
Prepare Appraisal Summary Statements to accompany City’s Offer Package
Prepare Valuation of City’s Landscape Setback Easement requirements
Prepare detailed appraisal report necessary for condemnation
Coordinate with Fixtures and Equipment Appraisers
Coordinate with Business Goodwill Appraisers
Communicate with property owners in writing and as required to obtain adequate
City of Santa Ana RFP 21-103
Page A1-4
information to prepare the report
Prepare all necessary correspondence, letters and reports
Provide effective communication with engineers, planners, attorneys, and City staff
Comply with federal, state and local regulations
Create files and maintain all records
Provide condemnation consultations as necessary
Attend meetings/public hearings and conduct presentations
Provide expert witness testimony as required for condemnation proceedings
Coordinate and review of Phase I and Phase II Environmental Studies
Review appraisal reports prepared by other consultants as required by the City and prepare
review summary
Prepare Review Appraisal Reports (Required For Federally Funded Projects)
Coordinate, direct and obtain Review Appraisals in accordance with the Uniform
Relocation Assistance and Real Property Acquisition Policies Act (Uniform Act) and
Caltrans guidelines
Examine all appraisals and corresponding reports
Seek any corrections or revisions deemed appropriate
Prepare Dual Appraisal Report as required for federally funded projects under Caltrans
Guidelines
Real estate appraisers must be certified and a Member of the Appraisal Institute
Sample Fee Proposal
Consultant shall describe the process (methods of appraisal, research, and any other necessary
tasks) and provide the proposal fee breakdown to appraise the below sample addresses. The
proposal will be used for fee comparison and evaluation process. The partial acquisition for
Cherry Aerospace shall be 10 feet from the back of sidewalk and all existing improvements within
the acquired area shall be appraised accordingly.
Sample locations for appraisal proposal are the following:
1224 E. Warner Avenue (Cherry Aerospace Park Take)
2246 S. Evergreen Street (Residential Full Take)
PAYMENT AND INVOICING:
Selected Consultant shall invoice the City based on time and material according to the City’s
standard invoice template. Tasks and hours shall be clearly identified and all rates must match
those included in the approved agreement. City shall retain ten percent (10%) of the invoice
amount from each payment until the completed Project has been accepted by the City.
Each invoice must include a Consultant Progress Report that contains tasks and activities
completed and summary of work in the next month period. Certificate of insurance must be
current in order for invoices to be processed.
City of Santa Ana RFP 21-103
Page A1-5
CITY RESPONSIBILITIES:
The City will provide information in its possession relevant to the preparation of the required
information in the RFP. The City will provide only the staff assistance and the documentation
specifically in referred to herein.
Facilitate meeting spaces and coordination with City staff
Access to City facilities
CONSULTANT RESPONSIBILITIES:
Provide all required insurance as outlined in Attachment 2 of this RFP.
Submit renewal of Certificate of Insurance 30 days before expiring.
Ensure Certificate of Insurance is current when submitting invoices.
SPECIAL REQUIREMENTS (ATTACHMENT 4)
This project may 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 (include within Fee
Proposal hard copy package)
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:
City of Santa Ana RFP 21-103
Page A1-6
The selected Consultant(s) 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
Page 11
Non-Fed Funding (6.1.2020)
EXHIBIT B
COMPENSATION
Fee Proposal including hourly rates if applicable
FEE
PROPOSAL
PREPARED FOR:
City of Santa Ana
Public Works Agency; M-36
20 Civic Center Plaza
Ross Annex
Santa Ana, CA 92701
PREPARED BY:
Santolucito Doré Group, Inc.
31600 Railroad Canyon Road
Suite 100-L
Canyon Lake, CA 92587
PROPOSAL FOR ON-CALL PROPERTY APPRAISAL SERVICES
September 15, 2021 • 4:00 pm
3. FEE PROPOSAL
City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 1
FEE PROPOSAL
Appraisals are typically bid on a lump sum per subject property basis, depending on the type of
property and complexity of the appraisal problem. Other types of appraisal services are typically
billed on an hourly rate basis. SD Group’s fee for the appraisals of the sample properties
referenced in the RFP and our hourly rates for any additional services requested are provided
below. Our method of appraisal, research, applicable tasks, and proposed schedule are included
in the body of the technical proposal and included following our fee proposal as well. All appraisal
and appraisal review reports will be prepared in narrative format to be utilized for condemnation
purposes. They will comply with USPAP, the Caltrans Right of Way Manual, the Uniform Act, and
California Eminent Domain law.
REAL ESTATE APPRAISAL REPORT FEES
• Appraisal of 1224 East Warner Avenue (Cherry Aerospace Park Partial Acquisition)
o M1 Light Industrial property, 15.45-acre site, approximate 270,000 square foot
building (the building size was not provided on public records and was taken from
Google Earth measurements for this proposal)
o The acquisition of 10 feet from the back of sidewalk does not appear that it would
impact the building improvements, any business operations, or parking
o It appears a land only appraisal with compensation for site improvements
(including, but not limited to: grass, bushes, several trees, a flagpole, and brick
planter, as well as a monument sign that may need to be acquired, then relocated
further back on the site)
o An analysis of the value of the whole after acquisition will be made to determine if
damages exist due to the partial acquisition
o The fee for this type of appraisal would be approximately $4,000 for one appraisal
with a turn around time of 45-60 days, from notice to proceed and receipt of all
pertinent project and parcel information including the preliminary title report and
any other necessary documents (provided by the City), with discounts given when
receiving multiple parcels/appraisals of similar property types
• Appraisal of 2246 South Evergreen Street (Residential Full Acquisition)
o R1 Single Family Residential property, 7,835 square foot site, 931 square foot
residence, built in 1952
o The acquisition of the entire property in full fee
o The fee for this type of appraisal would be approximately $2,500 for one appraisal
with a turn-around time of 30-45 days, from notice to proceed and receipt of all
pertinent project and parcel information including the preliminary title report and
any other necessary documents (provided by the City), with discounts given when
receiving multiple parcels/appraisals of similar property types
HOURLY RATES
• Principal - $250-350 per hour for valuation and consultation
• Principal - $350-$450 per hour for litigation support/depositions/court appearances
• Senior - $150 per hour for valuation and consultation
• Administrative/Research - $75-$100 per hour for valuation support
City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 2
Our fees for the written narrative appraisal reports include site inspections with each property
owner and meetings at the City, as required. We will provide condemnation support, as
necessary, billed on an hourly basis. Draft electronic versions of the appraisal reports will be
delivered for review and final electronic and hard copies, when requested, will be delivered to the
client upon approval from the review appraiser. There are no additional document or historical
retrieval costs anticipated. Travel and material costs are included in our total fee for this
assignment.
City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 3
UNDERSTANDING OF NEED AND
PROPOSED METHOD TO ACCOMPLISH WORK
SD Group looks forward to tailoring specific processes to comply with the City’s policies,
procedures, and preferences. SD Group prides itself on its ability to complete complex projects
on schedule and within budget. Christie and Lance have years of experience coordinating with
various agencies and will strategize and coordinate each project thoroughly from the beginning
to deliver high quality outstanding appraisal services. Christie and Lance will work closely with
the City’s Project Managers and staff to discover ways to provide assistance, offer
recommendations whenever challenges are presented, and will seek feedback pertaining to
progress and satisfaction with SD Group’s performance.
Appraisal is unique to each property and all recognized appraisal methodologies are completed
with the highest level of quality. The following section describes our general work plan for
completing the various appraisal and appraisal review assignments.
APPRAISAL
The purpose of an appraisal report is to produce a document that can be used by the City in
negotiations for acquisition or disposition of property. The typical scope of work for an appraisal
includes, but is not necessarily limited to, the following steps:
Detailed Inspection of the Property
The acquisition process begins when the appraiser sends out the Notice of Intent to Appraise
letters to impacted property owners (for acquisitions). The appraiser will invite the property
owner to be present for the onsite inspection. Additionally, City staff, other consultants/experts
involved in the project, and, if applicable, the acquisition agent, are encouraged to attend the
inspection as well. A complete understanding of the larger parcel, the subject property and
overall impacts are a critical step in the appraisal process.
Complete Highest and Best Use Analysis
The cornerstone of the appraisal process is a detailed highest and best use of the property as
vacant and as improved, which will be performed to isolate any valuation issues that arise
after a detailed analysis of the legal, physical, and financial aspects of the property. This is
the essential basis for the valuation analysis and ultimately the just compensation. The last
critical stage is to determine the highest and best use of the remainder. Issues that may arise
from this final test is uneconomic remainders, determination of underlying fees, or additional
considerations for partial acquisitions and easements. This ultimately determines factors that
may result in severance damages.
Research Market Data of the Neighborhood, Subject Property, and Comparable Sales
After the determination of the highest and best use, the comparables are selected with similar
highest and best uses. When identifying sales of comparable properties, market research will
include discussions with appropriate real estate professionals and governmental agencies. All
sales data utilized in an appraisal report will be confirmed with a party to those transactions,
whenever possible. Details of the comparables are presented to fully disclose all issues for
adjustments applicable to the valuation of the subject.
City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 4
Write a Narrative Appraisal Report
The type of appraisal report utilized will be determined on a parcel-by-parcel basis. This
determination will be made after analyzing the particular assignment and interests to be
acquired, i.e., fee, easement, etc. A narrative appraisal report is typically used for public
agency/eminent domain purposes. The appraiser may also be required to complete an
Appraisal Summary Statement at the request of the City. Typical steps in the appraisal
process are listed below:
• Identify the larger parcel and the appraisal problem;
• Obtain and review legals, plats, title reports, environmental reports, and other
documents (provided by the City);
• Send out Notice of Intent to Appraise letter;
• Gather market data;
• Perform property inspection;
• Meet with project designer and others to address property impacts;
• Perform a detailed highest and best use analysis;
• Analyze and inspect comparables;
• Valuation via the three approaches to value (sales, cost, income), as applicable for the
property type;
• Coordinate with Fixtures and Equipment Appraisers and Business Goodwill Appraisers;
• Reconcile approaches to value;
• Valuation of the part(s) acquired and improvements located within the acquisition area;
• Valuation of the remainder after acquisition;
• Assess and value potential damages and project benefits;
• Prepare written appraisal report;
• Work with the Review Appraiser;
• Prepare the Appraisal Summary Statement; and
• Deliver the completed appraisal report.
After the delivery of the appraisal any review comments will be addressed, and when required,
the report will be corrected or expanded to ensure the most reliable document for public
scrutiny.
APPRAISAL REVIEW
Appraisers are required to comply with the Uniform Standards of Professional Appraisal Practice
(USPAP) when performing appraisals and appraisal reviews. As such, the review appraiser is
required to address a number of specific items pertaining to the report under review including the
completeness of the report, adequacy and relevance of the data, propriety of the adjustments,
form an opinion as to the appropriateness of the appraisal methods and techniques used to
complete the appraisal, form an opinion as to whether or not the analyses, opinions, and
conclusions are appropriate and reasonable or develop reasons for the disagreements, if any. In
addition to USPAP, eminent domain projects with federal and state funding require compliance
with various additional regulations and guidelines.
The scope of work for an appraisal review typically includes the following steps:
• Identify the appraiser(s) that conducted the appraisal;
• Become familiar with the subject property and review legals, plats, title reports,
environmental reports, and other documents;
City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 5
• Become familiar with the subject neighborhood and the comparable properties used in
the various analyses;
• Check all mathematical calculations made by the appraiser(s);
• Cross-reference narrative descriptions within the report with photographs, maps, and
other exhibits (when included in the work under review);
• Review the weighting assigned to the approaches to value used in the appraisal;
• Determine if accepted appraisal principles, techniques, and standards were followed in
arriving at property value in accordance with USPAP, California law, and Caltrans,
FHWA, and FTA regulations, when applicable;
• Ensure that the appraiser(s) did not overlook any feature that would materially affect the
property value;
• Develop an opinion as to the completeness of the material under review, given the
review appraiser’s scope of work;
• Develop an opinion as to the apparent adequacy and relevance of the data and the
propriety of any adjustments to the data, given the review appraiser’s scope of work;
• Develop an opinion as to appropriateness of the appraisal methods and techniques
used, given the review appraiser’s scope of work, and developed reasons for any
disagreement;
• Develop an opinion as to whether the analyses, opinions, and conclusions are
appropriate and reasonable, and developed the reasons for any disagreement; and
• Form an opinion as to whether the appraisal can be used to establish fair market value
for the subject larger parcel and make a recommendation as to whether the appraisers’
estimate of fair market value should be used as just compensation for the proposed
acquisition.
• Work with the appraiser whose work is under review to address any areas of concern
within the appraisal.
• Prepare and deliver the written appraisal review report.
SD Group has the availability to deliver appraisal services to the City on an on-call basis. We
have a history of delivering on time and within budget.
City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 6
SCOPE OF SERVICES AND SCHEDULE
SD Group has the availability to deliver appraisals and appraisal reviews to the City in a timely
manner. Appraisal assignments are typically completed within 45 to 60 days after notice to
proceed (NTP) and receipt of all pertinent project and parcel information. Reviews are typically
completed within 7 to 10 days. The steps necessary to complete and appraisal and appraisal
review were previously provided in the Understanding of Need and Proposed Method to
Accomplish Work section. Our proposed schedule for a typical right of way appraisal is as follows:
• Day 1 – NTP and receipt of Preliminary Title Reports (PTR) and other relevant documents;
• Day 2 – Send out Notice of Decision to Appraise (NODA) letters;
• Days 3-23 – Research subject properties (parcel size, existing land use/zoning, other
pertinent factors), identify the appraisal problem, review PTRs and other
reports/documents, research neighborhood and market data, perform detailed highest and
best use analyses, and select, analyze, and verify comparables;
• Days 23-25 – Property inspections and comparables inspections;
• Days 26-40 – Valuations via applicable approaches (sales, cost, income);
• Day 41 – Reconcile the approaches used;
• Days 41-45 – Type the narrative appraisal reports; and
• Days 45-60 – Deliver the draft appraisal reports.
We understand the description and scope of work outlined in the RFP Attachment 1, under
Property Appraisal Services, and will meet all requirements. All work will be under the oversight
of Christie, the Project Manager for this contract. Additionally, Lance will review and sign all
reports requiring an MAI signature. We have Quality Assurance/Quality Control (QA/QC) plan in
place for each assignment that is tailored to the specific needs of each client and project.
APPRAISAL METHODOLOGY AND PROCESS
Property will be appraised via one or more of the three traditional approaches to value (cost, sales,
and income capitalization), depending on the highest and best use and the quality and quantity of
data available for analysis.
The cost approach is a breakdown of property into land and building components. It assumes that
an informed buyer would pay no more for a property than the cost of acquiring land and reproducing
improvements of similar utility, less the amount of any depreciation. This approach is most
applicable when improvements are relatively new and represent the highest and best use of the
land, or in the case of special-use properties, for which there are few comparable sales.
The sales comparison approach is the comparison of similar properties, that recently sold or are
currently listed for sale, to the subject property. It assumes that an informed buyer would pay no
more for a property than the cost of acquiring a substitute property of similar utility and desirability.
This approach is most applicable when there are sufficient recent and reliable transactions of similar
properties. It is most often relied upon in the valuation of owner-user properties.
The income capitalization approach reflects the present value of the future benefits of property
ownership. It converts a property’s net operating income into a lump-sum value via capitalization.
The two methods of income capitalization are direct capitalization and yield capitalization (via a
discounted cash flow analysis), with one or both applied, as applicable to the property being
appraised. This approach is most applicable for income-producing properties.
City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 7
Reconciliation of the appropriate approaches to value is the final analytical step in the valuation
process. The relative dependability and applicability of each approach to value is each is evaluated
to derive a value conclusion for the subject property.
RESOURCES TO BE UTILIZED
SD Group has the latest in-house hardware (laptops, monitors, printers, scanners) and software
(Narrative1, Microsoft Office Suite, Adobe Acrobat Pro, Google Earth Pro, DeLorme), as well as
subscriptions to professional market data (RealQuest, NiteOwl Pro, MLS, CoStar, LoopNet) for
searching property information, records, deeds, and sale/rent comparables. We keep primarily
electronic files stored on a server that is backed up regularly. We have an extensive database of
market data, trends, and comparable data from previous projects to pull from, when relevant to
the current appraisal assignment. We are fully equipped to handle the City’s appraisal
assignment.
City of Santa Ana RFP 21-075
Page A4-1
Appendix
ATTACHMENT 4
CALTRANS ATTACHMENTS
Please see below.
Local Assistance Procedures Manual EXHIBIT 10-H2 Cost Proposal
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
Santolucito Dore Group, Inc.X
TBD TBD 9/15/2021$6,500
N/A
N/A
N/A
N/A
Local Assistance Procedures Manual EXHIBIT 10-H2
Cost Proposal
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
Santolucito Dore Group, Inc. X
TBD TBD 9/15/2021
Sample Property Appraisal - 1224 E. Warner Ave.1 1 $4,000 $4,000
Sample Property Appraisal - 2246 S. Evergreen St.1 1 $2,500 $2,500
TOTAL $6,500
Local Assistance Procedures Manual EXHIBIT 10-H2
Cost Proposal
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
Local Assistance Procedures Manual EXHIBIT 10-H2
Cost Proposal
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:
Page 7 of 9
January 2020
Christine S. Santolucito President
christie@sdgroupinc.com
9/15/2021
951-225-3500 x 101
31600 Railroad Canyon Road, Suite 100-L, Canyon Lake, CA 92587
Property Appraisal and Appraisal Review Services
*If selected, our work for the City of Santa Ana's on-call contract will be billed on a lump sum per
appraisal basis. It is recommended that our firm is included as a Vendor or Other Direct Cost
(ODC) for any projects associated with the on-call contract.
I
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
0.00%TBD
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
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
Santolucito Dore Group, Inc.
N/A
N/A
N/A
N/A
N/A
SD Group does not have an ICR Rate because we are a small, woman-owned,
disadvantaged business enterprise without a sophisticated financial management
system as mentioned in this certification. SD Group bills on a lump sum basis per
appraisal report as a direct cost and should be listed as a vendor.
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
N/A
Christine S. Santolucito President
christie@sdgroupinc.com
9/15/2021
951-225-3500
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
4
City of Santa Ana
City of Santa Ana
On-Call Property Appraisal Services
TBD
Santolucito Doré Group, Inc.
Property Appraisal and Appraisal Review Services 43345 100%
Christine S. Santolucito, R/W-AC
951-225-3500 ext. 101
christie@sdgroupinc.com
100
9/15/2021
Christine S. Santolucito 951-225-3500
President
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
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
Property Appraisal and Appraisal Review Services 43345 Christine S. Santolucito, R/W-AC
951-225-3500 ext. 101
christie@sdgroupinc.com
$6,500
6,500
100
Christine S. Santolucito
President
9/15/2021
951-225-3500
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
951-225-3500 • 31600 Railroad Canyon Road, Suite 100-L • Canyon Lake, CA 92587 • sdgroupinc.com
September 15, 2021
Mr. Kenny Nguyen
Project Manager
City of Santa Ana
Public Works Agency; M-36
20 Civic Center Plaza; Ross Annex
Santa Ana, CA 92701
RE: RFP No. 21-103
Appraisal Lump Sum Billing – 10-K Exception Request
Dear Mr. Nguyen:
The Santolucito Doré Group, Inc. (SD Group) is a small, women-owned, disadvantaged business
enterprise. We offer essentially one type of service – valuation services and typically bill our
services on a lump sum per appraisal basis. As such, we do not have the need for sophisticated
financial management software with cost segregation features as required on Exhibit 10-K,
Consultant Annual Certification of Indirect Costs and Financial Management System.
Implementing such software and practices would be cost prohibitive for us as a small DBE firm
and we cannot certify to something we can’t comply with.
If selected, our work for the City of Santa Ana's on-call contract will be billed on a lump sum per
appraisal basis. It is recommended that our firm is included as a Vendor or Other Direct Cost
(ODC) for any projects associated with the on-call contract. The Caltrans Local Assistance
Procedures Manual allows DBE’s to participate in a number of ways, including being contracted
as a vendor. Please see the attached page from the manual.
Please let me know if you have any questions or need any additional information. We are excited
for the opportunity to work with the City on this project.
Sincerely,
Christine S. Santolucito, R/W-AC
President
I
Local Assistance Procedures Manual Chapter 9
Civil Rights & Disadvantaged Business Enterprise
and conditions of the contract. The mechanisms may also provide that any delay or
postponement of payment among the parties may take place only for good cause with the
Agency’s prior written approval.
9.7 DBE Participation on the Contract
Participation Opportunities
The local agency should structure its contracts and cost estimates by task to provide
opportunities for DBE participation. Participation by DBEs is possible during the Preliminary
Engineering, Environmental, Final Design, Right of Way, and Construction phases of the
project, and includes work as lead consultants, prime contractors, sub-consultants,
subcontractors, suppliers, vendors and truckers.
DBE Contract Goals
All federal-aid contracts that have subcontracting opportunities must have a DBE goal set. This
includes, but is not limited to: construction, consultant services such as project specific
Architectural & Engineering (A&E), and master on-call A&E contracts. A DBE contract goal is a
percentage of the total contract amount that is expected to be performed by certified DBE firms.
The DBE contract goal will vary depending on the type of work involved, the location of the
work, and the availability of DBEs for the work of the particular contract.
The contract goal may be zero in situations such as extremely limited subcontracting
opportunities, the lack of certified DBEs available in the District for the work to be performed, or
other reasons. The local agency will need to keep documentation in the project file when a zero
percent DBE contract goal is deemed appropriate.
Some contracts, such as Emergency Opening, Sole-source, Nonprofit do not require a DBE
goal. Work performed through Force Account also does not need a DBE goal. In these cases,
there is no contract goal (different from zero percent goal).
Setting the DBE Contract Goal
When setting a DBE goal, the Agency may use contract goals only on those federal-aid
contracts that have subcontracting possibilities. The goal for a specific contract may be higher
or lower than the percentage level of the statewide overall goal, depending on such factors as
the type of work involved, the location of the work, and the availability of DBEs for the work of
the particular contract. However, over the period covered by the State’s overall goal, the Agency
must set contract goals, and these individual contract goals will cumulatively result in meeting
any portion of the state’s overall goal. The actual DBE participation for each of the local
agency’s contracts contributes to the calculation used to determine if the statewide goal has
been met.
Caltrans approval of each contract goal is not necessarily required. However, Caltrans may
review and approve or disapprove any contract goal the Agency establishes. The Agency’s
contract goals must provide for participation by all certified DBEs and must not be subdivided
into group-specific goals.
DBE contract goals are established to encourage more participation of DBEs for federal-aid
transportation contracts. The bullets below provide a summary guidance of how to set the DBE
contract goal. For a detailed set of instructions and a template example, please refer to Exhibit
9-D: DBE Contract Goal Methodology.
Page 21 of 38
January 2021