1 AGENDA
ALISO VIEJO CITY COUNCIL
WEDNESDAY, JUNE 01, 2022
7:00 PM REGULAR MEETING
City Hall
Council Chambers
12 Journey
Aliso Viejo, CA
Mayor Ross Chun
Mayor Pro Tem Richard W. Hurt
Councilmember Tiffany Ackley
Councilmember David C. Harrington
Councilmember Mike Munzing
SPECIAL NOTICE REGARDING COVID-19
On March 4, 2020, Governor Newsom proclaimed a State of Emergency in California as a result of the threat of COVID -19. On September 16, 2021, Assembly Bill 361 (AB 361) was signed by Governor Newsom, to allow for the City Council to attend City Council meetings telephonically and for the public to participate in the City Council meeting by electronic means.
Given the health risks associated with COVID -19, state and local off icials are recommending measures to promote social distancing; therefore, the City of Aliso Viejo will not have the Council Chambers open to the public for this meeting. Members of the public may access the meeting live using any of the following sources:
• Cox Communications Channel 851
• AT&T U-Verse Channel 99
• Online at www.avcity.org
• Online at https://attendee.gotowebinar.com/register/857059841563556365
Public comments may be submitted by calling (949) 425 -2509 to leave a recorded message by 4:00 pm on the day of the meeting or via email to [email protected]. Alternatively, public comments may be submitted by logging onto the meeting through this link and using the “Raise Hand” feature: https://attendee.gotowebinar.com/register/857059841563556365. Comments are limited to three minutes each.
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WELCOME to the City of Aliso Viejo City Council meeting. Those persons wishing to address the City Council are requested to complete and submit to the City Clerk a “Request to Address City Council” form available at the entrance to the City Council Chambers. Speakers will be called at the appropriate time as their interested matter is heard. COMMENTS WILL BE LIMITED TO THREE MINUTES PER SPEAKER. Council proceedings are recorded.
It is the City’s intention to comply with the Americans with Disabilities Act (ADA). If you need special assistance to participate in the meeting, the City will make reasonable arrangements to ensure accessibility and/or accommodations. [28 CFR 35.102- 35.104 ADA Title II] Please contact the City Clerk’s Office at (949) 425- 2505 at least 48 hours prior to the meeting.
Regular meetings of the City Council are held on the first and third Wednesday of the month at the City Hall Council Chambers, 12 Journey, Aliso Viejo. Copies of the agenda are available in the lobby at City Hall on the Thursday preceding a regularly scheduled City Council meeting. All communications received by the City regarding an agenda item have been included in the agenda materials. Supplemental documents relating to specific agenda items, including communications received after agenda delivery, are presented at the dais and in the Public Copy agenda binder at the time of the meeting. Supplemental documents are also available for review in the City Clerk’s office, 12 Journey, Aliso Viejo. For more information, please contact City Hall at (949) 425- 2505.
This meeting will be broadcast live on Cox Communications Channel 851, AT&T U -Verse Channel 99 and the City's website. By attending the City Council Meeting, you are giving your permi ssion to be televised. The Council Meetings are rebroadcast on Wednesday at 7:00 p.m. on Cox Communications Channel 851, AT&T U - Verse Channel 99, and can be viewed on the internet at www.avcity.org.
DAVID A. DOYLE SCOTT C. SMITH MITZI ORTIZ
CITY MANAGER CITY ATTORNEY CITY CLERK
PLEASE SILENCE ALL CELL PHONES AND OTHER
ELECTRONIC EQUIPMENT WHILE CITY COUNCIL IS IN SESSION
CALL TO ORDER: CONVENE REGULAR MEETING
ROLL CALL
PLEDGE OF ALLEGIANCE:
1. SPECIAL PRESENTATIONS:
None
2. ADDITIONS, DELETIONS, REORDERING TO THE AGENDA:
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3. COMMUNITY INPUT:
Members of the public wishing to address the City Council can submit public comments by calling (949) 425- 2509 to leave a recorded by 4:00 pm on the day of the meeting or via email to [email protected]. Written comments will be read into the record and recorded messages will be aired during the meeting. Alternatively, public comments may be submitted by logging onto the meeting
through this link and using the “Raise Hand”
feature: https://attendee.gotowebinar.com/register/857059841563556365. Comments are limited to three (3) minutes each. In compliance with the Brown Act, no discussion or action may be taken on comments received at this time, except the City Council may briefly respond to statements made or questions posed.
4. CONSENT CALENDAR:
All matters listed on the Consent Calendar will be acted upon by one vote unless members of the City Council, or staff request a matter to be discussed and/or removed from the Consent Calendar for separate action. Items removed from the Consent Calendar will be discussed and voted upon immediately following City Council action on the remainder of the Consent Calendar.
4.1. WAIVE THE READING OF ALL ORDINANCES AND RESOLUTIONS Recommended Action: Approve the reading by title only of all ordinances and resolutions wherein the titles appear on the public agenda; said titles shall be determined to have been read by title, and further reading is waived.
4.2. RESOLUTION EXTENSION AUTHORIZING VIRTUAL C ITY COUNCIL MEETINGS PURSUANT TO ASSEMBLY BILL 361
Recommended Action: Move to reconfirm findings under Assembly Bill 361 and extend Resolution No. 2021-27 to continue virtual City Council meetings.
Staff Report
Attachment 1 - Resolution No. 2021-27
4.3. APPROVAL OF MINUTES
Recommended Action: Approve the Minutes as submitted for the May 4, 2022 Regular Meeting.
Draft Minutes - May 4, 2022 Regular Meeting
4.4. ACCOUNTS PAYABLE
Recommended Action:
1. Ratify accounts payable checks and electronic funds transfers issued April 28, 2022, in the amount of $390,592.35; and
2. Ratify accounts payable checks and electronic funds transfers issued May 12, 2022, in the amount of $1,256,184.36.
Staff Report
Attachment 1 - Accounts Payable Report
4.5. TREASURER’S STATEMENT – MARCH 2022
Recommended Action: Approve March 2022 Treasurer’s Statement. 3 4
Staff Report
Attachment 1 - Mar'22 Treasurer's Report
4.6. AUTHORIZED OFFICERS FOR LOCAL AGENCY INVESTMENT FUND (LAIF) Recommended Action: Adopt a Resolution to update the City employees authorized to order the deposit or withdrawal of monies in the Local Agency Fund (LAIF) and rescinding Resolution No. 2006-027.
Staff Report
Attachment 1 - Resolution
4.7. PROFESSIONAL SERVICES AGREEMENT WITH ROGERS, ANDERSON, MALODY &
SCOTT, LLP FOR AUDITING SERVICES
Recommended Action:
1. Approve the agreement with Rogers, Anderson, Malody & Scott, LLP for auditing services; and
2. Authorize the City Manager to execute the agreement for an amount not to exceed $36,000.
Staff Report
Attachment 1 - Agreement
4.8. AQUATIC CENTER MANAGEMENT SERVICES AGREEMENT WITH PREMIER
AQUATIC SERVICES
Recommended Action: Approve and authorize the City Manager to execute the Aquatic Center Management Services Agreement with Premier Aquatic Services.
Staff Report
Attachment 1 - Agreement
4.9. CONTRACT WITH ALL AMERICAN ASPHALT FOR THE FY 22 -23 SLURRY SEAL
AND REHABILITATION PROJECT
Recommended Action:
1. Approve Contract Documents, Specifications, and Plans for the FY 22- 23 Slurry Seal and Rehabilitation Project;
2. Award a contract in the amount of $1,362,775.83 to All American Asphalt as the lowest responsible bidder for the FY 22-23 Slurry Seal and Rehabilitation Project;
3. Authorize the City Manager to execute a contract with All American Asphalt;
4. Authorize City staff to make total compensation to All American Asphalt up to $1,362,775.83 plus $136,277.58 (10% of the contract amount) to allow for contingencies, totaling $1,499,053.41; and
5. Declare this project categorically exempt from the California Environmental Quality Act (CEQA) process Per Title 14 of the California Code of Regulations, Chapter 3, Article 19, Section 15301 (Class 1: Existing Facilities).
Staff Report
Attachment 1 - Contract
Attachment 2 - Submitted Bid
4.10. THREE-YEAR AGREEMENT WITH NV5, INC. FOR CONSTRUCTION INSPECTION
SERVICES
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Recommended Action:
1. Approve a 3- year agreement with NV5 , Inc. to perform construction inspection services; and
2. Authorize the City Manager to execute a professional services agreement with NV5, Inc. for an amount of approximately $100,000 annually not to exceed $300,000 over the 3-year term of the agreement.
Staff Report
Attachment 1 - Agreement
4.11. AGREEMENTS WITH RICHARD FISHER ASSOCIATES AND RJM DESIGN GROUP, INC. FOR LANDSCAPE ARCHITECTURE AND INSPECTION SERVICES Recommended Action:
1. Approve an agreement with Richard Fisher Associates to perform landscape architecture and inspection services for an amount not to exceed $300,000;
2. Approve an agreement with RJM Design Group, Inc. to perform landscape architecture and inspection services for an amount not to exceed $100,000; and
3. Authorize the City Manager to execute professional services agreements with Richard Fisher Associates and RJM Design Group, Inc.
Staff Report
Attachment 1 - Agreement with Richard Fisher Associates Attachment 2 - Agreement with RJM Design Group, Inc.
4.12. GENERAL MUNICIPAL ELECTION – NOVEMBER 8, 2022
Recommended Action:
1. Adopt a Resolution calling for the holding of a General Municipal Election to be held on Tuesday, November 8, 2022, for the election of certain officers as required by the provisions of the laws of the State of California relating to general law cities and for the submission to the voters a question rel ating to establishing term limits for Members of the City Council;
2. Adopt a Resolution requesting the Orange County Board of Supervisors to consolidate a General Municipal Election to be held on Tuesday, November 8, 2022, with the Statewide General Elect ion to be held on the date pursuant to § 10403 of the Elections Code; and
3. Adopt a Resolution adopting regulations for candidates for elective office pertaining to candidate statements submitted to the voters at an election to be held on Tuesday, November 8, 2022.
Staff Report
Attachment 1 - Resolution Calling Election
Attachment 2 - Resolution Consolidating Election
Attachment 3 - Resolution Regulating Candidate Statements
5. PUBLIC HEARINGS:
5.1. ORDINANCE REGARDING TRANSIENT LODGING OCCUPANT REGISTRATION Recommended Action:
1. Open the public hearing, take any public testimony, and close the public hearing; 5 6
2. Find that the Ordinance is not subject to the requirements of the California Environmental Quality Act for the following reasons:
a) The Ordinance is not a "project" within the meaning of Section 15378 of the State CEQA Guidelines because it has no potential for resulting in direct or indirect physical change in the environment;
b) The Ordinance is exempt under Section 15061(b)(3), the general rule exemption, because it c an be seen with certainty that there is no possibility that the code amendments therein will have a significant effect on the environment; and
3. Introduce for first reading an Ordinance entitled: ORDINANCE OF THE CITY
COUNCIL OF THE CITY OF ALISO VIEJO, CALIFORNIA AMENDING CHAPTERS
3.06 AND 15.18 OF THE ALISO VIEJO MUNICIPAL CODE REGARDING
TRANSIENT LODGING OCCUPANT REGISTRATION AND FINDING THE
ORDINANCE NOT SUBJECT TO THE CALIFORNIA ENVIRONMENTAL QUALITY ACT.
Staff Report
Attachment 1 - Ordinance
6. DISCUSSION:
6.1. ORDINANCE PROHIBITING UNLAWFUL POSSESSION OF CATALYTIC
CONVERTERS IN THE CITY OF ALISO VIEJO
Recommended Action: Introduce the following ordinance for first reading, entitled: AN
ORDINANCE OF THE CITY COUNCIL OF THE CITY OF ALISO VIEJO, CALIFORNIA, ADDING CHAPTER 8.36 (UNLAWFUL POSSESSION OF A CATALYTIC CONVERTER PROHIBITED) TO TITLE 8 (PUBLIC PEACE, MORALS AND WEL FARE) OF THE
ALISO VIEJO MUNICIPAL CODE ESTABLISHING REGULATIONS PROHIBITING THE
UNLAWFUL POSSESSION OF CATALYTIC CONVERTERS IN THE CITY OF ALISO VIEJO.
Staff Report
Attachment 1 - Ordinance
6.2. DRAFT ANNUAL BUDGET FOR FY 2022-23
Recommended Action:
1. Review the draft FY 2022-23 Annual Budget;
2. Authorize Cost of Living adjustment (4.3%) effective July 1, 2022 ($123,615); and
3. Provide any additional direction to staff regarding the draft FY 2022-23 Budget.
Staff Report
Attachment 1 - Government Wide Resources and Appropriations Attachment 2 - General Fund Resources and Appropriations Attachment 3 - Capital Projects
Attachment 4 - Presentation
7. CITY MANAGER' S REPORT:
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8. ANNOUNCEMENTS / COUNCIL COMMENTS / COMMITTEE UPDATES:
9. ADJOURNMENT:
The next regularly scheduled City Council meeting is June 15, 2022.
7 City of Aliso Viejo
AGENDA ITEM
DATE: June 1, 2022
TO: Mayor and City Council
FROM: Mitzi Ortiz, Director of Government Services
SUBJECT: RESOLUTION EXTENSION AUTHORIZING VIRTUAL CITY COUNCIL MEETINGS PURSUANT TO ASSEMBLY BILL 361
Recommended Action:
Move to reconfirm findings under Assembly Bill 361 and extend Resolution No. 2021-27 to continue virtual City Council meetings.
Fiscal Impact:
None.
Background:
Assembly Bill 361 (“AB 361”), effective October 1, 2021, waives certain provisions of the Ralph M. Brown Act and allows legislative bodies to meet virtually until January 1, 2024, provided there is a state of emergency and either:
1. state or local officials have imposed or recommended measures to promote social distancing; or
2. the legislative body determines by majority vote that meeting in person would present imminent risks to the health and safety of attendees.
Under AB 361, the City is not required to allow public access at teleconference locations; however, the City must provide access to meetings via a call-in option or internet-based service option so that members of the public may address the City Council in real time.
Additionally, every 30 days the City Council must reconsider the state of emergency and make the determination to continue meeting virtually in accordance with AB 361.
Discussion:
On October 20, 2021, the City Council adopted Resolution No. 2021-27 authorizing virtual City Council meetings under AB 361, having found and determined that (1) a state of emergency related to COVID-19 is currently in effect; (2) state and local officials have 8
recommended measures to promote social distancing in connection with COVID-19; and (3) due to the COVID-19 emergency, meeting in person would present imminent risks to the health and safety of attendees. At subsequent meetings, the City Council has reconfirmed the findings and extended the resolution pursuant to AB 361.
Staff will agendize this matter for consideration at each City Council meeting until such time as the state of emergency has been terminated or the City Council determines that conditions no longer exist to prevent meeting safely in person.
Staff recommends that the City Council reconfirm the findings in Resolution No. 2021-27 continue to exist and approve the extension of the resolution.
Attachment:
1. Resolution No. 2021-27
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RESOLUTION NO. 2021-27
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF ALISO
VIEJO, CALIFORNIA, AUTHORIZING VIRTUAL CITY COUNCIL
MEETINGS PURSUANT TO ASSEMBLY BILL 361
WHEREAS, the Aliso Viejo City Council (“Council”) is committed to preserving and nurturing public access and participation in meetings of the Council; and
WHEREAS, with the exception of closed sessions, all meetings of the Council are open and public, as required by the Ralph M. Brown Act (Cal. Gov. Code 54950 – 54963), so that any member of the public may attend and participate in the Council’s meetings; and
WHEREAS, starting in March 2020, in response to the spread of COVID-19 in the State of California, the Governor issued a number of executive orders aimed at containing the COVID-19 virus; and
WHEREAS, among other things, these orders wa ived certain requirements of the Brown Act to allow legislative bodies to meet virtually; and
WHEREAS, pursuant to the Governor’s executive orders, the Council has been holding virtual meetings during the pandemic in the interest of protecting the health and safety of the public, staff, and Councilmembers; and
WHEREAS, the Governor’s executive order related to the suspension of certain provisions of the Brown Act expires on September 30, 2021; and
WHEREAS, on September 16, 2021 the Governor signed Assembly Bill 361 (in effect as of October 1, 2021 – Government Code Section 54953(e)), which allows legislative bodies to meet virtually provided there is a state of emergency, and either (1) state or local officials have imposed or recommended measures to promote social distancing; or (2) the legislative body determines by ma jority vote that meeting in person would present imminent risks to the health and safety of attendees; and
WHEREAS, such conditions now exist in Orange County, specifically, a state of emergency has been proclaimed related to COVID-19, state and local officials are recommending measures to promote social distancing, and because of the ongoing threat of COVID-19, meeting in person would present imminent risks to the health and safety of attendees;
NOW, THEREFORE, BE IT RESOLVED BY THE ALISO VIEJO CITY COUNCIL AS FOLLOWS:
Section 1. Recitals. The Recitals set forth above are true and correct and are incorporated into this Resolution by this reference. 10
Section 2. Remote Teleconference Meetings. Consistent with the provisions of Government Code Section 54953(e), the Council finds and determines that (1) a state ofemergency related to COVID-19 is currently in effect; (2) state and local officials have recommended measures to promote social distancing in connection with COVID-19; and (3) due to the COVID-19 emergency, meeting in person would present imminent risks to the health and safety of attendees. Based on such facts, findings and determinations, the Council authorizes staff to conduct remote teleconference meetings of the Council under the provisions of Government Code Section 54953(e).
Section 3. Effective Date of Resolution. This Resolution shall take effect upon adoption and shall be effective for 30 days unless earlier extended by a majority vote of the Council in accordance with Section 4 of this Resolution.
Section 4. Extension by Motion. The Council may extend the application of this Resolution by motion and majority vote by up to 30 days at a time, provided that it makes all necessary findings consistent with and pursuant to the requirements of Section 54953(e)(3).
PASSED, APPROVED AND ADOPTED this 20th day of October, 2021.
Tiffany Ackley
Mayor
APPROVED AS TO FORM: ATTEST:
Scott C. Smith Mitzi Ortiz, MMC
City Attorney City Clerk
Mitzziiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiii Ortiz,z,z,z,,z,z,z,z,,zz,zz,,,z,,z,,zz,,z,zz,,zz,z,zzzzz,z,,z,zzzz,,,zz,,,z,z,, MMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMMC City Clerk
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STATE OF CALIFORNIA )
COUNTY OF ORANGE ) ss.
CITY OF ALISO VIEJO )
I, MITZI ORTIZ, City Clerk of the City of Aliso Viejo, California, DO HEREBY CERTIFY that foregoing Resolution No. 2021-27 was duly passed and adopted by the City Council of the City of Aliso Viejo at their regular meeting held on the 20th day of October 2021, by the following roll call vote, to wit:
AYES: Mayor Ackley, Mayor Pro Tem Chun, Councilmembers Harrington, Hurt and Munzing
NOES: None
ABSENT: None
MITZI ORTIZ, MMC
CITY CLERK
(SEAL)
MITZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZZI ORTITITITITTITITTITITITITIITIITITITTITITITTITTITITITITTTITTITITITITTITITTTTTTITITITTTTITIITITITITITTTITITITTTITITITITTTTTITITTTTTTITTITTIITITTTITIITITITTIITTTITIITIITIIITTIITTITITIITTTTTTTITTTTTTTITITTTTTTTITTTTTTTTTTTTTTTTTTTTTTTTT ZZZ,ZZZZZZZZZZZZZZZZZZZZZ MMC
CITY CLERK
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Regular Meeting Minutes
CITY OF ALISO VIEJO
CITY COUNCIL MINUTES
REGULAR MEETING
May 4, 2022, 7:00 P.M.
Council Chambers, City Hall, 12 Journey
Aliso Viejo, California
City Council conducted this meeting in accordance with California Government Code Section 54953(e)(2) and COVID-19 pandemic protocols.
CALL TO ORDER: Mayor Chun called the Regular Meeting of the City Council of the City of Aliso Viejo to order at 7:05 p.m.
ROLL CALL:
PRESENT: MAYOR ROSS CHUN (via teleconference)
MAYOR PRO TEM RICHARD HURT (via teleconference)
COUNCILMEMBER TIFFANY ACKLEY (via teleconference)
COUNCILMEMBER DAVID C. HARRINGTON (via teleconference)
COUNCILMEMBER MIKE MUNZING (via teleconference)
ABSENT: NONE
STAFF PRESENT: DAVID A. DOYLE, CITY MANAGER
SCOTT C. SMITH, CITY ATTORNEY
MITZI ORTIZ, CITY CLERK
ANN EIFERT, FINANCIAL SERVICES DIRECTOR
SHAUN PELLETIER, PUBLIC WORKS DIRECTOR
LIZZY MENDOZA, RECREATION & COMMUNITY SERVICES MANAGER
ISAAC AZIZ, INFORMATION TECHNOLOGY MANAGER
ROSE RIVERA, SENIOR PLANNER
CAPT. SCOTT MERRILL, CHIEF OF POLICE SERVICES
PLEDGE OF ALLEGIANCE: Mayor Chun led the pledge of allegiance.
1. SPECIAL PRESENTATIONS:
1.1. PROCLAMATION - MENTAL HEALTH AWARENESS MONTH
Mayor Chun presented the proclamation to Olivia Siegel from The Extraordinary Lives Foundation. Ms. Siegel expressed her appreciation and provided information on available services.
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Regular Meeting Minutes
1.2. PROCLAMATION - HARVEY MILK DAY
Mayor Chun presented the proclamation and commented on the importance of the designation.
1.3. PROCLAMATION - DROWNING PREVENTION AWARENESS
Mayor Chun presented the proclamation to OCFA Division Chief MichaelContreras. Chief Contreras expressed his appreciation and provided information on this year’s Drowning Prevention Awareness campaign.
1.4. TRUSTED PARTNER RECOGNITIONS - ORANGE COUNTY FIRE AUTHORITY AND
ORANGE COUNTY SHERIFF'S DEPARTMENT
Mayor Chun presented the certificates of recognition to OCFA Division Chief Michael Contreras and OCSD Captain Scott Merrill. Chief Contreras and Captain Merrill expressed their appreciation.
1.5. INTRODUCTION OF FINANCIAL SERVICES DIRECTOR ANN EIFERT Mayor Chun introduced City Manager David Doyle, who welcomed Financial Services Director Ann Eifert. Ms. Eifert expressed her appreciation.
2. ADDITIONS, DELETIONS, REORDERING TO THE AGENDA:
None.
3. COMMUNITY INPUT:
None.
4. CONSENT CALENDAR:
Unless otherwise indicated below, the following pertains to all items on the Consent Calendar.
Motion: Councilmember Harrington moved and Councilmember Munzing seconded to approve the recommended actions. Motion carried 5-0.
4.1. WAIVE THE READING OF ALL ORDINANCES AND RESOLUTIONS Recommended Action: Approve the reading by title only of all ordinances and resolutions wherein the titles appear on the public agenda; said titles shall be determined to have been read by title, and further reading is waived. 14
Regular Meeting Minutes
4.2. RESOLUTION EXTENSION AUTHORIZING VIRTUAL CITY COUNCIL MEETINGS PURSUANT TO ASSEMBLY BILL 361
Recommended Action: Move to reconfirm findings under Assembly Bill 361 and extend Resolution No. 2021-27 to continue virtual City Council meetings.
4.3. APPROVAL OF MINUTES
Recommended Action: Approve the Minutes as submitted for the April 20, 2022 Special Meeting and the April 20, 2022 Regular Meeting.
4.4. SECOND READING AND ADOPTION OF AN ORDINANCE RELATING TO URBAN LOT
SPLITS AND OUTDOOR DINING
Recommended Action: Conduct second reading and adopt Ordinance No. 2022- 225 entitled: AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF ALISO VIEJO, CALIFORNIA, ADDING SECTIONS 14.28 URBAN LOT SPLITS AND 15.14.210 TWO UNIT PROJECTS AND AMENDING SECTION 15.22.190 OUTDOOR DINING AND DETERMINING THE ORDINANCE TO BE EXEMPT FROM CEQA.
4.5. SECOND READING AND ADOPTION OF AN ORDINANCE RELATING TO
AFFORDABLE HOUSING UNIT REPORTING
Recommended Action: Conduct second reading and adopt Ordinance No. 2022-226 entitled: AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF ALISO VIEJO, CALIFORNIA ADDING CHAPTER 3.18 TO THE ALISO VIEJO MUNICIPAL CODE
REGARDING AFFORDABLE HOUSING UNIT REPORTING AND FINDING THE ORDINANCE NOT SUBJECT TO THE CALIFORNIA ENVIRONMENTAL QUALITY ACT.
4.6. ACCOUNTS PAYABLE
Recommended Action: Ratify accounts payable checks and electronic funds transfers issued April 14, 2022, in the amount of $1,010,104.82.
4.7. PROFESSIONAL SERVICES AGREEMENT FOR OUT-OF- SCHOOL TIME PROGRAMS
WITH THE BOYS & GIRLS CLUBS OF CAPISTRANO VALLEY
Recommended Action: Approve and authorize the City Manager to execute a Professional Services Agreement with the Boys and Girls Clubs of Capistrano Valley for out-of-school time programs.
4.8. FIRST AMENDMENT TO PROFESSIONAL SERVICES AGREEMENT WITH WESTAMERICA COMMUNICATIONS, INC. FOR PRINTING SERVICES
Recommended Action: Approve and authorize the City Manager to execute the First Amendment to the Professional Services Agreement with Westamerica Communications, Inc. for printing services for the “Aliso Viejo Community Connection” quarterly brochure. 15
Regular Meeting Minutes
4.9. PROFESSIONAL SERVICES AGREEMENT WITH CABCO YELLOW, INC. FOR
SENIOR TRANSPORTATION SERVICES
Recommended Action: Approve and authorize the City Manager to execute the Professional Services Agreement with Cabco Yellow, Inc., DBA California Yellow Cab for senior transportation services under the Senior Mobility Program.
4.10. PROFESSIONAL SERVICES AGREEMENT WITH MICHAEL JUE FOR GRAPHIC
DESIGN SERVICES
Councilmembers commented on the matter.
Recommended Action: Approve and authorize the City Manager to execute a Professional Services Agreement with Michael Jue for graphic design services.
Motion: Councilmember Munzing moved and Mayor Pro Tem Hurt seconded to approve the recommended action. Motion carried 5-0.
4.11. CONTRACT AWARD TO CT CONSTRUCTION SERVICES, INC. FOR INSTALLATION
OF CONCRETE SOUND BARRIER AT ALISO VIEJO FARM
Recommended Action:
1. Award a contract in the amount of $83,237.42 to CT Construction Services, Inc. for the Sound Barrier Wall project;
2. Authorize the City Manager to execute a contract with CT Construction Services, Inc.;
3. Authorize City staff to make total compensation to CT Construction Services, Inc. up to $83,237.42 plus $8,324 (10% of the contract amount) to allow for contingencies, totaling $91,561.42; and
4. Appropriate $55,000 from General Fund Reserves.
5. PUBLIC HEARINGS:
5.1. ADOPTION OF THE FISCAL YEAR 2022- 2023 ANNUAL ACTION PLAN FOR
EXPENDITURES OF COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) FUNDS City Manager David Doyle introduced Senior Planner Rose Rivera, who provided an overview. Mayor Chun opened the public hearing. There were no speakers. Mayor Chun closed the public hearing.
Recommended Action:
1. Conduct a public hearing;
2. Declare the City Council finds the FY 2022- 2023 Annual Action Plan is not subject to the California Environmental Quality Act (CEQA) as the activity is not a project defined in Section 15378(b)(5) of the state CEQA Guidelines;
3. Approve and adopt the FY 2022- 2023 Annual Action Plan for the use of Community Development Block Grant (CDBG) funds;
16
Regular Meeting Minutes
4. Authorize the City Manager to submit the Action Plan to the U.S. Department of Housing and Urban Development (HUD), which executes the HUD contract, and authorize the City Manager to submit all related documents with the implementation of the Action Plan.
Motion: Councilmember Munzing moved and Councilmember Ackley seconded t o approve the recommended actions. Motion carried 5-0.
6. DISCUSSION:
6.1. AMENDMENT TO CITY’S PUBLIC AGENCY RETIREMENT SYSTEM (PARS) DEFINED
CONTRIBUTION PLAN TO COMPLY WITH INTERNAL REVENUE SERVICE (IRS)
REGULATIONS
City Manager David Doyle provided an overview.
Recommended Action: Adopt Resolution No. 2022-08 approving an amendment to the City’s PARS Plan to:
1. Conform the contribution rate to the City Council’s intent at the time the plan was adopted;
2. Correct Schedule A regarding employee contributions to the Plan; and
3. Eliminate Tier II of the Plan disallowing any future contributions.
Motion: Councilmember Harrington moved and Councilmember Ackley seconded t o approve the recommended actions. Motion carried 5-0.
7. CITY MANAGER' S REPORT:
City Manager David Doyle reported on Aliso Viejo Ranch operations, programs, and revenue; and announced summer Recreation Class and Summer Camp registration.
8. ANNOUNCEMENTS / COUNCIL COMMENTS / COMMITTEE UPDATES:
Councilmember Ackley:
Requested update regarding 4th of July Bike Parade
Councilmember Harrington:
Expressed appreciation to staff on success of Aliso Viejo Ranch Encouraged residents to stay safe on Cinco de Mayo
Councilmember Munzing:
Expressed appreciation to staff on success of Aliso Viejo Ranch Attended JamFest & Summer Camp Expo
Attended ACC-OC Board of Directors Installation Reception Attended Crystal Apple Award Ceremony
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Regular Meeting Minutes
Mayor Pro Tem Hurt:
Attended JamFest & Summer Camp Expo
Mayor Chun:
Attended Crystal Apple Awards Ceremony
Attended Spirit of Volunteerism Awards Ceremony
Met with Aliso Viejo Chamber of Commerce
Attended AVCA Arbor Day-Earth Day Celebration
Commented on Wellness & Prevention Center services at Aliso Niguel High School Announced Red Cross Sound the Alarm Event on May 21, 2022
9. ADJOURNMENT: Mayor Chun adjourned the meeting at 7:53 p.m. to the regularly scheduled meeting of June 1, 2022.
Respectfully submitted: Approved by:
________________________ ________________________
MITZI ORTIZ, MMC ROSS CHUN
CITY CLERK MAYOR
18 City of Aliso Viejo
AGENDA ITEM
DATE:
June 1, 2022
TO: May
or and City Council
FRO
M: Ann Eifert, Director of Financial Services
SUBJEC
T: ACCOUNTS PAYABLE
Recommended Actions:
1. Rati
fy accounts payable checks and electronic funds transfers issued April 28, 2022, in the amount of $390,592.35; and
2. Ratify accounts payable checks and electronic funds transfers issued May 12, 2022, in the amount of $1,256,184.36.
Fiscal Impact:
Expenditures in the amount of $1,646,776.71.
Background:
The City issues accounts payable checks on bi-weekly basis and presents it to City Council for ratification at its next regularly scheduled City Council meeting.
Discussion:
The attached register containing checks and electronic funds transfers dated April 28, 2022, through May 12, 2022, for $1,646,776.71 is being presented for ratification. All payments have been made in compliance with the City’s purchasing policy and procedures. Payments have been reviewed and approved by the appropriate departmental staff. The issued accounts payable checks and electronic funds transfers have been audited and deemed ac
curate by the Director of Financial Services.
Attachment:
1. Accounts Payable Report
19 Accounts Payable
04/28/2022
Description (Item)Vendor Name Amount
101 - GENERAL FUND
UNITED OF OMAHA LIFE INSURANCE CO. (69.31)
UNITED OF OMAHA LIFE INSURANCE CO. 1,057.98
CALPERS HEALTH 25,920.05
CALPERS HEALTH 3,247.69
RJM DESIGN GROUP INC 680.15
RJM DESIGN GROUP INC 310.00
PARENTS FOR ALISO NIGUEL 447.09
PARENTS FOR ALISO NIGUEL 22.36
CHOICE BUILDER 2,336.22
CHOICE BUILDER 353.01
ICMA 1,400.00
MARC SMITH 500.00
36,205.24
CITY COUNCIL
SP-ADJ-APR'22 LIFE INSURANCE
MAY'22 LIFE INSURANCE
MAY'22 CALPERS HEALTH PREMIUM
MAY'22-COUNCIL-CALPERS HEALTH PREMIUM
NOV'21 PA 21-016 AMY'S DRIVE-THRU LANDSCAPE
MAR'22 PA 21-017 TRANS WESTERN PLAN CHECK REVIEW
3/16 SP EVT FEE REIMB-TASTE OF ALISO NIGUEL EVT
3/16 SP EVT FEE REIMB-TASTE OF ALISO NIGUEL EVT
MAY'22 DENTAL INSURANCE
MAY'22 VISION INSURANCE
FY22-23-DD-ICMA MEMBERSHIP DUES
P#21-1669 C&D REFUND-MARC SMITH/20 THORNBIRD
AV MUG FOR B. PHILLIPS
J&M TROPHIES INC 48.83
CITY COUNCIL TOTAL: 48.83
CITY MANAGER
MAY'22-PG-HEALTH PREMIUMCALPERS HEALTH 149.00
CITY MANAGER TOTAL: 149.00
HUMAN RESOURCES
MAR'22-KB/TT/BA/AE-SECURE LIVE SCAN FEESCHARLES C STILL 228.00 HUMAN RESOURCES TOTAL: 228.00
CITY CLERK
REF11523065-3/17&24 NIB ALISO CREEK REHABCALIFORNIA NEWSPAPERS PARTNERSHIP 408.00 CITY CLERK TOTAL: 408.00
FINANCE
MAY'22 CALPERS ADMIN FEECALPERS HEALTH 69.03
MAY'22 CALPERS ADMIN FEECALPERS HEALTH 8.12
APR'22-CH-CASH COURIER SERVICEGARDAWORLD 435.50
SM-4/21 LSL GASB CONF-MILEAGE REIMBSHERYLMARIE MARIANO 28.20 FEB'22 PARS REP FEESPARS 300.00
MAY'22 ADMIN FEECHOICE BUILDER 35.00
FINANCE TOTAL: 875.85
INFORMATION TECHNOLOGY
4/6-5/5/22 ACCT #8802-CH-INTERNETCOX COMMUNICATIONS, INC 1,500.00 3/6- 4/5/22 CH-ALARM/POT LINESAT&T 2,826.91
INFORMATION TECHNOLOGY TOTAL: 4,326.91
NON-DEPARTMENTAL
AV RANCH & K.BOLENDER-BUSINESS CARDSIPROMOTEU.COM INC 109.80 PLATES & BADGES-B.ADAME/T.TAFT/K.BOLENDERJ&M TROPHIES INC 50.53 PLATES & BADGES-A EIFERT/S MARIANO/D LEUTHAUSERJ&M TROPHIES INC 111.31 SM-4/25 A.EIFERT/FIN DIR WELCOME SNACKSSHERYLMARIE MARIANO 25.40 3/12-4/11/22 RICOH 2504 BACK OFFICE-COPIESRICOH USA 87.49 FEB'22-8.33 HRS-PIO SERVICE/SPECIAL PROJRK BRANDS, LLC 749.70 MAR'22-9.25 HRS-PIO SERVICE/SPECIAL PROJRK BRANDS, LLC 832.50 MAY'22 RENTAL STORAGE UNIT #535ALISO VIEJO SELF STORAGE 430.00 NON-DEPARTMENTAL TOTAL: 2,396.73
C. S. ADMINISTRATION
4/28 JAMFEST EVENT RENTALSM&J PAUL ENTERPRISES INC 9,655.00 MAY'22-DP-HEALTH PREMIUMCALPERS HEALTH 149.00
MAY'22-HW-HEALTH PREMIUMCALPERS HEALTH 149.00
NL-USPS BROCHURE MAILINGUS BANK PURCHASING CARD PROGRAM 265.00 NL-JAMFEST EVENT SUPPLIES-AMAZONUS BANK PURCHASING CARD PROGRAM 28.00 NL-2/25 LED WORKSHOP EDIDLE CRAFTS-PARTY CITYUS BANK PURCHASING CARD PROGRAM 15.00 20 Description (Item)Vendor Name Amount
NL-MOVIE EVENT SUPPLIES-AMAZONUS BANK PURCHASING CARD PROGRAM 13.74 NL-MOVIE EVENT SUPPLIES-AMAZONUS BANK PURCHASING CARD PROGRAM 12.90 NL-2/25 LED WORKSHOP EDIDLE CRAFTS-SMART & FINALUS BANK PURCHASING CARD PROGRAM 10.99 NL-JAMFEST EVENT SUPPLIES-AMAZONUS BANK PURCHASING CARD PROGRAM 10.76 NL-JAMFEST EVENT SUPPLIES-AMAZONUS BANK PURCHASING CARD PROGRAM 10.76 NL-TARP COVER-AMAZONUS BANK PURCHASING CARD PROGRAM 49.44 NL-STAIN REMOVER/SUPPLIES-AMAZONUS BANK PURCHASING CARD PROGRAM 7.51 AV RANCH SIGNSWESTAMERICA COMMUNICATIONS INC 322.09
C. S. ADMINISTRATION TOTAL: 10,699.19
IGLESIA PARK
MAR'22 IGLESIA PARK MAINTENANCEPV MAINTENANCE INC 2,445.23 MAR'22 IGLESIA PARK DOGGIE DISPENSER INSTALLATIONPV MAINTENANCE INC 1,560.00 MAR'22 IGLESIA TREE REMOVAL SERVICEGREAT SCOTT TREE SERVICE, INC 4,945.00 MAR'22 IGLESIA TREE TRIMMING SERVICEGREAT SCOTT TREE SERVICE, INC 9,990.00 3/8-4/11/22 MTR #3499 IGLESIA PARK WATER SRVEL TORO WATER DISTRICT 850.47 3/8-4/11/22 MTR #4114 IGLESIA PARK WATER SRVEL TORO WATER DISTRICT 741.62 MAR'22 ACCT#7997 IGLESIA PARK ELECTRICITYSO CAL EDISON 159.95 IGLESIA PARK TOTAL: 20,692.27
IGLESIA BUILDING
APR'22 IPCC-JANITORIAL SERVICETEAM ONE MANAGEMENT SERVICES 861.00 MAR'22-IPCC-16 VISITS PATROL SERVICETMR SECURITY & PATROL SERVICES INC 160.00 APR'22 IPCC-PEST CONTROL SERVICECTJAMJT CORP. 95.00
3/8-4/11/22 MTR#1850 IGLESIA BLDG WATER SRVEL TORO WATER DISTRICT 241.16 4/17-5/16/22 IPCC- ALARM MONITORING SERVICEPROTECTION ONE ALARM MONITORING INC 54.50 MAR'22 ACCT#7997 IGLESIA BLDG ELECTRICITYSO CAL EDISON 1,137.08 IGLESIA BUILDING TOTAL: 2,548.74
PLANNING
OD-MAY'22 LIFE INSURANCEUNITED OF OMAHA LIFE INSURANCE CO. 96.16 JL-MAY'22 LIFE INSURANCEUNITED OF OMAHA LIFE INSURANCE CO. 62.49 MAY'22-MF-HEALTH PREMIUMCALPERS HEALTH 149.00
PLANNING TOTAL: 307.65
BUILDING
BLDG-OFFICE SUPPLIESSTAPLES ADVANTAGE 36.56
BUILDING TOTAL: 36.56
ENGINEERING (GENERAL)
APR'22 PUBLIC WORKS WAREHOUSE LEASEPV MAINTENANCE INC 1,035.00 MAR'22 ON CALL LANDSCAPE & ARCHITECTURAL SERVICESRICHARD FISHER ASSOCIATES 6,623.37 ENG-OFFICE SUPPLIESSTAPLES ADVANTAGE 56.94
ENGINEERING (GENERAL) TOTAL: 7,715.31
STREET MAINTENANCE
MAR'22 STREET MAINTENANCE (45%)PV MAINTENANCE INC 30,539.88 MAR'22 #107 CATCH BASIN CLEANINGPV MAINTENANCE INC 3,825.00 MAR'22 STREET STRIPING SERVICEPV MAINTENANCE INC 7,893.66 STREET MAINTENANCE TOTAL: 42,258.54
LAW ENFORCEMENT-OTHER
OCEAN BLUE ENVIRONMENTAL SERVICES INC 921.50
OCEAN BLUE ENVIRONMENTAL SERVICES INC 904.50
OCEAN BLUE ENVIRONMENTAL SERVICES INC 966.50
ALL CITY MANAGEMENT SERVICES 11,651.80
5/3/21 BIOHAZARD CLEAN UP-27662 ALISO CREEK RD
10/8/21 BIOHAZARD CLEAN UP-26541 ALISO CREEK RD
11/12/21 BIOHAZARD CLEAN UP-ARGONAUT/ALISO CREEK
3/6-3/19/22-460HRS-SCHOOL CROSSING GUARD SRV
3/20-4/2/22-460HRS-SCHOOL CROSSING GUARD SRVALL CITY MANAGEMENT SERVICES 11,651.80 LAW ENFORCEMENT-OTHER TOTAL: 26,096.10
CRIME PREVENTION
CP-OFFICE SUPPLIESSTAPLES ADVANTAGE 1,079.92
CRIME PREVENTION TOTAL: 1,079.92
EOC
5/14-6/14/22-RENTAL OFFSITE STORAGE #A1554LIFE STORAGE #961 250.00 EOC TOTAL: 250.00
GENERAL FUND TOTAL: 156,322.84
21 Description (Item)Vendor Name Amount
102 - GEN. FD-CITY HALL
NON-DEPARTMENTAL
MAR'22 CITY HALL MAINTENANCEPV MAINTENANCE INC 488.47
APR'22 CH-JANITORIAL SERVICE PO#5502TEAM ONE MANAGEMENT SERVICES 3,703.86 APR'22 CH- PEST CONTROL SERVICECTJAMJT CORP. 100.00
APR'22 CH-PLANT MAINTENANCEFOSTERS' GARDENS INC 115.00
APR'22 CH-ELEVATOR MAINTENANCETHURSTON ELEVATOR CONCEPTS INC 131.00 MAR'22 ACCT#7189 CITY HALL ELECTRICITYSO CAL EDISON 5,573.82 NON-DEPARTMENTAL TOTAL: 10,112.15
GEN. FD-CITY HALL TOTAL: 10,112.15
103 - GF-AV RECREATION SERVICES
REFUND FOR CANCELLED RENTAL-LEMA OLAMILEMA OLOMI 1,358.50 ADMIN FEE-REFUND FOR CANCELLED RENTAL-LEMA OLAMILEMA OLOMI (50.00) REFUND-ADMIN FEE-E.OSARIOERICA OSORIO 5.00
REFUND-3D PRINTING&LASER CUTTING(RSP034)-E.OSARIOERICA OSORIO 95.00 CANCELLED FACILITY RENTAL REFUND-HANNAH PURDYHANNAH PURDY 2,863.00 CANCELLED FACILITY RENTAL REFUND-HANNAH PURDYHANNAH PURDY (1,431.50) 2,840.00
RECREATION SERVICES
AVR FIRE SUPPRESSION SYT SEMIANNUAL INSPECTIONMASTER PROTECTION LP 350.00 3/25 AVR TABLE CLOTH CLEANING SERVICEPRESS-TIGE ENTERPRISES INC 23.00 4/8 AVR TABLE CLOTH CLEANING SERVICEPRESS-TIGE ENTERPRISES INC 441.88 WINTER2022-RWC021/094/012 OC DANCE-18 PARTICIPANTSEVER AFTER EVENT PRODUCTIONS LLC 1,414.80 APR'22-AVR-CASH COURIER SERVICEGARDAWORLD 435.49
4/4/22 AVR GATE PREVENTIVE MAINTC.G. SYSTEMS, INC 218.70 3/6- 4/5/22 AVR-AT&T INTERNET & POT LINESAT&T 928.26
APR'22 AV RANCH PEST CONTROL SERVICE PO#5498CTJAMJT CORP. 395.00 MAR'22 SECURITY SRV FACILITY RESERVATION PO#5463LYONS SECURITY SERVICE IN 2,954.75 WINTER2022-RWC190 SPANISH CLASS-4PARTICIPANTSTLP EDUCATION LLC 218.40 LM-4/12 COPY PAPER STAPLES REIMBELIZABETH MENDOZA 23.69 SPRING2022-RSP032 ALL SPORTS CAMP-5 PARTICIPANTSBREAKTHROUGH SPORTS LLC 582.00 SPRING2022-RSP028 PLAYBALL-18 PARTICIPANTSOC PLAYBALL INC 1,728.00 APR'22 AVR-PLANT MAINTENANCEFOSTERS' GARDENS INC 110.00 MAR'22 FARM EMERGENCY LEAK REPAIRHARBOR POINTE AIR CONDITIONING & CONTROL SYSTEMS, INC 2,096.42 3/23 AVR HVAC-BROKEN COUPLING ASSESSMENTHARBOR POINTE AIR CONDITIONING & CONTROL SYSTEMS, INC 747.48 3/25 AVR FIRE SYSTEM PANEL-EMERGENCY REPAIR PO5496SIEMENS INDUSTRY INC 1,812.50 APR'22 AVR-TEMP FENCE INSTALLTION FOR SOD RENOVNIEVES LANDSCAPE INC 2,583.50 REC-OFFICE SUPPLIESSTAPLES ADVANTAGE 133.73
MAR'22 ACCT#4551 THE FARM ELECTRICITYSO CAL EDISON 689.96 MAR'22 ACCT#6247 AV RANCH TRACKED CHARGESSO CAL EDISON 793.54 MAR'22 ACCT#6247 AV RANCH ELECTRICITYSO CAL EDISON 2,364.53 RECREATION SERVICES TOTAL: 21,045.63
GF-AV RECREATION SERVICES TOTAL: 23,885.63
203 - GAS TAX
TRAFFIC ENGINEERING
MAR'22 TRAFFIC SIGNAL MONITORINGHARTZOG & CRABILL INC 1,689.89 TRAFFIC ENGINEERING TOTAL: 1,689.89
STREET MAINTENANCE
MAR'22 STREET MAINTENANCE (GAS 55%)PV MAINTENANCE INC 37,326.53 MAR'22 TRAFFIC SIGNAL MONITORING-RESPONSEBEAR ELECTRICAL SOLUTIONS INC 4,648.84 MAR'22 TRAFFIC SIGNAL MONITORING-ROUTINEBEAR ELECTRICAL SOLUTIONS INC 3,162.60 MAR'22 STREET SWEEPING SERVICESR F DICKSON CO INC 8,668.66 3/8-4/11/22 MTR #5675 CALLE CORTEZ WATER SERVICEEL TORO WATER DISTRICT 84.02 APR'22 DIGALERT DATABASE MAINT & 36 TICKETSUNDERGROUND SERVICE ALERT OF SOUTHERN CA 69.40 MAR'22 STREET LIGHTS LS2 ELECTRICITYSO CAL EDISON 1,107.21 MAR'22 STREET LIGHTS LS1 ELECTRICITYSO CAL EDISON 14,792.73 MAR'22 STREET LIGHTS TC1 ELECTRICITYSO CAL EDISON 3,176.50 STREET MAINTENANCE TOTAL: 73,036.49
GAS TAX TOTAL: 74,726.38
22 Description (Item)Vendor Name Amount
261 - CITY FAC.-AQUATIC CENTER
GEN-AQUATIC CENTER
APR'22-AQ CTR-CASH COURIER SERVICE PO#5560GARDAWORLD 435.49 MAR'22 AQ CTR PLUMBING SERVICEVERNE'S PLUMBING, INC 385.00 APR'22 AQ CTR PEST CONTROL SERVICECTJAMJT CORP. 185.00
APR'22 AQ CTR-JANITORIAL SERVICETEAM ONE MANAGEMENT SERVICES 1,239.00 AQ CTR-OFFICE SUPPLIESSTAPLES ADVANTAGE 199.52
4/8 AQ CTR-REMOVE DAMAGED KEYKINNEY'S KEYS 283.59
4/19 AQ CTR-DUPLICATE KEYS FOR OFFICE & PAD LOCKKINNEY'S KEYS 35.36 GEN-AQUATIC CENTER TOTAL: 2,762.96
CITY FAC.-AQUATIC CENTER TOTAL: 2,762.96
311 - STREET IMPROVEMENTS
STREETS & HIGHWAYS
MAR'22 #096 ALISO CREEK REHAB DESIGNENGINEERING RESOURCES OF SOUTHERN CALIFORNIA 10,026.60 STREETS & HIGHWAYS TOTAL: 10,026.60
STREET IMPROVEMENTS TOTAL: 10,026.60
331 - CAPITAL IMPROVEMENTS
CAPITAL IMPROVEMENTS
MAR'22 #049 AVR ELECTRIC REPAIR WESTERN PATIOPV MAINTENANCE INC 1,536.87 3/30-4/4/22 AQ CTR DISCHARGE LINE PIPEWORKVERNE'S PLUMBING, INC 3,125.00 #049 AV RANCH - FESTOON LIGHTING REPAIRBAKER ELECTRIC INC 3,230.27 AVR AUDIO VISUAL EQUIPMENT & LABORWESTERN A/V 100,858.74 CAPITAL IMPROVEMENTS TOTAL: 108,750.88
CAPITAL IMPROVEMENTS TOTAL: 108,750.88
411 - DEBT SERVICE
DEBT SERVICE
FY21-22 COP DISCLOSURE REPORTKOPPEL & GRUBER PUBLIC FIN. 2,014.93 DEBT SERVICE TOTAL: 2,014.93
DEBT SERVICE TOTAL: 2,014.93
731 - CFD 2005-01
TRUST FUND
JAN-MAR'22 CFD ADMIN SERVICESKOPPEL & GRUBER PUBLIC FIN. 1,989.98 TRUST FUND TOTAL: 1,989.98
CFD 2005-01 TOTAL: 1,989.98
GRAND TOTAL: 390,592.35
23 Accounts Payable
05/12/2022
Description (Item)Vendor Name Amount
101 - GENERAL FUND
APR'22 ENG 2241/GLAUKOS SNS INSTALLATIONPV MAINTENANCE INC 350.04 APR'22 ENG 2242/GLAUKOS SNS INSTALLATIONPV MAINTENANCE INC 350.04 APR'22 ENG 2243/GLAUKOS SNS INSTALLATIONPV MAINTENANCE INC 350.04 APR'22 ENG 2244/GLAUKOS SNS INSTALLATIONPV MAINTENANCE INC 350.04 8/4/22 SOKA EVT SPONSORSHIP-SHAKESPEARE BY THE SEASHAKESPEARE BY THE SEA 2,500.00 5/20-11/17/22 LA TIMES SUBSCRIPTIONLOS ANGELES TIMES 234.00 SP-2 YR ENR SUBSCRIPTION COST DATAUS BANK PURCHASING CARD PROGRAM 173.00 PC-APR'22-APR'23 POC HR CONSORTIUM MEM RENEWALUS BANK PURCHASING CARD PROGRAM 250.00 FEB'22 CAA ENG 2245 ALISO CREEK GRADINGCHARLES ABBOTT ASSOC INC 897.75 FEB'22 ENG2245 AP ENGINEERING & TESTINGCHARLES ABBOTT ASSOC INC 775.00 FEB'22 CAA ENG 5063 VISTA POINTE RIDGECHARLES ABBOTT ASSOC INC 418.49 FEB'22 CAA ENG 5049 COX UTILITYCHARLES ABBOTT ASSOC INC 191.70 FEB'22 CAA ENG 2227 LAGUNA AUDUBON IICHARLES ABBOTT ASSOC INC 72.30 FEB'22 CAA ENG 5003 COXCHARLES ABBOTT ASSOC INC 650.77
FEB'22 CAA ENG 5004 MNWDCHARLES ABBOTT ASSOC INC 1,060.51 FEB'22 CAA-7 COMPUTER STATIONS LEASE CREDITCHARLES ABBOTT ASSOC INC (350.00) MAR'22 BBK-PA 18-034/COMPASS BIBLEBEST BEST & KRIEGER 83.00 MAR'22 BBK -PA21-025/FENNEL RESTAURANTBEST BEST & KRIEGER 476.50 MAR'22 BBK -PA21-025/FENNEL RESTAURANTBEST BEST & KRIEGER 290.50 4/4/22-4/3/23 PALO ALTO NETWORK SUBSCRIPTIONSHI INTERNATIONAL CORP 11,767.62 FY22-23 ENDPOINT PROTECTIONSHI INTERNATIONAL CORP 6,875.00 P#20-1109 REFUND-SUNNY KIM/3 BIRCHMONTSUNNY KIM 500.00
BANNER FEE REIMB-TASTE OF ALISO NIGUEL EVTJAYME BRITTINGHAM 38.17 BANNER FEE REIMB-TASTE OF ALISO NIGUEL EVTJAYME BRITTINGHAM 1.91 JAN-MAR'22 MOULTON PKWY FEES COLLECTEDCOUNTY OF ORANGE PFRD 5,816.84 JAN-MAR'22 CARITS 2D FEES COLLECTEDCOUNTY OF ORANGE PFRD 12,806.43 46,929.65
CITY COUNCIL
PC-MM ACCOC-2022 BOD INSTALLATION RECEPTIONUS BANK PURCHASING CARD PROGRAM 25.00 CITY COUNCIL TOTAL: 25.00
CITY MANAGER
DD-CM FASTRACK/TOLL ROADS MONTHLY CHARGESUS BANK PURCHASING CARD PROGRAM 335.00 DD-4/14 MTG W/VALUEROCK- ACE PARKINGUS BANK PURCHASING CARD PROGRAM 9.00 DD-3/24 LUNCH MTG FOR BP EVT-STADIUM BREWUS BANK PURCHASING CARD PROGRAM 79.51 DL-5/3 BBK & VALUEROCK LUNCH MTG-FOOD REIMBDANA LEUTHAUSER 94.17 CM-OFFICE SUPPLIESSTAPLES ADVANTAGE 66.74
CITY MANAGER TOTAL: 584.42
ECONOMIC DEVELOPMENT
MAY'22-AVTC- STORAGE BIN RENTAL C-19-R2HAULAWAY STORAGE CONTAINERS INC 92.40 MAR'22 BBK 89 PLAYA CIRCLE PO#5564BEST BEST & KRIEGER 2,183.80 ECONOMIC DEVELOPMENT TOTAL: 2,276.20
HUMAN RESOURCES
APR'22-PR/TK/VG/CW SECURE LIVE SCAN FEESCHARLES C STILL 228.00 PC 4/20 HR ACADEMY DINNER- ALLEGRETTO VINEYARDUS BANK PURCHASING CARD PROGRAM 41.80 PC-4/19-4/21 CJPIA HR ACADEMY CONF REGISUS BANK PURCHASING CARD PROGRAM 375.00 PC 4/18 HR ACADEMY DINNER- ALLEGRETTO VINEYARDUS BANK PURCHASING CARD PROGRAM 47.15 PC 4/21 HR ACADEMY LUNCH-MCDONALDSUS BANK PURCHASING CARD PROGRAM 11.09 PC 4/19 HR ACADEMY DINNER -ALLEGRETTO VINEYARDUS BANK PURCHASING CARD PROGRAM 32.10 PC-PANEL THANK YOU STARBUCKS GIFTCARDUS BANK PURCHASING CARD PROGRAM 25.00 DD-4/4 CANDIDATE MEETING-STARBUCKSUS BANK PURCHASING CARD PROGRAM 9.70 PC-4/18-4/21/22 HR ACADEMY CONF-MILEAGE REIMBPATRICIA CANTONWINE 304.20 MAR'22 TB TESTS & EMPLOYEE EXAMSSOUTH COAST MEDICAL GROUP 525.00 HUMAN RESOURCES TOTAL: 1,599.04
CITY CLERK
MO-4/5-4/8/22 CCAC CONF-HOTEL/PRKGUS BANK PURCHASING CARD PROGRAM 852.82 24 Description (Item)Vendor Name Amount
MO-4/5-4/8/22 CCAC CONF-MILEAGE REIMBMITZI ORTIZ 48.79
CITY CLERK TOTAL: 901.61
CITY ATTORNEY
MAR'22 BBK - LEGAL SERVICES-CCBEST BEST & KRIEGER 4,225.70 MAR'22 BBK LABOR & EMPLOYMENTBEST BEST & KRIEGER 2,682.00 MAR'22 BBK - LABOR/BENEFITSBEST BEST & KRIEGER 298.00
MAR'22 BBK - GENERAL LITIGATIONBEST BEST & KRIEGER 8,915.33 MAR'22 BBK LEGAL SERVICESBEST BEST & KRIEGER 21,750.61 MAR'22 BBK CODE ENFORCEMENTBEST BEST & KRIEGER 428.39
CITY ATTORNEY TOTAL: 38,300.03
FINANCE
JAN-MAR'22 INVESTMENT ADVISORY SERVICESFHN FINANCIAL MAIN STREET ADVISORS LLC 3,750.00 SM-CITY HALL SAFE SRV-FIRE KING INV#SY739935US BANK PURCHASING CARD PROGRAM 351.08 SM-4/21/22 LANCE SOLL & LUNGHARD CONF REGISUS BANK PURCHASING CARD PROGRAM 95.00 FEB'22 CUSTODIAN CHARGESUS BANK N.A. - CUSTODY 135.50
JAN'22 CUSTODIAN CHARGESUS BANK N.A. - CUSTODY 135.50
MAR'22 CUSTODIAN CHARGESUS BANK N.A. - CUSTODY 135.50
APR-JUN'22 PROPERTY TAX CONTRACT SERVICEHDL COREN & CONE 3,655.41 FINANCE TOTAL: 8,257.99
INFORMATION TECHNOLOGY
4/10-5/9/22 ACCT#0202-CH-TV/CABLECOX COMMUNICATIONS, INC 154.73 4/19-5/18/22 ACCT #9302-CH-IT SERVER ROOMCOX COMMUNICATIONS, INC 85.39 APR'22 NETWORK SUPPORT & SECURITY ENGINEERNATHAN M KEETER 416.67 GRANICUS LIVECAST SETUP & CONFIGURATIONGRANICUS INC 1,100.78 GRANICUS CLEARCASTER SUBSCRIPTIONGRANICUS INC 1,659.00
GRANICUS SERVER UPGRADEGRANICUS INC 3,753.63
APR-JUN'22-GRANICUS-STREAMING SOFTWAREGRANICUS INC 1,659.00 FEB'22 ENERGOV & GIS SUPPORTJOSE RUEL FABELLA DIRA 1,200.00 MAR'22 ENERGOV & GIS SUPPORTJOSE RUEL FABELLA DIRA 1,800.00 4/22-5/21/22-CH-ELEVATORAT&T 1,108.02
APR'22 ENERGOV & GIS SUPPORTJOSE RUEL FABELLA DIRA 2,900.00 4/19-5/18/22-CH-AT&T FIBER INTERNETAT&T 1,105.52
PALO ALTO NETWORK HARDWARESHI INTERNATIONAL CORP 12,014.75 4/23-5/22/22 CH O365 LICENSES & SUPPORTTANGENT COMPUTERS INC 2,291.47 APR'22 OFFSITE BACKUP STORAGE SERVICE-ZERTOLUNAVI, INC 1,797.18 INFORMATION TECHNOLOGY TOTAL: 33,046.14
NON-DEPARTMENTAL
MAY'22 OFF SITE STORAGE RECORDSCERTIFIED RECORDS MANAGEMENT 429.85 5/12-6/11/22 RICOH C5200S LEASERICOH USA 729.92
D.LEUTHAUSER & A.EIFERT-BUSINESS CARDSIPROMOTEU.COM INC 90.40 NAMEPLATE-P. ESPINOZAJ&M TROPHIES INC 30.39
APR'22 -VP-LIGHTING MAINTENANCEPEAK LIGHTING & ELECTRIC INC 131.95 4/1-4/30/22 RICOH 2504EX FRONT COUNTER-COPIESRICOH USA 183.50 2/1-4/30/22 RICOH 2504EX SUITE 200-COPIESRICOH USA 0.55 2/1-4/30/22 RICOH C5200S COPIESRICOH USA 538.81
MAY'22 CH FIRST AID MAINTENANCE PO#5537CINTAS CORPORATION NO. 2 151.14 APR'22 VISTA PARK LANDSCAPE MAINTENANCENIEVES LANDSCAPE INC 1,028.96 5/21/22-S.CHESTERMAN/PACLIFE CERTIFICATEFEDERAL EXPRESS 29.38 4/26/22-T.ACKLEY MAILFEDERAL EXPRESS 10.10
CEN-COPY & BREAK ROOM SUPPLIESSTAPLES ADVANTAGE 254.15
3/21-4/18/22 MTR#2206 VISTA PARK WATER SERVICEMOULTON NIGUEL WATER DIST 621.55 3/28-4/25/22 MTR #2066 MEDIANS WATER SRVMOULTON NIGUEL WATER DIST 88.26 3/1-5/28/22 POSTAGE MACHINE LEASEQUADIENT LEASING USA INC 590.39 NON-DEPARTMENTAL TOTAL: 4,909.30
C. S. ADMINISTRATION
GRAPHIC DESIGN-BROCHURES/FLYERS/CAMP ADSMICHAEL R JUE 13,537.50 MO-3/17 -3/29 FACEBOOK SUMMER CAMP ADUS BANK PURCHASING CARD PROGRAM 13.53 NL-MOVIE EVENT SNACKS FOR STAFF-SMART & FINALUS BANK PURCHASING CARD PROGRAM 34.95 NL-JAMFEST CRAFT SUPPLIES-AMAZONUS BANK PURCHASING CARD PROGRAM 85.41 NL-JAMFEST EVENT SUPPLIES-AMAZONUS BANK PURCHASING CARD PROGRAM 32.31 NL-JAMFEST CRAFT SUPPLIES-AMAZONUS BANK PURCHASING CARD PROGRAM 17.22 NL-EARTH DAY WORKSHOP SUPPLIES-WALMARTUS BANK PURCHASING CARD PROGRAM 22.56 NL-3/25 MOVIE EVENT STAFF MEALS-ITALIAN BURGERUS BANK PURCHASING CARD PROGRAM 155.98 25 Description (Item)Vendor Name Amount
NL-JAMFEST EVENT SUPPLIES-SMART & FINALUS BANK PURCHASING CARD PROGRAM 25.84 LM-JAMFEST EVENT SUPPLIES-FUN EXPRESSUS BANK PURCHASING CARD PROGRAM 206.82 LM-JAMFEST EVENT SUPPLIES-FUN EXPRESSUS BANK PURCHASING CARD PROGRAM 209.84 JB-JAMFEST EVENT SUPPLIES-AMAZONUS BANK PURCHASING CARD PROGRAM 241.21 NL-JAMFEST SUPPLIESUS BANK PURCHASING CARD PROGRAM 112.38 PC-3/2 MEDAL OF VALOR TABLE FOR 10-OC SHERIFFS ADUS BANK PURCHASING CARD PROGRAM 1,200.00 2022 SUMMER CAMP POSTCARD PRINTINGWESTAMERICA COMMUNICATIONS INC 3,241.51 MAR'22 SMP GEN FUND- TRANSPORTATION SERVICESCABCO YELLOW INC 63.00 FY21-22 CAG-SOUTH COUNTY OUTREACH-1ST INSTSOUTH COUNTY OUTREACH 2,500.00 5/19 HONORING OUR HISTORY EVENT-15 CENTERPIECESTHE PINK DAFFODIL, LLC 800.00 C. S. ADMINISTRATION TOTAL: 22,500.06
IGLESIA PARK
APR'22 IGLESIA PARK MAINTENANCE PO#5489PV MAINTENANCE INC 1,035.50 APR'22 ALISO CREEK MEDIANS BACKFLOW TESTNATIONAL BACKFLOW INC 170.00 APR'22 IGLESIA LANDSCAPE MAINTENANCENIEVES LANDSCAPE INC 6,846.00 IGLESIA PARK TOTAL: 8,051.50
IGLESIA BUILDING
MAY'22-IPCC-ACCESS CONTROL SERVICESONITROL ORANGE COUNTY LLC 99.22 APR'22-IPCC-20 VISITS PATROL SERVICETMR SECURITY & PATROL SERVICES INC 210.00 MAY'22 IPCC-PEST CONTROL SERVICECTJAMJT CORP. 5.00
MAY'22 IPCC-PEST CONTROL SERVICECTJAMJT CORP. 90.00
IGLESIA BUILDING TOTAL: 404.22
IGLESIA PARK COMMUNITY CENTER
APR'22 B&G CAPO- ELEMENTARY & TEEN KEYSTONE PROGBOYS & GIRLS CLUB OF CAPISTRANO VALLEY 13,125.00 MAR'22 B&G CAPO- ELEMENTARY & TEEN KEYSTONE PROGBOYS & GIRLS CLUB OF CAPISTRANO VALLEY 13,125.00 IGLESIA PARK COMMUNITY CENTER TOTAL: 26,250.00
PLANNING
APR'22 AFFORDABLE HOUSING CONSULTANT SRVREBECCA J CAHA 1,312.50 OD-AVTC APR'22 CONSTANT CONTACT-EMAIL MARKETINGUS BANK PURCHASING CARD PROGRAM 45.00 PLANNING TOTAL: 1,357.50
BUILDING
FEB'22 CAA BUILDING SERVICESCHARLES ABBOTT ASSOC INC 41,898.63 FEB'22 CAA BUILDING SRV-PERMIT TECHCHARLES ABBOTT ASSOC INC 7,840.55 BLDG-OFFICE SUPPLIESSTAPLES ADVANTAGE 165.09
BUILDING TOTAL: 49,904.27
ENGINEERING (GENERAL)
MAY'22 PUBLIC WORKS WAREHOUSE LEASEPV MAINTENANCE INC 1,035.00 SP &QL-5/2 CEAOC MEETING REGISUS BANK PURCHASING CARD PROGRAM 90.00 APWA CONFERENCE REGISTRATIONUS BANK PURCHASING CARD PROGRAM 829.00 SP-CED LIGHTING SUPPLYUS BANK PURCHASING CARD PROGRAM 132.79 SP-TRUCK STOCK SUPPLIES-HOME DEPOTUS BANK PURCHASING CARD PROGRAM 15.04 KB-LED LIGHTING SUPPLYUS BANK PURCHASING CARD PROGRAM 39.95 SP-TRUCK STOCK SUPPLIES-HOME DEPOTUS BANK PURCHASING CARD PROGRAM 42.95 FEB'22 CAA NPDES COSTSCHARLES ABBOTT ASSOC INC 20,202.50 FEB'22 CAA SOLID WASTECHARLES ABBOTT ASSOC INC 6,194.61 FEB'22 CAA PW ENGINEERING-ADMINCHARLES ABBOTT ASSOC INC 119.70 ENGINEERING (GENERAL) TOTAL: 28,701.54
STREET MAINTENANCE
APR'22 STREET MAINTENANCE (45%)PV MAINTENANCE INC 23,737.12 FEB'22 CAA STREET MAINTENANCECHARLES ABBOTT ASSOC INC 24,696.53 STREET MAINTENANCE TOTAL: 48,433.65
LAW ENFORCEMENT-CONTRACT
MAY'22 LAW ENFORCEMENTCOUNTY OF ORANGE 782,783.60
MAY'22 CONTRACT PAYMENT CREDITCOUNTY OF ORANGE (1,980.08) LAW ENFORCEMENT-CONTRACT TOTAL: 780,803.52
LAW ENFORCEMENT-OTHER
LE-DEP.BAKER MOTORCYCLE BMW#3962-REPAIRSSEAVCO INC 630.49 BRASS PLATE FOR INV. CHAPLUK CITY TILEJ&M TROPHIES INC 17.24 CD-4/19 STAFF MEETING/ LUNCH WITH PATROL DEPUTIESUS BANK PURCHASING CARD PROGRAM 119.80 4/3-4/16/22- 230 HRS SCHOOL CROSSING GUARD SRVALL CITY MANAGEMENT SERVICES 5,825.90 JAN-MAR'22 COMM CHARGESCOUNTY OF ORANGE 1,231.59
LAW ENFORCEMENT-OTHER TOTAL: 7,825.02
26 Description (Item)Vendor Name Amount
EOC
SL-3 AED REPLACEMENT PADS-AED SUPERSTORE #551566US BANK PURCHASING CARD PROGRAM 573.61 SL-AV CTR AED REPLACEMENT COVER-ALLIED #2119944US BANK PURCHASING CARD PROGRAM 84.13 EOC TOTAL: 657.74
GENERAL FUND TOTAL: 1,111,718.40
102 - GEN. FD-CITY HALL
NON-DEPARTMENTAL
APR'22 CITY HALL MAINTENANCEPV MAINTENANCE INC 206.59
MAY'22 CH -ACCESS CONTROL SERVICESONITROL ORANGE COUNTY LLC 552.74 MAY'22 CH-INTRUSION DECTECTIONSONITROL ORANGE COUNTY LLC 196.51 SP-4/5 CH SUPPLIES -HOME DEPOTUS BANK PURCHASING CARD PROGRAM 39.54 APR'22-CH-LIGHTING MAINTENANCEPEAK LIGHTING & ELECTRIC INC 105.45 4/5-5/4/22 MTR#6544 CITY HALL GAS SERVICETHE GAS COMPANY 490.52 MAY'22 CH-ELEVATOR MAINTENANCETHURSTON ELEVATOR CONCEPTS INC 131.00 APR'22 CITY HALL LANDSCAPE MAINTENANCENIEVES LANDSCAPE INC 678.00 3/21-4/18/22 MTR#8510 CITY HALL WATER SRVMOULTON NIGUEL WATER DIST 161.87 3/21-4/18/22 MTR#6010 CITY HALL WATER SRVMOULTON NIGUEL WATER DIST 120.14 3/21-4/18/22 MTR#7051 CITY HALL WATER SRVMOULTON NIGUEL WATER DIST 326.44 APR'22 ACCT#7189 CITY HALL ELECTRICITYSO CAL EDISON 5,949.34 NON-DEPARTMENTAL TOTAL: 8,958.14
GEN. FD-CITY HALL TOTAL: 8,958.14
103 - GF-AV RECREATION SERVICES
MAY'21- APR'23 AV RANCH ANNUAL FOG FEEMOULTON NIGUEL WATER DIST 160.00 5/15/22-5/15/23 AV RANCH EV CHARGING STATIONSSEMACONNECT INC 1,200.00 1,360.00
RECREATION SERVICES
APR'22 AV RANCH MAINTENANCEPV MAINTENANCE INC 193.00
4/22 AVR TABLE CLOTH CLEANING SERVICEPRESS-TIGE ENTERPRISES INC 338.69 4/25 AVR TABLE CLOTH CLEANING SERVICEPRESS-TIGE ENTERPRISES INC 217.73 APR'22 AV RANCH JANITORIAL SERVICETEAM ONE MANAGEMENT SERVICES 6,085.27 3/2/22-AVR-CASH COURIER SERVICE EXCESS TIMEGARDAWORLD 6.45 MAY'22-AVR-ACCESS CONTROL SERVICESONITROL ORANGE COUNTY LLC 485.78 MAY'22 AV & AQ CTR- ACCESS CONTROL SERVICESONITROL ORANGE COUNTY LLC 113.56 4/13 AVR BOTTLED WATER SERVICEDS SERVICES OF AMERICA, INC 26.83 KB-4/12 AV RANCH SUPPLIES-HOME DEPOTUS BANK PURCHASING CARD PROGRAM 10.75 SP-AVR SUPPLIES-HOME DEPOTUS BANK PURCHASING CARD PROGRAM 35.04 SP-AVR SUPPLIES-HOME DEPOTUS BANK PURCHASING CARD PROGRAM 286.46 KB-4/20 AV RANCH SUPPLIES-HOME DEPOTUS BANK PURCHASING CARD PROGRAM 27.34 NL-SUMMER CAMP SUPPLIES-HOBBY LOBBYUS BANK PURCHASING CARD PROGRAM 4.29 NL-PRESENTATION REMOTE CLICKER-AMAZONUS BANK PURCHASING CARD PROGRAM 32.20 APR'22 -AVR-LIGHTING MAINTENANCEPEAK LIGHTING & ELECTRIC INC 253.90 APR'22 AV RANCH WIRE CONNECTORSCONSOLIDATED ELECTRICAL DISTRIBUTORS, INC 123.47 APR'22 AVR- HVACHARBOR POINTE AIR CONDITIONING & CONTROL SYSTEMS, INC 2,938.09 5/1- 5/31/22-AVR COPIER SUBSCRIPTIONRICOH USA 21.00
APR'22 AVR FIRST AID MAINTENANCECINTAS CORPORATION NO. 2 60.00 APR'22 AVR FIRST AID MAINTENANCECINTAS CORPORATION NO. 2 9.30 APR'22 AV RANCH LANDSCAPE MAINTENANCENIEVES LANDSCAPE INC 2,262.67 REC-OFFICE SUPPLIESSTAPLES ADVANTAGE 211.30
3/21-4/18/22 MTR #0819 AV RANCH WATER SRVMOULTON NIGUEL WATER DIST 127.55 3/28-4/25/22 MTR#1100 AV RANCH WATER SRVMOULTON NIGUEL WATER DIST 134.99 3/21-4/18/22 MTR#5356 AV RANCH WATER SRVMOULTON NIGUEL WATER DIST 326.44 3/21-4/18/22 MTR#7892/6534 AV RANCH WATER SRVMOULTON NIGUEL WATER DIST 549.71 3/28-4/25/22 MTR #0958 AV RANCH WATER SERVICEMOULTON NIGUEL WATER DIST 122.88 3/21-4/18/22 MTR #0973 AV RANCH WATER SERVICEMOULTON NIGUEL WATER DIST 83.09 4/23-5/22/22 AVR O365 LICENSES & SUPPORTTANGENT COMPUTERS INC 425.53 RECREATION SERVICES TOTAL: 15,513.31
GF-AV RECREATION SERVICES TOTAL: 16,873.31
203 - GAS TAX
STREET MAINTENANCE
APR'22 STREET MAINTENANCE (GAS 55%)PV MAINTENANCE INC 29,012.03 27 Description (Item)Vendor Name Amount
MAY'22 DIGALERT DATABASE MAINT & 46TICKETSUNDERGROUND SERVICE ALERT OF SOUTHERN CA 84.25 APR'22 MEDIANS LANDSCAPE MAINTENANCENIEVES LANDSCAPE INC 1,586.00 3/28-4/25/22 MTR #4551 MEDIANS WATER SRVMOULTON NIGUEL WATER DIST 100.39 3/28-4/25/22 MTR#6544 MEDIANS WATER SRVMOULTON NIGUEL WATER DIST 96.93 APR'22 STREET LIGHTS LS2 ELECTRICITYSO CAL EDISON 1,107.99 APR'22 STREET LIGHTS LS1 ELECTRICITYSO CAL EDISON 15,309.04 MAR'22 ACCT#6953 ST LIGHTS & TRAFFIC CONTROLLERSSAN DIEGO GAS & ELECTRIC 2,548.81 STREET MAINTENANCE TOTAL: 49,845.44
GAS TAX TOTAL: 49,845.44
204 - MEASURE M
GEN-MEASURE M
MAR'22 SMP M2 FUND- TRANSPORTATION SERVICESCABCO YELLOW INC 252.00 GEN-MEASURE M TOTAL: 252.00
MEASURE M TOTAL: 252.00
215 - PUBLIC SAFETY GRANTS
LAW ENFORCEMENT-OTHER
APR'22 AFISCOUNTY OF ORANGE 1,958.00
MAY'22 MDC RECURRINGCOUNTY OF ORANGE 4,011.56
MAY'22 PVS RECURRINGCOUNTY OF ORANGE 1,838.97
MAY'22 MDC REPLACEMENTCOUNTY OF ORANGE 1,627.11
MAY'22 PVS REPLACEMENTCOUNTY OF ORANGE 1,136.46
MAY'22 E CITATION REPLACEMENT COSTSCOUNTY OF ORANGE 183.56 MAY'22 E CITATION RECURRING COSTSCOUNTY OF ORANGE 384.97 MAY'22 MOTORCYCLE REPLACEMENT COSTSCOUNTY OF ORANGE 64.60 LAW ENFORCEMENT-OTHER TOTAL: 11,205.23
PUBLIC SAFETY GRANTS TOTAL: 11,205.23
225 - INTEGRATED WASTE MGMT FD
GEN-BEV CONTAINER RECYCLE
SP-PRO DRINKING FOUNTAINSUS BANK PURCHASING CARD PROGRAM 2,304.97 GEN-BEV CONTAINER RECYCLE TOTAL: 2,304.97
INTEGRATED WASTE MGMT FD TOTAL: 2,304.97
241 - TECHNOLOGY FUND
GEN-TECHNOLOGY GRANTS
APR-JUN'22 GRANICUS WEBSTREAMING SRVGRANICUS INC 2,314.27 GEN-TECHNOLOGY GRANTS TOTAL: 2,314.27
TECHNOLOGY FUND TOTAL: 2,314.27
261 - CITY FAC.-AQUATIC CENTER
MAY'22-AQ CTR-RETENTION FEESPREMIER AQUATIC SERVICES (1,625.00) -1,625.00
GEN-AQUATIC CENTER
4/19-5/18/22 ACCT #6701-AQ CTR-INTERNETCOX COMMUNICATIONS, INC 494.25 MAY'22 AQ CTR PEST CONTROL SERVICECTJAMJT CORP. 185.00
MAY'22-AQ CTR-MANAGEMENT FEESPREMIER AQUATIC SERVICES 10,833.33 KB-4/20 AQ CTR SUPPLIES-HOME DEPOTUS BANK PURCHASING CARD PROGRAM 169.14 SP-4/6 AQ CTR SUPPLIES-HOME DEPOTUS BANK PURCHASING CARD PROGRAM 6.90 SP-4/5 AQ CTR SUPPLIES-HARRINGTON IND PLASTICSUS BANK PURCHASING CARD PROGRAM 484.60 APR'22-AQ CTR-LIGHTING MAINTENANCEPEAK LIGHTING & ELECTRIC INC 171.35 4/5-5/5/22 MTR#2349 AQ CTR GAS SERVICETHE GAS COMPANY 3,478.96 APR'22 AQ CTR LANDSCAPE MAINTENANCENIEVES LANDSCAPE INC 912.48 3/21-4/18/22 MTR #6054 AQ CTR WATER SERVICEMOULTON NIGUEL WATER DIST 386.81 3/21-4/18/22 MTR#2996 AQ CTR WATER SRVMOULTON NIGUEL WATER DIST 226.69 APR'22 AQ CTR-POOL CHEMICALSTHE ILLINI COMPANIES, INC 2,366.00 MAR'22 AQ CTR-MONTHLY POOL MAINTENANCEKNORR SYSTEMS INC 1,792.64 GEN-AQUATIC CENTER TOTAL: 21,508.15
CITY FAC.-AQUATIC CENTER TOTAL: 19,883.15
28 Description (Item)Vendor Name Amount
311 - STREET IMPROVEMENTS
TRAFFICE SAFETY
MAR'22 #130 OCTA ALISO CREEK SIGNAL SYNC PROJHARTZOG & CRABILL INC 5,271.25 TRAFFICE SAFETY TOTAL: 5,271.25
STREET IMPROVEMENTS TOTAL: 5,271.25
332 - STORM WATER
DRAINAGE IMPROVEMENTS
APR'22 #091 DAIRY FORK WETLAND MAINTENANCEPV MAINTENANCE INC 482.50 APR'22 #030 WOOD CANYON WETLANDS MAINTENANCEPV MAINTENANCE INC 482.50 DRAINAGE IMPROVEMENTS TOTAL: 965.00
STORM WATER TOTAL: 965.00
741 - RENEWABLE FARMS
APR'22 RENEWABLE FARMS-RETENTION PAYMENTAARON FLORA (2,954.80) APR'22 RENEWABLE FARMS-PAYMENTAARON FLORA 29,548.00
26,593.20
RENEWABLE FARMS TOTAL: 26,593.20
GRAND TOTAL: 1,256,184.36
29 City of Aliso Viejo
AGENDA ITEM
DATE: June 1, 2022
TO: Mayor and City Council
FROM: Ann Eifert, Director of Financial Services/City Treasurer
SUBJECT: TREASURER’S STATEMENT – MARCH 2022
Recommended Action:
Approve March 2022 Treasurer’s Statement.
Fiscal Impact:
No Fiscal Impact.
Background:
Per City policy, the Finance Department presents the monthly Treasurer’s Statement for the City Council’s review and approval. This statement shows the cash balances for the various funds, with a breakdown of bank account balances, investment account balances and the effective yield earned from investments.
Discussion:
The City’s portfolio consists of investments in Certificates of Deposits (CD), Medium Term Notes, US Treasury bonds, Federal Agency (Government Sponsored Enterprises (GSE)) bonds, Corporate Notes (CN), and Local Agency Investment Fund (LAIF). All funds invested with LAIF are available for withdrawal within 24 hours.
With Proposition 1A, the State does not have the ability to borrow from funds invested in LAIF. CD’s are insured by Federal Deposit Insurance Corporation (FDIC). FDIC is an independent agency created by Congress in 1933 to supervise banks, insure deposits, and help maintain a stable and sound banking system. Investments in agencies are backed by the implied guarantee of the U.S. government. All CN’s purchased are rated “AA” or better by a nationally recognized rating agency.
Interest is credited to the City’s bank account on a monthly basis. All deposits in excess of FDIC insurance limits are collateralized by the financial institution in accordance with government codes.
30
Fund transfers for capital projects and reimbursement of fiscal charges for the CFD 2005- 01 are completed on a quarterly basis. Street improvements include payments for the Pacific Park Rehabilitation & Slurry Seal projects and are funded with Measure M and SB 1 funds. COP Capital provides funding for the AV Ranch project and is funded by Bond proceeds, General fund and Development Impact funds.
Attachment:
1. Mar’22 Treasurer’s Statement
31 32
Investment Type Original
Cost
Par
Value
Market
Value *
% of
Portfolio
Federal Agency Coupon Securities $ 3,242,621 $ 3,235,000 $ 3,162,520 13.43% LAIF $ 11,540,975 $ 11,540,975 $ 11,540,975 47.79%
Medium Term Notes $ 2,000,620 $ 2,000,000 $ 1,973,684 8.29% FDIC CDs $ 6,364,897 $ 6,370,000 $ 6,253,116 26.36%
Treasury Coupon Securities $ 998,125 $ 1,000,000 $ 996,973 4.13% Portfolio: $ 24,147,237 $ 24,145,975 $ 23,927,267 100.00% Years To Maturity 0.99
Weighted Average Yield 0.940%
*Market Values obtained from US Bank Treasury Division
City of Aliso Viejo
Portfolio Summay
As of 3/31/2022
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37 LAIF Regular Monthly Statement
https://laifms.treasurer.ca.gov/RegularStatement.aspx 1/1 Local Agency Investment Fund
P.O. Box 942809
Sacramento, CA 94209-0001
(916) 653-3001
CITY OF ALISO VIEJO
FINANCE DIRECTOR
12 JOURNEY , #100
ALISO VIEJO, CA 92656
Account Number: 98-30-007
March 2022 Statement
Account Summary
Total Deposit: 0.00 Beginning Balance: 11,540,974.74
Total Withdrawal: 0.00 Ending Balance: 11,540,974.74
38 Mar 0.365
Feb 0.278
Jan 0.234
0.00000875657176851
0.988753538
LAIF Earnings Ratio(2):
LAIF Fair Value Factor(1):
PMIA Daily(1): 0.42%
0.32LAIF Apportionment Rate(2):
PMIA Quarter to Date(1): 0.29%
310PMIA Average Life(1):
Treasuries
66.18%
Agencies
17.78%
Certificates of
Deposit/Bank Notes
7.38%
Time
Deposits
1.99%
Commercial
Paper
6.11%
Corporate
Bonds
0.20%
Loans
0.36%
Notes: The apportionment rate includes interest earned on the CalPERS Supplemental Pension Payment pursuant to Government Code 20825 (c)(1) and interest earned on the Wildfire Fund loan pursuant to Public Utility Code 3288 (a).
Source:
(1) State of California, Office of the Treasurer
(2) State of Calfiornia, Office of the Controller
PMIA Average Monthly
Effective Yields(1)
PMIA/LAIF Performance Report
as of 04/15/22
Daily rates are now available here. View PMIA Daily Rates Quarterly Performance
Quarter Ended 03/31/22
Chart does not include $5,704,000.00 in mortgages, which equatesto 0.003%. Percentages may not total 100% due to rounding.
Pooled Money Investment Account
Monthly Portfolio Composition (1)
03/31/22
$207.9 billion
39 City of Aliso Viejo
AGENDA ITEM
DATE: June 1, 2022
TO: Mayor and City Council
FROM: Ann Eifert, Director of Financial Services
SUBJECT: AUTHORIZED OFFICERS FOR LOCAL AGENCY INVESTMENT FUND (LAIF)
Recommended Action:
Adopt a Resolution to update the City employees authorized to order the deposit or withdrawal of monies in the Local Agency Fund (LAIF) and rescinding Resolution No. 2006-027.
Fiscal Impact:
None.
Background:
The City of Aliso Viejo invests in the State Local Agency Investment Fund (LAIF).
Investment in LAIF is permitted under the City’s formally adopted Investment Policy.
Discussion:
Per LAIF regulations, the City Council should adopt a new resolution when employees who are designated as authorized officers are no longer with the City. Authorized officers are permitted to order the deposit and withdrawal of funds, obtain statements, verify account information, and/or request changes to the account. The updated resolution will designate the City Manager, Director of Financial Services/City Treasurer, and the Accounting Supervisor as authorized officers.
Attachment:
1. Resolution
40
RESOLUTION NO. 2022-____
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF ALISO
VIEJO, CALIFORNIA, AUTHORIZING INVESTMENT OF MONIES IN THE LOCAL AGENCY FUND AND RESCINDING RESOLUTION 2006-027
WHEREAS, the Local Agency Investment Fund is established in the State Treasury under Government Code section 16429.1 et. seq. for the deposit of money of a local agency for purposes of investment by the State Treasurer; and
WHEREAS, the City Council of the City of Aliso Viejo hereby finds that the deposit and withdrawal of money in the Local Agency Investment Fund in accordance with Government Code section 16429.1 et. seq. for the purpose of investment as provided therein is in the best interests of the City of Aliso Viejo;
NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF ALISO VIEJO hereby authorizes the deposit and withdrawal of City of Aliso Viejo monies in the Local Agency Investment Fund in the State Treasury in accordance with Government Code section 16429.1 et. seq. for the purpose of investment as provided therein.
BE IT FURTHER RESOLVED AS FOLLOWS:
Section 1: The following City of Aliso Viejo officers holding the titles specified hereinbelow or their successors in office are each hereby authorized to order the deposit or withdrawal of monies in the Local Agency Investment Fund and may execute and deliver any and all documents necessary or advisable in order to effectuate the purposes of this resolution and the transactions contemplated hereby:
David Doyle - City Manager
Ann Eifert - Director of Financial Services/City Treasurer Sheryl Mariano - Accounting Supervisor
Section 2: This resolution shall remain in full force and effect until rescinded by City.
Section 3: That Resolution No. 2006-027 is repealed in its entirety.
Section 4: The Mayor shall sign this Resolution and the City Clerk shall certify the adoption thereof.
41
PASSED, APPROVED AND ADOPTED this 1st day of June, 2022. __________________________
Ross Chun
Mayor
APPROVED AS TO FORM: ATTEST:
__________________________ __________________________
Scott C. Smith, City Attorney Mitzi Ortiz, MMC, City Clerk 42
STATE OF CALIFORNIA )
COUNTY OF ORANGE ) ss.
CITY OF ALISO VIEJO )
I, MITZI ORTIZ, City Clerk of the City of Aliso Viejo, California, DO HEREBY CERTIFY that the foregoing is the original of Resolution No. 2022-__ duly passed and adopted by the City Council of the City of Aliso Viejo at their regular meeting held on the 1st day of June, 2022, by the following roll call vote, to wit:
AYES:
NOES:
ABSENT:
___________________________
MITZI ORTIZ, MMC
CITY CLERK
(SEAL)
43 City of Aliso Viejo
AGENDA ITEM
DATE: June 1, 2022
TO: Mayor and City Council
FROM: Ann Eifert, Director of Financial Services
SUBJECT: PROFESSIONAL SERVICES AGREEMENT WITH ROGERS, ANDERSON,
MALODY & SCOTT, LLP FOR AUDITING SERVICES
Recommended Actions:
1. Approve the agreement with Rogers, Anderson, Malody & Scott, LLP for auditing services; and
2. Authorize the City Manager to execute the agreement for an amount not to exceed $36,000.
Fiscal Impact:
The total cost of the agreement is $36,000 to complete the City’s financial audit for fiscal year 2021-22. Funds for auditing services are included in the City’s annual budget.
Background:
Rogers, Anderson, Malody & Scott, LLP (RAMS) has provided the City with audit services since fiscal year 2015-16. RAMS serves as a valuable resource to the City as government financial reporting continues to evolve and governmental financial management becomes more complex and legally constrained. Relevant experience, technical knowledge, and communication skills are important criteria’s when viewed in this larger perspective. The auditors play an important role in testing and evaluating the City's system of internal controls and overall financial management for strengths and signs of weakness and reporting these results.
Discussion:
RAMS is doing exceptional work for the City in terms of service and the completion of audits in a timely manner. The auditors are responsible for ensuring all audits are performed in accordance with Generally Accepted Auditing Principles (GAAP) and the standards set for financial audits contained in Governmental Auditing Standards (2011) issued by the Comptroller General of the United States, the provisions of the Federal 44
Single Audit Act as amended in 1996, and U.S. Office of Management and Budget (OMB) Circular A-133 Audits of States, Local Governments, and Non-Profit Organizations.
RAMS’ extensive experience, depth of knowledge and a commitment to the high standards required by the City make them a valuable partner in the auditing process. Due to staff turnover and near-term deadlines for financial reporting, Staff recommends Council authorize RAMS to provide services to the City for an additional year in order to complete the FY 2021-22 audit. A Request for Proposals (RFP) for auditing services will be issued next fiscal year.
Attachment:
1. Agreement
45 1
CITY OF ALISO VIEJO
PROFESSIONAL SERVICES AGREEMENT
FOR
AUDITING SERVICES
1. PARTIES AND DATE.
This Agreement is made and entered into this 1st day of June, 2022, by and between the City of Aliso Viejo, a municipal organization organized under the laws of the State of California with its principal place of business at 12 Journey, Suite 100, Aliso Viejo, California 92656 ("City") and Rogers Anderson, Malody & Scott, LLP , a Limited Liability Partnership , with its principal place of business at 735 E. Carnegie Drive, Suite 100, San Bernardino, CA 92408 ("Consultant"). City and Consultant are sometimes individually referred to herein as "Party" and collectively as "Parties."
2. RECITALS.
2.1 Consultant.
Consultant desires to perform and assume responsibility for providing professional services relating to independent auditing services as required by the City on the terms and conditions set forth in this Agreement. Consultant represents that it is experienced in providing professional AUDITING SERVICES to public clients and are duly authorized to practice and are licensed by the California State Board of Accountancy.
2.2 Project.
City desires to engage Consultant to render such services for the City’s auditing services ("Project") as set forth in this Agreement.
3. TERMS.
3.1 Scope of Services and Term.
3.1.1 General Scope of Services. Consultant promises and agrees to furnish to the City all labor, materials, tools, equipment, services, and incidental and customary work necessary to fully and adequately supply the professional auditing services necessary for the Project ("Services"). The Services are more particularly described in Exhibit "A" attached hereto and incorporated herein by reference. All Services shall be subject to, and performed in accordance with, this Agreement, the exhibits attached hereto and incorporated herein by reference, and all applicable local, state and federal laws, rules and regulations.
3.1.2 Term. The term of this Agreement shall be from June 1, 2022 to June 30, 2023, unless earlier terminated as provided herein. Consultant shall complete the Services within the term of this Agreement, and shall meet any other established schedules and deadlines. 46 2
3.2 Responsibilities of Consultant.
3.2.1 Control and Payment of Subordinates; Independent Contractor. The Services shall be performed by Consultant or under its supervision. Consultant will determine the means, methods and details of performing the Services subject to the requirements of this Agreement. City retains Consultant on an independent contractor basis and not as an employee.
Consultant shall complete, execute, and submit to City a Request for Taxpayer Identification Number and Certification (IRS FormW-9) prior to commencement of any Services under this Agreement. Consultant retains the right to perform similar or different services for others during the term of this Agreement. Any additional personnel performing the Services under this Agreement on behalf of Consultant shall also not be employees of City and shall at all times be under Consultant's exclusive direction and control. Consultant shall pay all wages, salaries, and other amounts due such personnel in connection with their performance of Services under this Agreement and as required by law. Consultant shall be responsible for all reports and obligations respecting such additional personnel, including, but not limited to: social security taxes, income tax withholding, unemployment insurance, disability insurance, and workers' compensation insurance.
3.2.2 Schedule of Services. Consultant shall perform the Services expeditiously, within the term of this Agreement, and in accordance with the Schedule of Services set forth in Exhibit "B" attached hereto and incorporated herein by reference. Consultant represents that it has the professional and technical personnel required to perform the Services in conformance with such conditions. In order to facilitate Consultant's conformance with the Schedule, City shall respond to Consultant's submittals in a timely manner. Upon request of City, Consultant shall provide a more detailed schedule of anticipated performance to meet the Schedule of Services.
3.2.3 Conformance to Applicable Requirements. All work prepared by Consultant shall be subject to the approval of City.
3.2.4 Substitution of Key Personnel. Consultant has represented to City that certain key personnel will perform and coordinate the Services under this Agreement. Should one or more of such personnel become unavailable, Consultant may substitute other personnel of at least equal competence upon written approval of City. In the event that City and Consultant cannot agree as to the substitution of key personnel, City shall be entitled to terminate this Agreement for cause. As discussed below, any personnel who fail or refuse to perform the Services in a manner acceptable to the City, or who are determined by the City to be uncooperative, incompetent, a threat to the adequate or timely completion of the Project or a threat to the safety of persons or property, shall be promptly removed from the Project by the Consultant at the request of the City.
The key personnel for performance of this Agreement are as follows:
Scott W. Manno, CPA, Engagement Partner
Brad A. Welebir , CPA, Concurring Partner
Gardenya Duran, CPA, Quality Control Reviewer
Brianna Schultz, CPA, Engagement Manager
3.2.5 City's Representative. The City hereby designates the City Manager, or his or her designee, to act as its representative for the performance of this Agreement ("City's 47 3
Representative"). City's Representative shall have the power to act on behalf of the City for all purposes under this Contract. The City Manager hereby designates Ann Eifert, Director of Financial Services, or his or her designee, as the City's contact for the implementation of the Services hereunder. Consultant shall not accept direction or orders from any person other than the City's Representative or his or her designee.
3.2.6 Consultant's Representative. Consultant hereby designates Scott Manno, Engagement Partner, or his or her designee, to act as its representative for the performance of this Agreement ("Consultant's Representative"). Consultant's Representative shall have full authority to represent and act on behalf of the Consultant for all purposes under this Agreement.
The Consultant's Representative shall supervise and direct the Services, using his best skill and attention, and shall be responsible for all means, methods, techniques, sequences and procedures and for the satisfactory coordination of all portions of the Services under this Agreement.
3.2.7 Coordination of Services. Consultant agrees to work closely with City staff in the performance of Services and shall be available to City's staff, consultants and other staff at all reasonable times.
3.2.8 Standard of Care; Performance of Employees. Consultant shall perform all Services under this Agreement in a skillful and competent manner, consistent with the standards generally recognized as being employed by professionals in the same discipline in the State of California. Consultant represents and maintains that it is skilled in the professional calling necessary to perform the Services. Consultant warrants that all employees and subconsultants shall have sufficient skill and experience to perform the Services assigned to them. Finally, Consultant represents that it, its employees and subconsultants have all licenses, permits, qualifications and approvals of whatever nature that are legally required to perform the Services and that such licenses and approvals shall be maintained throughout the term of this Agreement.
As provided for in the indemnification provisions of this Agreement, Consultant shall perform, at its own cost and expense and without reimbursement from the City, any services necessary to correct errors or omissions which are caused by the Consultant's failure to comply with the standard of care provided for herein. Any employee of the Consultant or its sub-consultants who is determined by the City to be uncooperative, incompetent, a threat to the adequate or timely completion of the Project, a threat to the safety of persons or property, or any employee who fails or refuses to perform the Services in a manner acceptable to the City, shall be promptly removed from the Project by the Consultant and shall not be re-employed to perform any of the Services or to work on the Project.
3.2.9 Laws and Regulations. Consultant shall keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the Services, including all Cal/OSHA requirements, and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with Services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations and without giving written notice to the City, Consultant shall be solely responsible for all costs arising therefrom. Consultant shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure or alleged failure to comply with such laws, rules or regulations. 48 4
3.2.10 Insurance.
3.2.10.1 Time for Compliance. Consultant shall not commence Work under this Agreement until it has provided evidence satisfactory to the City that it has secured all insurance required under this section. In addition, Consultant shall not allow any subconsultant to commence work on any subcontract until it has provided evidence satisfactory to the City that the subconsultant has secured all insurance required under this section.
3.2.10.2 Types of Insurance Required. As a condition precedent to the effectiveness of this Agreement for work to be performed hereunder and without limiting the indemnity provisions of the Agreement, the Consultant in partial performance of its obligations under such Agreement, shall procure and maintain in full force and effect during the term of the Agreement, the following policies of insurance. If the existing policies do not meet the Insurance Requirements set forth herein, Consultant agrees to amend, supplement or endorse the policies to do so.
(a) Commercial General Liability: Commercial General Liability Insurance which affords coverage at least as broad as Insurance Services Office "occurrence" form CG 0001, with minimum limits of at least $1,000,000 per occurrence, and if written with an aggregate, the aggregate shall be double the per occurrence limit.
Defense costs shall be paid in addition to the limits.
The policy shall contain no endorsements or provisions limiting coverage for (1) contractual liability; (2) cross liability exclusion for claims or suits by one insured against another; or (3) contain any other exclusion contrary to the Agreement.
(b) Automobile Liability Insurance: Automobile Liability Insurance with coverage at least as broad as Insurance Services Office Form CA 0001 covering "Any Auto" (Symbol 1) with minimum limits of $1,000,000 each accident.
(c) Professional Liability: Professional Liability insurance with minimum limits of $1,000,000. Covered professional services shall specifically include all work to be performed under the Agreement and delete any exclusions that may potentially affect the work to be performed (for example, any exclusions relating to lead, asbestos, pollution, testing, underground storage tanks, laboratory analysis, soil work, etc.).
If coverage is written on a claims-made basis, the retroactive date shall precede the effective date of the initial Agreement and continuous coverage will be maintained or an extended reporting 49 5
period will be exercised for a period of at least three (3) years from termination or expiration of this Agreement.
(d) Workers' Compensation: Workers' Compensation Insurance, as required by the State of California and Employer's Liability Insurance with a limit of not less than $1,000,000 per accident for bodily injury and disease.
3.2.10.3 Endorsements. Required insurance policies shall not be in compliance if they include any limiting provision or endorsement that has not been submitted to the City for approval.
(A) The policy or policies of insurance required by Section 3.2.10.2 (a) Commercial General Liability:
(1) Additional Insured: The City, its officials, officers, employees, agents, and volunteers shall be additional insureds with regard to liability and defense of suits or claims arising out of the performance of the Agreement.
Additional Insured Endorsements shall not (1) be restricted to "ongoing operations"; (2) exclude "contractual liability"; (3) restrict coverage to "sole" liability of Consultant; or (4) contain any other exclusions contrary to the Agreement.
(2) Cancellation: Required insurance policies shall not be canceled or the coverage reduced until a thirty (30) day written notice of cancellation has been served upon the City except ten (10) days shall be allowed for non-payment of premium.
(B) The policy or policies of insurance required by Section 3.2.10.2 (b) Automobile Liability and (c) Professional Liability shall be endorsed to provide the following:
(1) Cancellation: Required insurance policies shall not be canceled or the coverage reduced until a thirty (30) day written notice of cancellation has been served upon the City except ten (10) days shall be allowed for non-payment of premium.
(C) The policy or policies of insurance required by Section 3.2.10.2 (d) Workers' Compensation shall be endorsed to provide the following:
(1) Waiver of Subrogation: A waiver of subrogation stating that the insurer waives all rights of subrogation against the indemnified parties.
50 6
(2) Cancellation: Required insurance policies shall not be canceled or the coverage reduced until a thirty (30) day written notice of cancellation has been served upon the City except ten (10) days shall be allowed for non-payment of premium.
3.2.10.4 Primary and Non-Contributing Insurance. All insurance coverages shall be primary and any other insurance, deductible, or self-insurance maintained by the indemnified parties shall not contribute with this primary insurance. Policies shall contain or be endorsed to contain such provisions.
3.2.10.5 Waiver of Subrogation. Required insurance coverages shall not prohibit Consultant from waiving the right of subrogation prior to a loss. Consultant shall waive all subrogation rights against the indemnified parties. Policies shall contain or be endorsed to contain such provisions.
3.2.10.6 Deductible. Any deductible or self-insured retention must be approved in writing by the City and shall protect the indemnified parties in the same manner and to the same extent as they would have been protected had the policy or policies not contained a deductible or self-insured retention.
3.2.10.7 Evidence of Insurance. The Consultant, concurrently with the execution of the Agreement, and as a condition precedent to the effectiveness thereof, shall deliver either certified copies of the required policies, or original certificates and endorsements on forms approved by the City. The certificates and endorsements for each insurance policy shall be signed by a person authorized by that insurer to bind coverage on its behalf. At least fifteen (15 days) prior to the expiration of any such policy, evidence of insurance showing that such insurance coverage has been renewed or extended shall be filed with the City. If such coverage is cancelled or reduced, Consultant shall, within ten (10) days after receipt of written notice of such cancellation or reduction of coverage, file with the City evidence of insurance showing that the required insurance has been reinstated or has been provided through another insurance company or companies.
3.2.10.8 Failure to Maintain Coverage. Consultant agrees to suspend and cease all operations hereunder during such period of time as the required insurance coverage is not in effect and evidence of insurance has not been furnished to the City. The City shall have the right to withhold any payment due Consultant until Consultant has fully complied with the insurance provisions of this Agreement.
In the event that the Consultant's operations are suspended for failure to maintain required insurance coverage, the Consultant shall not be entitled to an extension of time for completion of the Services because of production lost during suspension.
3.2.10.9 Acceptability of Insurers. Each such policy shall be from a company or companies with a current A.M. Best's rating of no less than A:VII and authorized to do business in the State of California, or otherwise allowed to place insurance through surplus line brokers under applicable provisions of the California Insurance Code or any federal law. 51 7
3.2.10.10 Insurance for Subconsultants. All Subconsultants shall be included as additional insureds under the Consultant's policies, or the Consultant shall be responsible for causing Subconsultants to purchase the appropriate insurance in compliance with the terms of these Insurance Requirements, including adding the City as an Additional Insured to the Subconsultant's policies.
3.2.11 Safety. Consultant shall execute and maintain its work so as to avoid injury or damage to any person or property. In carrying out its Services, the Consultant shall at all times be in compliance with all applicable local, state and federal laws, rules and regulations, and shall exercise all necessary precautions for the safety of employees appropriate to the nature of the work and the conditions under which the work is to be performed. Safety precautions as applicable shall include, but shall not be limited to: (A) adequate life protection and life-saving equipment and procedures; (B) instructions in accident prevention for all employees and subconsultants, such as safe walkways, scaffolds, fall protection ladders, bridges, gang planks, confined space procedures, trenching and shoring, equipment and other safety devices, equipment and wearing apparel as are necessary or lawfully required to prevent accidents or injuries; and (C) adequate facilities for the proper inspection and maintenance of all safety measures.
3.3 Fees and Payments.
3.3.1 Compensation. Consultant shall receive compensation, including authorized reimbursements, for all Services rendered under this Agreement at the rates set forth in Exhibit "C" attached hereto and incorporated herein by reference. The total compensation shall not exceed Thirty Six thousand ($36,000) (“Total Compensation”) without written approval of City's Director of Financial Services . Extra Work for additional auditing services may be authorized, as described below, and if authorized, will be compensated at the rates and manner set forth in this Agreement.
3.3.2 Payment of Compensation. Consultant shall submit to City a monthly itemized statement which indicates work completed and hours of Services rendered by Consultant.
The statement shall describe the amount of Services and supplies provided since the initial commencement date, or since the start of the subsequent billing periods, as appropriate, through the date of the statement. City shall, within 45 days of receiving such statement, review the statement and pay all approved charges thereon.
3.3.3 Reimbursement for Expenses. Consultant shall not be reimbursed for any expenses unless authorized in writing by City.
3.3.4 Extra Work. At any time during the term of this Agreement, City may request that Consultant perform Extra Work. As used herein, "Extra Work" means any work which is determined by City to be necessary for the proper completion of the Project, but which the Parties did not reasonably anticipate would be necessary at the execution of this Agreement.
Consultant shall not perform, nor be compensated for, Extra Work without written authorization from the City.
3.4 Accounting Records.
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3.4.1 Maintenance and Inspection. Consultant shall maintain complete and accurate records with respect to all costs and expenses incurred under this Agreement. All such records shall be clearly identifiable. Consultant shall allow a representative of City during normal business hours to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to the Agreement for a period of five (5) years from the date of final payment under this Agreement.
3.5 General Provisions.
3.5.1 Termination of Agreement.
3.5.1.1 Grounds for Termination. City may, by written notice to Consultant, terminate the whole or any part of this Agreement at any time and without cause by giving written notice to Consultant of such termination, and specifying the effective date thereof, at least seven (7) days before the effective date of such termination. Upon termination, Consultant shall be compensated only for those services which have been adequately rendered to City, and Consultant shall be entitled to no further compensation. Consultant may not terminate this Agreement except for cause.
3.5.1.2 Effect of Termination. If this Agreement is terminated as provided herein, City may require Consultant to provide all finished or unfinished Documents and Data and other information of any kind prepared by Consultant in connection with the performance of Services under this Agreement. Consultant shall be required to provide such document and other information within fifteen (15) days of the request.
3.5.1.3 Additional Services. In the event this Agreement is terminated in whole or in part as provided herein, City may procure, upon such terms and in such manner as it may determine appropriate, services similar to those terminated.
3.5.2 Delivery of Notices. All notices permitted or required under this Agreement shall be given to the respective parties at the following address, or at such other address as the respective parties may provide in writing for this purpose:
Consultant:
Rogers, Anderson, Malody & Scott, LLP
735 E. Carnegie Drive, Suite 100
San Bernandino, CA 92408
Attn: Scott Manno, CPA
Engagement Partner
City:
City of Aliso Viejo
12 Journey, Suite 100
Aliso Viejo, CA 92656
Attn: Ann Eifert
Director of Financial Services/City Treasurer
53 9
Such notice shall be deemed made when personally delivered or when mailed, forty-eight (48) hours after deposit in the U.S. Mail, first class postage prepaid and addressed to the party at its applicable address. Actual notice shall be deemed adequate notice on the date actual notice occurred, regardless of the method of service.
3.5.3 Ownership of Materials and Confidentiality.
3.5.3.1 Documents & Data; Licensing of Intellectual Property. 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 prepared by design professionals other than Consultant or provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk.
3.5.3.2 Confidentiality. All ideas, memoranda, specifications, plans, procedures, drawings, descriptions, computer program data, input record data, written information, and other Documents and Data either created by or provided to Consultant in connection with the performance of this Agreement shall be held confidential by Consultant. Such materials shall not, without the prior written consent of City, be used by Consultant for any purposes other than the performance of the Services. Nor shall such materials be disclosed to any person or entity not connected with the performance of the Services or the Project. Nothing furnished to Consultant which is otherwise known to Consultant or is generally known, or has become known, to the related industry shall be deemed confidential. Consultant shall not use City's name or insignia, photographs of the Project, or any publicity pertaining to the Services or the Project in any magazine, trade paper, newspaper, television or radio production or other similar medium without the prior written consent of City.
3.5.3.3 Confidential Information. The City shall refrain from releasing Consultant’s proprietary information ("Proprietary Information") unless the City's legal counsel determines that the release of the Proprietary Information is required by the California Public Records Act or other applicable state or federal law, or order of a court of competent jurisdiction, in which case the City shall notify Consultant of its intention to release Proprietary Information.
Consultant shall have five (5) working days after receipt of the Release Notice to give City written notice of Consultant's objection to the City's release of Proprietary Information. Consultant shall indemnify, defend and hold harmless the City, and its officers, directors, employees, and agents from and against all liability, loss, cost or expense (including attorney’s fees) arising out of a legal action brought to compel the release of Proprietary Information. City shall not release the Proprietary Information after receipt of the Objection Notice unless either: (1) Consultant fails to fully indemnify, defend (with City's choice of legal counsel), and hold City harmless from any 54 10
legal action brought to compel such release; and/or (2) a final and non-appealable order by a court of competent jurisdiction requires that City release such information.
3.5.4 Fraud Policy. Consultant shall provide a copy of the City's Fraud Prevention Policy to each of its employees assigned to perform the tasks under this Agreement.
Consultant shall submit to the City's Representative a statement signed by Consultant and by each of its employees who are assigned to perform the Services under this Agreement certifying receipt of and that they have read the City’s Fraud Prevention Policy. A finding by the City that Consultant or any of Consultant's employees have committed fraud against the City or have violated the City’s Fraud Prevention Policy shall be grounds for appropriate discipline, up to and including such employee's removal from performance of this Agreement at City's request and/or termination of this Agreement. Consultant shall reimburse the City for any costs and expenses associated with fraud against the City.
3.5.5 Cooperation; Further Acts. The Parties shall fully cooperate with one another, and shall take any additional acts or sign any additional documents as may be necessary, appropriate or convenient to attain the purposes of this Agreement.
3.5.6 Attorney's Fees. If either party commences an action against the other party, either legal, administrative or otherwise, arising out of or in connection with this Agreement, the prevailing party in such litigation shall be entitled to have and recover from the losing party reasonable attorney's fees and all other costs of such action.
3.5.7 Indemnification.
3.5.7.1 Scope of Indemnity. To the fullest extent permitted by law, Consultant shall defend, indemnify and hold the City, its directors, officials, officers, employees, volunteers and agents free and harmless from any and all claims, demands, causes of action, costs, expenses, liability, loss, damage or injury of any kind, in law or equity, to property or persons, including wrongful death, in any manner arising out of, pertaining to, or incident to any alleged acts, errors or omissions of Consultant, its officials, officers, employees, subcontractors, consultants or agents in connection with the performance of the Consultant’s Services, the Project or this Agreement, including without limitation the payment of all consequential damages, expert witness fees and attorneys fees and other related costs and expenses. 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.
3.5.7.2 Additional Indemnity Obligations. Consultant shall defend, with Counsel of City's choosing and at Consultant’s own cost, expense and risk, any and all claims, suits, actions or other proceedings of every kind covered by Section 3.5.7.1 that may be brought or instituted against City or its directors, officials, officers, employees, volunteers and agents. Consultant shall pay and satisfy any judgment, award or decree that may be rendered against City or its directors, officials, officers, employees, volunteers and agents as part of any such claim, suit, action or other proceeding. Consultant shall also reimburse City for the cost of any settlement paid by City or its directors, officials, officers, employees, agents or volunteers as part of any such claim, suit, action or other proceeding. Such reimbursement shall include 55 11
payment for City’s attorney’s fees and costs, including expert witness fees. Consultant shall reimburse City and its directors, officials, officers, employees, agents, and/or volunteers, for any and all legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided. Consultant’s obligation to indemnify shall survive expiration or termination of this Agreement, and shall not be restricted to insurance proceeds, if any, received by the City, its directors, officials officers, employees, agents, or volunteers.
3.5.8 Entire Agreement. This Agreement contains the entire Agreement of the parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. This Agreement may only be modified by a writing signed by both parties.
3.5.9 Governing Law. This Agreement shall be governed by the laws of the State of California. Venue shall be in Orange County.
3.5.10 Time of Essence. Time is of the essence for each and every provision of this Agreement.
3.5.11 City's Right to Employ Other Consultants. City reserves right to employ other consultants in connection with this Project.
3.5.12 Successors and Assigns. This Agreement shall be binding on the successors and assigns of the parties.
3.5.13 Assignment or Transfer. Consultant shall not assign, hypothecate, or transfer, either directly or by operation of law, this Agreement or any interest herein without the prior written consent of the City. Any attempt to do so shall be null and void, and any assignees, hypothecates or transferees shall acquire no right or interest by reason of such attempted assignment, hypothecation or transfer.
3.5.14 Construction; References; Captions. Since the Parties or their agents have participated fully in the preparation of this Agreement, the language of this Agreement shall be construed simply, according to its fair meaning, and not strictly for or against any Party. Any term referencing time, days or period for performance shall be deemed calendar days and not work days.
All references to Consultant include all personnel, employees, agents, and subconsultants of Consultant, except as otherwise specified in this Agreement. All references to City include its elected officials, officers, employees, agents, and volunteers except as otherwise specified in this Agreement. The captions of the various articles and paragraphs are for convenience and ease of reference only, and do not define, limit, augment, or describe the scope, content, or intent of this Agreement.
3.5.15 Amendment; Modification. No supplement, modification, or amendment of this Agreement shall be binding unless executed in writing and signed by both Parties.
3.5.16 Waiver. No waiver of any default shall constitute a waiver of any other default or breach, whether of the same or other covenant or condition. No waiver, benefit, privilege, or service voluntarily given or performed by a Party shall give the other Party any contractual rights by custom, estoppel, or otherwise.
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3.5.17 No Third Party Beneficiaries. There are no intended third party beneficiaries of any right or obligation assumed by the Parties.
3.5.18 Invalidity; Severability. If any portion of this Agreement is declared invalid, illegal, or otherwise unenforceable by a court of competent jurisdiction, the remaining provisions shall continue in full force and effect.
3.5.19 Prohibited Interests. Consultant maintains and warrants that it has not employed nor retained any company or person, other than a bona fide employee working solely for Consultant, to solicit or secure this Agreement. Further, Consultant warrants that it has not paid nor has it agreed to pay any company or person, other than a bona fide employee working solely for Consultant, any fee, commission, percentage, brokerage fee, gift or other consideration contingent upon or resulting from the award or making of this Agreement. For breach or violation of this warranty, City shall have the right to rescind this Agreement without liability. For the term of this Agreement, no member, officer or employee of City, during the term of his or her service with City, shall have any direct interest in this Agreement, or obtain any present or anticipated material benefit arising therefrom.
3.5.20 Equal Opportunity Employment. Consultant represents that it is an equal opportunity employer and it shall not discriminate against any subconsultant, employee or applicant for employment because of race, religion, color, national origin, handicap, ancestry, sex or age. Such non-discrimination shall include, but not be limited to, all activities related to initial employment, upgrading, demotion, transfer, recruitment or recruitment advertising, layoff or termination. Consultant shall also comply with all relevant provisions of City's Minority Business Enterprise program, Affirmative Action Plan or other related programs or guidelines currently in effect or hereinafter enacted.
3.5.21 Labor Certification. By its signature hereunder, Consultant certifies that it is aware of the provisions of Section 3700 of the California Labor Code which require every employer to be insured against liability for Worker's Compensation or to undertake self-insurance in accordance with the provisions of that Code, and agrees to comply with such provisions before commencing the performance of the Services.
3.5.22 Authority to Enter Agreement. Consultant has all requisite power and authority to conduct its business and to execute, deliver, and perform the Agreement. Each Party warrants that the individuals who have signed this Agreement have the legal power, right, and authority to make this Agreement and bind each respective Party.
3.5.23 Counterparts. This Agreement may be signed in counterparts, each of which shall constitute an original.
3.5.24 Declaration of Political Contributions. Consultant shall, throughout the term of this Agreement, submit to City an annual statement in writing declaring any political contributions of money, in-kind services, or loan made to any member of the City Council within the previous twelve-month period by the Consultant and all of Consultant's employees, including any employee(s) that Consultant intends to assign to perform the Services described in this Agreement.
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3.6 Subcontracting.
3.6.1 Prior Approval Required. Consultant shall not subcontract any portion of the work required by this Agreement, except as expressly stated herein, without prior written approval of City. Subcontracts, if any, shall contain a provision making them subject to all provisions stipulated in this Agreement.
[Signatures on following page.]
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IN WITNESS WHEREOF, the parties have executed this Professional Services Agreement for Auditing Services on this 1st day of February, 2021.
CITY OF ALISO VIEJO [INSERT NAME OF CONSULTANT]
By: By:_____________________________
David Doyle
City Manager Name: Scott Manno________________
Title: _Partner____________________
Attest:
[If Corporation, TWO SIGNATURES, President OR
Vice President AND Secretary, AND CORPORATE
SEAL OF CONSULTANT REQUIRED]
By:
Mitzi Ortiz By:_____________________________
City Clerk
Name:___________________________
Approved as to Form: Title:____________________________
BEST BEST & KRIEGER LLP
By:
Best Best & Krieger LLP
City Attorney
Approved as to Compliance with Budget:
By: ______________________________
Ann Eifert
Director of Financial Services
59 CITY OF ALISO VIEJO
DECLARATION OF POLITICAL CONTRIBUTIONS
Using the space provided below, please list any political contributions of money, in-kind services, or loans made to any member of the City Council within the last twelve (12) months by Consultant and all of Consultant’s employees, including any employee(s) that applicant intends to assign to perform the work or services described in this Agreement:
To the best of my knowledge, I declare under penalty of perjury that the foregoing is true and was executed at:
City/County/State Date
Name of Business Print Name
Signature
NOTE: THIS DECLARATION IS INCLUDED AS PART OF THE AGREEMENT AND MUST BE SIGNED AND ATTACHED HERETO.
60 CITY OF ALISO VIEJO
ACKNOWLEDGMENT OF RECEIPT OF FRAUD POLICY
I hereby acknowledge that I have received a copy of the City’s “Fraud Prevention Policy” dated October 1, 2008. I understand that I am to promptly read its contents and distribute copies to employees assigned to perform Services for the City of Aliso Viejo.
To the extent that provisions of this policy conflict with previously issued policies or practices, whether or not such policies and practices were contained in written policies, this policy shall prevail.
Name of Business Print Name
Signature
Date
61 A-1
EXHIBIT "A"
SCOPE OF SERVICES
A. General Services.
The Consultant shall perform all the duties and services specifically set forth herein and shall provide such other services as it deems necessary or advisable, or are reasonable and necessary to accomplish the intent of this agreement in a manner consistent with the standards and practice of professional financial advisors prevailing at the time such services are rendered to the City.
The City may, with the concurrence of Consultant, expand this agreement to include any additional services not specifically identified within the terms of this agreement. Any additional services may be described in an addendum to this Exhibit “A” and are subject to fees described in Exhibit “C” to this Agreement.
The City’s RFP is included in this scope for reference.
B. Scope of the Work to be Performed
The City of Aliso Viejo desires a Annual Comprehensive Financial Report (ACFR) for the City of Aliso Viejo to be prepared by the independent auditor for the fiscal year ended June 30, 2022 in compliance with the audit firm’s contract with the City. The City submits its ACFR to the Government Finance Officers Association (GFOA) for review in their Certificate of Achievement for Excellence in Financial Reporting program. The City has received this award since incorporation.
The selected independent auditor will be required to perform the following tasks.
1. The audit firm will perform an audit of all funds of the City of Aliso Viejo. The audit will be conducted in accordance with auditing standards generally accepted in the United States of America and Government Auditing Standards, issued by the Comptroller of the United States. The City’s Annual Comprehensive Financial Report (ACFR) will be prepared and word processed by the audit firm. The audit firm will prepare all financial statements and schedules as required for the preparation of the ACFR including GASB 34, 45 and 68 reconciliations and schedules for the MD&A.
The audit firm will render their auditors’ report on the basic financial statements which will include both Government-Wide Financial Statements and Fund Financial Statements. The audit firm will also apply limited audit procedures to Management’s Discussion and Analysis (MD&A) and required supplementary information pertaining to the General Fund and each major Special Revenue fund of the City.
2. The audit firm will perform a single audit on the expenditures of federal grants in accordance with OMB Uniform Guidance and render the appropriate audit reports on Internal Control over Financial Reporting based upon the audit of the City’s financial statements in accordance with Government Auditing Standards and the appropriate reports on compliance with Requirements Applicable to each Major Program, Internal 62 A-2
Control over Compliance and on the Schedule of Expenditures of Federal Awards in accordance with OMB Uniform Guidance. The single audit report will include appropriate schedule of expenditures of federal awards, footnotes, findings and questioned costs, including reportable conditions and material weaknesses, and follow up on prior audit findings where required.
3. The audit firm shall perform agreed-upon auditing procedures pertaining to the City’s GANN Limit (Appropriations Limit) and render a letter annually to the City regarding compliance.
4. The audit firm shall issue a separate “management letter” that includes recommendations for improvements in internal control, accounting procedures and other significant observations that are considered to be non-reportable conditions.
Management letters shall be addressed to the City Manager and the Director of Financial Services/City Treasurer.
5. The audit firm shall review the City's investment policy and portfolio.
6. Conduct a financial and compliance audit for the City’s Conference Center and Aquatic Center.
Additional Auditing Services
The audit firm may be required to perform the following services:
7. Conduct a transient occupancy tax audit of hotels operating in Aliso Viejo.
8. Conduct an audit and financial review of the City's franchise refuse hauler for compliance with franchise provisions.
9. Conduct an audit and financial review of the City’s cable franchise and other video service providers for compliance with franchise provisions.
10. Other audits/financial reviews may also be identified during the term of the contract.
C. Auditing Standards to be Followed
To meet the requirements of this Request for Proposals, the audit shall be performed in accordance with:
1. Generally accepted auditing standards as set forth by the American Institute of Certified Public Accounts;
2. The standards applicable to financial audits contained in Government Auditing Standards (2011 Revision), issued by the Comptroller General of the United States;
3. The provisions of the Single Audit Act as amended in 1996; and 63 A-3
4. The provisions of OMB Uniform Guidance, Audits of State and Local Governments and Non-Profit Organizations.
D. Working Paper Retention
All working papers and reports must be retained at the auditor's expense for a minimum of seven (7) years, unless the firm is notified in writing by the City of Aliso Viejo of the need to extend the retention period. The auditor will be required to make working papers available to the City of Aliso Viejo or any government agencies included in the audit of federal grants. In addition, the firm shall respond to the reasonable inquiries of successor auditors and allow successor auditors to review working papers relating to matters of continuing accounting significance.
E. Irregularities and Illegal Acts
Auditors shall be required to make an immediate, written report of all irregularities and illegal acts or indications of illegal acts of which they become aware to the following parties: City Manager; Director of Financial Services/City Treasurer; and the City Attorney.
64 B-1
EXHIBIT "B"
AUDIT APPROACH
Auditor’s response to the audit approach and scope of services is included as Exhibit: “A” 65 EXHIBIT "C"
Compensation
Schedule of fees for auditing services are indicated below. Additional services not specifically identified in the Scope of Services will be compensated based on actual hours spent, based on the hourly rates per the attached schedule.
66 City of Aliso Viejo
AGENDA ITEM
DATE: June 1, 2022
TO: Mayor and City Council
FROM: Lizzy Mendoza, Recreation & Community Services Manager SUBJECT: AQUATIC CENTER MANAGEMENT SERVICES AGREEMENT WITH
PREMIER AQUATIC SERVICES
Recommended Action:
Approve and authorize the City Manager to execute the Aquatic Center Management Services Agreement with Premier Aquatic Services.
Fiscal Impact:
The fiscal impact is $145,000 annually for 3 years with two optional two-year amendments, totaling $435,000 for the agreement term. There is an 11.5% increase in cost for services from the previous agreement. In addition to the management fee, Premier Aquatic Services receives incentive pay at a rate of 65% of revenue collected, exceeding operational costs. The City retains the remaining 35% of exceeded revenues.
The management incentive pay is estimated at $50,000 annually. Funds are included in the proposed Fiscal Year 2022-23 budget.
Background:
Aliso Viejo Aquatic Center began operating May 26, 2009. The Aquatic Center's previous operators were ClubCorp and KemperSports. In March of 2015, the City entered into an agreement with Premier Aquatic Services to operate the Aquatic Center on a year-round basis with an annual compensation not to exceed $100,000. In 2018, the City entered into a 3-year agreement for management services of the Aquatic Center with an annual fee not to exceed $130,000 and total compensation of $390,000. The agreement was amended to continue services for Fiscal Year 2021-22 without a rate adjustment due to the COVID-19 pandemic.
Discussion:
Since March 18, 2015, Premier Aquatic Services has been contracted to manage, maintain, and operate the Aquatic Center. The Aquatic Center offers year-round swimming lessons, swim team, as well as community events and programs. This summer, 67
Premier Aquatic Services will continue expanding its services by relocating the swim team to the Aliso Niguel High School pool and offering full-day summer camp options.
A final 1-year amendment option is available for Fiscal Year 2022-23. The cost of the amendment is $136,500 for FY 2022-23, which accounts for a 5% CPI-U increase from the current rate. However, if the City exercises the amendment option, Premier Aquatic Services proposes $160,000 annually to begin in FY 2023-24. The total cost over the 3- year period, including the 2022-23 amendment year, would be $456,500.
The City received a second proposal for a new 3-year agreement with a set rate of $145,000 annually, totaling $435,000. The option to enter a 3-year term saves the City $21,500 over the life of the agreement when compared to exercising the amendment option and entering a new 2-year agreement beginning Fiscal Year 2023-24 per the proposal submitted by Premier Aquatic Services.
Staff continues to be impressed with the high quality of programs and professional level of service offered by Premier Aquatic Services. As such, staff recommends, City Council approve a three-year agreement to continue Aquatic Center Management Services with Premier Aquatic Services beginning Fiscal Year 2022-23. After the initial 3-year term, two additional two-year extensions will be available subject to the annual average Consumer Price Index of the prior calendar year, All Urban Consumers, Los Angeles-Long Beach- Anaheim, up to a maximum percentage of five percent (5%).
Attachment:
1. Agreement
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City of Aliso Viejo
AGENDA ITEM
DATE: June 1, 2022
TO: Mayor and City Council
FROM: Shaun Pelletier, City Engineer
SUBJECT: CONTRACT WITH ALL AMERICAN ASPHALT FOR THE FY 22-23
SLURRY SEAL AND REHABILITATION PROJECT
______________________________________________________________________ Recommended Actions:
1. Approve Contract Documents, Specifications, and Plans for the FY 22-23 Slurry Seal and Rehabilitation Project;
2. Award a contract in the amount of $1,362,775.83 to All American Asphalt as the lowest responsible bidder for the FY 22-23 Slurry Seal and Rehabilitation Project;
3. Authorize the City Manager to execute a contract with All American Asphalt;
4. Authorize City staff to make total compensation to All American Asphalt up to $1,362,775.83 plus $136,277.58 (10% of the contract amount) to allow for contingencies, totaling $1,499,053.41; and
5. Declare this project categorically exempt from the California Environmental Quality Act (CEQA) process Per Title 14 of the California Code of Regulations, Chapter 3, Article 19, Section 15301 (Class 1: Existing Facilities).
Fiscal Impact:
Total fiscal impact will be approximately $1,745,053.41 including construction management ($66,000), construction ($1,362,775.83+$180,000.00) and contingency ($136,277.58) and will be funded with SB1 funds. The Moulton Niguel Water District will reimburse the City approximately $326,250 for adjusting their sewer manholes and water valves. The FY 2022-23 Capital Improvement Project budget includes funds for the project
Background:
The City advertised for bids through May 3, 2022 and multiple online plan rooms were used. Eleven contractors requested and received construction documents for the work. 115
The City received and opened four bids at 2:00 P.M. on May 3, 2022. The total amounts for each of the bids received are as follows:
Contractor Base Bid
1. All American Asphalt $1,362,775.83
2. American Asphalt South $1,478,466.00
3. Pavement Coatings Co. $1,489,887.00
4. Roy Allan Slurry Seal, Inc. $1,601,657.00
City staff has reviewed the bid from All American Asphalt and the bid appears to be responsive and complete.
This project is exempt from the CEQA process since it is maintaining existing streets.
Discussion:
The engineer’s estimate for this base bid work was about $1,350,000. The average bid item costs were comparable to the engineer’s estimate.
All American Asphalt recently completed two slurry seal projects between FY 2019-2022.
They have also performed similar work in other surrounding cities with favorable references.
An alternate bid item was included in this project to repair the larger cracks in the project that need to be completed prior to the application of the slurry seal. All American Asphalt’s price for this work was $232,875. This alternate bid item was rejected since the same work can be completed by the City’s street maintenance contractor, PV Maintenance, for a lesser amount. PV Maintenance’s price for this work is approximately $180,000.
Staff requests authorization for payments to All American Asphalt up to $1,499,053.41 (10% above the contract amount) to cover for contingencies such as overages on quantities and additional work requested by the City.
The schedule for this project is as follows:
- Advertise for bids April 14 – May 3, 2022
- Bids due May 3, 2022
- Council approves award of contract June 1, 2022
- Notice to Proceed June 20, 2022
- Start construction June 20, 2022
- Complete construction (50 working days) August 20, 2022 Attachments:
1. Contract with All American Asphalt
2. All American Asphalt Submitted Bid
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SECTION 00500
CONTRACT
FY 22-23 SLURRY SEAL & REHABILITATION PROJECT
SECTION 00500
CONTRACT
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CONTRACT
THIS CONTRACT is made this _____ day of _________, 20_, in the County of Orange, State of California, by and between the City of Aliso Viejo hereinafter called City , and All American Asphalt, hereinafter called Contractor. City and the Contractor for the considerations stated herein agree as follows:
ARTICLE 1. SCOPE OF WORK . The Contractor shall perform all Work within the time stipulated the Contract and shall provide all labor, materials, equipment, tools, utility services, and transportation to complete all of the Work required in strict compliance with the Contract Documents as specified in Article 5 below for the following Project:
FY 22-23 Slurry Seal & Rehabilitation Project
The Contractor and its surety shall be liable to City for any damages arising as a result of the Contractor’s failure to comply with this obligation.
ARTICLE 2. TIME FOR COMPLETION. The Work shall be commenced on the date stated in City’s Notice to Proceed. The Contractor shall complete all Work required by the Contract Documents within fifty (50) working days from the commencement date stated in the Notice to Proceed. By its signature hereunder, Contractor agrees the time for completion set forth above is adequate and reasonable to complete the Work.
ARTICLE 3. CO NTRACT PRICE. City shall pay to the Contractor as full compensation for the performance of the Contract, subject to any additions or deductions as provided in the Contract Documents, and including all applicable taxes and costs, the sum of One Million Three Hundred Sixty Two Thousand, Seven Hundred Seven Five Dollars and Eighty Three Cents ($1,362,775.83). Payment shall be made as set forth in the General Conditions.
At any time during the term of the Contract, City may, pursuant to the terms and provisions of the Contract Documents, request that the Contractor perform additional work. Contractor shall not perform, nor be compensated for, additional work without written authorization from the City pursuant to the terms and provisions of the Contract Documents. Notwithstanding any other provisions of the Contract Documents, for contracts in excess of $25,000.00, the City Manager may approve additional work not to exceed 10% of the original Contract amount, ( One Hundred Thirty Six Thousand, Two Hundred Seventy Seven Dollars and Fifty Eight C ents ($136,277.58)), as set forth in this Article 3. Any additional work in excess of this amount shall be approved by the City Council.
ARTICLE 4. LIQUIDATED DAMAGES . In accordance with Government Code section 53069.85, it is agreed that the Contractor will pay City the sum of $ 500 for each and every calendar day of delay beyond the time prescribed in the Contract Documents for finishing the Work, as Liquidated Damages and not as a penalty or forfeiture. In the event this is not paid, the Contractor agrees City may deduct that amount from any money due or that may become due 117
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the Contractor under the Contract. This Article does not exclude recovery of other damages specified in the Contract Documents.
ARTICLE 5. COMPONENT PARTS OF THE CONTRACT. The “Contract Documents” include the following:
Notice Inviting Bids
Instructions to Bidders
Bid Form
Contractor’s Certificate Regarding Workers’ Compensation Bid Bond
Designation of Subcontractors
Information Required of Bidders
Noncollusion Declaration form
Contract
Performance Bond
Payment Bond
General Conditions
Special Conditions
Technical Specifications
Addenda
Plans and Drawings
Approved and fully executed change orders
Any other documents contained in or incorporated into the Contract The Contactor shall complete the Work in strict accordance with all of the Contract Documents.
All of the Contract Documents are intended to be complementary. Work required by one of the Contract Documents and not by others shall be done as if required by all. This Contract shall supersede any prior agreement of the parties.
ARTICLE 6. PROVISIONS REQUIRED BY LAW. Each and every provision of law required to be included in these Contract Documents shall be deemed to be included in these Contract Documents. The Contractor shall comply with all requirements of the California Labor Code applicable to this Project.
ARTICLE 7. INDEMNIFICATION. Contractor shall provide indemnification as set forth in the General Conditions.
ARTICLE 8. PREVAILING WAGES. Contractor shall be required to pay the prevailing rate of wages in accordance with the Labor Code which such rates shall be made available at the office of the City Engineer or may be obtained online at http//www.dir.ca.gov/dlsr. and which must be posted at the job site.
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ARTICLE 9. DECLARATION OF POLITICAL CONTRIBUTIONS. Prior to the City’s approval of this Contract, Contractor shall submit to City a statement in writing declaring any political contributions of money, in-kind services, or loan made to any member of the City Council within the previous twelve-month period by the Contractor and all of Contractor 's employees, including any employee(s) that Contractor intends to assign to perform work on the Project.
IN WITNESS WHEREOF, this Contract has been duly executed by the above-named parties, on the day and year above written.
CITY OF ALISO VIEJO ALL AMERICAN ASPHALT
By: By:
David A. Doyle Mark Leur, President
If Corporation, TWO SIGNATURES, President OR Vice President AND Secretary OR Treasurer REQUIRED]
Attest:
By:
Michael Farkas, Secretary
By:
Mitzi Ortiz, MMC
City Clerk
Classification of Contractor's License
Approved as to Form:
By:
Best Best & Krieger LLP
City Attorney
Approved as to Compliance with Budget:
By: __________________________
Ann Eifert
Department of Financial Services
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SECTION 00500
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CITY OF ALISO VIEJO
DECLARATION OF POLITICAL CONTRIBUTIONS
Using the space provided below, please list any political contributions of money, in-kind services, or loans made to any member of the City Council within the last twelve (12) months by Contractor and all of Contractor’s employees, including any employee(s) that applicant intends to assign to perform work on the Project:
To the best of my knowledge, I declare under penalty of perjury that the foregoing is true and was executed at:
City/County/State Date
Name of Business Print Name
Signature
NOTE: THIS DECLARATION IS INCLUDED AS PART OF THE CONTRACT AND MUST BE SIGNED AND ATTACHED HERETO.
END OF CONTRACT
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PERFORMANCE BOND
KNOW ALL PERSONS BY THESE PRESENTS:
THAT WHEREAS, the City of Aliso Viejo (hereinafter referred to as “ City”) has awarded to ____________________, (hereinafter referred to as the “Contractor”) _______________________ an agreement for FY 22-23 Slurry Seal & Rehabilitation Project (hereinafter referred to as the “Project”).
WHEREAS, the work to be performed by the Contractor is more particularly set forth in the Contract Documents for the Project dated April 2022, (hereinafter referred to as “Contract Documents”), the terms and conditions of which are expressly incorporated herein by reference; and
WHEREAS, the Contractor is required by said Contract Documents to perform the terms thereof and to furnish a bond for the faithful performance of said Contract Documents.
NOW, THEREFORE, we, _______________, the undersigned Contractor and _____________________________________________ as Surety, a corporation organized and duly authorized to transact business under the laws of the State of California, are held and firmly bound unto City in the sum of ___________________________ DOLLARS, ($____________), said sum being not less than one hundred percent (100%) of the total amount of the Contract, for which amount well and truly to be made, we bind ourselves, our heirs, executors and administrators, successors and assigns, jointly and severally, firmly by these presents.
THE CONDITION OF THIS OBLIGATION IS SUCH, that, if the Contractor, his or its heirs, executors, administrators, successors or assi gns, shall in all things stand to and abide by, and well and truly keep and perform the covenants, conditions and agreements in the Contract Documents and any alteration thereof made as therein provided, on its part, to be kept and performed at the time and in the manner therein specified, and in all respects according to their intent and meaning; and shall faithfully fulfill all obligations including the one-year guarantee of all materials and workmanship; and shall indemnify and save harmless City, its officers and agents, as stipulated in said Contract Documents, then this obligation shall become null and void; otherwise it shall be and remain in full force and effect.
As a part of the obligation secured hereby and in addition to the face amount specified therefore, there shall be included costs and reasonable expenses and fees including reasonable attorney’s fees, incurred by City in enforcing such obligation.
As a condition precedent to the satisfactory completion of the Contract Documents, unless otherwise provided for in the Contract Documents, the above obligation shall hold good for a period of one (1) year after the acceptance of the work by City , during which time if Contractor shall fail to make full, complete, and satisfactory repair and replacements and totally protect City from loss or damage resulting from or caused by defective materials or faulty workmanship, the above obligation in penal sum thereof shall remain in full force and effect. The obligations of Surety hereunder shall continue so long as any obligation of Contractor remains. Nothing herein 121
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shall limit City’s rights or the Contractor or Surety’s obligations under the Contract, law or equity, including, but not limited to, California Code of Civil Procedure section 337.15.
Whenever Contractor shall be, and is declared by City to be, in default under the Contract Documents, the Surety shall remedy the default pursuant to the Contract Documents, or shall promptly, at City’s option:
(1) Take over and complete the Project in accordance with all terms and conditions in the Contract Documents; or
(2) Obtain a bid or bids for completing the Project in accordance with all terms and conditions in the Contract Documents and upon determination by Surety of the lowest responsive and responsible bidder, arrange for a Contract between such bidder, the Surety and City , and make available as work progresses sufficient funds to pay the cost of completion of the Project, less the balance of the contract price, including other costs and damages for which Surety may be liable. The term “balance of the contract price” as used in this paragraph shall mean the total amount payable to Contractor by City under the Contract and any modification thereto, less any amount previously paid by City to the Contractor and any other set offs pursuant to the Contract Documents.
(3) Permit City to complete the Project in any manner consistent with California law and make available as work progresses sufficient funds to pay the cost of completion of the Project, less the balance of the contract price, including other costs and damages for which S urety may be liable. The term “balance of the contract price” as used in this paragraph shall mean the total amount payable to Contractor by City under the Contract and any modification thereto, less any amount previously paid by City to the Contractor and any other set offs pursuant to the Contract Documents.
Surety expressly agrees that City may reject any contractor or subcontractor which may be proposed by Surety in fulfillment of its obligations in the event of default by the Contractor.
Surety shall not utilize Contractor in completing the Project nor shall Surety accept a bid from Contractor for completion of the Project if City, when declaring the Contractor in default, notifies Surety of City ’s objection to Contractor’s further partic ipation in the completion of the Project.
The Surety, for value received, hereby stipulates and agrees that no change, extension of time, alteration or addition to the terms of the Contract Documents or to the Project to be performed thereunder shall in any way affect its obligations on this bond, and it does hereby waive notice of any such change, extension of time, alteration or addition to the terms of the Contract Documents or to the Project.
IN WITNESS WHEREOF, we have hereunto set our hands and seals this _______ day of ______________, 20__.
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PERFORMANCE BOND
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(Corporate Seal)
Contractor/ Principal
By
Title
(Corporate Seal) Surety
By
Attorney-in-Fact
(Attach Attorney- in-Fact Certificate) Title
The rate of premium on this bond is ____________ per thousand. The total amount of premium charges, $_______________________________.
(The above must be filled in by corporate attorney.)
THIS IS A REQUIRED FORM
Any claims under this bond may be addressed to:
(Name and Address of Surety) ___________________________________________ ___________________________________________
___________________________________________
(Name and Address of Agent or ___________________________________________ Representative for service of
process in California, if different ___________________________________________ from above)
___________________________________________
(Telephone number of Surety and ___________________________________________ Agent or Representative for service
of process in California
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SECTION 00610
PERFORMANCE BOND
FY 22-23 SLURRY SEAL & REHABILITATION PROJECT
SECTION 00610
PERFORMANCE BOND
CONTRACT - 8
BBK: March 2012
Notary Acknowledgment
A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document.
STATE OF CALIFORNIA
COUNTY OF ______________
On , 20___, before me, _______________________________, Notary Public, personally
appeared , who proved to me on the basis of satisfactory
evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument.
I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct.
WITNESS my hand and official seal.
Signature of Notary Public
OPTIONAL
Though the information below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent removal and reattachment of this form to another document.
CAPACITY CLAIMED BY SIGNER DESCRIPTION OF ATTACHED DOCUMENT Individual
Corporate Officer
Title(s) Title or Type of Document
Partner(s) Limited
General Number of Pages
Attorney-In-Fact
Trustee(s)
Guardian/Conservator Date of Document
Other:
Signer is representing:
Name Of Person(s) Or Entity(ies)
Signer(s) Other Than Named Above
124
SECTION 00610
PERFORMANCE BOND
FY 22-23 SLURRY SEAL & REHABILITATION PROJECT
SECTION 00610
PERFORMANCE BOND
CONTRACT - 9
BBK: March 2012
NOTE: A copy of the Power-of-Attorney to local representatives of the bonding company must be attached hereto.
END OF PERFORMANCE BOND FORM
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PAYMENT BOND
KNOW ALL MEN BY THESE PRESENTS that:
WHEREAS, the City of Aliso Viejo (hereinafter designated as “City”), by action taken or a resolution passed , 20 has awarded to
hereinafter designated as the “Principal,” a contract for the work described as follows:
FY 22-23 Slurry Seal & Rehabilitation Project (the “Project”); and WHEREAS, said Principal is required to furnish a bond in connection with said contract; providing that if said Principal or any of its Subcontractors shall fail to pay for any materials, provisions, provender, equipment, or other supplies used in, upon, for or about the performance of the work contracted to be done, or for any work or labor done thereon of any kind, or for amounts due under the Unemployment Insurance Code or for any amounts required to be deducted, withheld, and paid over to the Employment Development Department from the wages of employees of said Principal and its Subcontractors with respect to such work or labor the Surety on this bond will pay for the same to the extent hereinafter set forth.
NOW THEREFORE, we, the Principal and __________________________ as Surety, are held and firmly bound unto City in the penal sum of ______________ Dollars ($___________) lawful money of the United States of America, for the payment of which sum well and truly to be made, we bind ourselves, our heirs, executors, administrators, successors and assigns, jointly and severally, firmly by these presents.
THE CONDITION OF THIS OBLIGATION IS SUCH that if said Principal, his or its subcontractors, heirs, executors, administrators, successors or assigns, shall fail to pay any of the persons named in Section 3181 of the Civil Code, fail to pay for any materials, provisions or other supplies, used in, upon, for or about the performance of the work contracted to be done, or for any work or labor thereon of any kind, or amounts due under the Unemployment Insurance Code with respect to work or labor performed under the contract, or for any amounts required to be deducted, withheld, and paid over to the Employment Development Department or Franchise Tax Board from the wages of employees of the contractor and his subcontractors pursuant to Section 18663 of the Revenue and Taxation Code, with respect to such work and labor the Surety or Sureties will pay for the same, in an amount not exceeding the sum herein above specified, and also, in case suit is brought upon this bond, all litigation expenses incurred by City in such suit, including reasonable attorneys’ fees, court costs, expert witness fees and investigation expenses.
This bond shall inure to the benefit of any of the persons named in Section 3181 of the Civil Code so as to give a right of action to such persons or their assigns in any suit brought upon this bond.
It is further stipulated and agreed that the Surety on this bond shall not be exonerated or released from the obligation of this bond by any change, extension of time for performance, addition, alteration or modification in, to, or of any contract, plans, specifications, or agreement pertaining or relating to any scheme or work of improvement herein above described, or pertaining or relating to the furnishing of labor, materials, or equipment therefore, nor by any change or modification of any terms of payment or extension of the time for any payment pertaining or relating to any scheme or work of improvement herein above described, nor by any rescission or attempted rescission or attempted rescission of the contract, agreement or bond, nor by any conditions precedent or subsequent in the bond attempting to limit the right of recovery of claimants otherwise entitled to recover under any such contract or agreement or under the bond, nor by any fraud practiced by any person other than the claimant seeking to recover on the bond 126
and that this bond be construed most strongly against the Surety and in favor of all persons for whose benefit such bond is given, and under no circumstances shall Surety be released from liability to those for whose benefit such bond has been given, by reason of any breach of contract between the owner or City and original contractor or on the part of any obligee named in such bond, but the sole conditions of recovery shall be that claimant is a person described in Section 3110 or 3112 of the Civil Code, and has not been paid the full amount of his claim and that Surety does hereby waive notice of any such change, extension of time, addition, alteration or modification herein mentioned.
IN WITNESS WHEREOF, we have hereunto set our hands and seals this _______ day of ______________, 20__.
(Corporate Seal)
Contractor/ Principal
By
Title
(Corporate Seal) Surety
By
Attorney-in-Fact
(Attach Attorney- in-Fact Certificate) Title
127
Notary Acknowledgment
A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document.
STATE OF CALIFORNIA
COUNTY OF ______________
On , 20___, before me, _______________________________, Notary Public, personally
appeared , who proved to me on the basis of satisfactory
evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument.
I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct.
WITNESS my hand and official seal.
Signature of Notary Public
OPTIONAL
Though the information below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent removal and reattachment of this form to another document.
CAPACITY CLAIMED BY SIGNER DESCRIPTION OF ATTACHED DOCUMENT Individual
Corporate Officer
Title(s) Title or Type of Document
Partner(s) Limited
General Number of Pages
Attorney-In-Fact
Trustee(s)
Guardian/Conservator Date of Document
Other:
Signer is representing:
Name Of Person(s) Or Entity(ies)
Signer(s) Other Than Named Above
128
NOTE: A copy of the Power-of-Attorney to local representatives of the bonding company must be attached hereto.
END OF PAYMENT BOND FORM
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City of Aliso Viejo
AGENDA ITEM
DATE: June 1, 2022
TO: Mayor and City Council
FROM: Shaun Pelletier, Director of Public Works/City Engineer SUBJECT: THREE-YEAR AGREEMENT WITH NV5, INC. FOR CONSTRUCTION
INSPECTION SERVICES
______________________________________________________________________ Recommended Actions:
1. Approve a 3-year agreement with NV5, Inc. to perform construction inspection services; and
2. Authorize the City Manager to execute a professional services agreement with NV5, Inc. for an amount of approximately $100,000 annually not to exceed $300,000 over the 3-year term of the agreement.
Fiscal Impact:
Funds for construction inspection services ($130 per hour) will be included in each CIP project budget. The funding sources are typically Gas Tax, Measure M, Community Development Block Grant, or Community Enhancement. Any construction inspections services required for private development projects will be funded by the developer.
Background:
The City has several CIP projects budgeted for construction in fiscal years 2022-23 through 2024-25. Inspection services are required to ensure the projects are constructed in conformance with the construction documents and applicable codes and regulations, completed within contractual time requirements, and completed within the limits of the budget. Award of this agreement also provides for on-call inspection services when necessary.
NV5, Inc. has provided construction inspection services for the City since 2012 as CivilSource, Inc. and will reach the end of their current agreement on June 30, 2022. In 2016, CivilSource, Inc. was acquired by NV5, Inc.
A request for proposals (RFP) was issued for construction inspection services on March 23, 2022 and was advertised on the City website. On April 13, 2022, staff received ten (10) proposals for providing the requested construction inspection services. Staff 178
reviewed the proposals for their ability to perform the service, ability to meet time requirements, reference checks, and reasonableness of cost.
Staff ranked the firms as follows:
1. NV5, Inc.
2. Dudek
3. Onward
4. ERSC
5. SA Associates
6. Wallace and Associates
7. Z&K Consultants
8. FCG Consultants
9. AESCO
10.Transtech
Discussion:
Staff recommends NV5, Inc. to perform the construction inspection services because of their thoroughness in their work plan; their concern for traffic control, quality assurance, and their local experience in inspecting pavement rehabilitation and slurry seal projects.
NV5, Inc. has provided satisfactory service to the City since 2012, and has experience in other cities including Yorba Linda, Placentia, and Irvine.
If approved, NV5, Inc. will provide the Construction Inspection services on an as needed basis as directed by the City’s Public Works Director for a 3-year period. After the initial term, the City has the option to renew the Agreement for two (2) additional one-year terms.
Attachment:
1. Agreement
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CITY OF ALISO VIEJO
PROFESSIONAL SERVICES AGREEMENT
FOR
CONSTRUCTION INSPECTION SERVICES
1. PARTIES AND DATE.
This Agreement is made and entered into this day of , 20___, by and between the City of Aliso Viejo, a municipal corporation organized under the laws of the State of California with its principal place of business at 12 Journey, Suite 100, Aliso Viejo, California 92656 (“City”) and NV5, Inc., a corporation , with its principal place of business at 163 Technology Drive, Suite 100, Irvine, CA 92618 (“Consultant”). City and Consultant are sometimes individually referred to herein as “Party” and collectively as “Parties.”
2. RECITALS.
2.1 Consultant.
Consultant desires to perform and assume responsibility for the provision of professional Construction Inspection consultant services required by the City on the terms and conditions set forth in this Agreement. Consultant represents that it is experienced in providing professional Construction Inspection consultant services to public clients, is licensed in the State of California, and is familiar with the plans of City.
2.2 Project.
City desires to engage Consultant to render such services for the Construction Inspection Services project (“Project”) as set forth in this Agreement.
3. TERMS.
3.1 Scope of Services and Term.
3.1.1 General Scope of Services . Consultant promises and agrees to furnish to the City all labor, materials, tools, equipment, services, and incidental and customary wor k necessary to fully and adequately supply the professional Construction Inspection consultant services necessary for the Project (“Services”). The Services are more particularly described in Exhibit “A” attached hereto and incorporated herein by reference. All Services shall be subject to, and performed in accordance with, this Agreement, the exhibits attached hereto and incorporated herein by reference, and all applicable local, state and federal laws, rules and regulations.
3.1.2 T
erm . The term of this Agreement shall be from June 1, 2022 to June 30, 2025, unless earlier terminated as provided herein. The City Manager shall have the unilateral option, at its sole discretion, to renew this Agreement annually for no more than two additional one-year terms. Consultant shall complete the Services within the term of this Agreement, and shall meet any other established schedules and deadlines. 180
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3.2 Responsibilities of Consultant.
3.2.1 Control and Payment of Subordinates; Independent Contractor . The Services shall be perf ormed by Consultant or under its supervision. Consultant will determine the means, methods and details of performing the Services subject to the requirements of this Agreement. City retains Consultant on an independent contractor basis and not as an empl oyee.
Consultant shall complete, execute, and submit to City a Request for Taxpayer Identification Number and Certification (IRS FormW -9) prior to commencement of any Services under this Agreement. Neither City, nor any of its officials, officers, directors, employees or agents shall have control over the conduct of Consultant or any of Consultant's officers, employees, or agents, except as set forth in this Agreement. Consultant retains the right to perform similar or different services for others during the term of this Agreement. Any additional personnel performing the Services under this Agreement on behalf of Consultant shall also not be employees of City and shall at all times be under Consultant’s exclusive direction and control.
Consultant shall pay all wages, salaries, and other amounts due such personnel in connection with their performance of Services under this Agreement and as required by law. Consultant shall be responsible for all reports and obligations respecting such additional personne l, including, but not limited to: social security taxes, income tax withholding, unemployment insurance, disability insurance, and workers’ compensation insurance.
3.2.2 S
chedule of Services .
3.2.2.1 Consultant shall perform the Services expeditiously, within the term of this Agreement, and in accordance with the Schedule of Services set forth in Exhibit “B” attached hereto and incorporated herein by reference. Consultant represents that it has the professional and technical personnel required to perform the Servi ces in conformance with such conditions. In order to facilitate Consultant’s conformance with the Schedule, City shall respond to Consultant’s submittals in a timely manner. Upon request of City, Consultant shall provide a more detailed schedule of anticipated performance to meet the Schedule of Services.
3.2.2.2 Neither City nor Consultant shall be considered in default of this Agreement for delays in performance caused by circumstances beyond the reasonable control of the non- performing Party. For purposes of this Agreement, such circumstances include a Force Majeure Event. A Force Majeure Event shall mean an event that materially affects a Party’s performance and is one or more of the following: (1) Acts of God or other natural disasters; (2) terrorism or oth er acts of a public enemy; (3) orders of governmental authorities (including, without limitation, unreasonable and unforeseeable delay in the issuance of permits or approvals by governmental authorities that are required for the Services); (4) strikes and other organized labor action occurring at the site and the effects thereof on the Services, only to the extent such strikes and other organized labor action are beyond the control of Consultant and its subcontractors, and to the extent the effects thereof cannot be avoided by use of replacement workers; and (5) pandemics, epidemics or quarantine restrictions. For purposes of this section, “orders of governmental authorities,” includes ordinances, emergency proclamations and orders, rules to protect the public health, welfare and safety, and other actions of a public agency applicable to the Services and Agreement.
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3.2.2.3 Should a Force Majeure Event occur, the non- performing Party shall, within a reasonable time of being prevented from performing, give written not ice to the other Party describing the circumstances preventing continued performance and the efforts being made to resume performance of this Agreement. Force Majeure Events and/or delays, regardless of the Party responsible for the delay, shall not entitle Consultant to any additional compensation. Notwithstanding the foregoing in this section, the City may still terminate this Agreement in accordance with the termination provisions of this Agreement.
3.2.3 Conformance to Applicable Requirements. All work prepared by Consultant shall be subject to the approval of City.
3.2.4 S ubstitution of Key Personnel. Consultant has represented to City that certain key personnel will perform and coordinate the Services under this Agreement. Should one or more of such personnel become unavailable, Consultant may substitute other personnel of at least equal competence upon written approval of City. In the event that City and Consultant cannot agree as to the substitution of key personnel, City shall be entitled to terminate this Agreement for cause. As discussed below, any personnel who fail or refuse to perform the Services in a manner acceptable to the City, or who are determined by the City to be uncooperative, incompetent, a threat to the adequate or timely completion of the Project or a threat to the safety of persons or property, shall be promptly removed from the Project by the Consultant at the request of the City. The key personnel for performance of this Agreement are as follows: Peter Salgado.
3.2.5 C
ity’s Representative . The City hereby designates the City Manager, or his or her designee, to act as its representative for the performance of this Agreement (“City’s Representative”). City’s Representative shall have the power to act on behalf of the City for all purposes under this Contract. The City Manager hereby designates Public Works Director/City Engineer, or his or her designee, as the City’s contact for the implementation of the Services hereunder. Consultant shall not accept direction or orders from any person othe r than the City’s Representative or his or her designee.
3.2.6 C
onsultant’s Representative. Consultant hereby designates Peter Salgado, or his or her designee, to act as its representative for the performance of this Agreement (“Consultant’s Representative”). Consultant’s Representative shall have full authority to represent and act on behalf of the Consultant for all purposes under this Agreement. The Consultant’s Representative shall supervise and direct the Services, using his best skill and attention, and shall be responsible for all means, methods, techniques, sequences and procedures and for the satisfactory coordination of all portions of the Services under this Agreement.
3.2.7 C
oordination of Services. Consultant agrees to work closely with City staff in th e performance of Services and shall be available to City’s staff, consultants and other staff at all reasonable times.
3.2.8 S tandard of Care; Performance of Employees . Consultant shall perform all Services under this Agreement in a skillful and competent manner, consistent with the standards generally recognized as being employed by professionals in the same discipline in the State of California. Consultant represents and maintains that it is skilled in the professional 182
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calling necessary to perform the Services. Consultant warrants that all employees and subconsultants shall have sufficient skill and experience to perform the Services assigned to them. Finally, Consultant represents that it, its employees and subconsultants have all licenses, permits, qualifications and approvals of whatever nature that are legally required to perform the Services and that such licenses and approvals shall be maintained throughout the term of this Agreement. As provided for in the indemnification provisions of this Agreement, Consultant shall perform, at its own cost and expense and without reimbursement from the City, any services necessary to correct errors or omissions which are caused by the Consultant’s failure to comply with the standard of care provided for herein. Any employee of the Consultant or its sub-consultants who is determined by the City to be uncooperative, incompetent, a threat to the adequate or timely completion of the Project, a threat to the safety of persons or property, or any employee who fails or refuses to perform the Services in a manner acceptable to the City, shall be promptly removed from the Project by the Consultant and shall not be re -employed to perform any of the Services or to work on the Project.
3.2.9 Laws and Regulations. Consultant shall keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the Services, including all Cal/OSHA requirements, and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with Services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations, Consultant shall be solely responsible for all costs arising therefrom. Consultant shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure or alleged failure to comply with such laws, rules or regulations.
3.2.10 I
nsurance.
3.2.10.1 Time for Compliance . Consultant shall not commence Work under this Agreement until it has provided evidence satisfactory to the City that it has secured all insurance required under this section. In addition, Consultant shall not allow any subconsultant to commence work on any subcontract until it has provided evidence satisfactory to the City that the subconsultant has secured all insurance required under this section.
3.2.10.2 T
ypes of Insurance Required. As a condition precedent to the effectiveness of this Agreement for work to be performed hereunder and without limiting the indemnity provisions of the Agreement, the Consultant in partial performance of its obligations under such Agreement, shall procure and maintain in full force and effect during the term of the Agreement, the following policies of insurance. If the existing policies do not meet the Insurance Requirements set forth herein, Consultant agrees to amend, supplement or endorse the policies to do so.
(a) Commercial General Liability: Commercial General Liability Insurance which affords coverage at least as broad as Insurance Services Office “occurrence” form CG 0001, with minimum limits of at least $1,000,000 pe r occurrence, and if written with an 183
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aggregate, the aggregate shall be double the per occurrence limit.
Defense costs shall be paid in addition to the limits.
The policy shall contain no endorsements or provisions limiting coverage for (1) contractual liability; (2) cross liability exclusion for claims or suits by one insured against another; or (3) contain any other exclusion contrary to the Agreement.
(b) Automobile Liability Insurance: Automobile Liability Insurance with coverage at least as broad as Insur ance Services Office Form CA 0001 covering “Any Auto” (Symbol 1) with minimum limits of $1,000,000 each accident.
(c) Contractors Pollution Liability: (if necessary)
Contractors Pollution Liability Insurance covering all of the contractor’s operations to incl ude onsite and offsite coverage for bodily injury (including death and mental anguish), property damage, defense costs and cleanup costs with minimum limits of $5 million per loss and $10 million total all losses. The policy shall contain no endorsements or provisions limiting contractual liability or coverage for cross liability of claims or suits by one insured against another.
If coverage is written on a claims -made basis, the retroactive date shall precede the effective date of the initial Agreement an d continuous coverage will be maintained or an extended reporting period will be exercised for a period of at least three (3) years from termination or expiration of this Agreement.
(d) Professional Liability: Professional Liability insurance with minimum limits of $1,000,000. Covered professional services shall specifically include all work to be performed under the Agreement and delete any exclusions that may potentially affect the work to be performed (for example, any exclusions relating to lead, asbestos , pollution, testing, underground storage tanks, laboratory analysis, soil work, etc.).
If coverage is written on a claims -made basis, the retroactive date shall precede the effective date of the initial Agreement and continuous coverage will be maintained or an extended reporting period will be exercised for a period of at least three (3) years from termination or expiration of this Agreement.
(e) Workers’ Compensation: Workers’ Compensation Insurance, as required by the State of California and Employer’s Lia bility Insurance with a limit of not less than $1,000,000 per accident for bodily injury and disease.
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3.2.10.3 Endorsements. Required insurance policies shall not be in compliance if they include any limiting provision or endorsement that has not been submitted to the City for approval.
(a) The policy or policies of insurance required by Section 3.2.10.2 (a) Commercial General Liability and (c) Contractor’s Pollution Liability shall be endorsed to provide the following:
(1) Additional Insured: The City of Aliso Viejo , its officials, officers, employees, agents, and volunteers shall be
additional insureds with regard to liability and defense of suits or claims arising out of the performance of the
Agreement.
Additional Insured Endorsements shall not (1) be restricted to “ongoing operations”; (2) exclude “contractual liability”; (3) restrict coverage to “sole” liability of Consultant; or (4) contain any other exclusions contrary to the Agreement. (2) Cancellation: Required insurance policies shall not be canceled or the coverage reduced until a thirty (30) day written notice of cancellation has been served upon the City except ten (10) days shall be allowed for non- payment of premium.
(b) The policy or policies of insurance required by Section 3.2.10.2 (b) Automobile Liability and (d) Professional Liability shall be endorsed to provide the following:
(1) Cancellation: Required insurance policies shall not be canceled or the coverage reduced until a thirty (30) day written notice of cancellation has been served upon the City except ten (10) days shall be allowed for non- payment of premium.
(c) The policy or policies of insurance required by Section 3.2.10.2 (e) Workers’ Compensation shall be endorsed to provide the
following:
(1) Waiver of Subrogation: A waiver of subrogation sta ting that the insurer waives all rights of subrogation against the indemnified parties.
(2) Cancellation: Required insurance policies shall not be canceled or the coverage reduced until a thirty (30) day written notice of cancellation has been served upon the City except ten (10) days shall be allowed for non- payment of premium.
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3.2.10.4 Primary and Non- Contributing Insurance. All insurance coverages shall be primary and any other insurance, deductible, or self -insurance maintained by the indemnified parties shall not contribute with this primary insurance. Policies shall contain or be endorsed to contain such provisions.
3.2.10.5 W aiver of Subrogation. Required insurance coverages shall not prohibit Consultant from waiving the right of subrogation prior to a loss. Consultant shall waive all subrogation rights against the indemnified parties. Policies shall contain or be endorsed to contain such provisions.
3.2.10.6 D
eductible . Any deductible or self -insured retention must be approved in writing by the City and shall protect the indemnified parties in the same manner and to the same extent as they would have been protected had the policy or policies not contained a deductible or self-insured retention.
3.2.10.7 E
vidence of Insurance. The Consultant, concurrently with the execution of the Agreement, and as a condition precedent to the effectiveness thereof, shall deliver either certified copies of the required policies, or original certificates and endorsements on forms approved by the City. The certificates and endorsements for each insurance policy shall be signed by a person authorized by that insurer to bind coverage on its behalf. At least fifteen (15 days) prior to the expiration of any such policy, evidence of insurance showing that such insurance coverage has been renewed or extended shall be filed with the City. If such coverage is cancelled or reduced, Consultant shall, within ten (10) days after receipt of written notice of such cancellation or reduction of coverage, file with the City evidence of insurance showing that the required insurance has been reinstated or has been provided through another insurance company or companies.
3.2.10.8 F
ailure to Maintain Coverage. Consultant agrees to suspend and cease all operations hereunder during such period of time as the required insurance coverag e is not in effect and evidence of insurance has not been furnished to the City. The City shall have the right to withhold any payment due Consultant until Consultant has fully complied with the insurance provisions of this Agreement.
In the event that the Consultant’s operations are suspended for failure to maintain required insurance coverage, the Consultant shall not be entitled to an extension of time for completion of the Services because of production lost during suspension.
3.2.10.9 Acceptability of Insurers . Each such policy shall be from a company or companies with a current A.M. Best’s rating of no less than A:VII and authorized to do business in the State of California, or otherwise allowed to place insurance through surplus line brokers under applicable provisions of the California Insurance Code or any federal law.
3.2.10.10 I
nsurance for Subconsultants. All Subconsultants shall be included as additional insureds under the Consultant’s policies, or the Consultant shall be responsible for causing Subconsultants to purchase the appropriate insurance in compliance with the terms of these Insurance Requirements, including adding the City as an Additional Insured to the Subconsultant’s policies.
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3.2.11 Safety. Consultant shall execute and maintain its work so as to avoid injury or damage to any person or property. In carrying out its Services, the Consultant shall at all times be in compliance with all applicable local, state and federal laws, rules and regu lations, and shall exercise all necessary precautions for the safety of employees appropriate to the nature of the work and the conditions under which the work is to be performed. Safety precautions where applicable shall include, but shall not be limited to: (A) adequate life protection and life saving equipment and procedures; (B) instructions in accident prevention for all employees and subconsultants, such as safe walkways, scaffolds, fall protection ladders, bridges, gang planks, confined space procedures, trenching and shoring, equipment and other safety devices, equipment and wearing apparel as are necessary or lawfully required to prevent accidents or injuries; and (C) adequate facilities for the proper inspection and maintenance of all safety measures.
3.3 Fees and Payments.
3.3.1 Compensation. Consultant shall receive compensation, including authorized reimbursements, for all Services rendered under this Agreement at the rates set forth in Exhibit “C” attached hereto and incorporated herein by reference. The total compensation shall not exceed Three Hundred Thousand DOLLARS ($300,000.00) (“Total Compensation”) without written approval of City’s City Manager . Extra Work may be authorized, as described below, and if authorized, will be compensated at the rates and manner set forth in this Agreement.
3.3.2 P
ayment of Compensation.
Consultant shall submit to City a monthly itemized statement which indicates work completed and hours of Services rendered by Consultant. The statement shall describe the amount of Services and supplies provided since the initial commencement date, or since the start of the subsequent billing periods, as appropriate, through the date of the statement. City shall, within 45 days of receiving such statement, review the statement and pay al l non-disputed and approved charges thereon.
3.3.3 Reimbursement for Expenses. Consultant shall not be reimbursed for any expenses unless authorized in writing by City.
3.3.4 E xtra Work . At any time during the term of this Agreement, City may request that Consultant perform Extra Work. As used herein, “Extra Work” means any work which is determined by City to be necessary for the proper completion of the Project, but which the Parties did not reasonably anticipate would be necessary at the execution of this Agreement.
Consultant shall not perform, nor be compensated for, Extra Work without written authorization from the City.
3.3.5 P
revailing Wages ; DIR Registration.
3.3.5.1 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. 187
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If the Se rvices are being performed as part of an applicable “public works” or “maintenance” project, as defined by the Prevailing Wage Laws, and if the total compensation is $1,000 or more, Consultant agrees to fully comply with such Prevailing Wage Laws. City shall provide Consultant with a copy of the prevailing rates of per diem wages in effect at the commencement of this Agreement. Consultant shall make copies of the prevailing rates of per diem wages for each craft, classification or type of worker needed to execute the Services available to interested parties upon request, and shall post copies at the Consultant’s principal place of business and at the project site. It is the intent of the parties to effectuate the requirements of sections 1771, 1774, 1775, 1776, 1777.5, 1813, and 1815 of the Labor Code within this Agreement, and Consultant shall therefore comply with such Labor Code sections to the fullest extent required by law. 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.
3.3.5.2 If the Services are being performed as part of an applicable “public works” or “maintenance” project, in addition to the foregoing, then pursuant to Labor Code sections 1725.5 and 1771.1, the Consultant and all subconsultants must be registered with the Department of Industrial Relations (“DIR”). Consultant shall maintain registration for the duration of the project and require the same of any subconsultants. This project may also be subject to compliance monitoring and enforcement by the DIR. It shall be Contractor’s sole responsibility to comply with all applicable registration and labor compliance requirements, including the submission of payroll records directly to the DIR.
3.4 Accounting Records.
3.4.1 Maintenance and Inspection. Consultant shall maintain com plete and accurate records with respect to all costs and expenses incurred under this Agreement. All such records shall be clearly identifiable. Consultant shall allow a representative of City during normal business hours to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to the Agreement for a period of three (3) years from the date of final payment under this Agreement.
3.5 General Provisions.
3.5.1 Termination of Agreement.
3.5.1.1 Grounds for Termination. City may, by written notice to Consultant, terminate the whole or any part of this Agreement at any time and without cause by giving written notice to Consultant of such termination, and specifying the effective date thereof, at least seven (7) days before the effective date of such termination. Upon termination, Consultant shall be compensated only for those services which have been adequately r endered to City, and Consultant shall be entitled to no further compensation. Consultant may not terminate this Agreement except for cause. The rights and remedies of the City provided in this section shall not be exclusive and are in addition to any other rights and remedies provided by law, equity or under this Agreement.
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3.5.1.2 Effect of Termination. If this Agreement is terminated as provided herein, City may require Consultant to provide all finished or unfinished Documents and Data and other information of any kind prepared by Consultant in connection with the performance of Services under this Agreement. Consultant shall be required to provide such document and other information within fifteen (15) days of the request.
3.5.1.3 A
dditional Services . In the event this Agreement is terminated in whole or in part as provided herein, City may procure, upon such terms and in such manner as it may determine appropriate, services similar to those terminated.
3.5.2 D
elivery of Notices . All notices permitted or required under t his Agreement shall be given to the respective parties at the following address, or at such other address as the respective parties may provide in writing for this purpose:
Consultant:
NV5, Inc.
163 Technology Drive, Suite 100
Irvine, CA 92618
Attn: Peter Salgado, Project Manager
City:
City of Aliso Viejo
12 Journey, Suite 100
Aliso Viejo, CA 92656
Attn: Shaun Pelletier, Public Works Department
Such notice shall be deemed made when personally delivered or when mailed, forty-eight (48) hours after deposit in the U.S. Mail, first class postage prepaid and addressed to the party at its applicable address. Actual notice shall be deemed adequate notice on the date actual notice occurred, regardless of the method of service.
3.5.3 Ownership of Materials and Confidentiality.
3.5.3.1 Documents & Data; Licensing of Intellectual Property. 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 prepared by design professionals other than Consultant or 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, 189
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provided that any such use not within the purposes intended by this Agreement shall be at City’s sole risk.
3.5.3.2 Confidentiality. All ideas, memoranda, specifications, plans, procedures, drawings, descriptions, computer program data, input record data, written information, and other Documents and Data either created by or provided to Consultant in connection with the performance of this Agreement shall be held confidential by Consultant.
Such materials shall not, without the prior written consent of City, be used by Consultant for any purposes other than the performance of the Services. Nor shall such materials be disclosed to any person or entity not connected with the performance of the Services or the Project. Nothing furnished to Consultant which is otherwise known to Consultant or is generally known, or has become known, to the related industry shall be deemed confidential. Consultant shall not use City’s name or insignia, photographs of the Project, or any publicity pertaining to the Services or the Project in any magazine, trade paper, newspaper, television or radio production or other similar medium without the prior written consent of City.
3.5.3.3 C
onfidential Information . The City shall refrain from releasing Consultant’s proprietary information (“Proprietary Information”) unless the City’s legal counsel determines that the release of the Proprietary Information is required by the California Public Records Act or other applicable state or federal law, or order of a court of competent jurisdiction, in which case the City shall notify Consultant of its intention to release Proprietary Information.
Consultant shall have five (5) working days after receipt of the Release Notice to give City written notice of Consultant’s objection to the City’s release of Proprietary Information.
Consultant shall indemnify, defend and hold harmless the City, and its officers, directors, employees, and agents from and against all liability, loss, cost or expense (including attorney’s fees) arising out of a legal action brought to compel the release of Proprietary Information. City shall not release the P roprietary Information after receipt of the Objection Notice unless either:
(1) Consultant fails to fully indemnify, defend (with City’s choice of legal counsel), and hold City harmless from any legal action brought to compel such release; and/or (2) a final and non- appealable order by a court of competent jurisdiction requires that City release such information.
3.5.4 F
raud Policy. Consultant shall provide a copy of the City’s Fraud Prevention Policy to each of its employees assigned to perform Services under this Agreement.
Consultant shall submit to the City a statement signed by an authorized representative for Consultant certifying receipt of the City’s Fraud Prevention Policy. A finding by the City that any of Consultant’s employees have committed fraud against the City or have violated the City’s Fraud Prevention Policy shall be grounds for appropriate discipline, up to and including such employee’s removal from performance of this Agreement at City’s request and/or termination of this Agreement. Consultant shall reimburse the City for any costs and expenses associated with fraud against the City.
3.5.5 C
ooperation; Further Acts. The Parties shall fully cooperate with one another, and shall take any additional acts or sign any additional documents as may be necessary, appropriate or convenient to attain the purposes of this Agreement.
3.5.6 A ttorney’s Fees . If either party commences an action against the other party, either legal, administrative or otherwise, arising out of or in connection with this 190
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Agreement, the prevailing party in such litigation shall be entitled to have and recover from the losing party reasonable attorney’s fees and all other costs of such action.
3.5.7 Indemnification.
3.5.7.1 To the fullest extent permitted by law, Consultant shall defend (with counsel of City’s choosing), indemnify and hold the City, its officials, officers, employees, volunteers and agents free and harmless from any and all claims, demands, causes of action, costs, expenses, liability, loss, damage or injury of any kind, in law or equity, to property or persons, including wrongful death, in any manner arising out of, pertaining to, or incident to any alleged acts, errors or omissions, or willful misconduct of Consultant, its officials, officers, employees, subcontractors, consultants or agents in connection with the performance of the Consultant's Services, the Project or this Agreement, including without limitation the payment of all damages, expert witness fees and attorneys fees and other related costs and expenses except such loss or damage caused by the sole negligence or willful misconduct of the City .
Consultant's obligation to indemnify shall survive expiration or termination of this Agreement and shall not be restricted to insurance proceeds, if any, received by the Consultant or the City, its officials, officers, employees, agents or volunteers.
3.5.7.2 If Consultant’s obligation to defend, indemnify, and/or hold harmless arises out of Consultant’s performance as a “design professional” (as that term is defined under Civil Code section 2782.8), then, and only to the extent required by Civil Code section 2782.8, which is fully incorporated herein, Consultant’s indemnification obligation shall be limited to claims that arise out of, pertain to, or relate to the negligence, reckless ness, or willful misconduct of the Consultant, and, upon Consultant obtaining a final adjudication by a court of competent jurisdiction, Consultant’s liability for such claim, including the cost to defend, shall not exceed the Consultant’s proportionate percentage of fault.
3.5.8 Entire Agreement. This Agreement contains the entire Agreement of the parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. This Agreement may only be modified by a writing signed by both parties.
3.5.9 G
overning Law. This Agreement shall be governed by the laws of the State of California. Venue shall be in Orange County.
3.5.10 T ime of Essence. Time is of the essence for each and every provision of this Agreement.
3.6 C ity’s Right to Employ Other Consultants. City reserves right to employ other consultants in connection with this Project.
3.7 S uccessors and Assigns. This Agreement shall be binding on the successors and assigns of the parties.
3.8 A ssignment or Transfer. Consultant shall not assign, hypothecate, or transfer, either directly or by operation of law, this Agreement or any interest herein without the prior written consent of the City. Any attempt to do so shall be null and void, and any assignees, 191
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hypothecates or transferees shall acquire no right or interest by reason of such attempted assignment, hypothecation or transfer.
3.9 Construction; References; Captions . Since the Parties or their agents have participated fully in the preparation of this Agreement, the language of this Agreement shall be construed simply, according to its fair meaning, and not strictly for or against any Party. Any term referencing time, days or period for performance shall be deemed calendar days and not work days. All references to Consultant include all personnel, employees, agents, and subconsultants of Consultant, except as otherwise specified in this Agreement. All references to City include its elected officials, officers, employees, agents, and volunteers except as otherwise specified in this Agreement. The captions of the various articles and paragraphs are for convenience and ease of reference only, and do not define, limit, augment, or describe the scope, content, or intent of this Agreement.
3.10 A
mendment; Modification . No supplement, modification, or amendment of this Agreement shall be binding unless executed in writing and signed by both Parties.
3.11 Wai ver . No waiver of any default shall constitute a waiver of any other default or breach, whether of the same or other covenant or condition. No waiver, benefit, privilege, or service voluntarily given or performed by a Party shall give the other Party any contractual rights by custom, estoppel, or otherwise.
3.12 N
o Third Party Beneficiaries . There are no intended third party beneficiaries of any right or obligation assumed by the Parties.
3.13 I nvalidity; Severability . If any portion of this Agreement is declared invalid, illegal, or otherwise unenforceable by a court of competent jurisdiction, the remaining provisions shall continue in full force and effect.
3.14 P
rohibited Interests . Consultant maintains and warrants that it has not employed nor retained any company or person, other than a bona fide employee working solely for Consultant, to solicit or secure this Agreement. Further, Consultant warrants that it has not paid nor has it agreed to pay any company or person, other than a bona fide employee working solely for Consultant, any fee, commission, percentage, brokerage fee, gift or other consideration contingent upon or resulting from the award or making of this Agreement. For breach or violation of this warranty, City shall have the right to rescind this Agreement without liability.
For the term of this Agreement, no member, officer or employee of City, during the term of his or her service with City, shall have any direct interest in this Agreement, or obtain any present or anticipated material benefit arising therefrom.
3.15 E
qual Opportunity Employment . Consultant represents that it is an equal opportunity employer and it shall not discriminate against any subconsultant, employee or applicant for employment because of race, religion, color, national origin, handicap, ancestry, sex or age. Such non- discrimination shall include, but not be limited to, all activities related to initial employment, upgrading, demotion, transfer, recruitment or recruitment advertising, layoff or termination. Consultant shall also comply with all relevant provisions of City’s Minority 192
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Business Enterprise program, Affirmative Action Plan or other related programs or guideli nes currently in effect or hereinafter enacted.
3.16 Labor Certification . By its signature hereunder, Consultant certifies that it is aware of the provisions of Section 3700 of the California Labor Code which require every employer to be insured against liability for Worker’s Compensation or to undertake self - insurance in accordance with the provisions of that Code, and agrees to comply with such provisions before commencing the performance of the Services.
3.17 A
uthority to Enter Agreement . Consultant has all requisite power and authority to conduct its business and to execute, deliver, and perform the Agreement. Each Party warrants that the individuals who have signed this Agreement have the legal power, right, and authority to make this Agreement and bind each respective Party.
3.18 C
ounterparts . This Agreement may be signed in counterparts, each of which shall constitute an original.
3.19 D eclaration of Political Contributions . Consultant shall, throughout the term of this Agreement, submit to City an annual statement in writing declaring any political contributions of money, in-kind services, or loan made to any member of the City Council within the previous twelve-month period by the Consultant and all of Consultant’s employees, including any employee(s) that Consultant intends to assign to perform the Services described in this Agreement.
3.20 Subcontracting.
3.20.1 Prior Approval Required. Consultant shall not subcontract any portion of the work required by this Agreement, except as expressly stated herein, without prior written approval of City. Subcontracts, if any, shall contain a provision making them subject to all provisions stipulated in this Agreement.
[Signatures on following page.]
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SIGNATURE PAGE TO PROFESSIONAL SERVICES AGREEMENT
BETWEEN THE CITY OF ALISO VIEJO AND NV5, INC.
IN WITNESS WHEREOF, the parties have executed this Professional Services Agreement on this ____ day of __________, 2022.
CITY OF ALISO VIEJO
Approved:
By:
David Doyle
City Manager
ATTEST:
By: _______________________________
Mitzi Ortiz, MMC
City Clerk
APPROVED AS TO FORM:
______________________________
Best Best & Krieger LLP
City Attorney
APPROVED AS TO COMPLIANCE
WITH BUDGET
By:
Department of Financial Services
NV5, INC.
[If Corporation, TWO SIGNATURES,
President OR Vice President AND Secretary
OR Treasurer REQUIRED]
By:
Its:
Printed Name:
By:
Its:
Printed Name:_________________________
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CITY OF ALISO VIEJO
DECLARATION OF POLITICAL CONTRIBUTIONS
Using the space provided below, please list any political contributions of money, in-kind services, or loans made to any member of the City Council within the last twelve (12) months by Consultant and all of Consultant’s employees, including any employee(s) that applicant intends to assign to perform the work or services described in this Agreement:
To the best of my knowledge, I declare under penalty of perjury that the foregoing is true and was executed at:
City/County/State Date
Name of Business Print Name
Signature
NOTE: THIS DECLARATION IS INCLUDED AS PART OF THE AGREEMENT AND MUST BE SIGNED AND ATTACHED HERETO. 195
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CITY OF ALISO VIEJO
ACKNOWLEDGMENT OF RECEIPT OF FRAUD POLICY
I hereby acknowledge that I have received a copy of the City’s “Fraud Prevention Policy” dated October 1, 2008. I understand that I am to promptly read its contents and distribute copies to employees assigned to perform Services for the City of Aliso Viejo.
To the extent that provisions of this policy conflict with previously issued policies or practices, whether or not such policies and practices were contained in written polic ies, this policy shall prevail.
Name of Business Print Name
Signature
Date
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A-1
EXHIBIT “A”
SCOPE OF SERVICES
1. GENERAL
The Contractor shall furnish all labor and equipment to perform construction inspection services with the primary purpose to ensure that projects are constructed in conformance with the construction documents and applicable codes and regulations, completed within contractual time requirements, and completed within the limits of the budget.
2. QUALIFICATIONS
The Contractor shall have the capability to verify construction projects are in compliance with contract documents and plans, standard drawings, Standard Specifications for Public Works Construction (Greenbook), and Caltrans Specifications.
3. SCOPE OF WORK
a. Attend and participate in pre-construction meetings. b. Conduct daily on-site construction observation of the progress and quality of work to ensure compliance with contract documents.
c. Conduct daily and weekly meetings with the contractor to discuss daily w ork activities, traffic control, and any construction issues to expedite the construction of the project.
d. Anticipate, investigate, and promptly notify contractor of all defects or deficiencies in the materials and workmanship.
e. Prepare reports documenting the progress of the construction with construction observation reports noting personnel and equipment used on the site, materials delivered, weather conditions and any significant events of the day or conversations with the contractor.
f. Coordinate with local utility providers on protection, adjustment, and/or relocation of existing facilities.
g. Coordinate the timely performance of material testing and surveying. h. Ensure best management practices and safety is performed. i. Inspect traffic control in accordance wit h Caltrans Manual and WATCH Manual.
Direct contractor to make corrections if necessary.
j. Prepare and update a daily correction list (‘punch-list’) for use by the contractor. k. Review and provide a recommendation for contractor’s request for change proposal of increase cost or time.
l. Prepare project closeout documents including key project records and documents, as - built record drawings and final punchlist.
m. Conduct walk-through with the contractor.
City may also require construction project management services, inspection services for development projects, encroachment permit inspection services, and other public works 197
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A-2
inspection services. The scope and fees associated with this work will be determined on an as needed basis.
4. RECORDS
a. Prepare a record of the progress of the construction project by maintaining daily observation reports documenting the progress of the work as well as labor and equipment used at the job site, field conversations, safety issues, and any significant event that occurred that day.
b. Prepare a second report when extra work is performed keeping track of including labor, materials, and equipment used.
c. Project close-out including transfer of key project records and documents, materials delivered, and photographs.
d. Project
To the greatest extent possible, the consultant shall organize the project documents and deliver the final construction records to the City in accordance with Caltrans Construction Manual (Chapter 5), at the completion of the project. The consultant shall also keep a comprehensive photo and/or video log before, during and post construction.
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B-1
EXHIBIT “B”
SCHEDULE OF SERVICES
In the event that this Agreement is renewed pursuant to Section 3.1.2, the first renewal period shall be from July 1, 2025 to June 30, 2026. The second renewal period shall be from July 1, 2026 to June 30, 2027.
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C-1
EXHIBIT “C”
COMPENSATION
In the event that this Agreement is renewed pursuant to Section 3.1.2, the rates set forth above may be adjusted each year at the time of renewal described in Exhibit “B” in accordance with the annual average Consumer Price Index of the prior calendar year , All Urban Consumers, Los Angeles-Long Beach-Anaheim up to a maximum percentage of five percent (5%).
200
201
City of Aliso Viejo
COUNCIL POLICY
SUBJECT
FRAUD PREVENTION POLICY
RES. NO.
2005-
056
POLICY NO.
400-15
EFF. DATE
10/01/2008
PAGE
1 of 8
PURPOSE
To establish Policy and procedures for the prev ention and detection of fraud and other related dishonest activities against th e City and, when appropriate, to pursue legal remedies available under the law.
This Policy has been established to ensure that elected officials, officers, employees, and members of advisory boards, commissions and committees of the City of Alis o Viejo are aware of the following:
1. Acts that are considered to be fraudulent;
2. Procedures for reporting suspected fraudulent acts;
3. Steps to be taken when fraud or other rela ted dishonest activities are suspected; and
4. Consequences to expect when a dishonest act is reported.
Further, this Policy delineates management’s responsibility for instituting and maintaining a system of internal control to prevent and detect fraud, misappropriations and other irregularities, and to be alert for any indications of such misconduct.
POLICY
1. GENERAL
The City of Aliso Viejo is committed to protecting its assets against the risk of loss or misuse.
Accordingly, it is the policy of the City to identify and promptly investig ate any possibility of fraudulent or related dishonest ac tivities against the City and, w hen appropriate, to pursue legal remedies available under law.
2. DEFINITIONS
a. Fraud
– Fraud and other similar irregularities including, but not limited to:
i. claim for reimbursement of expenses that are not job-related or authorized by current policy;
ii. forgery or unauthorized alteration of doc uments (checks, time sheets, independent contractor agreements, purchase orders, budgets, etc.); 202
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SUBJECT
FRAUD PREVENTION POLICY
RES. NO.
2005-
056
POLICY NO.
400-15
EFF. DATE
10/01/2008
PAGE
2 of 8
iii. misappropriation of City assets (funds, securi ties, supplies, furniture, equipment, etc.);
iv. improprieties in the handling or reporting of money or financial transactions;
v. authorizing or receiving payment for goods not received or services not performed;
vi. computer-related activity involving unauthor ized alteration, destruction, forgery, or manipulation of data or misappropriation of City-owned software;
vii. misrepresentation of information on documents;
viii. any violation of Federal, State, or Local laws related to dishonest activities or fraud;
ix. seeking or accepting anything of material value from those doing business with the City, including vendors, consultants, contract ors, lessees, applicants, and grantees.
Materiality is determined by t he City’s Conflict of Interest Code, which incorporates the Fair Political Practices Commission’s regulations;
x. obtaining profit or personal ga in as a result of “insider” knowledge of City activities;
xi. disclosing confidential and proprietary information to outside parties; or
xii. Intentional, false representation or concealment of material fact for the purpose of personal gain.
b. Employee
– Any individual or group of individuals who receive co mpensation, either full or part-time, from the City of Alis o Viejo for employment or prov iding services. The term also includes any volunteer who provides services to the City through an official arrangement with the City or a City organization, as well as cons ultants, vendors, contra ctors, outside agencies and/or any other parties with a business relationship with the City of Aliso Viejo.
c. Official
- Elected officials, officers, and me mbers of advisory or appointed boards, commissions and committees.
d. Management – Any administrator, manager, director , supervisor, or other individual who manages or supervises funds or other resources, including human resources.
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SUBJECT
FRAUD PREVENTION POLICY
RES. NO.
2005-
056
POLICY NO.
400-15
EFF. DATE
10/01/2008
PAGE
3 of 8
e. Internal Auditor – Any person or persons assigned by the City Manager to investigate any fraud or similar activity.
f. External Auditor – Independent audit prof essionals who perform annual audits of the City’s financial statements.
3. INVESTIGATION
a. It is the City’s intent to fu lly investigate any suspected acts of fraud. An objective and impartial investigation will be conducted regardless of the posit ion, title, length of service or relationship with the City of any party who mi ght be or become involv ed in or becomes the subject of such investigation.
b. Each department of the Ci ty is responsible for institut ing and maintain ing a system of internal control to provide r easonable assurance for the prev ention and detection of fraud.
Management should be familiar with the types of improprieties that might occur within their area of responsibility and be alert for any indications of such conduct.
c. The Internal Auditor, in conjunction with the City Attorney, has the primary responsibility for the investigation of fraud.
d. Throughout the investigation, the Internal Auditor will info rm the City Manager of pertinent investigative findings.
e. Employees will be gr anted “whistle-blower protection,” as described below when acting in accordance with this Policy. When informed of suspected fraud, neither the City nor any person acting on behalf of the City shall:
i. dismiss or threaten to dismiss the Employee reporting the suspected fraud;
ii. discipline, suspend, or th reaten to discipline or sus pend the Employee reporting the suspected fraud;
iii. impose any penalty upon the Employee reporting the suspected fraud, or;
iv. intimidate or coerce the Employ ee reporting the suspected fraud.
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SUBJECT
FRAUD PREVENTION POLICY
RES. NO.
2005-
056
POLICY NO.
400-15
EFF. DATE
10/01/2008
PAGE
4 of 8
Violations of these “whistle-blower protections” may result in discipline up to and including dismissal.
f. Upon conclusion of the investigation, the results will be reported to the City Manager.
g. The City Manager, following review of investi gation results, will take appropriate disciplinary action regarding Employee misconduct. Discipl inary action can include termination of employment or a contract, and referral of the case to the District Attorney’s Office for possible prosecution.
h. The City will pursue every r easonable effort, including court or dered restitution, to obtain recovery of City losses from the offender, or other appropriate sources.
PROCEDURE
1. RESPONSIBILITIES OF OFFICIALS
a. If an Official has reason to su spect that a fraud has occurred, he or she shall immediately contact the City Manager.
b. An Official shall not attempt to investi gate the suspected fraud or discuss the matter with anyone other than the City Manager.
c. The alleged fraud or audit in vestigation shall not be di scussed with the media by any person other than through the City Manager in consultation with the City Attorney and the Internal Auditor.
2. MANAGEMENT RESPONSIBILITIES
a. Management is responsible for detecting, pr eventing and reporting frau d in their areas of responsibility.
b. Each manager should be familiar with the types of fraud t hat might occur in his or her area and be alert for any indication that fraud is or was in existence in his or her area.
c. When fraud is detected or suspected, M anagement should determine whether an error or mistake has occurred or if there may be dishonest or fraudulent activity.
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SUBJECT
FRAUD PREVENTION POLICY
RES. NO.
2005-
056
POLICY NO.
400-15
EFF. DATE
10/01/2008
PAGE
5 of 8
d. If Management determines a suspected activity may involve fraud, they should contact their immediate supervisor. In the event the acti vity involves the immediate supervisor, the activity should be reported to the Department Director.
e. Upon being notified of su spected fraud, Department Direc tors shall inform the City Manager.
f. Management should not attempt to conduct in dividual investigations, interviews, or interrogations. However, Management is re sponsible for taking appropriate corrective actions to ensure adequate controls exist to prevent reoccurrences of fraud.
g. Management shall cooperate fully with the Inte rnal Auditor, other involved departments, and law enforcement agencies in the detection, reporting, and investigation of fraud, including the prosecution of offenders.
h. Management will have full and unrestricted access to all necessary records and personnel.
All City furniture and c ontents, including desks and computer s, are open to inspection at any time. There is no assumption of privacy.
i. In dealing with suspected fr aud, great care must be taken. Management should not:
i. make accusations;
ii. alert individuals suspected of committi ng fraud that an investigation is underway;
iii. treat individuals suspected of committing fraud unfairly, or;
iv. make statements that could lead to claims of false accusations or other offenses.
j. In handling suspected fraud activities , Management has the responsibility to:
i. make no contact (unless requested) with the individual suspected of committing fraud to determine facts or demand restitution. U nder no circumstances should there be any reference to “what you did”, “the crime”, “the fraud”, “the misappropriation”, etc.;
ii. avoid discussing the case, fa cts, suspicions, or allegations with anyone outside the City, unless specifically directed to do so by the City Attorney;
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FRAUD PREVENTION POLICY
RES. NO.
2005-
056
POLICY NO.
400-15
EFF. DATE
10/01/2008
PAGE
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iii. avoid discussing the case with anyone in side the City other than the City Manager, Internal Auditor, or City Attorney or law enforcement personnel;
iv. direct all inquiries from the individual suspected of co mmitting fraud, or his or her representative, to the City M anager or City Attorney. All inquiries by an attorney representing the individual suspected of committing fraud should be directed to the City Attorney. All inquiries from the media should be directed to the City Manager, and;
v. take appropriate corrective and disciplinar y action, up to and including dismissal, if authorized by and in conformance with the City’s personnel policies.
3. EMPLOYEE RESPONSIBILITIES
a. Employees should report detected or sus pected fraud to the Employee’s supervisor.
b. In the event the suspected fraud involves the Employee’s immediate supervisor, the Employee shall make the report directly to the next higher level of Management and/or the City Manager.
c. The reporting Employee shall refr ain from further investigation of the incident, confrontation with the alleged violator, or further discussion of the incident with anyone, unless requested by the City Manager, Internal Auditor, City Attorney, or law enforcement personnel.
4. INTERNAL AUDITOR RESPONSIBILITIES
a. Upon assignment by the City Manager, the Inte rnal Auditor will promptly investigate the fraud.
b. In all circumstances wher e there appears to be reasonable gr ounds for suspecting that a fraud has taken place, the Internal Auditor, in consultation with the City Attorney, will contact appropriate law enforcement personnel.
c. The Internal Auditor shall be available and receptive to receiving relevant, confidential information to the extent allowed by law.
d. If evidence is uncovered showing possible fraud, the Internal Auditor will proceed as follows:
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i. discuss the findings with Management and t he City Manager to dete rmine if disciplinary actions should be taken;
ii. report to the External Audito r such activities in order to assess the effect of the fraud activity on the City’s financial statements;
iii. coordinate with Managem ent regarding notification to insurers and filing of insurance claims;
iv. take immediate action, in consultation wit h the City Attorney, to prevent the theft, alteration, or destruction of evidentiary record s. Such action shall include, but is not limited to:
(A) removing the records and placing them in a secure location, or limiting access to the location where the records currently exist, and;
(B) preventing the individual suspected of committing the fraud from having access to the records.
e. In consultation with the City Attorney and appropriate law enforcement personnel, the Internal Auditor may disclose particulars of the investigation with potential witnesses if such disclosure would further the investigation.
f. If the Internal Auditor is contacted by the media regar ding an alleged fraud or investigation, the Internal Auditor will direct all inquiries to the City Manager.
g. At the conclusion of the in vestigation, the Internal Audito r will document the results in a confidential memorandum report to the City Manager and the City Attorney. If the report concludes that the allegations are supported by evidence, the report will be forwarded to appropriate law enforcement personnel.
h. Unless exceptional circumstances exist, a per son under investigation for fraud is to be given notice in writing of essent ial particulars of t he allegations following the conclusion of the investigation. Where not ice is given, the person agains t whom allegations are being made may submit a written expl anation to the Internal Auditor no later than seven (7) calendar days after notice is received.
i. The Internal Auditor shall make recomm endations to the appropria te department for 208
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EFF. DATE
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assistance in the prevention of future similar occurrences.
j. Upon completion of the investigation, includ ing all legal and personnel actions, all records, documents, and other evidentiary materi al, obtained from the department under investigation will be returned by the Internal Auditor to that department.
DISCIPLINARY ACTIONS
Any Employee found to be responsible for fraud or who knowingly makes false allegations in violation of this Policy shall be subject to a ppropriate disciplinary action, up to and including termination of employment and/or te rmination of the contract. Th e severity of the disciplinary action will be based upon the circumstances of t he violation and in accordance with the City’s personnel policies. The City will assess any re medial measures necessary to address and correct the circumstance and pr event reoccurrence in the futu re. Remedial measures may include, but are not limited to , disciplinary action, reorganizati on of personnel, training and education, counseling and/or other employee assistance.
EXCEPTIONS
There will be no exceptions to this Policy unle ss provided and approved by the City Manager and the City Attorney.
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CITY OF ALISO VIEJO
ACKNOWLEDGMENT OF RECEIPT OF FRAUD POLICY
I hereby acknowledge that I have received a copy of the City’s “Fraud Prevention Policy” dated October 1, 2008. I understand that I am to promptly read its contents and di stribute copies to employees assigned to perform Services for the City of Aliso Viejo.
To the extent that provisions of this policy conf lict with previously issued policies or practices, whether or not such policies and practices were contained in written policies, this policy shall prevail.
Name of Business Print Name
Signature
Date
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City of Aliso Viejo
AGENDA ITEM
DATE: June 1, 2022
TO: Mayor and City Council
FROM: Shaun Pelletier, Public Works Director/City Engineer SUBJECT: AGREEMENTS WITH RICHARD FISHER ASSOCIATES AND RJM DESIGN GROUP, INC. FOR LANDSCAPE ARCHITECTURE AND
INSPECTION SERVICES
______________________________________________________________________ Recommended Actions:
1. Approve an agreement with Richard Fisher Associates to perform landscape architecture and inspection services for an amount not to exceed $300,000;
2. Approve an agreement with RJM Design Group, Inc. to perform landscape architecture and inspection services for an amount not to exceed $100,000; and
3. Authorize the City Manager to execute professional services agreements with Richard Fisher Associates and RJM Design Group, Inc.
Fiscal Impact:
Approximately $40,000 will be spent annually for landscape inspection of City facilities over the initial three-year agreement period. The funding for inspection services will be budgeted as part of the facility maintenance. Any landscape inspections required for development projects will be funded by the developer. On-call landscape architecture services will be utilized as needed for City improvement projects. Funds for this work will be budgeted with each proposed project.
Background:
The Public Works Department is responsible for landscape maintenance at all City facilities. Staff determined that having a landscape inspector dedicated to overseeing the maintenance contractor’s work and condition of the facilities would help increase the level of service obtained from the contractor and enhance the aesthetics at each facility.
The Public Works Department is also responsible for managing any landscape improvement projects proposed at City facilities. These types of projects typically include varying levels of design services prior to any construction activities. Having on-call landscape architecture firms available will reduce design lead time. 211
A request for proposals (RFP) was issued for landscape architecture and inspection services on March 23, 2022 and was advertised on the City website. On April 14, 2022, staff received three (3) proposals for providing the requested landscape architecture and inspection services. Staff reviewed the proposals for their ability to perform the service, ability to meet time requirements, reference checks, and reasonableness of cost.
Staff ranked the firms as follows:
1. Richard Fisher Associates (RFA)
2. RJM Design Group, Inc. (RJM)
3. VDLA
Discussion:
After its review staff determined that all the firms could provide the requested services and two firms were selected for the on-call work based upon their proposed work plan and references. Having two firms available provides more design options depending on the proposed project. For consistency, staff will only utilize one of the firms for inspection services. The proposed fees from both firms are fair and reasonable.
Staff recommends RJM to perform on-call landscape architecture and inspection services because of their familiarity with the City and experience working with City staff. RJM has experience in providing such services for many municipalities throughout southern California including Mission Viejo, Huntington Beach, and Laguna Niguel. RJM has provided plan check and inspection services for development projects within the City since 2005.
Staff also recommends RFA to perform on-call landscape architecture and inspection services. RFA has experience in providing such services for municipalities including Laguna Hills, Yorba Linda, and Orange. RFA will provide the regular inspection services at City facilities and has provided this service for the City since 2016.
Landscape inspection services at City facilities are estimated to cost $120,000 during the initial three-year term of the agreement. Landscape architecture services costs will vary depending on the projects proposed. The City has the option to renew the aAgreements for two (2) additional one-year terms.
Attachments:
1. Agreement with Richard Fisher Associates
2. Agreement with RJM Design Group, Inc.
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CITY OF ALISO VIEJO
PROFESSIONAL SERVICES AGREEMENT
FOR
LANDSCAPE ARCHITECTURE AND INSPECTION SERVICES
1. PARTIES AND DATE.
This Agreement is made and entered into this day of , 20___, by and between the City of Aliso Viejo, a municipal corporation organized under the laws of the State of California with its principal place of business at 12 Journey, Suite 100, Aliso Viejo, California 92656 (“City”) and Richard Fisher Associates , a corporation, with its principal place of business at 4902 Kron, Irvine, CA 92604 (“Consultant”). City and Consultant are sometimes individually referred to herein as “Party” and collectively as “Parties.”
2. RECITALS.
2.1 Consultant.
Consultant desires to perform and assume responsibility for the provision of professional Landscape Architecture and Inspection consultant services required by the City on the terms and conditions set forth in this Agreement. Consultant represents that it is experienced in providing professional Landscape Architecture and Inspection consultant services to public clients, is licensed in the State of California, and is familiar with the plans of City.
2.2 Project.
City desires to engage Consultant to render such services for the Landscape Architecture and Inspection Services project (“Project”) as set forth in this Agreement.
3. TERMS.
3.1 Scope of Services and Term.
3.1.1 General Scope of Services . Consultant promises and agrees to furnish to the City all labor, materials, tools, equipment, services, and incidental and customary work necessary to fully and adequately supply the professional Landscape Architecture and Inspection consultant services necessary for the Project (“Services”). The Services are more particularly described in Exhibit “A” attached hereto and incorporated herein by reference. All Services shall be subject to, and performed in accordance with, this Agreement, the exhibits attached hereto and incorporated herein by reference, and all applicable local, state and federal laws, rules and regulations.
3.1.2 T
erm . The term of this Agreement shall be from July 1, 2022 to June 30, 2025, unless earlier terminated as provided herein. The City Manager shall have the unilateral option, at its sole discretion, to renew this Agreement annually for no more than two additional one-year terms. Consultant shall complete the Services within the term of this Agreement, and shall meet any other established schedules and deadlines. 213
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3.2 Responsibilities of Consultant.
3.2.1 Control and Payment of Subordinates; Independent Contractor . The Services shall be performed by Consultant or under its supervision. Consultant will determine the means, methods and details of performing the Services subject to the requirements of this Agreement. City retains Consultant on an independent contractor basis and not as an employee.
Consultant shall complete, execute, and submit to City a Request for T axpayer Identification Number and Certification (IRS FormW -9) prior to commencement of any Services under this Agreement. Neither City, nor any of its officials, officers, directors, employees or agents shall have control over the conduct of Consultant or any of Consultant's officers, employees, or agents, except as set forth in this Agreement. Consultant retains the right to perform similar or different services for others during the term of this Agreement. Any additional personnel performing the Services under this Agreement on behalf of Consultant shall also not be employees of City and shall at all times be under Consultant’s exclusive direction and control.
Consultant shall pay all wages, salaries, and other amounts due such personnel in connection with their performance of Services under this Agreement and as required by law. Consultant shall be responsible for all reports and obligations respecting such additional personnel, including, but not limited to: social security taxes, income tax withholding, unemployment insurance, disability insurance, and workers’ compensation insurance.
3.2.2 S
chedule of Services .
3.2.2.1 Consultant shall perform the Services expeditiously, within the term of this Agreement, and in accordance with the Schedule of Services set forth in Exhibit “B” attached hereto and incorporated herein by reference. Consultant represents that it has the professional and technical personnel required to perform the Services in conformance with such conditions. In order to facilitate Consultant’s conformance with the Schedule, City shall respond to Consultant’s submittals in a timely manner. Upon request of City, Consultant shall provide a more detailed schedule of anticipated performance to meet the Schedule of Services.
3.2.2.2 Neither City nor Consultant shall be considered in default of this Agreement for delays in performance caused by circumstances beyond the r easonable control of the non- performing Party. For purposes of this Agreement, such circumstances include a Force Majeure Event. A Force Majeure Event shall mean an event that materially affects a Party’s performance and is one or more of the following: (1) Acts of God or other natural disasters; (2) terrorism or other acts of a public enemy; (3) orders of governmental authorities (including, without limitation, unreasonable and unforeseeable delay in the issuance of permits or approvals by governmental authorities that are required for the Services); (4) strikes and other organized labor action occurring at the site and the effects thereof on the Services, only to the extent such strikes and other organized labor action are beyond the control of Consultant and its subcontractors, and to the extent the effects thereof cannot be avoided by use of replacement workers; and (5) pandemics, epidemics or quarantine restrictions. For purposes of this section, “orders of governmental authorities,” includes ordinances, emergency proclamations and orders, rules to protect the public health, welfare and safety, and other actions of a public agency applicable to the Services and Agreement.
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3.2.2.3 Should a Force Majeure Event occur, the non- performing Party shall, within a reas onable time of being prevented from performing, give written notice to the other Party describing the circumstances preventing continued performance and the efforts being made to resume performance of this Agreement. Force Majeure Events and/or delays, regardless of the Party responsible for the delay, shall not entitle Consultant to any additional compensation. Notwithstanding the foregoing in this section, the City may still terminate this Agreement in accordance with the termination provisions of this Agreement.
3.2.3 Conformance to Applicable Requirements. All work prepared by Consultant shall be subject to the approval of City.
3.2.4 S ubstitution of Key Personnel. Consultant has represented to City that certain key personnel will perform and coordinate the Services under this Agreement. Should one or more of such personnel become unavailable, Consultant may substitute other personnel of at least equal competence upon written approval of City. In the event that City and Consultant cannot agree as to the substitution of key personnel, City shall be entitled to terminate this Agreement for cause. As discussed below, any personnel who fail or refuse to perform the Services in a manner acceptable to the City, or who are determined by the City to be uncooperative, incompetent, a threat to the adequate or timely completion of the Project or a threat to the safety of persons or property, shall be promptly removed from the Project by the Consultant at the request of the City. The key personnel for performance of this A greement are as follows: Richard Fisher.
3.2.5 C
ity’s Representative . The City hereby designates the City Manager, or his or her designee, to act as its representative for the performance of this Agreement (“City’s Representative”). City’s Representative shall have the power to act on behalf of the City for all purposes under this Contract. The City Manager hereby designates Public Works Director/City Engineer, or his or her designee, as the City’s contact for the implementation of the Services hereunder. Consultant shall not accept direction or orders from any person other than the City’s Representative or his or her designee.
3.2.6 C
onsultant’s Representative. Consultant hereby designates Richard Fisher, or his or her designee, to act as its representative for the performance of this Agreement (“Consultant’s Representative”). Consultant’s Representative shall have full authority to represent and act on behalf of the Consultant for all purposes under this Agreement. The Consultant’s Representative shall supervise and direct the Services, using his best skill and attention, and shall be responsible for all means, methods, techniques, sequences and procedures and for the satisfactory coordination of all portions of the Services under this Agreement.
3.2.7 C
oordination of Services . Consultant agrees to work closely with City staff in the performance of Services and shall be available to City’s staff, consultants and other staff at all reasonable times.
3.2.8 S
tandard of Care; Performance of Employees . Consultant shall perform all Services under this Agreement in a skillful and competent manner, consistent with the standards generally recognized as being employed by professionals in the same discipline in the State of California. Consultant represents and maintains that it is sk illed in the professional 215
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calling necessary to perform the Services. Consultant warrants that all employees and subconsultants shall have sufficient skill and experience to perform the Services assigned to them. Finally, Consultant represents that it, its employees and subconsultants have all licenses, permits, qualifications and approvals of whatever nature that are legally required to perform the Services and that such licenses and approvals shall be maintained throughout the term of this Agreement. As provided for in the indemnification provisions of this Agreement, Consultant shall perform, at its own cost and expense and without reimbursement from the City, any services necessary to correct errors or omissions which are caused by the Consultant’s fai lure to comply with the standard of care provided for herein. Any employee of the Consultant or its sub-consultants who is determined by the City to be uncooperative, incompetent, a threat to the adequate or timely completion of the Project, a threat to the safety of persons or property, or any employee who fails or refuses to perform the Services in a manner acceptable to the City, shall be promptly removed from the Project by the Consultant and shall not be re -employed to perform any of the Services or to work on the Project.
3.2.9 Laws and Regulations. Consultant shall keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the Services, including a ll Cal/OSHA requirements, and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with Services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations, Consultant shall be solely responsible for all costs arising therefrom. Consultant shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure or alleged failure to comply with such laws, rules or regulations.
3.2.10 I
nsurance.
3.2.10.1 Time for Compliance . Consultant shall not commence Work under this Agreement until it has provided evidence satisfactory to the City that it has secured all insurance required under this section. In addition, Consultant shall not allow any subconsultant to commence work on any subcontract until it has provided evidence satisfactory to the City that the subconsultant has secured all insurance required under this section.
3.2.10.2 T
ypes of Insurance Required. As a condition precedent to the effectiveness of this Agreement for work to be performed hereunder and without limiting the indemnity provisions of the Agreement, the Consultant in partial performance of its obligations under such Agreement, shall procure and maintain in full force and effect during the term of the Agreement, the following policies of insurance. If the existing policies do not meet the Insurance Requirements set forth herein, Consultant agrees to amend, supplement or endorse the policies to do so.
(a) Commercial General Liability: Commercial General Liability Insurance which affords coverage at least as broad as Insurance Services Office “occurrence” form CG 0001, with minimum limits of at least $1,000,000 per occurrence, and if written with an 216
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aggregate, the aggregate shall be double the per occurrence limit.
Defense costs shall be paid in addition to the limits.
The policy shall contain no endorsements or provisions limiting coverage for (1) contractual liability; (2) cross liability exclusion for claims or suits by one insured against another; or (3) contain any other exclusion contrary to the Agreement.
(b) Automobile Liability Insurance: Autom obile Liability Insurance with coverage at least as broad as Insurance Services Office Form CA 0001 covering “Any Auto” (Symbol 1) with minimum limits of $1,000,000 each accident.
(c) Contractors Pollution Liability: (if necessary)
Contractors Pollution Liabi lity Insurance covering all of the contractor’s operations to include onsite and offsite coverage for bodily injury (including death and mental anguish), property damage, defense costs and cleanup costs with minimum limits of $5 million per loss and $10 mi llion total all losses. The policy shall contain no endorsements or provisions limiting contractual liability or coverage for cross liability of claims or suits by one insured against another.
If coverage is written on a claims -made basis, the retroactive date shall precede the effective date of the initial Agreement and continuous coverage will be maintained or an extended reporting period will be exercised for a period of at least three (3) years from termination or expiration of this Agreement.
(d) Professional Liability: Professional Liability insurance with minimum limits of $1,000,000. Covered professional services shall specifically include all work to be performed under the Agreement and delete any exclusions that may potentially affect the work to be performed (for example, any exclusions relating to lead, asbestos, pollution, testing, underground storage tanks, laboratory analysis, soil work, etc.).
If coverage is written on a claims -made basis, the retroactive date shall precede the effective date o f the initial Agreement and continuous coverage will be maintained or an extended reporting period will be exercised for a period of at least three (3) years from termination or expiration of this Agreement.
(e) Workers’ Compensation: Workers’ Compensation Insurance, as required by the State of California and Employer’s Liability Insurance with a limit of not less than $1,000,000 per accident for bodily injury and disease.
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3.2.10.3 Endorsements. Required insurance policies shall not be in compliance if they include an y limiting provision or endorsement that has not been submitted to the City for approval.
(a) The policy or policies of insurance required by Section 3.2.10.2 (a) Commercial General Liability and (c) Contractor’s Pollution Liability shall be endorsed to provide the following:
(1) Additional Insured: The City of Aliso Viejo , its officials, officers, employees, agents, and volunteers shall be
additional insureds with regard to liability and defense of suits or claims arising out of the performance of the
Agreement.
Additional Insured Endorsements shall not (1) be restricted to “ongoing operations”; (2) exclude “contractual liability”; (3) restrict coverage to “sole” liability of Consultant; or (4) contain any other exclusions contrary to the Agreement. (2) Cancellation: Required insurance policies shall not be canceled or the coverage reduced until a thirty (30) day written notice of cancellation has been served upon the City except ten (10) days shall be allowed for non- payment of premium.
(b) The policy or policies of insurance required by Section 3.2.10.2 (b) Automobile Liability and (d) Professional Liability shall be endorsed to provide the following:
(1) Cancellation: Required insurance policies shall not be canceled or the coverage reduced until a thirty (30) day written notice of cancellation has been served upon the City except ten (10) days shall be allowed for non- payment of premium.
(c) The policy or policies of insurance required by Section 3.2.10.2 (e) Workers’ Compensation shall be endorsed to provide the
following:
(1) Waiver of Subrogation: A waiver of subrogation stating that the insurer waives all rights of subrogation against the indemnified parties.
(2) Cancellation: Required insurance policies shall not be canceled or the coverage reduced until a thirty (30) day written notice of cancellation has been served upon the City except ten (10) days shall be allowed for non- payment of premium.
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3.2.10.4 Primary and Non- Contributing Insurance. All insurance coverages shall be primary and any other insurance, deductible, or self -insurance maintained by the indemnified parties shall not contribute with this primary insurance. Policies shall contain or be endorsed to contain such provisions.
3.2.10.5 W aiver of Subrogation. Required insurance coverages shall not prohibit Consultant from waiving the right of subrogation prior to a loss. Consultant shall waive all subrogation rights against the indemnified parties. Policies shall contain or be endorsed to contain such provisions.
3.2.10.6 D
eductible . Any deductible or self -insured retention must be approved in writing by the City and shall protect the indemnified parties in the same manner and to the same extent as they would have been protected had the policy or policies not contained a deductible or self-insured retention.
3.2.10.7 E
vidence of Insurance. The Consultant, concurrently with the execution of the Agreement, and as a condition precedent to the effectiveness thereof, shall deliver either certified copies of the required policies, or original certificates and endorsements on forms approved by the City. The certificates and endorsements for each insurance policy shall be signed by a person authorized by that insurer to bind coverage on its behalf. At least fifteen (15 days) prior to the expiration of any such policy, evidence of insurance showing that such insurance coverage has been renewed or extended shall be filed with the City. If such coverage is cancelled or reduced, Consultant shall, within ten (10) days after receipt of written notice of such cancellation or reduction of coverage, file with the City evidence of insurance showing that the required insurance has been reinstated or has been provided through another insurance company or companies.
3.2.10.8 F
ailure to Maintain Coverage. Consultant agrees to suspend and cease all operations hereunder during such period of time as the required insurance coverage is not in effect and evidence of insurance has not been furnished to the City. The City shall have the right to withhold any payment due Consultant until Consultant has fully complied with the insurance provisions of this Agreement.
In the event that the Consultant’s operations are suspended for failure to maintain required insurance coverage, the Consultant shall not be entitled to an extension of time for completion of the Services because of production lost during suspension.
3.2.10.9 Acceptability of Insurers. Each such policy shall be from a company or companies with a current A.M. Best’s rating of no less than A:VII and authorized to do business in the State of California, or otherwise allowed to place insurance through surplus line brokers under applicable provisions of the California Insurance Code or any federal law.
3.2.10.10 I
nsurance for Subconsultants. All Subconsultants shall be included as additional insureds under the Consultant’s policies, or the Consultant shall be responsible for causing Subconsultants to purchase the appropriate insurance in compliance with the terms of these Insurance Requirements, including adding the City as an Additional Insured to the Subconsultant’s policies.
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3.2.11 Safety. Consultant shall execute and maintain its work so as to avoid injury or damage to any person or property. In carrying out its Services, the Consultant shall at all times be in compliance with all applicable local, state and federal laws, rules and regulations, and shall exercise all necessary precautions for the safety of employees appropriate to the nature of the work and the conditions under which the work is to be performed. Safety precautions where applicable shall include, but shall not be limited to: (A) adequate life protection and life saving equipment and procedures; (B) instructions in accident prevention for all employees and subconsultants, such as safe walkways, scaffolds, fall protection ladders, bridges, gang planks, confined space procedures, trenching and shoring, equipment and other safety devices, equipment and wearing apparel as are necessary or lawfully required to prevent accidents or injuries; and (C) adequate facilities for the proper inspection and maintenance of all safety measures.
3.3 Fees and Payments.
3.3.1 Compensation. Consultant shall receive compensation, including authorized reimbursements, for all Services rendered under this Agreement at the rates set forth in Exhibit “C” attached hereto and incorporated herein by reference. The total compens ation shall not exceed Three Hundred Thousand DOLLARS ($300,000.00) (“Total Compensation”) without written approval of City’s City Manager . Extra Work may be authorized, as described below, and if authorized, will be compensated at the rates and manner se t forth in this Agreement.
3.3.2 P
ayment of Compensation.
Consultant shall submit to City a monthly itemized statement which indicates work completed and hours of Services rendered by Consultant. The statement shall describe the amount of Services and supplies provided since the initial commencement date, or since the start of the subsequent billing periods, as appropriate, through the date of the statement. City shall, within 45 days of receiving such statement, review the statement and pay all non- disputed and approved charges thereon.
3.3.3 Reimbursement for Expenses. Consultant shall not be reimbursed for any expenses unless authorized in writing by City.
3.3.4 E xtra Work . At any time during the term of this Agreement, City may request that Consultant perform Extra Work. As used herein, “Extra Work” means any work which is determined by City to be necessary for the proper completion of the Project, but which the Parties did not reasonably anticipate would be necessary at the execution of this Agreement.
Consultant shall not perform, nor be compensated for, Extra Work without written authorization from the City.
3.3.5 P
revailing Wages ; DIR Registration.
3.3.5.1 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. 220
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If the Services are being performed as part of an applicable “public works” or “maintenance” project, as defined by the Prevailing Wage Laws, and if the total compensation is $1,000 or more, Consultant agrees to fully comply with such Prevailing Wage Laws. City shall provide Consultant with a copy of the prevailing rates of per diem wages in effect at the commencement of this Agreement. Consultant shall make copies of the prevailing rates of per diem wages for each craft, classification or type of worker needed to execute the Services available to interested parties upon request, and shall post copies at the Consultant’s principal place of business and at the project site. It is the intent of the parties to effectuate the requirements of sections 1771, 1774, 1775, 1776, 1777.5, 1813, and 1815 of the Labor Code within this Agreement, and Consultant shall therefore comply with such Labor Code sections to the fullest extent required by law. 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.
3.3.5.2 If the Services are being performed as part of an applicable “public works” or “maintenance” project, in addition to the foregoing, then pursuant to Labor Code sections 1725.5 and 1771.1, the Consultant and all subconsultants must be registered with the Department of Industrial Relations (“DIR”). Consultant shall maintain registration for the duration of the project and require the same of any subconsultants. This project may also be subject to compliance monitoring and enforcement by the DIR. It shall be Contractor’s sole responsibility to comply with all applicable registration and labor compliance requirements, including the submission of payroll records directly to the DIR.
3.4 Accounting Records.
3.4.1 Maintenance and Inspection. Consultant shall maintain com plete and accurate records with respect to all costs and expenses incurred under this Agreement. All such records shall be clearly identifiable. Consultant shall allow a representative of City during normal business hours to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to the Agreement for a period of three (3) years from the date of final payment under this Agreement.
3.5 General Provisions.
3.5.1 Termination of Agreement.
3.5.1.1 Grounds for Termination. City may, by written notice to Consultant, terminate the whole or any part of this Agreement at any time and without cause by giving written notice to Consultant of such termination, and specifying the effective date thereof, at least seven (7) days before the effective date of such termination. Upon termination, Consultant shall be compensated only for those services which have been adequately r endered to City, and Consultant shall be entitled to no further compensation. Consultant may not terminate this Agreement except for cause. The rights and remedies of the City provided in this section shall not be exclusive and are in addition to any other rights and remedies provided by law, equity or under this Agreement.
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3.5.1.2 Effect of Termination. If this Agreement is terminated as provided herein, City may require Consultant to provide all finished or unfinished Documents and Data and other information of any kind prepared by Consultant in connection with the performance of Services under this Agreement. Consultant shall be required to provide such document and other information within fifteen (15) days of the request.
3.5.1.3 A
dditional Services . In the event this Agreement is terminated in whole or in part as provided herein, City may procure, upon such terms and in such manner as it may determine appropriate, services similar to those terminated.
3.5.2 D
elivery of Notices . All notices permitted or required under t his Agreement shall be given to the respective parties at the following address, or at such other address as the respective parties may provide in writing for this purpose:
Consultant:
Richard Fisher Associates
4902 Kron,
Irvine, CA 92604
Attn: Richard Fisher, President
City:
City of Aliso Viejo
12 Journey, Suite 100
Aliso Viejo, CA 92656
Attn: Shaun Pelletier, Public Works Department
Such notice shall be deemed made when personally delivered or when mailed, forty-eight (48) hours after deposit in the U.S. Mail, first class postage prepaid and addressed to the party at its applicable address. Actual notice shall be deemed adequate notice on the date actual notice occurred, regardless of the method of service.
3.5.3 Ownership of Materials and Confidentiality.
3.5.3.1 Documents & Data; Licensing of Intellectual Property. 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 pl ans, 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 prepared by design professionals other than Consultant or 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, 222
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provided that any such use not within the purposes intended by this Agreement shall be at City’s sole risk.
3.5.3.2 Confidentiality. All ideas, memoranda, specifications, plans, procedures, drawings, descriptions, computer program data, input record data, written information, and other Documents and Data either created by or provided to Consult ant in connection with the performance of this Agreement shall be held confidential by Consultant.
Such materials shall not, without the prior written consent of City, be used by Consultant for any purposes other than the performance of the Services. Nor shall such materials be disclosed to any person or entity not connected with the performance of the Services or the Project. Nothing furnished to Consultant which is otherwise known to Consultant or is generally known, or has become known, to the related industry shall be deemed confidential. Consultant shall not use City’s name or insignia, photographs of the Project, or any publicity pertaining to the Services or the Project in any magazine, trade paper, newspaper, television or radio production or other similar medium without the prior written consent of City.
3.5.3.3 C
onfidential Information . The City shall refrain from releasing Consultant’s proprietary information (“Proprietary Information”) unless the City’s legal counsel determines that the release of th e Proprietary Information is required by the California Public Records Act or other applicable state or federal law, or order of a court of competent jurisdiction, in which case the City shall notify Consultant of its intention to release Proprietary Infor mation.
Consultant shall have five (5) working days after receipt of the Release Notice to give City written notice of Consultant’s objection to the City’s release of Proprietary Information.
Consultant shall indemnify, defend and hold harmless the City, and its officers, directors, employees, and agents from and against all liability, loss, cost or expense (including attorney’s fees) arising out of a legal action brought to compel the release of Proprietary Information. City shall not release the Propri etary Information after receipt of the Objection Notice unless either:
(1) Consultant fails to fully indemnify, defend (with City’s choice of legal counsel), and hold City harmless from any legal action brought to compel such release; and/or (2) a final and non- appealable order by a court of competent jurisdiction requires that City release such information.
3.5.4 F
raud Policy. Consultant shall provide a copy of the City’s Fraud Prevention Policy to each of its employees assigned to perform Services under this Agreement.
Consultant shall submit to the City a statement signed by an authorized representative for Consultant certifying receipt of the City’s Fraud Prevention Policy. A finding by the City that any of Consultant’s employees have committed fraud against the City or have violated the City’s Fraud Prevention Policy shall be grounds for appropriate discipline, up to and including such employee’s removal from performance of this Agreement at City’s request and/or termination of this Agreement. Consultant shall reimburse the City for any costs and expenses associated with fraud against the City.
3.5.5 C
ooperation; Further Acts. The Parties shall fully cooperate with one another, and shall take any additional acts or sign any additional documents as may be necessary, appropriate or convenient to attain the purposes of this Agreement.
3.5.6 A ttorney’s Fees . If either party commences an action against the other party, either legal, administrative or otherwise, arising out of or in connection with this 223
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Agreement, the prevailing party in such litigation shall be entitled to have and recover from the losing party reasonable attorney’s fees and all other costs of such action.
3.5.7 Indemnification.
3.5.7.1 To the fullest extent permitted by law, Consultant shall defend (with counsel of City’s choosing), indemnify and hold the City, its officials, officers, employees, volunteers and agents free and harmless from any and all claims, demands, causes of action, costs, expenses, liability, loss, damage or injury of any kind, in law or equity, to property or persons, including wrongful death, in any manner arising out of, pertaining to, or incident to any alleged acts, errors or omissions, or willful misconduct of Consultant, its officials, officers, employees, subcontractors, consultants or agents in connection with the performance of the Consultant's Services, the Project or this Agreement, including without limitation the payment of all damages, expert witness fees and attorneys fees and other related costs and expenses except such loss or damage caused by the sole negligence or willful misconduct of the City .
Consultant's obligation to indemnify shall survive expiration or termination of this Agreement and shall not be restricted to insurance proceeds, if any, received by the Consultant or the City, its officials, officers, employees, agents or volunteers.
3.5.7.2 If Consultant’s obligation to defend, indemnify, and/or hold harmless arises out of Consultant’s performance as a “design professional” (as that term is defined under Civil Code section 2782.8), then, and only to the extent required by Civil Code section 2782.8, which is fully incorporated herein, Consultant’s indemnification obligation shall be limited to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant, and, upon Consultant obtaining a final adjudication by a court of competent jurisdiction, Consultant’s liability for such claim, including the cost to defend, shall not exceed the Consultant’s proportionate percentage of fault.
3.5.8 Entire Agreement. This Agreement contains the entire Agreement of the parties with respect to the s ubject matter hereof, and supersedes all prior negotiations, understandings or agreements. This Agreement may only be modified by a writing signed by both parties.
3.5.9 G
overning Law. This Agreement shall be governed by the laws of the State of California. Venue shall be in Orange County.
3.5.10 T ime of Essence. Time is of the essence for each and every provision of this Agreement.
3.6 C ity’s Right to Employ Other Consultants . City reserves right to employ other consultants in connection with this Project.
3.7 S uccessors and Assigns. This Agreement shall be binding on the successors and assigns of the parties.
3.8 A ssignment or Transfer. Consultant shall not assign, hypothecate, or transfer, either directly or by operation of law, this Agreement or any interest herein without the prior written consent of the City. Any attempt to do so shall be null and void, and any assignees, 224
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hypothecates or transferees shall acquire no right or interest by reason of such attempted assignment, hypothecation or transfer.
3.9 Construction; References; Captions . Since the Parties or their agents have participated fully in the preparation of this Agreement, the language of this Agreement shall be construed simply, according to its fair meaning, and not strictly for or against any Party. Any term referencing time, days or period for performance shall be deemed calendar days and not work days. All references to Consultant include all personnel, employees, agents, and subconsultants of Consultant, except as otherwise specified in this Agreement. All references to City include its elected officials, officers, employees, agents, and volunteers except as otherwise specified in this Agreement. The captions of the various articles and paragraphs are for convenience and ease of reference only, and do not define, limit, augment, or describe the scope, content, or intent of this Agreement.
3.10 A
mendment; Modification . No supplement, modification, or amendment of this Agreement shall be binding unless executed in writing and signed by both Parties.
3.11 Wai ver . No waiver of any default shall constitute a waiver of any other default or breach, whether of the same or other covenant or condition. No waiver, benefit, privilege, or service voluntarily given or performed by a Party shall give the other Party any contractual rights by custom, estoppel, or otherwise.
3.12 N
o Third Party Beneficiaries . There are no intended third party beneficiaries of any right or obligation assumed by the Parties.
3.13 I nvalidity; Severability . If any portion of this Agreement is declared invalid, illegal, or otherwise unenforceable by a court of competent jurisdiction, the remaining provisions shall continue in full force and effect.
3.14 P
rohibited Interests . Consultant maintains and warrants that it has not employed nor retained any company or person, other than a bona fide employee working solely for Consultant, to solicit or secure this Agreement. Further, Consultant warrants that it has not paid nor has it agreed to pay any company or person, other than a bona fide employee working solely for Consultant, any fee, commission, percentage, brokerage fee, gift or other consideration contingent upon or resulting from the award or making of this Agreement. For breach or violation of this warranty, City shall have the right to rescind this Agreement without liability.
For the term of this Agreement, no member, officer or employee of City, during the term of his or her service with City, shall have any direct interest in this Agreement, or obtain any present or anticipated material benefit arising therefrom.
3.15 E
qual Opportunity Employment . Consultant represents that it is an equal opportunity employer and it shall not discriminate against any subconsultant, employee or applicant for employment because of race, religion, color, national origin, handicap, anc estry, sex or age. Such non- discrimination shall include, but not be limited to, all activities related to initial employment, upgrading, demotion, transfer, recruitment or recruitment advertising, layoff or termination. Consultant shall also comply with all relevant provisions of City’s Minority 225
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Business Enterprise program, Affirmative Action Plan or other related programs or guidelines currently in effect or hereinafter enacted.
3.16 Labor Certification . By its signature hereunder, Consultant certifies that it is aware of the provisions of Section 3700 of the California Labor Code which require every employer to be insured against liability for Worker’s Compensation or to undertake self - insurance in accordance with the provisions of that Code, and agrees to comply with such provisions before commencing the performance of the Services.
3.17 A
uthority to Enter Agreement . Consultant has all requisite power and authority to conduct its business and to execute, deliver, and perform the Agreement. Each Party warrants that the individuals who have signed this Agreement have the legal power, right, and authority to make this Agreement and bind each respective Party.
3.18 C
ounterparts . This Agreement may be signed in counterparts, each of which shall constitute an original.
3.19 De claration of Political Contributions . Consultant shall, throughout the term of this Agreement, submit to City an annual statement in writing declaring any political contributions of money, in-kind services, or loan made to any member of the City Council within the previous twelve-month period by the Consultant and all of Consultant’s employees, including any employee(s) that Consultant intends to assign to perform the Services described in this Agreement.
3.20 Subcontracting.
3.20.1 Prior Approval Required. Consultant shall not subcontract any portion of the work required by this Agreement, except as expressly stated herein, without prior written approval of City. Subcontracts, if any, shall contain a provision making them subject to all provisions stipulated in this Agreement.
[Signatures on following page.]
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SIGNATURE PAGE TO PROFESSIONAL SERVICES AGREEMENT
BETWEEN THE CITY OF ALISO VIEJO AND RICHARD FISHER ASSOCIATES
IN WITNESS WHEREOF, the parties have executed this Professional Services Agreement on this ____ day of __________, 2022.
CITY OF ALISO VIEJO
Approved:
By:
David Doyle
City Manager
ATTEST:
By: _______________________________
Mitzi Ortiz, MMC
City Clerk
APPROVED AS TO FORM:
______________________________
Best Best & Krieger LLP
City Attorney
APPROVED AS TO COMPLIANCE
WITH BUDGET
By:
Department of Financial Services
RICHARD FISHER ASSOCIATES
[If Corporation, TWO SIGNATURES,
President OR Vice President AND Secretary
OR Treasurer REQUIRED]
By:
Its:
Printed Name:
By:
Its:
Printed Name:_________________________
227
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CITY OF ALISO VIEJO
DECLARATION OF POLITICAL CONTRIBUTIONS
Using the space provided below, please list any political contributions of money, in-kind services, or loans made to any member of the City Council within the last twelve (12) months by Consultant and all of Consultant’s employees, including any employee(s) that applicant intends to assign to perform the work or services described in this Agreement:
To the best of my knowledge, I declare under penalty of perjury that the foregoing is true and was executed at:
City/County/State Date
Name of Business Print Name
Signature
NOTE: THIS DECLARATION IS INCLUDED AS PART OF THE AGREEMENT AND MUST BE SIGNED AND ATTACHED HERETO. 228
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CITY OF ALISO VIEJO
ACKNOWLEDGMENT OF RECEIPT OF FRAUD POLICY
I hereby acknowledge that I have received a copy of the City’s “Fraud Prevention Policy” dated October 1, 2008. I understand that I am to promptly read its contents and distribute copies to employees assigned to perform Services for the City of Aliso Viejo.
To the extent that provisions of this policy conflict with previously issued policies or practices, whether or not such policies and practices were contained in written policies, this policy shall prevail.
Name of Business Print Name
Signature
Date
229
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A-1
EXHIBIT “A”
SCOPE OF SERVICES
The following scope of work is expected to be delivered by the Landscape Architecture & Inspection Services Contractor. The Public Works Department will administer this contract and will be responsible for reviewing and authorizing any work related to it.
At a minimum, Contractor shall have the following staff available (or equivalent) as necessary to complete assigned tasks.
• Principal
• Project Manager
• CA Licensed Landscape Architect
• Certified Irrigation Designer/Auditor
• Landscape Inspector
• Draftsperson
• Clerical
Landscape Architecture Services
From time to time the City will require Landscape Architecture Services to assist in preparing conceptual and/or construction drawings for improvements at City facilities. The scope of these projects will vary and be determined on a case by case basis. The City will request a proposal from the Contractor for each of these proposed projects as they become available to confirm scope and associated costs.
Tasks for design projects may include the following:
• Scoping meetings to determine the specific project being developed. • Conceptual plans or renderings as requested.
• Construction plans as requested shall be submitted at the 50%, 90%, 100%, and final documents completion. Title sheet, base sheets, details, and conceptual plans within the project limits shall be included in the 50% submittal. Technical specifications and cost estimates shall be included with the 90% plans. 100% plans shall incorporate all comments. Two sets of plans 24” x 36” in size will be required for each submittal. Final documents shall be signed by the Landscape Architect in responsible charge. Electronic copies of signed documents shall also be submitted.
• Construction estimates shall be provided as requested for budget or bidding purposes.
Landscape and Tree Inspection Services
The City owns and operates the following facilities that require regular landscape and tree maintenance services provided under a separate contracts.
230
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A-2
Iglesia Park – 24671 Via Iglesia
• Sand volleyball (1), basketball half court (1), and tennis (2) courts • Walkways
• Tot lot and play equipment
• Picnic tables, gazebos, drinking fountains, and barbeques • Terraced outdoor amphitheater
• Turf areas (approximately 3.0 acres)
• Shrubs and planters (approximately 1.3 acres including nature area) • Trees
City Hall – 12 Journey
• Parking lot (approximately 0.9 acres)
• Walkways
• Planter areas (approximately 0.1 acres)
• Trees
Aquatic Center, Aliso Viejo Center, Vista Park – 29 & 31 Santa Barbara
• Parking lot with landscape islands (approximately 2.25 acres) • Pathways and lighting
• Turf area (approximately 1 acre)
• Planter areas (approximately 1 acre)
• Picnic areas, shelters, fireplace and barbeques
• Pool decks
• Trees
• Tot lot and play equipment
Aliso Viejo Ranch – 100 Park Avenue
• Trees
• Turf area (approximately 0.45 acres)
• Shrubs (approximately 1300 linear feet along exterior of fence)
Landscaped Medians – Pacific Park Drive, Aliso Creek Road & Calle Cortez
• Trees
• Planter/shrub areas (approximately 0.75 acres)
The Landscape Inspector shall be qualified per accepted industry standards and familiar with the scope of the City’s landscape maintenance services. The Contractor shall work with the City to develop a schedule for completing assigned tasks within a timeframe estimated to be four (4) 231
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A-3
hours per week. Tasks may be weekly, monthly or as needed. Typical tasks could include the following.
• Review turf, plant, and tree maintenance
• Review facility maintenance
• Irrigation inspection
• Coordinate corrections with maintenance contractor
• Recommend improvements to the City
• Review maintenance contractor extra work proposals and invoices
Inspection services could also be requested on an as -needed basis for ongoing private development projects for compliance with the approved plans.
Expenses
Mileage will be reimbursed at the current standard mileage rate established by the IRS.
Approved materials, reproductions, etc. will be reimbursed at cost plus 10%. 232
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B-1
EXHIBIT “B”
SCHEDULE OF SERVICES
In the event that this Agreement is renewed pursuant to Section 3.1.2, the first renewal period shall be from July 1, 2025 to June 30, 2026. The second renewal period shall be from July 1, 2026 to June 30, 2027.
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C-1
EXHIBIT “C”
COMPENSATION
In the event that this Agreement is renewed pursuant to Section 3.1.2, the rates set forth above may be adjusted each year at the time of renewal described in Exhibit “B” in accordance with the annual average Consumer Price Index of the prior calendar year , All Urban Consumers, Los Angeles-Long Beach-Anaheim up to a maximum percentage of five percent (5%).
234
Richard Fisher Associates Aliso Viejo: Landscape Architecture & Inspection Services, Page CP-1
Professional Fees proposed for all As-needed Landscape Inspection Services and for all Landscape Architecture Design Services will be based on the following Professional Fees:
SCHEDULE OF HOURLY RATES
Valid through June 30, 2025
Principal Landscape Architect
$145.00
Arborist
$140.00
Landscape Inspector $135.00
Associate
$ 85.00
AutoCAD Operator $ 85.00
Principle Irrigation Designer $145.00
Clerical
$ 60.00
In the event the Professional Services Agreement is renewed for an additional term(s), the rates set forth above may be adjusted at the time of renewal in accordance with a mutual agreement between Richard Fisher Associates and the City of Aliso Viejo.
REIMBURSABLE EXPENSES
Reimbursable Expenses are in to addition to fees for professional services and are billed at cost plus a 10% processing fee. Reimbursable Expenses may include, but are not limited to:
A. Postage, shipping and messenger expenses other than first class mail.
B. Reprographics, such as original plots, reports, estimates, photocopying of project-related documents, copies of drawings and presentation quality perspectives.
C. Parking and mileage costs for meetings and travels within the City limits are included in the above hourly rates.
Proposed Fee Schedule
235
City of Aliso Viejo
COUNCIL POLICY
SUBJECT
FRAUD PREVENTION POLICY
RES. NO.
2005-
056
POLICY NO.
400-15
EFF. DATE
10/01/2008
PAGE
1 of 8
PURPOSE
To establish Policy and procedures for the prev ention and detection of fraud and other related dishonest activities against th e City and, when appropriate, to pursue legal remedies available under the law.
This Policy has been established to ensure that elected officials, officers, employees, and members of advisory boards, commissions and committees of the City of Alis o Viejo are aware of the following:
1. Acts that are considered to be fraudulent;
2. Procedures for reporting suspected fraudulent acts;
3. Steps to be taken when fraud or other rela ted dishonest activities are suspected; and
4. Consequences to expect when a dishonest act is reported.
Further, this Policy delineates management’s responsibility for instituting and maintaining a system of internal control to prevent and detect fraud, misappropriations and other irregularities, and to be alert for any indications of such misconduct.
POLICY
1. GENERAL
The City of Aliso Viejo is committed to protecting its assets against the risk of loss or misuse.
Accordingly, it is the policy of the City to identify and promptly investig ate any possibility of fraudulent or related dishonest ac tivities against the City and, w hen appropriate, to pursue legal remedies available under law.
2. DEFINITIONS
a. Fraud
– Fraud and other similar irregularities including, but not limited to:
i. claim for reimbursement of expenses that are not job-related or authorized by current policy;
ii. forgery or unauthorized alteration of doc uments (checks, time sheets, independent contractor agreements, purchase orders, budgets, etc.); 236
City of Aliso Viejo
COUNCIL POLICY
SUBJECT
FRAUD PREVENTION POLICY
RES. NO.
2005-
056
POLICY NO.
400-15
EFF. DATE
10/01/2008
PAGE
2 of 8
iii. misappropriation of City assets (funds, securi ties, supplies, furniture, equipment, etc.);
iv. improprieties in the handling or reporting of money or financial transactions;
v. authorizing or receiving payment for goods not received or services not performed;
vi. computer-related activity involving unauthor ized alteration, destruction, forgery, or manipulation of data or misappropriation of City-owned software;
vii. misrepresentation of information on documents;
viii. any violation of Federal, State, or Local laws related to dishonest activities or fraud;
ix. seeking or accepting anything of material value from those doing business with the City, including vendors, consultants, contract ors, lessees, applicants, and grantees.
Materiality is determined by t he City’s Conflict of Interest Code, which incorporates the Fair Political Practices Commission’s regulations;
x. obtaining profit or personal ga in as a result of “insider” knowledge of City activities;
xi. disclosing confidential and proprietary information to outside parties; or
xii. Intentional, false representation or concealment of material fact for the purpose of personal gain.
b. Employee
– Any individual or group of individuals who receive co mpensation, either full or part-time, from the City of Alis o Viejo for employment or prov iding services. The term also includes any volunteer who provides services to the City through an official arrangement with the City or a City organization, as well as cons ultants, vendors, contra ctors, outside agencies and/or any other parties with a business relationship with the City of Aliso Viejo.
c. Official
- Elected officials, officers, and me mbers of advisory or appointed boards, commissions and committees.
d. Management – Any administrator, manager, director , supervisor, or other individual who manages or supervises funds or other resources, including human resources.
237
City of Aliso Viejo
COUNCIL POLICY
SUBJECT
FRAUD PREVENTION POLICY
RES. NO.
2005-
056
POLICY NO.
400-15
EFF. DATE
10/01/2008
PAGE
3 of 8
e. Internal Auditor – Any person or persons assigned by the City Manager to investigate any fraud or similar activity.
f. External Auditor – Independent audit prof essionals who perform annual audits of the City’s financial statements.
3. INVESTIGATION
a. It is the City’s intent to fu lly investigate any suspected acts of fraud. An objective and impartial investigation will be conducted regardless of the posit ion, title, length of service or relationship with the City of any party who mi ght be or become involv ed in or becomes the subject of such investigation.
b. Each department of the Ci ty is responsible for institut ing and maintain ing a system of internal control to provide r easonable assurance for the prev ention and detection of fraud.
Management should be familiar with the types of improprieties that might occur within their area of responsibility and be alert for any indications of such conduct.
c. The Internal Auditor, in conjunction with the City Attorney, has the primary responsibility for the investigation of fraud.
d. Throughout the investigation, the Internal Auditor will info rm the City Manager of pertinent investigative findings.
e. Employees will be gr anted “whistle-blower protection,” as described below when acting in accordance with this Policy. When informed of suspected fraud, neither the City nor any person acting on behalf of the City shall:
i. dismiss or threaten to dismiss the Employee reporting the suspected fraud;
ii. discipline, suspend, or th reaten to discipline or sus pend the Employee reporting the suspected fraud;
iii. impose any penalty upon the Employee reporting the suspected fraud, or;
iv. intimidate or coerce the Employ ee reporting the suspected fraud.
238
City of Aliso Viejo
COUNCIL POLICY
SUBJECT
FRAUD PREVENTION POLICY
RES. NO.
2005-
056
POLICY NO.
400-15
EFF. DATE
10/01/2008
PAGE
4 of 8
Violations of these “whistle-blower protections” may result in discipline up to and including dismissal.
f. Upon conclusion of the investigation, the results will be reported to the City Manager.
g. The City Manager, following review of investi gation results, will take appropriate disciplinary action regarding Employee misconduct. Discipl inary action can include termination of employment or a contract, and referral of the case to the District Attorney’s Office for possible prosecution.
h. The City will pursue every r easonable effort, including court or dered restitution, to obtain recovery of City losses from the offender, or other appropriate sources.
PROCEDURE
1. RESPONSIBILITIES OF OFFICIALS
a. If an Official has reason to su spect that a fraud has occurred, he or she shall immediately contact the City Manager.
b. An Official shall not attempt to investi gate the suspected fraud or discuss the matter with anyone other than the City Manager.
c. The alleged fraud or audit in vestigation shall not be di scussed with the media by any person other than through the City Manager in consultation with the City Attorney and the Internal Auditor.
2. MANAGEMENT RESPONSIBILITIES
a. Management is responsible for detecting, pr eventing and reporting frau d in their areas of responsibility.
b. Each manager should be familiar with the types of fraud t hat might occur in his or her area and be alert for any indication that fraud is or was in existence in his or her area.
c. When fraud is detected or suspected, M anagement should determine whether an error or mistake has occurred or if there may be dishonest or fraudulent activity.
239
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COUNCIL POLICY
SUBJECT
FRAUD PREVENTION POLICY
RES. NO.
2005-
056
POLICY NO.
400-15
EFF. DATE
10/01/2008
PAGE
5 of 8
d. If Management determines a suspected activity may involve fraud, they should contact their immediate supervisor. In the event the acti vity involves the immediate supervisor, the activity should be reported to the Department Director.
e. Upon being notified of su spected fraud, Department Direc tors shall inform the City Manager.
f. Management should not attempt to conduct in dividual investigations, interviews, or interrogations. However, Management is re sponsible for taking appropriate corrective actions to ensure adequate controls exist to prevent reoccurrences of fraud.
g. Management shall cooperate fully with the Inte rnal Auditor, other involved departments, and law enforcement agencies in the detection, reporting, and investigation of fraud, including the prosecution of offenders.
h. Management will have full and unrestricted access to all necessary records and personnel.
All City furniture and c ontents, including desks and computer s, are open to inspection at any time. There is no assumption of privacy.
i. In dealing with suspected fr aud, great care must be taken. Management should not:
i. make accusations;
ii. alert individuals suspected of committi ng fraud that an investigation is underway;
iii. treat individuals suspected of committing fraud unfairly, or;
iv. make statements that could lead to claims of false accusations or other offenses.
j. In handling suspected fraud activities , Management has the responsibility to:
i. make no contact (unless requested) with the individual suspected of committing fraud to determine facts or demand restitution. U nder no circumstances should there be any reference to “what you did”, “the crime”, “the fraud”, “the misappropriation”, etc.;
ii. avoid discussing the case, fa cts, suspicions, or allegations with anyone outside the City, unless specifically directed to do so by the City Attorney;
240
City of Aliso Viejo
COUNCIL POLICY
SUBJECT
FRAUD PREVENTION POLICY
RES. NO.
2005-
056
POLICY NO.
400-15
EFF. DATE
10/01/2008
PAGE
6 of 8
iii. avoid discussing the case with anyone in side the City other than the City Manager, Internal Auditor, or City Attorney or law enforcement personnel;
iv. direct all inquiries from the individual suspected of co mmitting fraud, or his or her representative, to the City M anager or City Attorney. All inquiries by an attorney representing the individual suspected of committing fraud should be directed to the City Attorney. All inquiries from the media should be directed to the City Manager, and;
v. take appropriate corrective and disciplinar y action, up to and including dismissal, if authorized by and in conformance with the City’s personnel policies.
3. EMPLOYEE RESPONSIBILITIES
a. Employees should report detected or sus pected fraud to the Employee’s supervisor.
b. In the event the suspected fraud involves the Employee’s immediate supervisor, the Employee shall make the report directly to the next higher level of Management and/or the City Manager.
c. The reporting Employee shall refr ain from further investigation of the incident, confrontation with the alleged violator, or further discussion of the incident with anyone, unless requested by the City Manager, Internal Auditor, City Attorney, or law enforcement personnel.
4. INTERNAL AUDITOR RESPONSIBILITIES
a. Upon assignment by the City Manager, the Inte rnal Auditor will promptly investigate the fraud.
b. In all circumstances wher e there appears to be reasonable gr ounds for suspecting that a fraud has taken place, the Internal Auditor, in consultation with the City Attorney, will contact appropriate law enforcement personnel.
c. The Internal Auditor shall be available and receptive to receiving relevant, confidential information to the extent allowed by law.
d. If evidence is uncovered showing possible fraud, the Internal Auditor will proceed as follows:
241
City of Aliso Viejo
COUNCIL POLICY
SUBJECT
FRAUD PREVENTION POLICY
RES. NO.
2005-
056
POLICY NO.
400-15
EFF. DATE
10/01/2008
PAGE
7 of 8
i. discuss the findings with Management and t he City Manager to dete rmine if disciplinary actions should be taken;
ii. report to the External Audito r such activities in order to assess the effect of the fraud activity on the City’s financial statements;
iii. coordinate with Managem ent regarding notification to insurers and filing of insurance claims;
iv. take immediate action, in consultation wit h the City Attorney, to prevent the theft, alteration, or destruction of evidentiary record s. Such action shall include, but is not limited to:
(A) removing the records and placing them in a secure location, or limiting access to the location where the records currently exist, and;
(B) preventing the individual suspected of committing the fraud from having access to the records.
e. In consultation with the City Attorney and appropriate law enforcement personnel, the Internal Auditor may disclose particulars of the investigation with potential witnesses if such disclosure would further the investigation.
f. If the Internal Auditor is contacted by the media regar ding an alleged fraud or investigation, the Internal Auditor will direct all inquiries to the City Manager.
g. At the conclusion of the in vestigation, the Internal Audito r will document the results in a confidential memorandum report to the City Manager and the City Attorney. If the report concludes that the allegations are supported by evidence, the report will be forwarded to appropriate law enforcement personnel.
h. Unless exceptional circumstances exist, a per son under investigation for fraud is to be given notice in writing of essent ial particulars of t he allegations following the conclusion of the investigation. Where not ice is given, the person agains t whom allegations are being made may submit a written expl anation to the Internal Auditor no later than seven (7) calendar days after notice is received.
i. The Internal Auditor shall make recomm endations to the appropria te department for 242
City of Aliso Viejo
COUNCIL POLICY
SUBJECT
FRAUD PREVENTION POLICY
RES. NO.
2005-
056
POLICY NO.
400-15
EFF. DATE
10/01/2008
PAGE
8 of 8
assistance in the prevention of future similar occurrences.
j. Upon completion of the investigation, includ ing all legal and personnel actions, all records, documents, and other evidentiary materi al, obtained from the department under investigation will be returned by the Internal Auditor to that department.
DISCIPLINARY ACTIONS
Any Employee found to be responsible for fraud or who knowingly makes false allegations in violation of this Policy shall be subject to a ppropriate disciplinary action, up to and including termination of employment and/or te rmination of the contract. Th e severity of the disciplinary action will be based upon the circumstances of t he violation and in accordance with the City’s personnel policies. The City will assess any re medial measures necessary to address and correct the circumstance and pr event reoccurrence in the futu re. Remedial measures may include, but are not limited to , disciplinary action, reorganizati on of personnel, training and education, counseling and/or other employee assistance.
EXCEPTIONS
There will be no exceptions to this Policy unle ss provided and approved by the City Manager and the City Attorney.
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CITY OF ALISO VIEJO
ACKNOWLEDGMENT OF RECEIPT OF FRAUD POLICY
I hereby acknowledge that I have received a copy of the City’s “Fraud Prevention Policy” dated October 1, 2008. I understand that I am to promptly read its contents and di stribute copies to employees assigned to perform Services for the City of Aliso Viejo.
To the extent that provisions of this policy conf lict with previously issued policies or practices, whether or not such policies and practices were contained in written policies, this policy shall prevail.
Name of Business Print Name
Signature
Date
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CITY OF ALISO VIEJO
PROFESSIONAL SERVICES AGREEMENT
FOR
LANDSCAPE ARCHITECTURE AND INSPECTION SERVICES
1. PARTIES AND DATE.
This Agreement is made and entered into this day of , 20___, by and between the City of Aliso Viejo, a municipal corporation organized under the laws of the State of California with its principal place of business at 12 Journey, Suite 100, Aliso Viejo, California 92656 (“City”) and RJM Design Group, Inc., a corporation, with its principal place of business at 31591 Camino Capistrano, San Juan Capistrano, CA 92675 (“Consultant”).
City and Consultant are sometimes individually referred to herein as “Party” and collectively as “Parties.”
2. RECITALS.
2.1 Consultant.
Consultant desires to perform and assume responsibility for the provision of professional Landscape Architecture and Inspection consultant services required by the City on the terms and conditions set forth in this Agreement. Consultant represents that it is experienced in providing professional Landscape Architecture and Inspection consultant services to public clients, is licensed in the State of California, and is familiar with the plans of City.
2.2 Project.
City desires to engage Consultant to render such services for the Landscape Architecture and Inspection Services project (“Project”) as set forth in this Agreement.
3. TERMS.
3.1 Scope of Services and Term.
3.1.1 General Scope of Services . Consultant promises and agrees to furnish to the City all labor, materials, tools, equipment, services, and incidental and customary work necessary to fully and adequately supply the professional Landscape Architecture and Inspection consultant services necessary for the Project (“Services”). The Services are more particularly described in Exhibit “A” attached hereto and incorporated herein by reference. All Services shall be subject to, and performed in accordance with, this Agreement, the exhibits attached hereto and incorporated herein by refer ence, and all applicable local, state and federal laws, rules and regulations.
3.1.2 T
erm . The term of this Agreement shall be from July 1, 2022 to June 30, 2025, unless earlier terminated as provided herein. The City Manager shall have the unilateral option, at its sole discretion, to renew this Agreement annually for no more than two additional one-year terms. Consultant shall complete the Services within the term of this Agreement, and shall meet any other established schedules and deadlines. 245
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3.2 Responsibilities of Consultant.
3.2.1 Control and Payment of Subordinates; Independent Contractor . The Services shall be performed by Consultant or under its supervision. Consultant will determine the means, methods and details of performing the Services subje ct to the requirements of this Agreement. City retains Consultant on an independent contractor basis and not as an employee.
Consultant shall complete, execute, and submit to City a Request for Taxpayer Identification Number and Certification (IRS FormW -9) prior to commencement of any Services under this Agreement. Neither City, nor any of its officials, officers, directors, employees or agents shall have control over the conduct of Consultant or any of Consultant's officers, employees, or agents, except as set forth in this Agreement. Consultant retains the right to perform similar or different services for others during the term of this Agreement. Any additional personnel performing the Services under this Agreement on behalf of Consultant shall also not be employees of City and shall at all times be under Consultant’s exclusive direction and control.
Consultant shall pay all wages, salaries, and other amounts due such personnel in connection with their performance of Services under this Agreement and as required by law. Consultant shall be responsible for all reports and obligations respecting such additional personnel, including, but not limited to: social security taxes, income tax withholding, unemployment insurance, disability insurance, and workers’ compensation insurance.
3.2.2 S
chedule of Services .
3.2.2.1 Consultant shall perform the Services expeditiously, within the term of this Agreement, and in accordance with the Schedule of Services set forth in Exhibit “B” attached hereto and incorporated herein by reference. Consultant represents that it has the professional and technical personnel required to perform the Services in conformance with such conditions. In order to facilitate Consultant’s conformance with the Schedule, City shall respond to Consultant’s submittals in a timely manner. Upon request of City, Consultant shall provide a more detailed schedule of anticipated performance to meet the Schedule of Services.
3.2.2.2 Neither City nor Consultant shall be considered in default of this Agreement for delays in performance caused by circumstances beyond the reasonable control of the non- performing Party. For purposes of this Agreement, such circumstances include a Force Majeure Event. A Force Majeure Event shall mean an event that mat erially affects a Party’s performance and is one or more of the following: (1) Acts of God or other natural disasters; (2) terrorism or other acts of a public enemy; (3) orders of governmental authorities (including, without limitation, unreasonable and unforeseeable delay in the issuance of permits or approvals by governmental authorities that are required for the Services); (4) strikes and other organized labor action occurring at the site and the effects thereof on the Services, only to the extent such strikes and other organized labor action are beyond the control of Consultant and its subcontractors, and to the extent the effects thereof cannot be avoided by use of replacement workers; and (5) pandemics, epidemics or quarantine restrictions. For purpose s of this section, “orders of governmental authorities,” includes ordinances, emergency proclamations and orders, rules to protect the public health, welfare and safety, and other actions of a public agency applicable to the Services and Agreement.
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3.2.2.3 Should a Force Majeure Event occur, the non -performing Party shall, within a reasonable time of being prevented from performing, give written notice to the other Party describing the circumstances preventing continued performance and the efforts being made to resume performance of this Agreement. Force Majeure Events and/or delays, regardless of the Party responsible for the delay, shall not entitle Consultant to any additional compensation. Notwithstanding the foregoing in this section, the City may still term inate this Agreement in accordance with the termination provisions of this Agreement.
3.2.3 Conformance to Applicable Requirements. All work prepared by Consultant shall be subject to the approval of City.
3.2.4 S ubstitution of Key Personnel. Consultant has represented to City that certain key personnel will perform and coordinate the Services under this Agreement. Should one or more of such personnel become unavailable, Consultant may substitute other personnel of at least equal competence upon written approval of City. In the event that City and Consultant cannot agree as to the substitution of key personnel, City shall be entitled to terminate this Agreement for cause. As discussed below, any personnel who fail or refuse to perform the Services in a manner accep table to the City, or who are determined by the City to be uncooperative, incompetent, a threat to the adequate or timely completion of the Project or a threat to the safety of persons or property, shall be promptly removed from the Project by the Consultant at the request of the City. The key personnel for performance of this Agreement are as follows: Larry Ryan.
3.2.5 C
ity’s Representative . The City hereby designates the City Manager, or his or her designee, to act as its representative for the performance of this Agreement (“City’s Representative”). City’s Representative shall have the power to act on behalf of the City for all purposes under this Contract. The City Manager hereby designates Public Works Director/City Engineer, or his or her designee, as the City’s contact for the implementation of the Services hereunder. Consultant shall not accept direction or orders from any person other than the City’s Representative or his or her designee.
3.2.6 C
onsultant’s Representative. Consultant hereby designates Larry Ryan , or his or her designee, to act as its representative for the performance of this Agreement (“Consultant’s Representative”). Consultant’s Representative shall have full authority to represent and act on behalf of the Consultant for all purposes under this Agreement. The Consultant’s Representative shall supervise and direct the Services, using his best skill and attention, and shall be responsible for all means, methods, techniques, sequences and procedures and for the satisfactory coordination of all portions of the Services under this Agreement.
3.2.7 C
oordination of Services. Consultant agrees to work closely with City staff in the performance of Services and shall be available to City’s staff, consultants and other staff at all reasonable times.
3.2.8 S
tan dard of Care; Performance of Employees . Consultant shall perform all Services under this Agreement in a skillful and competent manner, consistent with the standards generally recognized as being employed by professionals in the same discipline in the State of California. Consultant represents and maintains that it is skilled in the professional 247
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calling necessary to perform the Services. Consultant represents that all employees and subconsultants shall have sufficient skill and experience to perform the S ervices assigned to them. Finally, Consultant represents that it, its employees and subconsultants have all licenses, permits, qualifications and approvals of whatever nature that are legally required to perform the Services and that such licenses and app rovals shall be maintained throughout the term of this Agreement. As provided for in the indemnification provisions of this Agreement, Consultant shall perform, at its own cost and expense and without reimbursement from the City, any services necessary to correct errors or omissions which are caused by the Consultant’s failure to comply with the standard of care provided for herein. Any employee of the Consultant or its sub-consultants who is determined by the City to be uncooperative, incompetent, a thre at to the adequate or timely completion of the Project, a threat to the safety of persons or property, or any employee who fails or refuses to perform the Services in a manner acceptable to the City, shall be promptly removed from the Project by the Consultant and shall not be re -employed to perform any of the Services or to work on the Project.
3.2.9 Laws and Regulations. Consultant shall keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the Services, including all Cal/OSHA requirements, and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with Services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations, Consultant shall be solely responsible for all costs arising therefrom. Consultant shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure or alleged failure to comply with such laws, rules or regulations.
3.2.10 I
nsurance.
3.2.10.1 Time for Compliance . Consulta nt shall not commence Work under this Agreement until it has provided evidence satisfactory to the City that it has secured all insurance required under this section. In addition, Consultant shall not allow any subconsultant to commence work on any subcontract until it has provided evidence satisfactory to the City that the subconsultant has secured all insurance required under this section.
3.2.10.2 T
ypes of Insurance Required. As a condition precedent to the effectiveness of this Agreement for work to be performed hereunder and without limiting the indemnity provisions of the Agreement, the Consultant in partial performance of its obligations under such Agreement, shall procure and maintain in full force and effect during the term of the Agreement, the following policies of insurance. If the existing policies do not meet the Insurance Requirements set forth herein, Consultant agrees to amend, supplement or endorse the policies to do so.
(a) Commercial General Liability: Commercial General Liability Insurance which a ffords coverage at least as broad as Insurance Services Office “occurrence” form CG 0001, with minimum limits of at least $1,000,000 per occurrence, and if written with an 248
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aggregate, the aggregate shall be double the per occurrence limit.
Defense costs shall be paid in addition to the limits.
The policy shall contain no endorsements or provisions limiting coverage for (1) contractual liability; (2) cross liability exclusion for claims or suits by one insured against another; or (3) contain any other exclusion contrary to the Agreement.
(b) Automobile Liability Insurance: Automobile Liability Insurance with coverage at least as broad as Insurance Services Office Form CA 0001 covering “Any Auto” (Symbol 1) with minimum limits of $1,000,000 each accident.
(c) Professional Liability: Professional Liability insurance with minimum limits of $1,000,000. Covered professional services shall specifically include all work to be performed under the Agreement and delete any exclusions that may potentially affect the work to be performed (for example, any exclusions relating to lead, asbestos, pollution, testing, underground storage tanks, laboratory analysis, soil work, etc.).
If coverage is written on a claims -made basis, the retroactive date shall precede the effective date of the initial Agreement and continuous coverage will be maintained or an extended reporting period will be exercised for a period of at least three (3) years from termination or expiration of this Agreement.
(d) Workers’ Compensation: Workers’ Compensation I nsurance, as required by the State of California and Employer’s Liability Insurance with a limit of not less than $1,000,000 per accident for bodily injury and disease.
3.2.10.3 Endorsements. Required insurance policies shall not be in compliance if they include any limiting provision or endorsement that has not been submitted to the City for approval.
(a) The policy or policies of insurance required by Section 3.2.10.2 (a) Commercial General Liability shall be endorsed to provide the following:
(1) Additional Insured: The City of Aliso Viejo , its officials, officers, employees, agents, and volunteers shall be
additional insureds with regard to liability and defense of suits or claims arising out of the performance of the
Agreement.
Additional Insured Endorsements shall not (1) be restricted to “ongoing operations”; (2) exclude “contractual liability”; 249
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(3) restrict coverage to “sole” liability of Consultant; or (4) contain any other exclusions contrary to the Agreement. (2) Cancellation: Required insurance policies shall not be canceled or the coverage reduced until a thirty (30) day written notice of cancellation has been served upon the City except ten (10) days shall be allowed for non- payment of premium.
(b) The policy or policies of insurance required by Section 3.2.10.2 (b) Automobile Liability and (d) Professional Liability shall be endorsed to provide the following:
(1) Cancellation: Required insurance policies shall not be canceled or the coverage reduced un til a thirty (30) day written notice of cancellation has been served upon the City except ten (10) days shall be allowed for non- payment of premium.
(c) The policy or policies of insurance required by Section 3.2.10.2 (e) Workers’ Compensation shall be endorsed to provide the
following:
(1) Waiver of Subrogation: A waiver of subrogation stating that the insurer waives all rights of subrogation against the indemnified parties.
(2) Cancellation: Required insurance policies shall not be canceled or the coverage reduced until a thirty (30) day written notice of cancellation has been served upon the City except ten (10) days shall be allowed for non- payment of premium.
3.2.10.4 Primary and Non- Contributing Insurance. All insurance coverages shall be primary and any other insurance, deductible, or self -insurance maintained by the indemnified parties shall not contribute with this primary insurance. Policies shall contain or be endorsed to contain such provisions.
3.2.10.5 W
aiver of Subrogation. Required insurance coverages shall not prohibit Consultant from waiving the right of subrogation prior to a loss. Consultant shall waive all subrogation rights against the indemnified parties. Policies shall contain or be endorsed to contain such provisions.
3.2.10.6 D
eductible . Any deductible or self -insured retention must be approved in writing by the City and shall protect the indemnified parties in the same manner and to the same extent as they would have been protected had the policy or policies not contained a deductible or self-insured retention.
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3.2.10.7 Evidence of Insurance. The Consultant, concurrently with the execution of the Agreement, and as a condition precedent to the effectiveness thereof, shall deliver either certified copies of the required policies, or original certificates and endorsements on forms approved by the City. The certificates and endorsements for each insurance policy shall be signed by a person authorized by that insurer to bind coverage on its behalf. At least fifteen (15 days) prior to the expiration of any such policy, evidence of insurance showing that such insurance coverage has been renewed or extended shall be filed with the City. If such coverage is cancelled or reduced, Consultant shall, within ten (10) days after receipt of written notice of such cancellation or reduction of coverage, file with the City evidence of insurance showing that the required insurance has been reinstated or has been provided through another insurance company or companies.
3.2.10.8 F
ailure to Maintain Coverage. Consultant agrees to suspend and cease all operations hereunder during such period of time as the required insurance coverage is not in effect and evidence of insurance has not been furnished to the City. The City shall have the right to withhold any payment due Consultant until Consultant has fully complied with the insurance provisions of this Agreement.
In the event that the Consultant’s operations are suspended for failure to maintain required insurance coverage, the Consultant shall not be entitled to an extension of time for completion of the Services because of production lost during suspension.
3.2.10.9 Acceptability of Insurers. Each such policy shall be from a company or companies with a current A.M. Best’s rating of no less than A:VII and authorized to do business in the State of California, or otherwise allowed to place insurance through surplus line brokers under applicable provisions of the California Insurance Code or any federal law.
3.2.10.10 I
nsurance for Subconsultants. All Subconsultants shall be included as additional insureds under the Consultant’s policies, or the Consultant shall be responsible for causing Subconsultants to purchase the appropriate insurance in compliance with the terms of these Insurance Requirements, including adding the City as an Additional Insured to the Subconsultant’s policies.
3.2.11 S
afety . Consultant shall execute and maintain its work so as to avoid injury or damage to any person or property. In carrying out its Services, the Consultant shall at all times be in compliance with all applicable local, state and feder al laws, rules and regulations, and shall exercise all necessary precautions for the safety of employees appropriate to the nature of the work and the conditions under which the work is to be performed. Safety precautions where applicable shall include, but shall not be limited to: (A) adequate life protection and life saving equipment and procedures; (B) instructions in accident prevention for all employees and subconsultants, such as safe walkways, scaffolds, fall protection ladders, bridges, gang planks, confined space procedures, trenching and shoring, equipment and other safety devices, equipment and wearing apparel as are necessary or lawfully required to prevent accidents or injuries; and (C) adequate facilities for the proper inspection and mainten ance of all safety measures.
3.3 Fees and Payments.
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3.3.1 Compensation. Consultant shall receive compensation, including authorized reimbursements, for all Services rendered under this Agreement at the rates set forth in Exhibit “C” attached hereto and incorporated herein by reference. The total compensation shall not exceed One Hundred Thousand DOLLARS ($100,000.00) (“Total Compensation”) without written approval of City’s City Manager . Extra Work may be authorized, as described below, and if authorized, will be compensated at the rates and manner set forth in this Agreement.
3.3.2 P
ayment of Compensation.
Consultant shall submit to City a monthly itemized statement which indicates work completed and hours of Services rendered by Consultant. The statement shall describ e the amount of Services and supplies provided since the initial commencement date, or since the start of the subsequent billing periods, as appropriate, through the date of the statement. City shall, within 45 days of receiving such statement, review the statement and pay all non- disputed and approved charges thereon.
3.3.3 Reimbursement for Expenses. Consultant shall not be reimbursed for any expenses unless authorized in writing by City.
3.3.4 E xtra Work . At any time during the term of this Agreement, City may request that Consultant perform Extra Work. As used herein, “Extra Work” means any work which is determined by City to be necessary for the proper completion of the Project, but which the Parties did not reasonably anticipate would be necessary at the execu tion of this Agreement.
Consultant shall not perform, nor be compensated for, Extra Work without written authorization from the City.
3.3.5 P
revailing Wages ; DIR Registration.
3.3.5.1 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 are being performed as part of an applicable “public works” or “maintenance” project, as defined by the Prevailing Wage Laws, and if the total compensation is $1,000 or more, Consultant agrees to fully comply with such Prevailing Wage Laws. City shall provide Consultant with a copy of the prevailing rates of per diem wages in effect at the commencement of this Agreement. Consultant shall make copies of the prevailing rates of per diem wages for each craft, classification or type of worker needed to execute the Services available to interested parties upon request, and shall post copies at the Consultant’s principal place of business and at the project site. It is the intent of the parties to effectuate the requirements of secti ons 1771, 1774, 1775, 1776, 1777.5, 1813, and 1815 of the Labor Code within this Agreement, and Consultant shall therefore comply with such Labor Code sections to the fullest extent required by law. Consultant shall defend, indemnify and hold the City, it s 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. 252
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3.3.5.2 If the Services are being performed as part of an applicable “public works” or “maintenance” project, in addition to the foregoing, then pursuant to Labor Code sections 1725.5 and 1771.1, the Consultant and all subconsultants must be registered with the Department of Industrial Relations (“DIR”). Consultant shall maintain re gistration for the duration of the project and require the same of any subconsultants. This project may also be subject to compliance monitoring and enforcement by the DIR. It shall be Contractor’s sole responsibility to comply with all applicable registration and labor compliance requirements, including the submission of payroll records directly to the DIR.
3.4 Accounting Records.
3.4.1 Maintenance and Inspection. Consultant shall maintain complete and accurate records with respect to all costs and expenses incur red under this Agreement. All such records shall be clearly identifiable. Consultant shall allow a representative of City during normal business hours to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to the Agreement for a period of three (3) years from the date of final payment under this Agreement.
3.5 General Provisions.
3.5.1 Termination of Agreement.
3.5.1.1 Grounds for Termination. City may, by written notice to Consultant, terminate the whole or any part of this Agreement at any time and without cause by giving written notice to Consultant of such termination, and specifying the ef fective date thereof, at least seven (7) days before the effective date of such termination. Upon termination, Consultant shall be compensated only for those services which have been adequately rendered to City, and Consultant shall be entitled to no further compensation. Consultant may not terminate this Agreement except for cause. The rights and remedies of the City provided in this section shall not be exclusive and are in addition to any other rights and remedies provided by law, equity or under this Agreement.
3.5.1.2 E
ffect of Termination. If this Agreement is terminated as provided herein, City may require Consultant to provide all finished or unfinished Documents and Data and other information of any kind prepared by Consultant in connection with the performance of Services under this Agreement. Consultant shall be required to provide such document and other information within fifteen (15) days of the request.
3.5.1.3 A
dditional Services . In the event this Agreement is terminated in whole or in part as provided herein, City may procure, upon such terms and in such manner as it may determine appropriate, services similar to those terminated.
3.5.2 D elivery of Notices . All notices permitted or required under this Agreement shall be given to the respective parties at th e following address, or at such other address as the respective parties may provide in writing for this purpose:
Consultant:
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RJM Design Group, Inc.
31591 Capistrano,
San Juan Capistrano, CA 92675
Attn: Larry Ryan, President
City:
City of Aliso Viejo
12 Journey, Suite 100
Aliso Viejo, CA 92656
Attn: Shaun Pelletier, Public Works Department
Such notice shall be deemed made when personally delivered or when mailed, forty-eight (48) hours after deposit in the U.S. Mail, first class postage prepaid and addr essed to the party at its applicable address. Actual notice shall be deemed adequate notice on the date actual notice occurred, regardless of the method of service.
3.5.3 Ownership of Materials and Confidentiality.
3.5.3.1 Documents & Data; Licensing of Intellectual Pr operty. 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 prepared by design professionals other than Consultant or provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City’s sole risk.
3.5.3.2 C
onfidentiality . All ideas, memoranda, specifications, plans, procedures, drawings, descriptions, computer program data, input record data, written information, and other Documents and Data either created by or provided to Consultant in connection with the performance of this Agreement shall be held confidential by Consultant.
Such materials shall not, without the prior written consent of City, be used by Consultant for any purposes other than the performance of the Services. Nor shall such materials be disclosed to any person or entity not connected with the performance of the Services or the Project. Nothing furnished to Consultant which is otherwise known to Consultant or is generally known, or has become known, to the related industry shall be deemed confidential. Consultant shall not use City’s name or insignia, photographs of the Project, or any publicity pertaining to the Services or the Project in any magazine, trade paper, newspaper, television or radio production or other similar medium without the prior written consent of City. 254
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3.5.3.3 Confidential Information. The City shall refrain from releasing Consultant’s proprietary information (“Proprietary Information”) unless the City’s legal counsel determines that the release of the Proprietary Information is required by the California Public Records Act or other applicable state or federal law, or order of a court of competent jurisdiction, in which case the City shall notify Consultant of its intention to release Proprietary Information.
Consultant shall have five (5) working days af ter receipt of the Release Notice to give City written notice of Consultant’s objection to the City’s release of Proprietary Information.
Consultant shall indemnify, defend and hold harmless the City, and its officers, directors, employees, and agents from and against all liability, loss, cost or expense (including attorney’s fees) arising out of a legal action brought to compel the release of Proprietary Information. City shall not release the Proprietary Information after receipt of the Objection Notice unless either:
(1) Consultant fails to fully indemnify, defend (with City’s choice of legal counsel), and hold City harmless from any legal action brought to compel such release; and/or (2) a final and non- appealable order by a court of competent jurisdiction requires that City release such information.
3.5.4 F
raud Policy. Consultant shall provide a copy of the City’s Fraud Prevention Policy to each of its employees assigned to perform Services under this Agreement.
Consultant shall submit to the City a state ment signed by an authorized representative for Consultant certifying receipt of the City’s Fraud Prevention Policy. A finding by the City that any of Consultant’s employees have committed fraud against the City or have violated the City’s Fraud Prevention Policy shall be grounds for appropriate discipline, up to and including such employee’s removal from performance of this Agreement at City’s request and/or termination of this Agreement. Consultant shall reimburse the City for any costs and expenses associated with fraud against the City.
3.5.5 C
ooperation; Further Acts. The Parties shall fully cooperate with one another, and shall take any additional acts or sign any additional documents as may be necessary, appropriate or convenient to attain the purposes of this Agreement.
3.5.6 A
ttorney’s Fees . If either party commences an action against the other party, either legal, administrative or otherwise, arising out of or in connection with this Agreement, the prevailing party in such litigation shall be entitled to hav e and recover from the losing party reasonable attorney’s fees and all other costs of such action.
3.5.7 I
ndemnification .
3.5.7.1 To the fullest extent permitted by law, Consultant shall defend (with counsel of City’s choosing), indemnify and hold the City, its officials, officers, employees, volunteers and agents free and harmless from any and all claims, demands, causes of action, costs, expenses, liability, loss, damage or injury of any kind, in law or equity, to property or persons, including wrongful death, in any manner arising out of, pertaining to, or incident to any alleged acts, errors or omissions, or willful misconduct of Consultant, its officials, officers, employees, subcontractors, consultants or agents in connection with the performance of the Consultant's Services, the Project or this Agreement, including without limitation the payment of all damages, expert witness fees and attorneys fees and other related costs and expenses except such loss or damage caused by the sole negligence or willful misconduct of the City .
Consultant's obligation to indemnify shall survive expiration or termination of this Agreement 255
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and shall not be restricted to insurance proceeds, if any, received by the Consultant or the City, its officials, officers, employees, agents or volunteers.
3.5.7.2 If Consultant’s obligation to defend, indemnify, and/or hold harmless arises out of Consultant’s performance as a “design professional” (as that term is defined under Civil Code section 2782.8), then, and only to the extent required by Civil Code section 2782.8, which is fully incorporated herein, Consultant’s indemnification obligation shall be limited to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant, and, upon Consultant obtaining a final adjudication by a court of competent jurisdiction, Consultant’s liability for such claim, including the cost to defend, shall not exceed the Consultant’s proportionate percentage of fault.
3.5.8 Entire Agreement. This Agreement contains the entire Agreement of the parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. This Agreement may only be modified by a writing signed by both parties.
3.5.9 G
overning Law. This Agreement shall be governed by the laws of the State of California. Venue shall be in Orange County.
3.5.10 T ime of Essence. Time is of the essence for each and every provision of this Agreement.
3.6 C ity’s Right to Employ Other Consultants . City reserves right to employ other consultants in connection with this Project.
3.7 S uccessors and Assigns. This Agreement shall be binding on the successors and assigns of the parties.
3.8 A ssignment or Transfer. Consultant shall not assign, hypothecate, or transfer, either directly or by operation of law, this Agreement or any interest herein without the prior written consent of the City. Any attempt to do so shall be null and void, and any assignees, hypothecates or transferees shall acquire no right or interest by reason of such attempted assignment, hypothecation or transfer.
3.9 C
onstruction; References; Captions . Since the Parties or their agents have participated fully in the preparation of this Agreement, the language of this Agreement shall be construed simply, according to its fair meaning, and not strictly for or against any Party. Any term referencing time, days or period for performance shall be deemed calendar days and not work days. All references to Consultant include all personnel, employees, agents, and subconsultants of Consultant, except as otherwise specified in this Agreement. All references to City include its elected officia ls, officers, employees, agents, and volunteers except as otherwise specified in this Agreement. The captions of the various articles and paragraphs are for convenience and ease of reference only, and do not define, limit, augment, or describe the scope, content, or intent of this Agreement.
3.10 A
mendment; Modification . No supplement, modification, or amendment of this Agreement shall be binding unless executed in writing and signed by both Parties. 256
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3.11 Waiver. No waiver of any default shall constitute a waiver of any other default or breach, whether of the same or other covenant or condition. No waiver, benefit, privilege, or service voluntarily given or performed by a Party shall give the other Party any contractual rights by custom, estoppel, or otherwise.
3.12 No T
hird Party Beneficiaries. There are no intended third party beneficiaries of any right or obligation assumed by the Parties.
3.13 I nvalidity; Severability . If any portion of this Agreement is declared invalid, illegal, or otherwise unenforceable by a court of competent jurisdiction, the remaining provisions shall continue in full force and effect.
3.14 P
rohibited Interests . Consultant maintains and warrants that it has not employed nor retained any company or person, other than a bona fide employee working solely for Consultant, to solicit or secure this Agreement. Further, Consultant warrants that it has not paid nor has it agreed to pay any company or person, other than a bona fide employee working solely for Consultant, any fee, commission, percentage, broker age fee, gift or other consideration contingent upon or resulting from the award or making of this Agreement. For breach or violation of this warranty, City shall have the right to rescind this Agreement without liability.
For the term of this Agreement, no member, officer or employee of City, during the term of his or her service with City, shall have any direct interest in this Agreement, or obtain any present or anticipated material benefit arising therefrom.
3.15 E
qual Opportunity Employment . Consultant r epresents that it is an equal opportunity employer and it shall not discriminate against any subconsultant, employee or applicant for employment because of race, religion, color, national origin, handicap, ancestry, sex or age. Such non- discrimination shall include, but not be limited to, all activities related to initial employment, upgrading, demotion, transfer, recruitment or recruitment advertising, layoff or termination. Consultant shall also comply with all relevant provisions of City’s Minority Business Enterprise program, Affirmative Action Plan or other related programs or guidelines currently in effect or hereinafter enacted.
3.16 L
abor Certification . By its signature hereunder, Consultant certifies that it is aware of the provisions of Section 3700 of the California Labor Code which require every employer to be insured against liability for Worker’s Compensation or to undertake self - insurance in accordance with the provisions of that Code, and agrees to comply with such provisions before commencing the performance of the Services.
3.17 A
uthority to Enter Agreement . Consultant has all requisite power and authority to conduct its business and to execute, deliver, and perform the Agreement. Each Party warrants that the individuals who have signed this Agreement have the legal power, right, and authority to make this Agreement and bind each respective Party.
3.18 C
ounterparts . This Agreement may be signed in counterparts, each of which shall constitute an original.
3.19 D eclaration of Political Contributions . Consultant shall, throughout the term of this Agreement, submit to City an annual statement in writing declaring any political 257
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contributions of money, in-kind services, or loan made to any member of the City Council within the previous twelve-month period by the Consultant and all of Consultant’s employees, including any employee(s) that Consultant intends to assign to perform the Services described in this Agreement.
3.20 Subcontracting.
3.20.1 Prior Approval Required. Consultant shall not subcontract any portion of the work required by this Agreement, except as expressly stated herein, without prior written approval of City. Subcontracts, if any, shall contain a provision making them subject to all provisions stipulated in this Agreement.
[Signatures on following page.]
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SIGNATURE PAGE TO PROFESSIONAL SERVICES AGREEMENT
BETWEEN THE CITY OF ALISO VIEJO AND RJM DESIGN GROUP, INC.
IN WITNESS WHEREOF, the parties have executed this Professional Services Agreement on this ____ day of __________, 2022.
CITY OF ALISO VIEJO
Approved:
By:
David Doyle
City Manager
ATTEST:
By: _______________________________
Mitzi Ortiz, MMC
City Clerk
APPROVED AS TO FORM:
______________________________
Best Best & Krieger LLP
City Attorney
APPROVED AS TO COMPLIANCE
WITH BUDGET
By:
Department of Financial Services
RJM DESIGN GROUP, INC.
[If Corporation, TWO SIGNATURES,
President OR Vice President AND Secretary
OR Treasurer REQUIRED]
By:
Its:
Printed Name:
By:
Its:
Printed Name:_________________________
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CITY OF ALISO VIEJO
DECLARATION OF POLITICAL CONTRIBUTIONS
Using the space provided below, please list any political contributions of money, in-kind services, or loans made to any member of the City Council within the last twelve (12) months by Consultant and all of Consultant’s employees, including any employee(s) that applicant intends to assign to perform the work or services described in this Agreement:
To the best of my knowledge, I declare under penalty of perjury that the foregoing is true and was executed at:
City/County/State Date
Name of Business Print Name
Signature
NOTE: THIS DECLARATION IS INCLUDED AS PART OF THE AGREEMENT AND MUST BE SIGNED AND ATTACHED HERETO. 260
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CITY OF ALISO VIEJO
ACKNOWLEDGMENT OF RECEIPT OF FRAUD POLICY
I hereby acknowledge that I have received a copy of the City’s “Fraud Prevention Policy” dated October 1, 2008. I understand that I am to promptly read its contents and distribute copies to employees assigned to perform Services for the City of Aliso Viejo.
To the extent that provisions of this policy conflict with previously issued policies or pr actices, whether or not such policies and practices were contained in written policies, this policy shall prevail.
Name of Business Print Name
Signature
Date
261
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A-1
EXHIBIT “A”
SCOPE OF SERVICES
The following scope of work is expected to be delivered by the Landscape Architecture & Inspection Services Contractor. The Public Works Department will administer this contract and will be responsible for reviewing and authorizing any work related to it.
At a minimum, Contractor shall have the following staff available (or equivalent) as necessary to complete assigned tasks.
• Principal
• Project Manager
• CA Licensed Landscape Architect
• Certified Irrigation Designer/Auditor
• Landscape Inspector
• Draftsperson
• Clerical
Landscape Architecture Services
From time to time the City will require Landscape Architecture Services to assist in preparing conceptual and/or construction drawings for improvements at City facilities. The scope of these projects will vary and be determined on a case by case basis. The City will request a proposal from the Contractor for each of these proposed projects as they become available to confirm scope and associated costs.
Tasks for design projects may include the following:
• Scoping meetings to determine the specific project being developed. • Conceptual plans or renderings as requested.
• Construction plans as requested shall be submitted at the 50%, 90%, 100%, and final documents completion. Title sheet, base sheets, details, and conceptual plans within the project limits shall be included in the 50% submittal. Technical specifications and cost estimates shall be included with the 90% plans. 100% plans shall incorporate all comments. Two sets of plans 24” x 36” in size will be required for each submittal. Final documents shall be signed by the Landscape Architect in responsible charge. Electronic copies of signed documents shall also be submitted. • Construction estimates shall be provided as requested for budget or bidding purposes.
Landscape and Tree Inspection Services
The City owns and operates the following facilities that require regular landscape and tree maintenance services provided under a separate contracts.
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A-2
Iglesia Park – 24671 Via Iglesia
• Sand volleyball (1), basketball half court (1), and tennis (2) courts • Walkways
• Tot lot and play equipment
• Picnic tables, gazebos, drinking fountains, and barbeques • Terraced outdoor amphitheater
• Turf areas (approximately 3.0 acres)
• Shrubs and planters (approximately 1.3 acres including nature area) • Trees
City Hall – 12 Journey
• Parking lot (approximately 0.9 acres)
• Walkways
• Planter areas (approximately 0.1 acres)
• Trees
Aquatic Center, Aliso Viejo Center, Vista Park – 29 & 31 Santa Barbara
• Parking lot with landscape islands (approximately 2.25 acres) • Pathways and lighting
• Turf area (approximately 1 acre)
• Planter areas (approximately 1 acre)
• Picnic areas, shelters, fireplace and barbeques
• Pool decks
• Trees
• Tot lot and play equipment
Aliso Viejo Ranch – 100 Park Avenue
• Trees
• Turf area (approximately 0.45 acres)
• Shrubs (approximately 1300 linear feet along exterior of fence)
Landscaped Medians – Pacific Park Drive, Aliso Creek Road & Calle Cortez
• Trees
• Planter/shrub areas (approximately 0.75 acres)
The Landscape Inspector shall be qualified per accepted industry standards and familiar with the scope of the City’s landscape maintenance services. The Contractor shall work with the City to develop a schedule for completing assigned tasks within a timefr ame estimated to be four (4) hours per week. Tasks may be weekly, monthly or as needed. Typical tasks could include the following.
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A-3
• Review turf, plant, and tree maintenance
• Review facility maintenance
• Irrigation inspection
• Coordinate corrections with maintenance contractor
• Recommend improvements to the City
• Review maintenance contractor extra work proposals and invoices
Inspection services could also be requested on an as -needed basis for ongoing private development projects for compliance with the approved plans.
Expenses
Mileage will be reimbursed at the current standard mileage rate established by the IRS.
Approved materials, reproductions, etc. will be reimbursed at cost plus 10%.
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B-1
EXHIBIT “B”
SCHEDULE OF SERVICES
In the event that this Agreement is renewed pursuant to Section 3.1.2, the first renewal period shall be from July 1, 2025 to June 30, 2026. The second renewal period shall be from July 1, 2026 to June 30, 2027.
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C-1
EXHIBIT “C”
COMPENSATION
In the event that this Agreement is renewed pursuant to Section 3.1.2, the rates set forth above may be adjusted each year at the time of renewal described in Exhibit “B” in accordance with the annual average Consumer Price Index of the prior calendar year , All Urban Consumers, Los Angeles-Long Beach-Anaheim up to a maximum percentage of five percent (5%).
266
City of Aliso Viejo
COUNCIL POLICY
SUBJECT
FRAUD PREVENTION POLICY
RES. NO.
2005-
056
POLICY NO.
400-15
EFF. DATE
10/01/2008
PAGE
1 of 8
PURPOSE
To establish Policy and procedures for the prev ention and detection of fraud and other related dishonest activities against th e City and, when appropriate, to pursue legal remedies available under the law.
This Policy has been established to ensure that elected officials, officers, employees, and members of advisory boards, commissions and committees of the City of Alis o Viejo are aware of the following:
1. Acts that are considered to be fraudulent;
2. Procedures for reporting suspected fraudulent acts;
3. Steps to be taken when fraud or other rela ted dishonest activities are suspected; and
4. Consequences to expect when a dishonest act is reported.
Further, this Policy delineates management’s responsibility for instituting and maintaining a system of internal control to prevent and detect fraud, misappropriations and other irregularities, and to be alert for any indications of such misconduct.
POLICY
1. GENERAL
The City of Aliso Viejo is committed to protecting its assets against the risk of loss or misuse.
Accordingly, it is the policy of the City to identify and promptly investig ate any possibility of fraudulent or related dishonest ac tivities against the City and, w hen appropriate, to pursue legal remedies available under law.
2. DEFINITIONS
a. Fraud
– Fraud and other similar irregularities including, but not limited to:
i. claim for reimbursement of expenses that are not job-related or authorized by current policy;
ii. forgery or unauthorized alteration of doc uments (checks, time sheets, independent contractor agreements, purchase orders, budgets, etc.); 267
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SUBJECT
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RES. NO.
2005-
056
POLICY NO.
400-15
EFF. DATE
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PAGE
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iii. misappropriation of City assets (funds, securi ties, supplies, furniture, equipment, etc.);
iv. improprieties in the handling or reporting of money or financial transactions;
v. authorizing or receiving payment for goods not received or services not performed;
vi. computer-related activity involving unauthor ized alteration, destruction, forgery, or manipulation of data or misappropriation of City-owned software;
vii. misrepresentation of information on documents;
viii. any violation of Federal, State, or Local laws related to dishonest activities or fraud;
ix. seeking or accepting anything of material value from those doing business with the City, including vendors, consultants, contract ors, lessees, applicants, and grantees.
Materiality is determined by t he City’s Conflict of Interest Code, which incorporates the Fair Political Practices Commission’s regulations;
x. obtaining profit or personal ga in as a result of “insider” knowledge of City activities;
xi. disclosing confidential and proprietary information to outside parties; or
xii. Intentional, false representation or concealment of material fact for the purpose of personal gain.
b. Employee
– Any individual or group of individuals who receive co mpensation, either full or part-time, from the City of Alis o Viejo for employment or prov iding services. The term also includes any volunteer who provides services to the City through an official arrangement with the City or a City organization, as well as cons ultants, vendors, contra ctors, outside agencies and/or any other parties with a business relationship with the City of Aliso Viejo.
c. Official
- Elected officials, officers, and me mbers of advisory or appointed boards, commissions and committees.
d. Management – Any administrator, manager, director , supervisor, or other individual who manages or supervises funds or other resources, including human resources.
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SUBJECT
FRAUD PREVENTION POLICY
RES. NO.
2005-
056
POLICY NO.
400-15
EFF. DATE
10/01/2008
PAGE
3 of 8
e. Internal Auditor – Any person or persons assigned by the City Manager to investigate any fraud or similar activity.
f. External Auditor – Independent audit prof essionals who perform annual audits of the City’s financial statements.
3. INVESTIGATION
a. It is the City’s intent to fu lly investigate any suspected acts of fraud. An objective and impartial investigation will be conducted regardless of the posit ion, title, length of service or relationship with the City of any party who mi ght be or become involv ed in or becomes the subject of such investigation.
b. Each department of the Ci ty is responsible for institut ing and maintain ing a system of internal control to provide r easonable assurance for the prev ention and detection of fraud.
Management should be familiar with the types of improprieties that might occur within their area of responsibility and be alert for any indications of such conduct.
c. The Internal Auditor, in conjunction with the City Attorney, has the primary responsibility for the investigation of fraud.
d. Throughout the investigation, the Internal Auditor will info rm the City Manager of pertinent investigative findings.
e. Employees will be gr anted “whistle-blower protection,” as described below when acting in accordance with this Policy. When informed of suspected fraud, neither the City nor any person acting on behalf of the City shall:
i. dismiss or threaten to dismiss the Employee reporting the suspected fraud;
ii. discipline, suspend, or th reaten to discipline or sus pend the Employee reporting the suspected fraud;
iii. impose any penalty upon the Employee reporting the suspected fraud, or;
iv. intimidate or coerce the Employ ee reporting the suspected fraud.
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COUNCIL POLICY
SUBJECT
FRAUD PREVENTION POLICY
RES. NO.
2005-
056
POLICY NO.
400-15
EFF. DATE
10/01/2008
PAGE
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Violations of these “whistle-blower protections” may result in discipline up to and including dismissal.
f. Upon conclusion of the investigation, the results will be reported to the City Manager.
g. The City Manager, following review of investi gation results, will take appropriate disciplinary action regarding Employee misconduct. Discipl inary action can include termination of employment or a contract, and referral of the case to the District Attorney’s Office for possible prosecution.
h. The City will pursue every r easonable effort, including court or dered restitution, to obtain recovery of City losses from the offender, or other appropriate sources.
PROCEDURE
1. RESPONSIBILITIES OF OFFICIALS
a. If an Official has reason to su spect that a fraud has occurred, he or she shall immediately contact the City Manager.
b. An Official shall not attempt to investi gate the suspected fraud or discuss the matter with anyone other than the City Manager.
c. The alleged fraud or audit in vestigation shall not be di scussed with the media by any person other than through the City Manager in consultation with the City Attorney and the Internal Auditor.
2. MANAGEMENT RESPONSIBILITIES
a. Management is responsible for detecting, pr eventing and reporting frau d in their areas of responsibility.
b. Each manager should be familiar with the types of fraud t hat might occur in his or her area and be alert for any indication that fraud is or was in existence in his or her area.
c. When fraud is detected or suspected, M anagement should determine whether an error or mistake has occurred or if there may be dishonest or fraudulent activity.
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COUNCIL POLICY
SUBJECT
FRAUD PREVENTION POLICY
RES. NO.
2005-
056
POLICY NO.
400-15
EFF. DATE
10/01/2008
PAGE
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d. If Management determines a suspected activity may involve fraud, they should contact their immediate supervisor. In the event the acti vity involves the immediate supervisor, the activity should be reported to the Department Director.
e. Upon being notified of su spected fraud, Department Direc tors shall inform the City Manager.
f. Management should not attempt to conduct in dividual investigations, interviews, or interrogations. However, Management is re sponsible for taking appropriate corrective actions to ensure adequate controls exist to prevent reoccurrences of fraud.
g. Management shall cooperate fully with the Inte rnal Auditor, other involved departments, and law enforcement agencies in the detection, reporting, and investigation of fraud, including the prosecution of offenders.
h. Management will have full and unrestricted access to all necessary records and personnel.
All City furniture and c ontents, including desks and computer s, are open to inspection at any time. There is no assumption of privacy.
i. In dealing with suspected fr aud, great care must be taken. Management should not:
i. make accusations;
ii. alert individuals suspected of committi ng fraud that an investigation is underway;
iii. treat individuals suspected of committing fraud unfairly, or;
iv. make statements that could lead to claims of false accusations or other offenses.
j. In handling suspected fraud activities , Management has the responsibility to:
i. make no contact (unless requested) with the individual suspected of committing fraud to determine facts or demand restitution. U nder no circumstances should there be any reference to “what you did”, “the crime”, “the fraud”, “the misappropriation”, etc.;
ii. avoid discussing the case, fa cts, suspicions, or allegations with anyone outside the City, unless specifically directed to do so by the City Attorney;
271
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SUBJECT
FRAUD PREVENTION POLICY
RES. NO.
2005-
056
POLICY NO.
400-15
EFF. DATE
10/01/2008
PAGE
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iii. avoid discussing the case with anyone in side the City other than the City Manager, Internal Auditor, or City Attorney or law enforcement personnel;
iv. direct all inquiries from the individual suspected of co mmitting fraud, or his or her representative, to the City M anager or City Attorney. All inquiries by an attorney representing the individual suspected of committing fraud should be directed to the City Attorney. All inquiries from the media should be directed to the City Manager, and;
v. take appropriate corrective and disciplinar y action, up to and including dismissal, if authorized by and in conformance with the City’s personnel policies.
3. EMPLOYEE RESPONSIBILITIES
a. Employees should report detected or sus pected fraud to the Employee’s supervisor.
b. In the event the suspected fraud involves the Employee’s immediate supervisor, the Employee shall make the report directly to the next higher level of Management and/or the City Manager.
c. The reporting Employee shall refr ain from further investigation of the incident, confrontation with the alleged violator, or further discussion of the incident with anyone, unless requested by the City Manager, Internal Auditor, City Attorney, or law enforcement personnel.
4. INTERNAL AUDITOR RESPONSIBILITIES
a. Upon assignment by the City Manager, the Inte rnal Auditor will promptly investigate the fraud.
b. In all circumstances wher e there appears to be reasonable gr ounds for suspecting that a fraud has taken place, the Internal Auditor, in consultation with the City Attorney, will contact appropriate law enforcement personnel.
c. The Internal Auditor shall be available and receptive to receiving relevant, confidential information to the extent allowed by law.
d. If evidence is uncovered showing possible fraud, the Internal Auditor will proceed as follows:
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COUNCIL POLICY
SUBJECT
FRAUD PREVENTION POLICY
RES. NO.
2005-
056
POLICY NO.
400-15
EFF. DATE
10/01/2008
PAGE
7 of 8
i. discuss the findings with Management and t he City Manager to dete rmine if disciplinary actions should be taken;
ii. report to the External Audito r such activities in order to assess the effect of the fraud activity on the City’s financial statements;
iii. coordinate with Managem ent regarding notification to insurers and filing of insurance claims;
iv. take immediate action, in consultation wit h the City Attorney, to prevent the theft, alteration, or destruction of evidentiary record s. Such action shall include, but is not limited to:
(A) removing the records and placing them in a secure location, or limiting access to the location where the records currently exist, and;
(B) preventing the individual suspected of committing the fraud from having access to the records.
e. In consultation with the City Attorney and appropriate law enforcement personnel, the Internal Auditor may disclose particulars of the investigation with potential witnesses if such disclosure would further the investigation.
f. If the Internal Auditor is contacted by the media regar ding an alleged fraud or investigation, the Internal Auditor will direct all inquiries to the City Manager.
g. At the conclusion of the in vestigation, the Internal Audito r will document the results in a confidential memorandum report to the City Manager and the City Attorney. If the report concludes that the allegations are supported by evidence, the report will be forwarded to appropriate law enforcement personnel.
h. Unless exceptional circumstances exist, a per son under investigation for fraud is to be given notice in writing of essent ial particulars of t he allegations following the conclusion of the investigation. Where not ice is given, the person agains t whom allegations are being made may submit a written expl anation to the Internal Auditor no later than seven (7) calendar days after notice is received.
i. The Internal Auditor shall make recomm endations to the appropria te department for 273
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assistance in the prevention of future similar occurrences.
j. Upon completion of the investigation, includ ing all legal and personnel actions, all records, documents, and other evidentiary materi al, obtained from the department under investigation will be returned by the Internal Auditor to that department.
DISCIPLINARY ACTIONS
Any Employee found to be responsible for fraud or who knowingly makes false allegations in violation of this Policy shall be subject to a ppropriate disciplinary action, up to and including termination of employment and/or te rmination of the contract. Th e severity of the disciplinary action will be based upon the circumstances of t he violation and in accordance with the City’s personnel policies. The City will assess any re medial measures necessary to address and correct the circumstance and pr event reoccurrence in the futu re. Remedial measures may include, but are not limited to , disciplinary action, reorganizati on of personnel, training and education, counseling and/or other employee assistance.
EXCEPTIONS
There will be no exceptions to this Policy unle ss provided and approved by the City Manager and the City Attorney.
274
CITY OF ALISO VIEJO
ACKNOWLEDGMENT OF RECEIPT OF FRAUD POLICY
I hereby acknowledge that I have received a copy of the City’s “Fraud Prevention Policy” dated October 1, 2008. I understand that I am to promptly read its contents and di stribute copies to employees assigned to perform Services for the City of Aliso Viejo.
To the extent that provisions of this policy conf lict with previously issued policies or practices, whether or not such policies and practices were contained in written policies, this policy shall prevail.
Name of Business Print Name
Signature
Date
275
City of Aliso Viejo
AGENDA ITEM
DATE: June 1, 2022
TO: Mayor and City Council
FROM: Mitzi Ortiz, City Clerk / Director of Government Services SUBJECT: GENERAL MUNICIPAL ELECTION – NOVEMBER 8, 2022
Recommended Actions:
1. Adopt a Resolution calling for the holding of a General Municipal Election to be held on Tuesday, November 8, 2022, for the election of certain officers as required by the provisions of the laws of the State of California relating to general law cities and for the submission to the voters a question relating to establishing term limits for Members of the City Council;
2. Adopt a Resolution requesting the Orange County Board of Supervisors to consolidate a General Municipal Election to be held on Tuesday, November 8, 2022, with the Statewide General Election to be held on the date pursuant to § 10403 of the Elections Code; and
3. Adopt a Resolution adopting regulations for candidates for elective office pertaining to candidate statements submitted to the voters at an election to be held on Tuesday, November 8, 2022.
Fiscal Impact:
The total cost to conduct the 2022 consolidated General Municipal Election has been estimated by the County of Orange to be $72,862 – $87,247. The estimate includes approximately $10,000 in cost recovery for the County’s change to a Vote Center model and $8,500 to include the ballot measure previously approved by the City Council. Staff has included sufficient funding in the proposed Fiscal Year 2022-23 budget.
Background:
The 2022 General Municipal Election will be held on November 8, 2022, for the two seats currently held by Councilmember Ackley and Councilmember Harrington. In addition, on December 1, 2021, the City Council approved Resolution No. 2021-32 submitting a ballot measure to establish term limits for the members of the City Council. 276