Agenda packet, regular meeting — Artesia City Council, November 10, 2025 (part 1 of 4)

** Revised **
Regular Meeting of the Artesia City Council
City Council Chambers
18747 Clarkdale Avenue
Artesia, CA 90701
(562) 865-6262
You may view this meeting live over the internet at
https://ca-artesia2.civicplus.com/241/City-Council-Meetings-Video Monday, November 10, 2025
7:00 p.m.

1. CALL TO ORDER

1.A. Call to Order

2. ROLL CALL

2.A. Roll Call

3. INVOCATION

3.A. Invocation
— Pandit Vinod Dave, Hindu Priest

4. PLEDGE OF ALLEGIANCE

4.A. Pledge of Allegiance

5. PUBLIC COMMENTS
This is the portion of the meeting set aside to invite public comments regarding any matter within the subject matter jurisdiction of the City Council. Public comments may also be submitted by email at [email protected] before 12:00 p.m. on the date of the meeting. Public comments are limited to no more than three minutes each. If comments relate to a specific agenda item, those comments will be taken following the staff report for that item and prior to the City Council vote.

Under the provisions of the Brown Act, the City Council is prohibited from taking action on items that are not listed on the agenda, but may refer the matter to staff or to a subsequent meeting. Those wishing to speak are asked to add your information at the digital public kiosk located at the entrance of the Council Chamber.

5.A. Public Comment

6. COUNCILMEMBER COMMENTS

6.A. Councilmember Comments

7. CEREMONIAL PRESENTATIONS

7.A. Veterans Day Proclamation

7.B. America Recycles Day Proclamation

7.C. Staff Introductions

8. BUSINESS PRESENTATIONS

8.A. CR&R Residential Organics Recycling and Food Waste Update

8.B. Chamber of Commerce Update

9. CONSENT CALENDAR
It is recommended that Items (9A through (9H) be acted on simultaneously in one vote unless a member of the City Council requests separate discussion and/or action on the item. In the event a member of the City Council requests separate discussion on a Consent Calendar item, or the item is removed from the Consent Calendar to allow for public comments on the item to be read. The City Council will consider that item immediately following approval of the rest of the Consent Calendar.

9.A. Waive Reading of All Ordinance and Resolutions Adoptions on the Agenda and Read by Title Only
— Recommendation: Waive Reading, by Title Only, of all Ordinances and Resolutions. Said Ordinances and Resolutions Which Appear on the Public Agenda Shall Be Determined to Have Been Read by Title and Further Reading Waived.

9.B. Accounts Payable Check Register - October 2025
— Recommendation: Receive and File.

9.C. City Financial Report - September 2025
— Recommendation: Receive and File.

9.D. AB 1234 Reporting
— Recommendation: Receive and File.

9.E. Resolution Regarding the Consideration of Adoption of California Department of Transportation’s Local Assistance Procedures
— Recommendation: Adopt Resolution No. 25-3069, Adopting the California Department of Transportation’s Local Assistance Procedure Manual Chapter 10: Consulting Selection

9.F. Professional Services Agreement with Dudek for Climate Action and Adaptation Plan (CAAP) Consulting Services
— Recommendation: Approve and Authorize the City Manager To Execute an Agreement With Dudek for the Development of the City’s Climate Action and Adaptation Plan (CAAP) for an Amount Not-To-Exceed $386,298.

9.G. Second Reading and Consideration of Adoption of Ordinance Related to Tattoo and Body Piercing and Permanent Cosmetic Establishments
— Recommendation: Adopt Ordinance 25-974, Amending Various Provisions of Chapter 2 of Title 9 of the Artesia Municipal Code To Modify Business Zoning Designations and Business Uses as They Pertain to Tattoo, Body Piercing, and Permanent Cosmetic Establishments; And — Find That the Proposed Ordinance Is Exempt From CEQA Pursuant to Guidelines Sections 15378(b)(4) and 15061(b)(3).

9.H. Addition of Regular December Council Meeting
— Recommended Action: Approve the Addition of December 15, 2025 Regular Meeting at 7 p.m.

10. PUBLIC HEARING

10.A. Second reading and Consideration of Ordinance Regarding Updating Los Angeles County Building, Electrical, Plumbing, Mechanical, Fire, Residential Codes, and Green Building Standards — Recommendation: Adopt Ordinance No. 25-975, Adopting by Reference Title 26 of the Los Angeles County Code, Incorporating and Amending the 2023 California Building Code; Title 27 of the Los Angeles County Code, Incorporating and Amending the 2023 California Electrical Code; Title 28 of the Los Angeles County Code, Incorporating and Amending the 2019 California Plumbing Code; Title 29 of the Los Angeles County Code, Incorporating and Amending the 2023 California Mechanical Code; Title 30 of the Los Angeles County Code, Incorporating and Amending the 2023 California Residential Code; Title 31 of the Los Angeles County Code, Incorporating and Amending the 2019 California Green Building Standards Code; Title 33 of the Los Angeles County Code, Incorporating and Amending the 2023 California Existing Building Code; And the 2022 California Fire Code; Together With Certain Amendments, Deletions and Additions, Including Findings, Fees and Penalties; And Amending the Artesia Municipal Code; And
— Find the Ordinance Exempt from CEQA pursuant to Guidelines Section 15061(b)(3).

11. DISCUSSION

11.A. Reappointment of Ad-Hoc Committee Members to Develop a Sister City Policy — Recommendation: Appoint Two Council Members to the Sister City Policy Ad-Hoc Committee To Work With Staff To Explore and Develop a Sister City Policy.

11.B. Housing Element Implementation Plan and Professional Service Agreements with Willdan and Sagecrest
— Recommendation: Approve, and Authorize the City Manager To Execute, the Following Professional Service Agreements:
— With Willdan Engineering (Willdan) to Prepare Zoning and General Plan Amendments and Design Guidelines for an Amount Not-To-Exceed $375,000; — With Sagecrest Planning + Environmental (Sagecrest) to Prepare Ministerial Residential Review Procedures for an Amount Not-To-Exceed $57,950; And — With Willdan Financial Services (Willdan Financial) to Conduct an Affordable Housing and Commercial Linkage Study To Establish an Affordable Housing In-Lieu Fee for an Amount NotTo-Exceed $29,500 for This Project.

12. CITY MANAGER INFORMATIONAL REPORTING

12.A. City Manager Reporting

13. ADJOURNMENT

13.A. Adjournment
The City of Artesia complies with the Americans with Disabilities Act of 1990. If you require special assistance to attend or participate in this meeting, please call the City Clerk’s office at 562-865-6262 at least 72 hours prior to the meeting. Copies of Staff Reports are on file in the Office of the City Clerk and are available for inspection.

Date Posted: November 10, 2025

CITY COUNCIL AGENDA REPORT
MEETING DATE: November 10, 2025 ITEM NO: 9A.

TO: Mayor and Members of the City Council
SUBJECT: Waive Reading of All Ordinance and Resolutions Adoptions on the Agenda and Read by Title Only
FROM: Jennifer Alderete, City Clerk
REVIEWED AND APPROVED BY:

Abel Avalos, City Manager
RECOMMENDATION:

It is recommended that the City Council waive reading, by title only, of all ordinances and resolutions. Said ordinances and resolutions which appear on the public agenda shall be determined to have been read by title and further reading waived.

BACKGROUND:

California Government Code 36934 allows the legislative body to waive the requirement to read ordinances and titles by the action.

FISCAL IMPACT:

There is no fiscal impact associated with approval of this item.

CITY COUNCIL AGENDA REPORT
MEETING DATE: November 10, 2025 ITEM NO: 9B.

TO: Mayor and Members of the City Council
SUBJECT: Accounts Payable Check Register - October 2025 FROM: Jamie Murguia, Finance Manager
REVIEWED AND APPROVED BY:

Melissa Burke, Deputy City Manager
Abel Avalos, City Manager
RECOMMENDATION:

It is recommended that the City Council receive and file this report.

BACKGROUND:

The attached demands summary (accounts payable checks) is a list of all checks issued by the City of Artesia from October 1, 2025 through October 31, 2025.

Prior to printing each check, payment requests are approved by the department manager, Finance Manager, and City Manager. Once payment requests have been approved, a batch for disbursement is processed by the Senior Accountant, and approved by the Finance Manager. Each check is then signed by the City Manager and Mayor.

FISCAL IMPACT:

There is no fiscal impact associated with approval of this item.

RECOMMENDED COUNCIL ACTION:

It is recommended that the City Council receive and file this report.

Attachments
2025 October Demand Check Register.pdf
Transaction Type Post Date Due
Date
Transaction
Amount
Payment # Amount Paid
96372377 Invoice 10/15/2025 $150.00 87020 $150.00
10/15/2025
$150.00 $150.00
96369147 Invoice 10/15/2025 $150.00 87021 $150.00
10/15/2025
$150.00 $150.00
10032025 Invoice 10/07/2025 $772.59 86997 $772.59
10/07/2025
10172025 Invoice 10/22/2025 $754.01 87106 $754.01
10/22/2025
$1,526.60 $1,526.60
10032025 Invoice 10/15/2025 $4.17 87022 $4.17
Payroll 10.03.2025 10/15/2025
10172025 Invoice 10/22/2025 $4.17 87107 $4.17
Payroll 10.17.2025 10/22/2025
$8.34 $8.34
96494928 Invoice 10/15/2025 $150.00 87023 $150.00
10/15/2025
$150.00 $150.00
1440-89715 Invoice 10/15/2025 $132.00 87024 $132.00
10/15/2025
$132.00 $132.00
102997 Invoice 10/01/2025 $70.63 86970 $70.63
Chainsaw Repair 10/01/2025
101128 Invoice 10/01/2025 $125.88 86970 $125.88
10/01/2025
101129 Invoice 10/01/2025 $175.52 86970 $175.52
Supplies - 1 Gallon of Oil 10/01/2025
99944 Invoice 10/01/2025 $43.92 86970 $43.92
10/01/2025
99945 Invoice 10/01/2025 $132.48 86970 $132.48
10/01/2025
106436 Invoice 10/22/2025 $91.72 87108 $91.72
10/22/2025
$640.15 $640.15
96368835 Invoice 10/15/2025 $150.00 87025 $150.00
10/15/2025
$150.00 $150.00
96372615 Invoice 10/15/2025 $150.00 87026 $150.00
10/15/2025
$150.00 $150.00
103200 Invoice 10/07/2025 $12,348.00 86998 $12,348.00
10/07/2025
103980 Invoice 10/22/2025 $13,720.00 87109 $13,720.00
10/22/2025
103604 Invoice 10/22/2025 $13,686.73 87109 $13,686.73
10/22/2025
$39,754.73 $39,754.73
09/30/2025 10/22/2025
9/14- 9/27/25 Crossing
Totals for ALL CITY MANAGEMENT SERVICES:

ALL CITY MANAGEMENT SERVICES
09/17/2025 10/07/2025
8/31- 9/13/25 Crossing
10/15/2025 10/22/2025
9/28- 10/11/25 Crossing
Parts and Supplies for
Totals for ALAN'S LAWN & GARDEN CENTER INC:

ALBERTO ROSALES
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for ALBERTO ROSALES:

ALEX GARCIA
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for ALEX GARCIA:
09/09/2025 10/01/2025
Repair of Power Trim Edger
09/09/2025 10/01/2025
09/02/2025 10/01/2025
Parts and Maintenance for
09/02/2025 10/01/2025
Power-Trim Edger Parts and
10/14/2025 10/22/2025
Totals for AKESO OCCUPATIONAL HEALTH:

ALAN'S LAWN & GARDEN CENTER INC
09/22/2025 10/01/2025

AJMAL MUMTAZ
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for AJMAL MUMTAZ:

AKESO OCCUPATIONAL HEALTH
10/07/2025 10/15/2025
Pre-Employment / First Aid
Street Fair deposit refund
Totals for ABIGAIL HERNANDEZ:

AFSCME DISTRICT COUNCIL 36
10/03/2025 10/07/2025
Union Dues, Payroll
10/17/2025 10/22/2025
Union Dues, Payroll
Totals for AFSCME DISTRICT COUNCIL 36:

AFSCME PEOPLE
10/03/2025 10/15/2025
City of Artesia
October 2025 Check Register
Date Transaction # Description Payment Date
AARTI SHAH DNS INC.
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for AARTI SHAH DNS INC.:

ABIGAIL HERNANDEZ
10/15/2025 10/15/2025
10/17/2025 10/22/2025
Totals for AFSCME PEOPLE:
220 Invoice 10/22/2025 $1,300.00 87110 $1,300.00
5K Race Timing 10/22/2025
$1,300.00 $1,300.00
96359757 Invoice 10/15/2025 $150.00 87028 $150.00
10/15/2025
$150.00 $150.00
96360041 Invoice 10/15/2025 $150.00 87029 $150.00
10/15/2025
$150.00 $150.00
96359684 Invoice 10/15/2025 $150.00 87030 $150.00
10/15/2025
$150.00 $150.00
96497596 Invoice 10/15/2025 $150.00 87031 $150.00
10/15/2025
102225 Invoice 10/22/2025 $500.00 87111 $500.00
Artesia Chamber Holiday 10/22/2025
Party Sponsorship
$650.00 $650.00
287344025104X1004202 Invoice 10/16/2025 $537.16 41255 $537.16 10/16/2025
287252847559X1013202 Invoice 10/05/2025 $222.24 41260 $222.24 10/05/2025
$759.40 $759.40
96381215 Invoice 10/15/2025 $250.00 87032 $250.00
10/15/2025
$250.00 $250.00
095393 Invoice 10/01/2025 $57.10 86971 $57.10
10/01/2025
$57.10 $57.10
1042992 Invoice 10/22/2025 $105.00 87112 $105.00
25/09 CFD General 10/22/2025
1042990 Invoice 10/22/2025 $245.00 87112 $245.00
25/09 Finance 10/22/2025
1042997 Invoice 10/22/2025 $261.45 87112 $261.45
10/22/2025
1042989 Invoice 10/22/2025 $403.20 87112 $403.20
25/09 Utilities 10/22/2025
1042995 Invoice 10/22/2025 $420.00 87112 $420.00
10/22/2025
1042986 Invoice 10/22/2025 $565.60 87112 $565.60
25/09 City Clerk 10/22/2025
1042999 Invoice 10/22/2025 $665.00 87112 $665.00
25/09 General Litigation 10/22/2025
1042984 Invoice 10/22/2025 $1,033.20 87112 $1,033.20
25/09 Administration 10/22/2025
1043000 Invoice 10/22/2025 $1,112.40 87112 $1,112.40
25/09 Public Records Act 10/22/2025
1042994 Invoice 10/22/2025 $1,155.00 87112 $1,155.00
25/09 HCD Notice 10/22/2025
1042983 Invoice 10/22/2025 $1,612.80 87112 $1,612.80
25/09 City Manager 10/22/2025
1042993 Invoice 10/22/2025 $1,925.00 87112 $1,925.00
25/09 Motel 6 10/22/2025
1042982 Invoice 10/22/2025 $2,343.60 87112 $2,343.60
25/09 City Council Project 10/22/2025
1042988 Invoice 10/22/2025 $2,494.80 87112 $2,494.80
10/17/2025 10/22/2025
10/17/2025 10/22/2025
10/17/2025 10/22/2025
10/17/2025 10/22/2025
10/17/2025 10/22/2025
10/17/2025 10/22/2025
10/17/2025 10/22/2025
10/17/2025 10/22/2025
10/17/2025 10/22/2025
25/09 Economic
10/17/2025 10/22/2025
OM1 Markers with
Totals for BC TRAFFIC SPECIALIST:

BEST BEST & KRIEGER LLP
10/17/2025 10/22/2025
10/17/2025 10/22/2025
10/17/2025 10/22/2025
25/09 Reimb - 17610
10/17/2025 10/22/2025
25/09 License Plate Readers
10/05/2025 10/30/2025
25/10 Parking Handheld
Totals for AT&T:

BAE ORTHODONTICS
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for BAE ORTHODONTICS:

BC TRAFFIC SPECIALIST
09/22/2025 10/01/2025
Totals for ARTESIA CHAMBER OF COMMERCE:

AT&T
10/16/2025 10/16/2025
Street Fair deposit refund
Totals for APRIL CRUZ:

ARTESIA CHAMBER OF COMMERCE
10/15/2025 10/15/2025
Street Fair deposit refund
10/22/2025 10/22/2025

ANA MACAPINLAC
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for ANA MACAPINLAC:

ANNA RAMOS
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for ANNA RAMOS:

APRIL CRUZ
10/15/2025 10/15/2025

ALLIANCE RACE TIMING
10/15/2025 10/22/2025
Totals for ALLIANCE RACE TIMING:
25/09 Public Works 10/22/2025
1042987 Invoice 10/22/2025 $3,528.00 87112 $3,528.00
25/09 Parks & Recreation 10/22/2025
1042991 Invoice 10/22/2025 $4,340.00 87113 $4,340.00
25/09 Labor/Employment 10/22/2025
1042996 Invoice 10/22/2025 $4,423.63 87113 $4,423.63
25/09 Code Enforcement 10/22/2025
1042985 Invoice 10/22/2025 $7,156.80 87113 $7,156.80
25/09 Planning 10/22/2025
$33,790.48 $33,790.48
60769664 Invoice 10/15/2025 $446.00 87033 $446.00
10/15/2025
$446.00 $446.00
112691 Invoice 10/30/2025 $125.00 87136 $125.00
10/30/2025
$125.00 $125.00
96513930 Invoice 10/15/2025 $150.00 87035 $150.00
10/15/2025
$150.00 $150.00
224 Invoice 10/07/2025 $98.35 86999 $98.35
Gloves for Public Works 10/07/2025
$98.35 $98.35
96369026 Invoice 10/15/2025 $150.00 87036 $150.00
10/15/2025
$150.00 $150.00
187533 Invoice 10/07/2025 $1,572.00 87000 $1,572.00
25/09 Parking Meter IT 10/07/2025
$1,572.00 $1,572.00
7454 Invoice 10/15/2025 $1,250.00 87037 $1,250.00
Grant Writing Services 10/15/2025
$1,250.00 $1,250.00

10.20.2025 Invoice 10/20/2025 $23,180.62 41261 $23,180.62 10/20/2025

10.17.2025 Invoice 10/17/2025 $47,557.82 41261 $47,557.82 10/17/2025

10.03.2025 Invoice 10/03/2025 $23,600.04 41261 $23,600.04 10/03/2025
$94,338.48 $94,338.48
96497483 Invoice 10/15/2025 $150.00 87038 $150.00
10/15/2025
$150.00 $150.00
96091815 Invoice 10/01/2025 $400.00 86972 $400.00
10/01/2025
$400.00 $400.00
9636064 Invoice 10/15/2025 $150.00 87039 $150.00
10/15/2025
$150.00 $150.00
96372942 Invoice 10/15/2025 $150.00 87040 $150.00
10/15/2025
$150.00 $150.00
INV8810-CBE Invoice 10/01/2025 $641.59 86973 $641.59

CASSIDY ROCKE
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for CASSIDY ROCKE:

CBE OFFICE SOLUTIONS
09/23/2025 10/01/2025
Street Fair deposit refund
Totals for CALVARY CHAPEL ARTESIA:

CARE ACCESS
09/29/2025 10/01/2025
Street Fair Deposit Refund
Totals for CARE ACCESS:

CARMEN SANTILLAN
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for CARMEN SANTILLAN:

Pers/Pepra Retirement 8/23-
9/5/25
Totals for CalPers:

CALVARY CHAPEL ARTESIA
10/15/2025 10/15/2025

CALIFORNIA CONSULTING INC
10/01/2025 10/15/2025
Totals for CALIFORNIA CONSULTING INC:

CalPers
10/20/2025 10/30/2025
Pers/Pepra Retirement 10/3-
10/17/2025 10/30/2025
Pers/Pepra Retirement 9/6-
10/03/2025 10/30/2025
08/25/2025 10/07/2025
Totals for BROTHERS JANITORIAL SUPPLY COMPANY:

BRYAN POMPA
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for BRYAN POMPA:

CALE AMERICA INC.
09/26/2025 10/07/2025
Totals for CALE AMERICA INC.:

Totals for BOOT WORLD #20:

BRANDON REILLY
10/15/2025 10/15/2025
Facility deposit refund
Totals for BRANDON REILLY:

BROTHERS JANITORIAL SUPPLY COMPANY
Totals for BEST BEST & KRIEGER LLP:

BMI
09/02/2025 10/15/2025
FY25/26 Copyright License
Totals for BMI:

BOOT WORLD #20
07/23/2025 10/30/2025
Boot Allowance (Cedric
10/17/2025 10/22/2025
10/17/2025 10/22/2025
10/17/2025 10/22/2025
10/17/2025 10/22/2025
10/01/2025
$641.59 $641.59
96371523 Invoice 10/15/2025 $150.00 87041 $150.00
10/15/2025
$150.00 $150.00
5036105391 Invoice 10/15/2025 $659.69 87042 $659.69
10/15/2025
$659.69 $659.69
9637247 Invoice 10/15/2025 $150.00 87043 $150.00
10/15/2025
$150.00 $150.00
9192025 Invoice 10/01/2025 $49.00 86974 $49.00
Staff Hats 10/01/2025
09052025 Invoice 10/01/2025 $585.00 86974 $585.00
Staff Uniforms YAW shirts 10/01/2025
$634.00 $634.00
96370873 Invoice 10/15/2025 $150.00 87044 $150.00
10/15/2025
$150.00 $150.00
10292025 Invoice 10/30/2025 $12,057.95 87137 $12,057.95 10/30/2025
$12,057.95 $12,057.95
4239898514 Invoice 10/01/2025 $301.47 86975 $301.47
10/01/2025
4241379655 Invoice 10/01/2025 $667.77 86975 $667.77
10/01/2025
4242813056 Invoice 10/22/2025 $216.35 87114 $216.35
10/22/2025
14198729A Invoice 10/22/2025 $688.32 87114 $688.32
10/22/2025
$1,873.91 $1,873.91
ASIT001545 Invoice 10/22/2025 $5,717.00 87115 $5,717.00 10/22/2025
$5,717.00 $5,717.00
3507800-00-091525 Invoice 10/01/2025 $117.72 86976 $117.72 10/01/2025
3507880-00-091525 Invoice 10/01/2025 $3,323.65 86976 $3,323.65 10/01/2025
$3,441.37 $3,441.37
352520 Invoice 10/07/2025 $5,990.71 87001 $5,990.71
10/07/2025
335785 Invoice 10/15/2025 $4,397.40 87045 $4,397.40
10/15/2025
335783 Invoice 10/15/2025 $9,247.77 87045 $9,247.77
10/15/2025
$19,635.88 $19,635.88
7127 Invoice 10/22/2025 $131,640.55 87116 $131,640.55
10/22/2025
$131,640.55 $131,640.55
70687031001145 Invoice 10/06/2025 $3,649.90 41244 $3,649.90 25/10 Supplemental Ins. 10/06/2025

COLONIAL LIFE
10/06/2025 10/07/2025
CivicRec usage fee for 2025-
07/01/2025 10/15/2025
FY25/26 Social Media
07/01/2025 10/15/2025
FY25/26 FOIA Workflow
Totals for CIVICPLUS LLC:

CJ CONCRETE CONSTRUCTION INC
07/30/2025 10/22/2025
Sidewalk and ADA
Compliant Improvements
Totals for CJ CONCRETE CONSTRUCTION INC:

Totals for CITY OF BREA:

CITY OF NORWALK
09/15/2025 10/01/2025
7/15-9/15/25 11908 169th
09/15/2025 10/01/2025
7/15-9/15/25 169th &
Totals for CITY OF NORWALK:

CIVICPLUS LLC
10/07/2025 10/07/2025
09/23/2025 10/22/2025
25/09 Artesia Park Janitorial
Totals for CINTAS CORP:

CITY OF BREA
10/09/2025 10/22/2025
25/09 IT service and onsite
08/12/2025 10/01/2025
25/08 AJ Park Janitorial
08/26/2025 10/01/2025
25/08 Artesia Park Janitorial
09/09/2025 10/22/2025
25/09 AJ Park Janitorial
Supplies
Totals for CHANSON WALKER:

CHRISTIAN DIXON
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for CHRISTIAN DIXON:

CHRISTIAN FAJARDO
10/30/2025 10/30/2025
Final Payroll Check for
Totals for CHRISTIAN FAJARDO:

CINTAS CORP
10/20-11/19/25 Sharp
Totals for CELL BUSINESS EQUIPMENT:

CESAR VARGAS
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for CESAR VARGAS:

CHANSON WALKER
09/19/2025 10/01/2025
09/18/2025 10/01/2025
Street Fair deposit refund
Totals for CCTP PROJECT:

CELL BUSINESS EQUIPMENT
10/04/2025 10/15/2025
8/20-9/19/25 Overage
Totals for CBE OFFICE SOLUTIONS:

CCTP PROJECT
10/15/2025 10/15/2025
$3,649.90 $3,649.90
4631 Invoice 10/22/2025 $8,602.98 87117 $8,602.98
10/22/2025
$8,602.98 $8,602.98
1833 Invoice 10/07/2025 $4,781.25 87002 $4,781.25
10/07/2025
$4,781.25 $4,781.25
70144-00001-100125 Invoice 10/07/2025 $267.25 87003 $267.25 10/07/2025
$267.25 $267.25
96369062 Invoice 10/15/2025 $150.00 87046 $150.00
10/15/2025
$150.00 $150.00
96091622 Invoice 10/01/2025 $150.00 86977 $150.00
10/01/2025
$150.00 $150.00
IR-5113 Invoice 10/01/2025 $57.03 86978 $57.03
10/01/2025
$57.03 $57.03
113788 Invoice 10/01/2025 $560.00 86979 $560.00
10/01/2025
113784 Invoice 10/01/2025 $560.00 86979 $560.00
10/01/2025
113776 Invoice 10/01/2025 $560.00 86979 $560.00
10/01/2025
113775 Invoice 10/01/2025 $608.01 86979 $608.01
10/01/2025
113771 Invoice 10/01/2025 $2,450.43 86979 $2,450.43
10/01/2025
$4,738.44 $4,738.44
ISFDF25-ABC permit Invoice 10/07/2025 $77.55 87004 $77.55 10/07/2025
CPRS-Mileage-EG Invoice 10/22/2025 $287.00 87118 $287.00 Mileage Reimbursement 10/22/2025
$364.55 $364.55
96497539 Invoice 10/15/2025 $150.00 87047 $150.00
10/15/2025
$150.00 $150.00
480414A-100325 Invoice 10/16/2025 $5,016.49 41262 $5,016.49 10/16/2025
Maintenance
$5,016.49 $5,016.49
95727859 Invoice 10/01/2025 $50.00 86980 $50.00
10/01/2025
$50.00 $50.00
96372078 Invoice 10/15/2025 $150.00 87048 $150.00
10/15/2025
$150.00 $150.00
166997279 Invoice 10/07/2025 $607.76 41245 $607.76
25/10 Vision Coverage 10/07/2025
Street Fair deposit refund
Totals for ESTHER GUTIERREZ:

FIDELITY SECURITY LIFE INSURANCE CO.
10/07/2025 10/07/2025
Totals for Enterprise FM Trust:

ERIKA PATRICIO
09/18/2025 10/01/2025
Not Enough Participants
Totals for ERIKA PATRICIO:

ESTHER GUTIERREZ
10/15/2025 10/15/2025
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for ELISE PAVY:

Enterprise FM Trust
10/16/2025 10/30/2025
25/10 Electric Vehicle Lease
07/23/2025 10/01/2025
Restoring Power to Flagpole
Totals for DUPRE ENTERPRISES:

EDITH GUERRA
09/25/2025 10/07/2025
ISFDF ABC alcohol permit10/22/2025 10/22/2025
Totals for EDITH GUERRA:

ELISE PAVY

DUPRE ENTERPRISES
08/22/2025 10/01/2025
Basketball Pole Light Repair
08/13/2025 10/01/2025
Lighting Issues Related to 91
Overpass and Artesia Park
07/31/2025 10/01/2025
Replacement of Failing Bulb
07/31/2025 10/01/2025
Pump Room Transformer

DUNN-EDWARDS CORPORATION
09/11/2025 10/01/2025
Paint Roller for Graffiti
Removal
Totals for DUNN-EDWARDS CORPORATION:
25/10 HMO Dental
Totals for DELTA DENTAL INSURANCE COMPANY:

DENNIS CISNEROS
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for DENNIS CISNEROS:

DHIRAJ VITHA
09/29/2025 10/01/2025
Street Fair Deposit Refund
Totals for DHIRAJ VITHA:

COMPLETE PAPERLESS SOLUTIONS, LLC
10/14/2025 10/22/2025
Laserfische Scanning
Totals for COMPLETE PAPERLESS SOLUTIONS, LLC:

DEB'S BOOKKEEPLUS
10/01/2025 10/07/2025
25/07 25/08 25/09
Totals for DEB'S BOOKKEEPLUS:

DELTA DENTAL INSURANCE COMPANY
10/07/2025 10/07/2025
Totals for COLONIAL LIFE:
$607.76 $607.76
250919 Invoice 10/30/2025 $10,367.37 87138 $10,367.37
10/30/2025
$10,367.37 $10,367.37
inv1481 Invoice 10/15/2025 $1,200.00 87049 $1,200.00
10/15/2025
$1,200.00 $1,200.00
10032025 Invoice 10/07/2025 $80.00 87005 $80.00
10/07/2025
10172025 Invoice 10/22/2025 $46.09 87119 $46.09
10/22/2025
10172025 Invoice 10/22/2025 $80.00 87120 $80.00
10/22/2025
$206.09 $206.09
2131797882-100425 Invoice 10/16/2025 $75.98 41256 $75.98 10/16/2025
3231563850-091925 Invoice 10/14/2025 $184.99 41256 $184.99 10/14/2025
5628095136-091625 Invoice 10/10/2025 $234.62 41256 $234.62 10/10/2025
$495.59 $495.59
427852417233 Invoice 10/22/2025 $76,260.90 87121 $76,260.90 10/22/2025
$76,260.90 $76,260.90
0055238698-101325 Invoice 10/21/2025 $571.15 41263 $571.15 25/09 11938 South St. 10/21/2025
2865004438-100625 Invoice 10/21/2025 $304.87 41263 $304.87 10/21/2025
4905793578-101425 Invoice 10/21/2025 $248.11 41263 $248.11 25/09 18530 Corby Ave. 10/21/2025
1373230000-101525 Invoice 10/21/2025 $726.47 41263 $726.47 10/21/2025
8072740000-100625 Invoice 10/21/2025 $662.29 41263 $662.29 10/21/2025
4302440000-100625 Invoice 10/21/2025 $408.94 41263 $408.94 25/09 11734 IRR Artesia 10/21/2025
4273230000-101625 Invoice 10/21/2025 $948.04 41263 $948.04 25/09 12034 Artesia IRR 10/21/2025
1113139225-101525 Invoice 10/21/2025 $577.82 41263 $577.82 10/21/2025
9725940000-101525 Invoice 10/21/2025 $63.81 41263 $63.81 25/09 17202 Alburtis 10/21/2025
8217720000-100525 Invoice 10/21/2025 $267.06 41263 $267.06 25/09 17203 Corby Ave. 10/21/2025
8756430000-101625 Invoice 10/21/2025 $675.25 41263 $675.25 10/21/2025
7902030000-101525 Invoice 10/21/2025 $1,305.27 41263 $1,305.27 10/21/2025
8783687207-101325 Invoice 10/21/2025 $434.77 41263 $434.77 10/21/2025
2942430000-100625 Invoice 10/21/2025 $154.76 41263 $154.76 25/09 18641 Corby 10/21/2025
2274300000-100625 Invoice 10/21/2025 $263.45 41263 $263.45 25/09 18644 Alburtis Ave. 10/21/2025
9174300000-100625 Invoice 10/21/2025 $549.42 41263 $549.42 10/21/2025
0274300000-100625 Invoice 10/21/2025 $33.45 41263 $33.45 10/21/2025
1274300000-100625 Invoice 10/21/2025 $525.86 41263 $525.86 25/09 18747 Fp Clarkdale
10/21/2025 10/30/2025
25/09 17815 Pioneer Blvd
10/21/2025 10/30/2025
25/09 18506 IRR Pioneer
10/21/2025 10/30/2025
10/21/2025 10/30/2025
10/21/2025 10/30/2025
25/09 18747 Clarkdale Ave
10/21/2025 10/30/2025
10/21/2025 10/30/2025
25/09 17189 IRR Baber Ave.
10/21/2025 10/30/2025
10/21/2025 10/30/2025
10/21/2025 10/30/2025
25/09 17512 IRR Norwalk
10/21/2025 10/30/2025
25/09 11710 South St. IRR
10/21/2025 10/30/2025
10/21/2025 10/30/2025

GOLDEN STATE WATER COMPANY
10/21/2025 10/30/2025
10/21/2025 10/30/2025
25/09 18609 IRR Pioneer
10/21/2025 10/30/2025
10/21/2025 10/30/2025
25/09 11504 Artesia Blvd
10/21/2025 10/30/2025
Historical House Internet
10/14/2025 10/16/2025
City Hall Internet 9/19-
10/10/2025 10/16/2025
Public Work Internet 9/16-
Totals for FRONTIER:

GARLAND/DBS, INC.
09/30/2025 10/22/2025
AJ Park Roof refurbishmentTotals for GARLAND/DBS, INC.:

Ericka Jackson, 10/17/2025
Totals for FRANCHISE TAX BOARD:

FRONTIER
10/16/2025 10/16/2025
10/09/2025 10/15/2025
Bus Trip for YAL on
Totals for FIRST CHOICE CHARTERS:

FRANCHISE TAX BOARD
10/03/2025 10/07/2025
Ericka Jackson, 10/03/2025
10/17/2025 10/22/2025
Rene Trevino, 10/17/2025
10/17/2025 10/22/2025
Totals for FIDELITY SECURITY LIFE INSURANCE CO.:

FIESTA COOPERATIVE INC.
09/30/2025 10/30/2025
25/09 Dial-a-Ride Services
Totals for FIESTA COOPERATIVE INC.:

FIRST CHOICE CHARTERS
10/21/2025
8514744341-101325 Invoice 10/21/2025 $497.44 41263 $497.44 10/21/2025
6350093223-101325 Invoice 10/21/2025 $792.00 41263 $792.00 25/09 Norwalk & South 10/21/2025
5534220000-100625 Invoice 10/21/2025 $408.94 41263 $408.94 10/21/2025
9138539384-100625 Invoice 10/21/2025 $460.76 41263 $460.76 10/21/2025
5353387681-100625 Invoice 10/21/2025 $551.75 41263 $551.75 10/21/2025
7677238922-101425 Invoice 10/21/2025 $254.07 41263 $254.07 25/09 11504 178th St. 10/21/2025
2376836656-101425 Invoice 10/21/2025 $1,908.95 41263 $1,908.95 10/21/2025
$13,594.70 $13,594.70
SEPT/OCT2025 Invoice 10/15/2025 $1,571.05 87050 $1,571.05 Sept/Oct '25 Karate Class 10/15/2025
$1,571.05 $1,571.05
SIN055180 Invoice 10/15/2025 $7,500.00 87051 $7,500.00
25/09 Cannabis Program 10/15/2025
$7,500.00 $7,500.00
5271110170 Invoice 10/15/2025 $17,358.96 87052 $17,358.96 10/15/2025
$17,358.96 $17,358.96
09302526 Invoice 10/15/2025 $2,328.00 87053 $2,328.00
25/09 Senior Meals 10/15/2025
$2,328.00 $2,328.00
INV1002 Invoice 10/15/2025 $2,700.00 87054 $2,700.00
10/15/2025
$2,700.00 $2,700.00
15719 Invoice 10/15/2025 $1,999.11 87055 $1,999.11
10/15/2025
$1,999.11 $1,999.11
96359967 Invoice 10/15/2025 $150.00 87056 $150.00
10/15/2025
$150.00 $150.00
96372847 Invoice 10/15/2025 $150.00 87057 $150.00
10/15/2025
$150.00 $150.00
96371808 Invoice 10/15/2025 $150.00 87058 $150.00
10/15/2025
$150.00 $150.00
162771 Invoice 10/01/2025 $4,500.00 86981 $4,500.00
25/10 - Lobbyist Contract 10/01/2025
162700 Invoice 10/01/2025 $4,500.00 86981 $4,500.00
25/09 - Lobbyist Contract 10/01/2025
162842 Invoice 10/30/2025 $4,500.00 87139 $4,500.00
25/11 - Lobbyist Contract 10/30/2025
$13,500.00 $13,500.00
ART1MS412507 Invoice 10/01/2025 $711.25 86982 $711.25
10/01/2025
ART1MS412508 Invoice 10/22/2025 $2,844.39 87122 $2,844.39 10/22/2025

JOHN L HUNTER & ASSOCIATES
09/23/2025 10/01/2025
25/07 Municipal Storm
10/17/2025 10/22/2025
25/08 Municipal Storm
JOE A. GONSALVES & SON
09/25/2025 10/01/2025
08/25/2025 10/01/2025
10/24/2025 10/30/2025
Totals for JOE A. GONSALVES & SON:

Street Fair deposit refund
Totals for IRENE CASTELLANO:

JACKELINE MAZARIEGOS
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for JACKELINE MAZARIEGOS:

JERRY LIMON
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for JERRY LIMON:

INLAND ROUNDBALL OFFICIALS INC.
10/02/2025 10/15/2025
Oct/Dec '25 Youth Flag
Totals for INLAND ROUNDBALL OFFICIALS INC.:

INTELLI-TECH
10/09/2025 10/15/2025
6 HP Monitors for Computer
Totals for INTELLI-TECH:

IRENE CASTELLANO
10/15/2025 10/15/2025
Totals for HONEYWELL INTERNATIONAL INC:

HUMAN SERVICES ASSOCIATION
10/10/2025 10/15/2025
Totals for HUMAN SERVICES ASSOCIATION:

HEDSSON JIMENEZ
10/15/2025 10/15/2025
Totals for HEDSSON JIMENEZ:

HINDERLITER DE LLAMAS & ASSOCIATES
09/30/2025 10/15/2025
Totals for HINDERLITER DE LLAMAS & ASSOCIATES:

HONEYWELL INTERNATIONAL INC
10/01/2025 10/15/2025
10/01-1/31/26 HVCA
10/21/2025 10/30/2025
25/09 17514 Norwalk Blvd
10/21/2025 10/30/2025
25/09 Droxford St Norwalk
10/21/2025 10/30/2025
10/21/2025 10/30/2025
25/09 186th St. & Jersey
Totals for GOLDEN STATE WATER COMPANY:
10/21/2025 10/30/2025
25/09 Norwalk Blvd So of
25/09 18750 Clarkdale Ave.
10/21/2025 10/30/2025
25/09 18803 Elaine Ave.
10/21/2025 10/30/2025
$3,555.64 $3,555.64
JULY/SEPT2025 Invoice 10/15/2025 $253.50 87059 $253.50
10/15/2025
$253.50 $253.50
090125 Artesia Invoice 10/07/2025 $300.00 87006 $300.00 10/07/2025
081025 ARTESIA Invoice 10/07/2025 $300.00 87006 $300.00 10/07/2025
$600.00 $600.00
96371969 Invoice 10/15/2025 $150.00 87060 $150.00
10/15/2025
$150.00 $150.00
95741318 Invoice 10/01/2025 $50.00 86983 $50.00
10/01/2025
$50.00 $50.00
96520811 Invoice 10/15/2025 $80.00 87061 $80.00
10/15/2025
$80.00 $80.00
10312025 COA Invoice 10/01/2025 $375.00 86984 $375.00
10/01/2025
$375.00 $375.00
96371856 Invoice 10/15/2025 $150.00 87062 $150.00
10/15/2025
$150.00 $150.00
96372429 Invoice 10/15/2025 $150.00 87063 $150.00
10/15/2025
$150.00 $150.00
96497410 Invoice 10/15/2025 $150.00 87064 $150.00
10/15/2025
$150.00 $150.00
AR251001 Invoice 10/07/2025 $4,150.00 87007 $4,150.00
25/09 Lobbyist Service 10/07/2025
$4,150.00 $4,150.00
33423149 Invoice 10/30/2025 $1,470.00 87140 $1,470.00
25/09 18721 Arline Ave 10/30/2025
$1,470.00 $1,470.00
2412.8-006 Invoice 10/15/2025 $1,534.00 87065 $1,534.00 10/15/2025
$1,534.00 $1,534.00
24-1479 Sep25 Invoice 10/15/2025 $1,113.84 87066 $1,113.84 CAL FIRE Tree Mtc. 10/15/2025
$1,113.84 $1,113.84
25100601828 Invoice 10/22/2025 $1,850.97 87123 $1,850.97 25/09 Industrial Waste 10/22/2025
25090800894 Invoice 10/30/2025 $490.00 87141 $490.00
10/30/2025
$2,340.97 $2,340.97
260249TZ Invoice 10/01/2025 $675.87 86985 $675.87
25/07 DES Hall 10/01/2025
260252TZ Invoice 10/01/2025 $3,572.39 86985 $3,572.39

LA COUNTY SHERIFF'S DEPARTMENT
09/10/2025 10/01/2025
09/10/2025 10/01/2025
Totals for KOSMONT COMPANIES:

LA CONSERVATION CORPS
10/13/2025 10/15/2025
Totals for LA CONSERVATION CORPS:

LA COUNTY DEPT OF PUBLIC WORKS
10/06/2025 10/22/2025
09/08/2025 10/30/2025
25/08 Stormwater Trash
Totals for LA COUNTY DEPT OF PUBLIC WORKS:

Totals for KIMLEY HORN AND ASSOCIATES INC:

KOSMONT COMPANIES
09/30/2025 10/15/2025
25/09 Econ Dev

KHUSHBU SHAH
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for KHUSHBU SHAH:

KILEY & ASSOCIATES LLC
10/01/2025 10/07/2025
Totals for KILEY & ASSOCIATES LLC:

KIMLEY HORN AND ASSOCIATES INC
09/30/2025 10/30/2025
DJ Service for Halloween
Totals for KENNY CALEB:

KHADIJA HASHMI
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for KHADIJA HASHMI:

KHAN HOME LOAN LLC
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for KHAN HOME LOAN LLC:

Schedule Conflict Basketball
Totals for KATHLEEN CHU:

KENNY CALEB
09/30/2025 10/01/2025

KARMIK FASHIONS
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for KARMIK FASHIONS:

KARYNA ORTIZ
09/19/2025 10/01/2025
Not Enough Participants
Totals for KARYNA ORTIZ:

KATHLEEN CHU
10/15/2025 10/15/2025

JULIE KOGA
10/15/2025 10/15/2025
July/Sept '25 Taiko
Totals for JULIE KOGA:

KAREN GONZALEZ
09/01/2025 10/07/2025
Art Work for Historic Trails
08/10/2025 10/07/2025
Art Work for Traffic Calming
Totals for KAREN GONZALEZ:

Totals for JOHN L HUNTER & ASSOCIATES:
25/07 La Mirage Event 10/01/2025
260251TZ Invoice 10/01/2025 $3,930.80 86985 $3,930.80
25/07 Foot Patrol 10/01/2025
260250TZ Invoice 10/01/2025 $15,922.44 86985 $15,922.44 25/07 Gang Suppression 10/01/2025
260569TZ Invoice 10/07/2025 $2,236.04 87008 $2,236.04
25/08 Foot Patrol 10/07/2025
260571TZ Invoice 10/07/2025 $3,566.37 87008 $3,566.37
25/08 National Night Out 10/07/2025
260570TZ Invoice 10/07/2025 $5,589.77 87008 $5,589.77
25/08 La Mirage Event 10/07/2025
260568TZ Invoice 10/07/2025 $14,268.37 87008 $14,268.37 25/08 Gang Suppression 10/07/2025
260204TZ Invoice 10/07/2025 $395,282.85 87008 $395,282.85 10/07/2025
260118TZ Invoice 10/07/2025 $395,282.85 87008 $395,282.85 25/07 General Law 10/07/2025
Enforcement
$840,327.75 $840,327.75
09152025 Invoice 10/22/2025 $139.70 87124 $139.70
25/09 Supplemental Ins. 10/22/2025
10152025 Invoice 10/22/2025 $139.70 87124 $139.70
25/10 Supplemental Ins. 10/22/2025
$279.40 $279.40
AUG/SEPT2025 Invoice 10/15/2025 $292.50 87067 $292.50
10/15/2025
$292.50 $292.50
4040 Invoice 10/01/2025 $11,300.00 86986 $11,300.00
10/01/2025
4092 Invoice 10/30/2025 $11,916.42 87142 $11,916.42
10/30/2025
$23,216.42 $23,216.42
200006718171-093025 Invoice 10/07/2025 $665.57 87009 $665.57 10/07/2025
$665.57 $665.57
96360702 Invoice 10/15/2025 $150.00 87068 $150.00
10/15/2025
$150.00 $150.00
4884311962 Invoice 10/01/2025 $2,623.51 41246 $2,623.51 25/10 Life & Disability 10/01/2025
Ins.
$2,623.51 $2,623.51
IN260000175 Invoice 10/07/2025 $24,193.74 87010 $24,193.74 25/07 Building & Safety 10/07/2025
$24,193.74 $24,193.74
37767 Invoice 10/01/2025 $1,513.80 86987 $1,513.80
10/01/2025
37804 Invoice 10/07/2025 $1,500.00 87011 $1,500.00
Street Fair Advertising 10/07/2025
37826 Invoice 10/22/2025 $1,670.40 87125 $1,670.40
10/22/2025
37810 Invoice 10/22/2025 $1,539.90 87125 $1,539.90
Reso 25-3067 B&S Fees 10/22/2025
10272025 Invoice 10/30/2025 $750.00 87143 $750.00
10/30/2025
Legal Notice Ord 25-974
09/19/2025 10/22/2025
10/24/2025 10/30/2025
ABCUSD 60th Anniversary
Congratulatory Ad -
Totals for LINCOLN NATIONAL LIFE INSURANCE:

LOS ANGELES COUNTY PUBLIC WORKS
09/25/2025 10/07/2025
Totals for LOS ANGELES COUNTY PUBLIC WORKS:

LOS CERRITOS COMMUNITY NEWS
08/29/2025 10/01/2025
Legal Notice Ords. PH
ParksFees & Case 2025- 13
09/20/2025 10/07/2025
09/26/2025 10/22/2025
Street Fair deposit refund
Totals for LIEZL FRIGILLANA SARG:

LINCOLN NATIONAL LIFE INSURANCE
10/01/2025 10/07/2025
Professional Cleaning
10/28/2025 10/30/2025
Professional Cleaning
Totals for LEXLU SERVICES LLC:

LIBERTY UTILITIES
09/30/2025 10/07/2025
7/16-9/15/25 - 16712
Totals for LIBERTY UTILITIES:

LIEZL FRIGILLANA SARG
10/15/2025 10/15/2025
09/15/2025 10/22/2025
10/15/2025 10/22/2025
Totals for LEGAL SHIELD:

LETICIA MORRIS
10/15/2025 10/15/2025
Aug/Sept ' 25 Zumba PM
Totals for LETICIA MORRIS:

LEXLU SERVICES LLC
09/29/2025 10/01/2025
Totals for LA COUNTY SHERIFF'S DEPARTMENT:

LEGAL SHIELD
09/26/2025 10/07/2025
09/26/2025 10/07/2025
09/09/2025 10/07/2025
25/08 General Law
08/17/2025 10/07/2025
09/10/2025 10/01/2025
09/10/2025 10/01/2025
09/26/2025 10/07/2025
09/26/2025 10/07/2025
$6,974.10 $6,974.10
1020225 Invoice 10/22/2025 $2,453.10 87126 $2,453.10
Shirts for 5K 10/22/2025
$2,453.10 $2,453.10
96371911 Invoice 10/15/2025 $150.00 87069 $150.00
10/15/2025
$150.00 $150.00
96359854 Invoice 10/15/2025 $150.00 87070 $150.00
10/15/2025
$150.00 $150.00
115817 Invoice 10/01/2025 $2,778.00 86988 $2,778.00
10/01/2025
116142 Invoice 10/15/2025 $8,903.00 87071 $8,903.00
10/15/2025
115363 Invoice 10/30/2025 $489.00 87144 $489.00
10/30/2025
115818 Invoice 10/30/2025 $11,947.00 87144 $11,947.00
10/30/2025
116322 Invoice 10/30/2025 $7,611.00 87144 $7,611.00
10/30/2025
$31,728.00 $31,728.00
AUG/SEPT2025 Invoice 10/15/2025 $472.50 87072 $472.50
10/15/2025
$472.50 $472.50
96359558 Invoice 10/15/2025 $150.00 87073 $150.00
10/15/2025
$150.00 $150.00
96369180 Invoice 10/15/2025 $150.00 87074 $150.00
10/15/2025
$150.00 $150.00
10132025 Invoice 10/15/2025 $201.82 87075 $201.82
10/15/2025
$201.82 $201.82
96359910 Invoice 10/15/2025 $150.00 87076 $150.00
10/15/2025
$150.00 $150.00
PO-11881 Invoice 10/30/2025 $3,780.53 87145 $3,780.53
10/30/2025
$3,780.53 $3,780.53
10032025 Invoice 10/03/2025 $7,576.13 41247 $7,576.13
10/03/2025
10172025 Invoice 10/17/2025 $7,576.13 41264 $7,576.13
10/17/2025
$15,152.26 $15,152.26
96372899 Invoice 10/15/2025 $150.00 87077 $150.00
10/15/2025
$150.00 $150.00
23316-00001-100125 Invoice 10/07/2025 $4,239.96 87012 $4,239.96 457b, 401a and Roth for
Totals for MissionSquare Retirement:

MUKESH JOLLY
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for MUKESH JOLLY:

MUNICIPAL DENTAL POOL
10/07/2025 10/07/2025
Street Fair deposit refund
Totals for MINAL MEHTA:

MISS ARTESIA
10/30/2025 10/30/2025
Miss Artesia Reimbursement
Totals for MISS ARTESIA:

MissionSquare Retirement
10/03/2025 10/07/2025
457b, 401a and Roth for
10/17/2025 10/30/2025
Totals for MELISA NARANJO:

MELISSA RAMOSO
10/15/2025 10/15/2025
Reimbursement of deposit
for CM Ramoso Event Trip
Totals for MELISSA RAMOSO:

MINAL MEHTA
10/15/2025 10/15/2025

MAUI BORCI
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for MAUI BORCI:

MELISA NARANJO
10/15/2025 10/15/2025
Street Fair deposit refund
10/4/25
25/08 Repaired broken main
08/31/2025 10/30/2025
Irrigation Installation at
Historical Trail - North Side
09/30/2025 10/30/2025
Historical Trail Irrigation -
Totals for MARIPOSA LANDSCAPES INC:

MARY CARMEN GARCIA
10/15/2025 10/15/2025
Aug/Sept '25 Youth Dance
Totals for MARY CARMEN GARCIA:

Street Fair deposit refund
Totals for MARILYN APARICIO:

MARIPOSA LANDSCAPES INC
08/31/2025 10/01/2025
Irrigation Repair at South St
09/30/2025 10/15/2025
25/09 Landscape
08/31/2025 10/30/2025
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for MAHESH BUDHATHOKI:

MARILYN APARICIO
10/15/2025 10/15/2025
Totals for LOS CERRITOS COMMUNITY NEWS:

LYNNPRO
10/02/2025 10/22/2025
Totals for LYNNPRO:

MAHESH BUDHATHOKI
10/07/2025
$4,239.96 $4,239.96
96360747 Invoice 10/15/2025 $150.00 87078 $150.00
10/15/2025
$150.00 $150.00
35007 Invoice 10/22/2025 $16,333.34 87127 $16,333.34
25/09 Street Sweeping 10/22/2025
$16,333.34 $16,333.34
73586 Invoice 10/22/2025 $1,200.00 87128 $1,200.00
10/22/2025
$1,200.00 $1,200.00
2025-9828125-01 Invoice 10/07/2025 $4,200.00 87013 $4,200.00 10/07/2025
$4,200.00 $4,200.00
21883 Invoice 10/01/2025 $185.64 86989 $185.64
10/01/2025
$185.64 $185.64
96375253 Invoice 10/15/2025 $150.00 87079 $150.00
10/15/2025
$150.00 $150.00
INV06645346 Invoice 10/01/2025 $464.42 41248 $464.42
10/01/2025
$464.42 $464.42
INVM0020190 Invoice 10/22/2025 $21,694.38 87129 $21,694.38 10/22/2025
$21,694.38 $21,694.38

09.08.25 - 09.19.25 Invoice 10/01/2025 $84.81 86990 $84.81 10/01/2025

10.04.25 - 10.14.25 Invoice 10/15/2025 $160.59 87080 $160.59 10/15/2025
$245.40 $245.40
96358636 Invoice 10/07/2025 $150.00 87014 $150.00
10/07/2025
$150.00 $150.00
96518813 Invoice 10/15/2025 $80.00 87081 $80.00
Flag football Refund 10/15/2025
$80.00 $80.00
25J0019168509 Invoice 10/16/2025 $101.93 41265 $101.93
10/16/2025
25J0021825716 Invoice 10/16/2025 $149.86 41265 $149.86
10/16/2025
25J1158700003 Invoice 10/16/2025 $366.34 41265 $366.34
10/16/2025
$618.13 $618.13
1587 Invoice 10/07/2025 $598.13 87130 $598.13
10/07/2025
$598.13 $598.13
13570783001 Invoice 10/28/2025 $1,065.82 41266 $1,065.82 10/28/2025
$1,065.82 $1,065.82
Totals for PRIMO BRANDS:

RAMIREZ PRODUCTIONS
09/26/2025 10/22/2025
3 compartment sink for
Totals for RAMIREZ PRODUCTIONS:

RINGCENTRAL
10/28/2025 10/30/2025
25/11 Telecommunication
Totals for RINGCENTRAL:

Artesia Park - Water 9/15-
10/16/2025 10/30/2025
Public Works - Water 9/15-
10/16/2025 10/30/2025
City Hall - Water 9/15-

PISTA HOUSE
10/07/2025 10/07/2025
Deposit refund for Street
Totals for PISTA HOUSE:

POOJA KAMDAR
10/15/2025 10/15/2025
Totals for POOJA KAMDAR:

PRIMO BRANDS
10/16/2025 10/30/2025

PCAM, LLC
09/30/2025 10/22/2025
25/09 Bus Service &
Totals for PCAM, LLC:

PETTY CASH
09/19/2025 10/01/2025
Replenish Petty Cash 09/08 -
10/15/2025 10/15/2025
Replenish Petty Cash 10/04-
Totals for PETTY CASH:
10/01/2025 10/07/2025
25/10 Monthly Service
Totals for Paycor, Inc.:

Totals for NICHOLS LOCAL GOVERNMENT CONSULTING:

NORWALK PRINTING
09/30/2025 10/01/2025
Restock - Mayor Business
Totals for NORWALK PRINTING:

PAUL MANNAM
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for PAUL MANNAM:

Paycor, Inc.
09/30/2025 10/22/2025
Totals for NATIONAL ENVIRONMENTAL SERVICES:

NCRE HOLDINGS LLC
10/22/2025 10/22/2025
Deposit Refund - 11507
Totals for NCRE HOLDINGS LLC:

NICHOLS LOCAL GOVERNMENT CONSULTING
09/15/2025 10/07/2025
Preparation of SB 90/State
Mandated Claims FY22/23 -
Totals for MUNICIPAL DENTAL POOL:

NAPOLEON ORTEGA
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for NAPOLEON ORTEGA:

NATIONAL ENVIRONMENTAL SERVICES
25/10 PPO Dental Coverage
250434 Invoice 10/30/2025 $10,886.25 87146 $10,886.25
10/30/2025
$10,886.25 $10,886.25
96366818 Invoice 10/15/2025 $300.00 87082 $300.00
10/15/2025
$300.00 $300.00
65458675 Invoice 10/07/2025 $727.04 87016 $727.04
10/07/2025
65469549 Invoice 10/15/2025 $1,817.60 87083 $1,817.60
10/15/2025
65501469 Invoice 10/22/2025 $1,090.56 87131 $1,090.56
10/22/2025
65526583 Invoice 10/30/2025 $1,817.60 87147 $1,817.60
10/30/2025
$5,452.80 $5,452.80
2025_08 Invoice 10/01/2025 $21,100.00 86991 $21,100.00
10/01/2025
2025_07 Invoice 10/01/2025 $28,050.00 86991 $28,050.00
10/01/2025
2025-08 Invoice 10/01/2025 $5,825.00 86991 $5,825.00
10/01/2025
2025-07 Invoice 10/01/2025 $2,255.00 86991 $2,255.00
10/01/2025
2025_09 Invoice 10/15/2025 $15,200.00 87084 $15,200.00
10/15/2025
$72,430.00 $72,430.00
GOLD Invoice 10/30/2025 $650.00 87148 $650.00
10/30/2025
$650.00 $650.00
96372193 Invoice 10/15/2025 $150.00 87085 $150.00
10/15/2025
$150.00 $150.00
5427 Invoice 10/15/2025 $225.00 87086 $225.00
25/09 DTSP 10/15/2025
5428 Invoice 10/15/2025 $100.00 87086 $100.00
10/15/2025
5426 Invoice 10/15/2025 $350.00 87086 $350.00
10/15/2025
5425 Invoice 10/15/2025 $15,572.50 87086 $15,572.50
10/15/2025
$16,247.50 $16,247.50
96497516 Invoice 10/15/2025 $150.00 87087 $150.00
10/15/2025
$150.00 $150.00
96372013 Invoice 10/15/2025 $150.00 87088 $150.00
10/15/2025
$150.00 $150.00
96372308 Invoice 10/15/2025 $150.00 87089 $150.00
10/15/2025
$150.00 $150.00
AUG/OCT2025 Invoice 10/15/2025 $175.50 87090 $175.50
Aug/Oct '25 Guitar Class 10/15/2025

SAYED RIZVI
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for SAYED RIZVI:

SEUNG YOUNG JEUNG
10/15/2025 10/15/2025
25/09 General Planning
Totals for SAGECREST PLANNING AND ENVIRONMENTAL:

SAHARA CARES
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for SAHARA CARES:

SAPKOTA REALTY
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for SAPKOTA REALTY:
25/09 Deposit - 17610
09/30/2025 10/15/2025
25/09 Deposit - 11746
09/30/2025 10/15/2025
Gold Sponsorship + 2
tickets for portuguese
Totals for RTA BROADCASTING:

SABU SYRIAC
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for SABU SYRIAC:

SAGECREST PLANNING AND ENVIRONMENTAL
09/30/2025 10/15/2025
09/30/2025 10/15/2025
25/07 Engineering Services
09/02/2025 10/01/2025
25/08 Encroachment
08/01/2025 10/01/2025
25/07 Encroachment
10/01/2025 10/15/2025
25/09 Engineering Services
Totals for RON IBARRA ENGINEERING:

RTA BROADCASTING
10/30/2025 10/30/2025
Totals for ROBERT HALF:

RON IBARRA ENGINEERING
09/02/2025 10/01/2025
25/08 Engineering Services
08/01/2025 10/01/2025
Planning Administrative
10/09/2025 10/15/2025
Planning Administrative
10/16/2025 10/22/2025
Planning Temp.
10/23/2025 10/30/2025
Planning Administrative
10/16/2025 10/30/2025
Professional Services for
Local Hazard Mitigation Plan
Totals for RISK MANAGEMENT PROFESSIONALS:

ROAMING TRUCKS
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for ROAMING TRUCKS:

ROBERT HALF
10/02/2025 10/07/2025

RISK MANAGEMENT PROFESSIONALS
$175.50 $175.50
95440086 Invoice 10/30/2025 $150.00 87149 $150.00
10/30/2025
$150.00 $150.00
96371771 Invoice 10/15/2025 $150.00 87091 $150.00
Street Fair deposit refund 10/15/2025
10/4/25
$150.00 $150.00
95440007 Invoice 10/30/2025 $150.00 87150 $150.00
10/30/2025
$150.00 $150.00
96375351 Invoice 10/15/2025 $150.00 87151 $150.00
10/15/2025
$150.00 $150.00
96375372 Invoice 10/15/2025 $150.00 87092 $150.00
10/15/2025
$150.00 $150.00
700454958639-092525 Invoice 10/07/2025 $23.37 41249 $23.37 25/09 18510 Corby Ave. 10/07/2025
700483004874-92625 Invoice 10/07/2025 $16,710.88 41249 $16,710.88 10/07/2025
700485859203-92525 Invoice 10/07/2025 $2,948.20 41249 $2,948.20 10/07/2025
700492283835-91825 Invoice 10/07/2025 $273.18 41249 $273.18 10/07/2025
700492421150-91825 Invoice 10/07/2025 $148.28 41249 $148.28 25/09 Artesia/Gridley 10/07/2025
700498964105-91825 Invoice 10/07/2025 $2,393.40 41249 $2,393.40 10/07/2025
700560422190-91825 Invoice 10/07/2025 $51.09 41249 $51.09 10/07/2025
700562509108-91825 Invoice 10/07/2025 $70.58 41249 $70.58 25/09 12001 Artesia Blvd 10/07/2025
700405333439-92625 Invoice 10/07/2025 $1,113.22 41249 $1,113.22 25/09 Various Locations 10/07/2025
700491366274-10125 Invoice 10/07/2025 $18,036.57 41249 $18,036.57 10/07/2025
IR-5225 Invoice 10/15/2025 $45.00 87093 $45.00
EOC - ICS 300 Training 10/15/2025
$41,813.77 $41,813.77
12690659565-101425 Invoice 10/21/2025 $14.30 41267 $14.30 25/10 18641 Corby Ave. 10/21/2025
17740623008-100325 Invoice 10/21/2025 $14.30 41267 $14.30 10/21/2025
17950623003-100325 Invoice 10/21/2025 $23.12 41267 $23.12 10/21/2025
17949759637-101425 Invoice 10/21/2025 $9.74 41267 $9.74 25/10 18644 Alburtis Ave. 10/21/2025
04530693599-102025 Invoice 10/21/2025 $4.93 41267 $4.93 25/10 11870 169th St. 10/21/2025
12280628004-101625 Invoice 10/21/2025 $39.31 41267 $39.31 10/21/2025
$105.70 $105.70
110667 Invoice 10/01/2025 $40.06 86992 $40.06
Copies of Keys 10/01/2025
110796 Invoice 10/15/2025 $346.46 87094 $346.46
10/15/2025
10/01/2025 10/15/2025
City Hall Repair Main Door
25/10 18750 Clarkdale Ave.
10/21/2025 10/30/2025
10/21/2025 10/30/2025
10/21/2025 10/30/2025
25/10 11931 South St -
Totals for Southern California Gas Company:

SOUTHERN CALIFORNIA SECURITY CENTERS
09/24/2025 10/01/2025
25/09 Various Locations
10/07/2025 10/15/2025
Totals for SOUTHERN CALIFORNIA EDISON CO:

Southern California Gas Company
10/21/2025 10/30/2025
10/21/2025 10/30/2025
25/10 18747 Clarkdale Ave.
10/21/2025 10/30/2025
25/09 18600 1/2 S Norwalk
10/07/2025 10/07/2025
10/07/2025 10/07/2025
10/07/2025 10/07/2025
25/09 Various Traffic Signals
10/07/2025 10/07/2025
25/09 Various Locations TC10/07/2025 10/07/2025
10/07/2025 10/07/2025
25/09 18750 Clarkdale EV
10/07/2025 10/07/2025
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for SIMRAN GARCHA:

SOUTHERN CALIFORNIA EDISON CO
10/07/2025 10/07/2025
10/07/2025 10/07/2025
25/09 Various Locations
10/07/2025 10/07/2025
Totals for SHAFAK SHAIKH:

SHWETA PARIKH
10/30/2025 10/30/2025
Street Fair Participant not
Totals for SHWETA PARIKH:

SIMRAN GARCHA
10/15/2025 10/30/2025
Street Fair deposit refund
Totals for SIMRAN GARCHA:

SIMRAN GARCHA
Street Fair Participant not
Totals for SHABNAM OASIM:

SHAFAK SHAIKH
10/15/2025 10/15/2025
Totals for SEUNG YOUNG JEUNG:

SHABNAM OASIM
10/30/2025 10/30/2025
110704 Invoice 10/30/2025 $364.88 87152 $364.88
10/30/2025
$751.40 $751.40
80979 Invoice 10/22/2025 $10,800.00 87132 $10,800.00
10/22/2025
80752 Invoice 10/22/2025 $10,800.00 87132 $10,800.00
10/22/2025
$21,600.00 $21,600.00
188521501-102125 Invoice 10/21/2025 $239.98 41268 $239.98 10/21/2025
188522301-102125 Invoice 10/21/2025 $339.98 41268 $339.98 10/21/2025
188521401-102125 Invoice 10/21/2025 $370.00 41268 $370.00 10/21/2025
188522201-102125 Invoice 10/21/2025 $380.00 41268 $380.00 10/21/2025
$1,329.96 $1,329.96
96359796 Invoice 10/15/2025 $150.00 87095 $150.00
10/15/2025
$150.00 $150.00
S-01153330 Invoice 10/07/2025 $232.56 87017 $232.56
10/07/2025
R-00609407 Invoice 10/22/2025 $280.20 87133 $280.20
10/22/2025
R-00605233 Invoice 10/22/2025 $283.29 87133 $283.29
10/22/2025
$796.05 $796.05
893237 Invoice 10/03/2025 $690.82 41250 $690.82
10/03/2025
894308 Invoice 10/17/2025 $690.82 41269 $690.82
10/17/2025
$1,381.64 $1,381.64
96602255 Invoice 10/15/2025 $150.00 87096 $150.00
10/15/2025
$150.00 $150.00
96372581 Invoice 10/15/2025 $150.00 87097 $150.00
10/15/2025
$150.00 $150.00
963689946 Invoice 10/15/2025 $150.00 87098 $150.00
10/15/2025
$150.00 $150.00
F4630 Invoice 10/01/2025 $975.00 86993 $975.00
10/01/2025
$975.00 $975.00
981989691-100125 Invoice 10/14/2025 $1,032.08 41257 $1,032.08 10/14/2025
$1,032.08 $1,032.08
187264680-0 Invoice 10/01/2025 $349.14 86994 $349.14
25/09 Telephone Service 10/01/2025
187693707-0 Invoice 10/30/2025 $371.17 87153 $371.17
25/10 Telephone Service 10/30/2025
$720.31 $720.31
10/16/2025 10/30/2025
Totals for TPX COMMUNICATIONS:

TULASI GYAWALI
Totals for THE WALKING MAN, INC.:

T-MOBILE
10/14/2025 10/16/2025
25/10 City Cell Phone
Totals for T-MOBILE:

TPX COMMUNICATIONS
09/16/2025 10/01/2025

THE FAMILY PIZZA
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for THE FAMILY PIZZA:

THE WALKING MAN, INC.
09/29/2025 10/01/2025
Distribution for Artesian Fall
2025
25/10 FSA/DCA
Totals for Sterling Administration:

SUE ANN TUMAKAY
10/15/2025 10/15/2025
Security Deposit Refund
Totals for SUE ANN TUMAKAY:

SYEDA FAZALBHOY
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for SYEDA FAZALBHOY:
09/01/2025 10/22/2025
9/1-11/30/25 - 18750
09/01/2025 10/22/2025
9/1-11/30/25 - 18722
Totals for SSD ALARM SYSTEMS:

Sterling Administration
10/03/2025 10/07/2025
25/10 FSA/DCA
10/17/2025 10/30/2025
Street Fair deposit refund
Totals for SRINIVAS EERPINA:

SSD ALARM SYSTEMS
08/21/2025 10/07/2025
AJ Park Bldg A - Alarm Panel
Sept/Oct '25 11870 169th
10/21/2025 10/30/2025
Sept/Oct '25 18750
10/21/2025 10/30/2025
Sept/Oct '25 11870 169th
10/21/2025 10/30/2025
Sept/Oct '25 18750
Totals for SPECTRUM BUSINESS:

SRINIVAS EERPINA
10/15/2025 10/15/2025
Creation of Additional Keys
Totals for SOUTHERN CALIFORNIA SECURITY CENTERS:

SOUTHWEST PATROL INC
10/15/2025 10/22/2025
25/10 Security Guard
09/30/2025 10/22/2025
25/09 Security Guard
Totals for SOUTHWEST PATROL INC:

SPECTRUM BUSINESS
10/21/2025 10/30/2025
09/26/2025 10/30/2025
96497377 Invoice 10/15/2025 $150.00 87099 $150.00
10/15/2025
$150.00 $150.00
7883-25/09 Invoice 10/07/2025 $37,993.67 41251 $37,993.67 10/07/2025
$37,993.67 $37,993.67
1315654A Invoice 10/02/2025 $26.50 41258 $26.50
10/02/2025
1313582A Invoice 10/02/2025 $49.95 41258 $49.95
10/02/2025
1315646A Invoice 10/02/2025 $4,525.56 41258 $4,525.56
10/02/2025
$4,602.01 $4,602.01
96372333 Invoice 10/15/2025 $150.00 87100 $150.00
10/15/2025
$150.00 $150.00
96497625 Invoice 10/15/2025 $150.00 87101 $150.00
10/15/2025
$150.00 $150.00
96381613 Invoice 10/15/2025 $150.00 87102 $150.00
10/15/2025
$150.00 $150.00
IR-5384 Invoice 10/30/2025 $700.00 87154 $700.00
Veterans Day Celebration 10/30/2025
$700.00 $700.00
96372537 Invoice 10/15/2025 $150.00 87103 $150.00
10/15/2025
$150.00 $150.00
0160-083125 Invoice 10/15/2025 $154.36 87104 $154.36
10/15/2025
$154.36 $154.36
234281 Invoice 10/15/2025 $31,172.50 87105 $31,172.50
10/15/2025
$31,172.50 $31,172.50
82701716 Invoice 10/01/2025 $162.40 86995 $162.40
10/01/2025
82699161 Invoice 10/01/2025 $210.16 86995 $210.16
25/09 11870 169th St 10/01/2025
82698753 Invoice 10/01/2025 $105.90 86995 $105.90
25/09 18644 187Th St 10/01/2025
82698754 Invoice 10/01/2025 $105.90 86995 $105.90
25/09 18641 Corby Ave. 10/01/2025
82700151 Invoice 10/01/2025 $125.93 86995 $125.93
25/09 17203 Corby Ave 10/01/2025
82698845 Invoice 10/01/2025 $127.12 86995 $127.12
10/01/2025
84070450 Invoice 10/22/2025 $109.08 87134 $109.08
25/10 18641 Corby Ave. 10/22/2025
84070449 Invoice 10/22/2025 $109.08 87134 $109.08
25/10 18644 187th St 10/22/2025
84071782 Invoice 10/22/2025 $129.71 87134 $129.71
25/10 17203 Corby Ave. 10/22/2025
84070539 Invoice 10/22/2025 $142.72 87134 $142.72
09/04/2025 10/01/2025
25/09 18747 Clarkdale Ave.
10/10/2025 10/22/2025
10/10/2025 10/22/2025
10/10/2025 10/22/2025
10/10/2025 10/22/2025

WESTERN EXTERMINATOR COMPANY
09/10/2025 10/01/2025
25/09 18750 Clarkdale Ave
09/10/2025 10/01/2025
09/04/2025 10/01/2025
09/04/2025 10/01/2025
09/04/2025 10/01/2025
09/15/2025 10/15/2025
25/09 Tree Maintenance
District #5
Totals for WEST COAST ARBORISTS INC:

Totals for VVA Chapter 1024:

WALLIS BANK
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for WALLIS BANK:

WATER REPLENISHMENT DISTRICT OF SO. CALIF.
10/15/2025 10/15/2025
25/08 Groundwater
Totals for WATER REPLENISHMENT DISTRICT OF SO. CALIF.:

WEST COAST ARBORISTS INC

VICTORY OUTREACH
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for VICTORY OUTREACH:

VIPUL MODHA
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for VIPUL MODHA:

VVA Chapter 1024
09/23/2025 10/30/2025

VICTORIA ROMERO
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for VICTORIA ROMERO:

Totals for U.S. BANK CORPORATE PAYMENT SYSTEMS:

VALLEY ALARM
10/02/2025 10/16/2025
25/10 - 18644 Alburtis
10/02/2025 10/16/2025
25/10 - 17203 Corby Ave.
10/02/2025 10/16/2025
25/10 - Fire Station, AJ
Padelford Park & Artesia
Totals for VALLEY ALARM:
10/15/2025 10/15/2025
Street Fair deposit refund
Totals for TULASI GYAWALI:

U.S. BANK CORPORATE PAYMENT SYSTEMS
10/07/2025 10/07/2025
25/09 Credit Card Purchases
10/22/2025
84073252 Invoice 10/22/2025 $167.27 87134 $167.27
10/22/2025
$1,495.27 $1,495.27
107892166 Invoice 10/09/2025 $1,406.28 41259 $1,406.28
10/09/2025
$1,406.28 $1,406.28
00714657 Invoice 10/07/2025 $34,701.00 87018 $34,701.00 25/08 Planning Service 10/07/2025
00714645 Invoice 10/07/2025 $34,913.75 87018 $34,913.75 10/07/2025
00714605 Invoice 10/07/2025 $12,322.50 87018 $12,322.50 10/07/2025
00714615 Invoice 10/07/2025 $42,333.00 87018 $42,333.00 25/07 Planning Service 10/07/2025
$124,270.25 $124,270.25
95959618 Invoice 10/01/2025 $80.00 86996 $80.00
10/01/2025
$80.00 $80.00
33856 Invoice 10/22/2025 $3,065.25 87135 $3,065.25
10/22/2025
$3,065.25 $3,065.25
90005426 Invoice 10/07/2025 $1,989.00 87019 $1,989.00
10/07/2025
5610006491 Invoice 10/07/2025 $3,134.41 87019 $3,134.41 10/07/2025
$5,123.41 $5,123.41
$1,944,388.32 $1,944,388.32
Payroll 10/3/2025 $116,792.53
10/17/2025 $118,763.83
10/31/2025 $113,817.01
Total Payroll $349,373.37
Total Disbursement $2,293,761.69
Deposit Refund - 11520 &
Totals for YU HWA CHIANG:

YUNEX LLC
10/03/2025 10/07/2025
25/09 Traffic Signal
10/03/2025 10/07/2025
25/09 Traffic Signal Call/Out
Totals for YUNEX LLC:

GRAND TOTALS:

A total of 320 transaction(s) listed
25/07 Housing Element &
08/27/2025 10/07/2025
Totals for WILLDAN ENGINEERING:

XOCHITL AVILA
09/25/2025 10/01/2025
Refund Youth Flag Football
Totals for XOCHITL AVILA:

YU HWA CHIANG
10/22/2025 10/22/2025

WILLDAN ENGINEERING
09/30/2025 10/07/2025
09/30/2025 10/07/2025
25/08 Housing Element &
08/27/2025 10/07/2025
10/10/2025 10/22/2025
25/10 18750 Clarkdale Ave.

Totals for WESTERN EXTERMINATOR COMPANY:

Wex Bank
10/09/2025 10/16/2025
25/09 Gas Card Purchases
Totals for Wex Bank:
25/10 18747 Clarkdale Ave.

CITY COUNCIL AGENDA REPORT
MEETING DATE: November 10, 2025 ITEM NO: 9C.

TO: Mayor and Members of the City Council
SUBJECT: City Financial Report - September 2025
FROM: Jamie Murguia, Finance Manager
REVIEWED AND APPROVED BY:

Melissa Burke, Deputy City Manager
Abel Avalos, City Manager
RECOMMENDATION:

Staff recommends that the City Council receive and file the report.

BACKGROUND:

In accordance with Artesia Municipal Code (AMC) 2-4.705 (f), the attached Finance Report details the activity and balance for all City accounts and funds as of September 30, 2025. Reports are reconciled for cash on hand (bank) to cash recorded in the general ledger through the period ending Septem 30, 2025.

Activity for Money Market, Checking, Revolving, Cafeteria, Local Agency Investment Fund, CDBG, and Petty Cash are provided for review. Fund Balances compare the cash to each fund's obligation. The balance of the individual accounts and funds should be read with the understanding that cash on hand, is not cash available for unplanned expenditures. The cash balance encompasses the City's contingency reserves, operating expenditures, and monies kept in restricted use funds including Trust and Agency. The City of Artesia is debt-free; therefore, the finance report does not include any debt activity.

ANALYSIS:

The City is the recipient of several reimbursable grants. This means that, while the City has been awarded funding projects, the City must front the cost of those projects with General Fund revenue, and request reimbursement from the respective grantor as each project progresses. Towards that end, the balance of individual accounts and funds reflected in this Report will vary from month to month as expenses are made and reimbursements are received.

The Schedule of Investments highlights the City's longer duration investments held with Academy Asset Management, the City's investment advisor. A summary of these investments has always been highlighted on the Treasurer's Report; however, the Schedule of Investments provides an additional layer of visibility of the City's longer duration investments.

FISCAL IMPACT:

There is no fiscal impact associated with the receipt and file of this Report.

RECOMMENDED COUNCIL ACTION:

Staff recommends that the City Council receive and file the report.

Attachments
Treasurer Report 092025.pdf

MONEY MARKET

ACCOUNT

CHECKING

ACCOUNT

LOCAL AGENCY

INVESTMENT

ACCOUNT
Beginning Balance - 9/1/25 612,529.77 (68,842.84) 5,173,195.99 State/County/Misc Monthly Wires 1,314,037.93 - -
Deposits 629,587.11 1,150.00 -
Civic Plus Credit deposits - 14,196.00 -
Credit Transactions - 1,384.00 -
PayGov Credit Deposits - 10,431.75 -
Transfer from Money Market - 2,218,000.00 -
Transfer from LAIF Account - - -
Interest Income 8.07 -
Transfer to Checking Account (2,218,000.00) - -
Transfer to LAIF Account - - -
Transfer to CAMP/CLASS Account - (780,000.00) -
Disbursements - (992,568.95) -
PERS Retirement - (45,066.26) -
Payroll - (226,506.73) -
Payroll Tax Wire (IRS) - (57,350.84) -
Bank Fees/Paid Parking Fees (1,461.25) (821.70) -
Ending Balance - 9/30/2025 74,004.43 336,701.63 5,173,195.99

CAMP ACCOUNT CLASS ACCOUNT ACADEMY AM
Beginning Balance - 9/1/25 8,098,250.51 7,602,675.54 5,106,161.51 Transfer from Checking Account - 780,000.00 -
Deposits 29,026.91 26,256.34 17,561.69
Transfer Out/Disbursements (575,000.00) (208.33)
Unrealized Gain/Loss - - 4,366.00
Ending Balance - 9/30/2025 7,833,931.88 8,127,277.42 5,127,880.87

CAFETERIA

ACCOUNT

CDBG FIX-UP

PROGRAM PETTY CASH
Beginning Balance - 9/1/25 1,324.56 1,716.19 500.00
Deposits - - -
Disbursements - - -
Ending Balance - 9/30/2025 1,716.19 1,324.56 500.00

REVOLVING

ACCOUNT

TOTAL ALL

ACCOUNTS
Beginning Balance - 9/1/25 1,362.14 26,528,873.37
Deposits - 5,041,639.80
09/30/25
Treasurer's Report
City of Artesia
Disbursements - (4,896,984.06)
Unrealized Gain/Loss - 4,366.00
Ending Balance - 9/30/2025 26,677,895.11 1,362.14

GENERAL FUND
(100)

SUMMER LUNCH
PROGRAM (150)
Beginning Balance - 9/1/25 14,872,066.89 5,699.87
Receivables 963,554.08 -
Prepaid Expenses (10,268.71) -
Investment Appreciation - -
Liabilities & Deposits (1,600,776.38) 1,384.00
FUND BALANCE 7,083.87 14,224,575.88

SPECIAL REVENUE FUNDS

ARTESIA

HOUSING
AUTHORITY (200)

AJ PARK
EXPANSION (205)

BICYCLE /

PEDESTRIAN
FUND (210)
Cash Balance 844,484.58 (185,406.26) 17,683.81
Receivables - -
Liabilities (61,895.00) - -
FUND BALANCE (185,406.26) 782,589.58 17,683.81
PUBLIC

EDUCATION IN

GOVERNMENT
(215)

BILLBOARD
FUND (220)

CNRA SPECIFIED
GRANT (225)
Cash Balance (21,024.42) 496,275.35 (383,682.08)
Receivables - 2,238,681.62 -
Liabilities - (2,115,486.87) -
FUND BALANCE 619,470.10 (21,024.42) (383,682.08)

HOUSING
URBAN

DEVELOPMENT
(227)

CALIFORNIA

BEVERAGE

RECYCLING
(230)
YOUTH

ACTIVITIES
LEAGUE (235)
Cash Balance 16,485.83 5,773.23 (45,554.84)
Receivables - - -
Liabilities - - -
Ending Balance - 9/30/2025 5,773.23 16,485.83 (45,554.84) City of Artesia
Comparison of Cash Balances to Fund Balance
09/30/25
City of Artesia
Comparison of Cash Balances to Fund Balance
09/30/25
SPECIAL REVENUE FUNDS (continued)

CITIZEN OPTION

FOR PUBLIC
SAFETY (240)

CLEAN AIR FUEL

BUS GRANT
(250)

COMMUNITY

FACILITY
DISTRICT (260)
Cash Balance 221,347.35 (10,547.50) 85,426.05
Receivables - - -
Liabilities - - -
FUND BALANCE (10,547.50) 221,347.35 85,426.05

COMMUNITY

DEVELOPMENT

BLOCK GRANT
(270)

CALIFORNIA

STREET GRANTS
(280)

FEDERAL STPL
(290)
Cash Balance (27,726.65) 553,018.75 72,940.60
Receivables - - -
Liabilities - - -
FUND BALANCE 553,018.75 (27,726.65) 72,940.60
MAP 21
EXCHANGE (310)

MEASURE M
(320)

MEASURE R
(330)
Cash Balance 201,425.53 1,455,108.03 769,231.20
Receivables - -
Liabilities - - -
FUND BALANCE 1,455,108.03 201,425.53 769,231.20

TOD PLANNING
GRANT (340)

COUNTY PARK

IMPROVEMENT
(350)

PROPOSITION A
FUND (360)
Cash Balance (64,753.21) 1,087,932.72 479,738.34
Receivables - - 2,773.00
Liabilities - - -
FUND BALANCE 1,087,932.72 (64,753.21) 482,511.34
City of Artesia
Comparison of Cash Balances to Fund Balance
09/30/25
SPECIAL REVENUE FUNDS (continued)

PROPOSITION C
FUND (370) SB1 RMRA (375)
SB 1383
GIVEAWAY (377)
Cash Balance 682,502.82 1,189,362.22 73,594.03
Receivables - - -
Liabilities - - -
FUND BALANCE 1,189,362.22 682,502.82 73,594.03

SOUTH COAST

AIR QUALITY
MGMT DIST (390)

SAFE ROUTE TO
SCHOOL (400)

SHERIFF

FORFEITURES &
SEIZURES (410)
Cash Balance 318,207.81 (0.32) 447.20
Receivables - - -
Liabilities - - -
FUND BALANCE (0.32) 318,207.81 447.20

STATE GAS TAX
(420)

HOME STAY
PROGRAM (430)
STREET

LIGHTING

MAINTENANCE
FUND (440)
Cash Balance (102,082.82) 3,546.95 57,786.44
Receivables 4,074.00 - -
Liabilities - - -
FUND BALANCE 3,546.95 (98,008.82) 57,786.44

TRAFFIC

CONGESTION
RELIEF (450)

CAL FIRE URBAN
GRANT (460)

DEVELOPMENT

IMPACT FEES
(470)
Cash Balance 22,891.39 (81,146.97) 2,067,227.60
Receivables - - -
Liabilities - - -
FUND BALANCE (81,146.97) 22,891.39 2,067,227.60
City of Artesia
Comparison of Cash Balances to Fund Balance
09/30/25
SPECIAL REVENUE FUNDS (continued)

MEASURE W
(480)

RECYCLED OIL
(490)
Cash Balance 600,998.96 4,367.44
Receivables - -
Liabilities - -
FUND BALANCE 4,367.44 600,998.96

CAPITAL PROJECTS FUNDS

SPECIAL /

CAPITAL

PROJECT FUND
(500)

PIONEER BOND
PROJECT (510)

HISTORICAL

DISTRICT BOND
PROJECT (520)
Cash Balance (174,428.70) 341,645.10 583,558.09
Receivables 16,084.06 - -
Liabilities - - -
FUND BALANCE 341,645.10 (158,344.64) 583,558.09

AGENCY FUNDS

TRUST AND
AGENCY (710)
SENIOR
CITIZENS (720)
GEORGE
NELSON

MEMORIAL FUND
(740)
Cash Balance 9,338.63 6,271.99 2,243.57
Receivables - - -
Liabilities (9,338.63) (6,271.99) (2,243.57)

FUND BALANCE - - -

TOTAL ALL FUNDS
Cash Balance 26,052,274.60
Receivables 3,225,166.76
Fixed Assets, net -
Prepaid Expenses (10,268.71)
Investment Appreciation -
Liabilities (3,794,628.44)
FUND BALANCE 25,472,544.21
City of Artesia
Comparison of Cash Balances to Fund Balance
09/30/25

SUCCESSOR AGENCY FUNDS

SUCCESSOR

AGENCY ADMIN
PROJECTS (800)

SUCCESSOR

AGENCY TAX

INCREMENT
(810)

REDEVELPMT

OBLIGATION

RETIREMENT
FUND (820)
Cash Balance - - 625,620.51
Cash with Fiscal Agent - 688,700.73 -
Liabilities - - -
Bonds Payable - (11,844,776.50) (133,597.81)
FUND BALANCE (11,156,075.77) - 492,022.70

TOTAL SUCCESSOR FUNDS
Cash Balance 625,620.51
Cash with Fiscal Agent 688,700.73
Liabilities -
Bonds Payable (11,978,374.31)
FUND BALANCE (10,664,053.07)
Annual
COUPON YIELD@ Projected Weight
CUSIP # Date Date** COST # Interest
Beginning Balance - 9/1/25
c First American Government Oblig F31846V203 Various Demand N/A 3.980% $85,337.87 85,337.87 85,337.87 3,396.45 0.017 Subtotal $85,337.87 85,337.87 85,337.87 3,396.45 0.017
Government Securities:

UNITED STATES TREASURY 9128287B0 2/26/2025 6/30/2026 1.875% 1.930% 728,203.13 750,000.00 734,475.00 14,062.50 0.149 UNITED STATES TREASURY 912828Y95 2/27/2025 7/31/2026 1.875% 1.930% 726,621.09 750,000.00 733,215.00 14,062.50 0.149 UNITED STATES TREASURY 912828Z94 2/27/2025 2/15/2030 1.500% 1.690% 661,435.55 750,000.00 675,000.00 11,250.00 0.149 UNITED STATES TREASURY 91282CDK4 2/27/2025 11/30/2026 1.250% 1.310% 618,667.97 650,000.00 626,411.50 8,125.00 0.129 UNITED STATES TREASURY 91282CFB2 2/27/2025 7/31/2027 2.750% 2.830% 726,708.98 750,000.00 732,862.50 20,625.00 0.149 UNITED STATES TREASURY 91282CFT3 2/27/2025 10/31/2029 4.000% 4.000% 745,400.39 750,000.00 752,077.50 30,000.00 0.149 UNITED STATES TREASURY 91282CKB6 2/25/2025 2/28/2026 4.625% 4.600% 752,871.09 750,000.00 751,192.50 34,687.50 0.149 Subtotal 4,959,908.20 5,150,000.00 5,005,234.00 132,812.50 1.021 Total Investments 5,045,246.07 5,235,337.87 5,090,571.87 136,208.95 1.04 Investment PAR MARKET*
Schedule of Investments
City of Artesia
September 30, 2025

PURCHASE MATURITY V A L U E

CITY COUNCIL AGENDA REPORT
MEETING DATE: November 10, 2025 ITEM NO: 9D.

TO: Mayor and Members of the City Council
SUBJECT: AB 1234 Reporting
FROM: Christina Nieto-Linares, Administrative Secretary REVIEWED AND APPROVED BY:

Abel Avalos, City Manager
RECOMMENDATION:

It is recommended that the City Council receive and file the report.

BACKGROUND:

AB 1234, became effective January 1, 2006. This bill requires a local agency that provides reimbursement for expenses to members of its legislative body to adopt a written policy on the duties for which legislative body members may receive compensation, other than meetings of the legislative body or an advisory body or attendance at a conference or organized educational activity. Resolution No. 24-2970 outlines the City’s Expense Reimbursement and Travel Policy.

STATEMENT OF FACT:

Councilmember Event
Benefit of Expenditure to the
Residents
Ali Sajjad Taj Shrimp Boil & Benefit - Cerritos
Artesia Rotary Club 10/17
Attending City, community, regional
and other events
Rene Trevino N/A N/A
Melissa Ramoso Shrimp Boil & Benefit - Cerritos
Artesia Rotary Club 10/17
Attending City Community regional
and other events
Monica Manalo Shrimp Boil & Benefit - Cerritos
Artesia Rotary Club 10/17
Attending City Community regional
and other events
Zeel Ahir Shrimp Boil & Benefit - Cerritos
Artesia Rotary Club 10/17
Attending City Community regional
and other events
Additionally, Council is provided automobile reimbursement in the amount of a flat $150 per month amount as authorized in the Resolution 24-2970, which outlines the Expense Reimbursement and Travel Policy FISCAL IMPACT:

The reported expenditures are in compliance with AB 1234, the City travel policy, and have been budgeted.

RECOMMENDED COUNCIL ACTION:

It is recommended that the City Council receive and file report.

CITY COUNCIL AGENDA REPORT
MEETING DATE: November 10, 2025 ITEM NO: 9E.

TO: Mayor and Members of the City Council
SUBJECT: Resolution Regarding the Consideration of Adoption of California Department of Transportation’s Local Assistance Procedures
FROM: Ernesto Sanchez, Public Works Manager
REVIEWED AND APPROVED BY:

Melissa Burke, Deputy City Manager
Jamie Murguia, Finance Manager
HongDao Nguyen, City Attorney
Abel Avalos, City Manager
RECOMMENDATION:

Staff recommends that City Council, by motion, adopt Resolution No. 25-3069, A Resolution of the City Council of the City of Artesia, California, Adopting the California Department of Transportation’s Local Assistance Procedure Manual Chapter 10: Consultant Selection.

BACKGROUND:

The City of Artesia ("City") periodically receives state and federal grants for street improvement projects through the California Department of Transportation (Caltrans). Caltrans requires that these projects be administered in accordance with their Local Assistance Procedures Manual (LAPM), which includes policies and procedures for the procurement of contracts, project management, and grant administration. Local agencies are required to either adopt LAPM procurement policies and procedures, or policies and procedures that are in line with LAPM specifically for Caltrans-administered or funded projects.

The City's Purchasing Policy and Procedures includes written guidance for procuring professional services such as architects and engineers. However, this guidance does not adhere to LAPM regulations or advise Staff to utilize LAPM requirements when procuring and selecting architects and engineers on Caltrans administered or funded projects.

ANALYSIS:

The City's current Purchasing Policy and Procedures provides that professional services, such as architects and engineers, are not subject to bid procedures set forth in Section 3-4.08 through 3-4.16 of the Artesia Municipal Code. Under the City’s policy, professional services do not need to undergo formal or informal bidding procedures which involve a public and competitive solicitation of bids or proposals.

LAPM Chapter 10: Consulting Selection outlines a different procedure for professional service contracts that is specific to Caltrans-administered or funded projects. LAPM requires the following procedure:

1. Development of a Request for Proposal (RFP) – RFP includes a description of the project, a detailed scope of work, consultant qualifications, schedule, and proposed cost.

2. Public Solicitation of RFP – Public advertisement of the RFP on City platforms, newspaper, and technical publications to assure that qualified in-state and out-of-state consultants are provided a fair opportunity to be considered.

3. Evaluation of Received Proposals – A selection committee evaluates the received proposals and develops a final ranking.

In a recent audit, Caltrans determined that the City’s current Purchasing Policy and Procedures did not address LAPM procedures for Caltrans-administered or funded projects. As a result, Caltrans has asked that the City adopt the procedures in LAPM Chapter 10: Consulting Selection to ensure that these guidelines are utilized on all future state and federal funded professional services contracts. Despite not being formally adopted, Staff is already utilizing LAPM procedures on state and federal funded professional services contracts. On September 8, 2025, the City Council approved a professional services agreement with RKA Consulting Group to complete plans, specifications, and estimates for the Roadway Pavement Rehabilitation Project. This project is funded by a Congressional Directed Spending grant from former Congresswoman Michelle Steele in the amount of $6,000,000.

The project is being administered by Caltrans, and Staff solicited and evaluated engineering proposals for this project in accordance with LAPM procedures.

FISCAL IMPACT:

There is no fiscal impact to the General Fund. Adoption of Resolution No. 25-3037 ensures that the City complies with current regulations regarding the procurement and administration of architectural and engineering services for state and federal grant funded street improvement projects.

RECOMMENDED COUNCIL ACTION:

Attachments
Resolution 25-3069.pdf
LAMP Chapter 10.pdf
RESOLUTION NO. 25-3069

A RESOLUTION OF THE CITY COUNCIL OF THE CITY

ARTESIA, CALIFORNIA, ADOPTING THE CALIFORNIA
DEPARTMENT OF TRANSPORTATION’S LOCAL
ASSISTANCE PROCEDURE MANUAL CHAPTER 10:

CONSULTANT SELECTION
WHEREAS, the City of Artesia is responsible for constructing transportation projects that are state and federally funded;
WHEREAS, in order to comply with the Federal regulations and due to limited staffing and expertise, certain services including Architectural and Engineering (A&E) are contracted out to qualified firms;
WHEREAS, the Federal regulations set forth standards for procuring and administering A&E contracts;
WHEREAS, the provisions of the Brooks Act (40 United States Code, Section 1104) requires local agencies to award federally funded engineering and design-related contracts, otherwise known as A&E contracts, on the basis of fair and open competitive negotiations, demonstrated competence, and professional qualifications; WHEREAS, the provision 23 CFR 172.5 (b)(1) requires local agencies to adopt written policies and procedures for the procurement, management, and administration of engineering and design related consultant services in accordance with applicable Federal and State laws and regulations;
WHEREAS, the State of California Department of Transportation (Caltrans) has developed the Local Assistance Procedures Manual (LAPM), Chapter 10, Consultant Selection which sets forth policies and procedures to be utilized by local agencies in the procurement and management of A&E contracts on state and federal funded transportation projects to ensure compliance with applicable Federal and State laws and regulations and to maintain eligibility for Federal-Aid reimbursement; and WHEREAS, the City of Artesia desires to adopt Caltrans's LAPM Chapter 10 and the City's conflict of interest policies for compliance with Federal regulations on the procurement and administration of A&E contracts.

NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF ARTESIA HEREBY FINDS, DETERMINES, ORDERS AND RESOLVES AS FOLLOWS:

SECTION 1. The above recitals are true and correct findings of the City Council of the City of Artesia.

SECTION 2. The Local Assistance Procedures Manual, Chapter 10, Consultant Selection dated January 2025 or as amended in future updates, is approved and adopted.

SECTION 3. The Local Assistance Procedures Manual, Chapter 10, Consultant Selection shall be incorporated into the City’s Purchasing Policy and Procedures for all Architectural and Engineering (A&E) Projects that receive federal and/or state funding and for which the State or Federal government require the use of Local Assistance Procedures Manual, Chapter 10.

SECTION 4. Certification. The City Clerk shall certify to the passage and adoption of this resolution and enter it into the book of original resolutions.

PASSED, APPROVED, and ADOPTED this 10th day of November, 2025.

Resolution No. 23-2964

Page 2 of 2 ends

_____________________________

ALI SAJJAD TAJ, MAYOR
ATTEST:

JENNIFER ALDERETE, CITY CLERK
Local Assistance Procedures Manual Chapter 10
Consultant Selection
Page i of ix
January 2025
Chapter 10 Consultant Selection
Contents

10.1 FEDERALLY-FUNDED A&E CONTRACTS .............................................................. vi

10.1.1 General ...................................................................................................................... 1 Introduction ............................................................................................................... 1 Definition of an Architectural and Engineering Consultant ........................................ 1 Architectural and Engineering Consultants ............................................................... 1 Non-A&E Consultants ............................................................................................... 2 Selecting the Project ................................................................................................. 2 Subcontracted Services ............................................................................................ 2 Organizational and Consultant Conflicts of Interest .................................................. 2 Consultants Performing Work on Multiple Phases of Federal-aid Projects ............... 3 Miscellaneous Considerations Authorization to Proceed........................................... 4

10.1.2 Identifying & Defining a Need for Consultants............................................................ 4 Designate Contract Administrator ............................................................................. 4 Segmenting Consultant Work.................................................................................... 5 Specify Products to be Delivered .............................................................................. 6 Scope of Consultant Work......................................................................................... 6 Title VI Assurances ................................................................................................... 6 Non-Discrimination Clause........................................................................................ 6 Disadvantaged Business Enterprise (DBE) Participation .......................................... 7 Estimated Cost of Consultant Work .......................................................................... 7 Determine Type of Contract ...................................................................................... 8 Determining the Project Schedule...........................................................................10 Determine Method of Payment................................................................................11 Cost-Plus-Fixed Fee................................................................................................11 Cost Per Unit of Work..............................................................................................11 Specified Rates of Compensation ...........................................................................12 Lump Sum...............................................................................................................12 Changes to Cost Proposal ......................................................................................12

10.1.3 A&E Consultant Audit and Review Process .............................................................13 Applicable Standards ..............................................................................................13 Audit Guidance Available ........................................................................................13 Allowable Costs.......................................................................................................14 Safe Harbor Rate ....................................................................................................15 Approval or Acceptance of Indirect Cost Rates.......................................................15 Local Assistance Procedures Manual Chapter 10
Consultant Selection
Page ii of ix
January 2025
Cognizant Letters of Approval.................................................................................15 Caltrans Acceptance of Indirect Cost Rate..............................................................16 Financial Review Performed Prior to Contract Execution........................................16 Local Public Agency Responsibilities ......................................................................17 Consultant Responsibilities (Both prime consultants and subconsultants)..............18 Independent Office of Audits and Investigations’ Responsibilities...........................19 Audits and Reviews to be Performed ......................................................................19 Indirect Cost Rate Audits.........................................................................................19 CPA Workpaper Reviews........................................................................................19 Contract Audits........................................................................................................20 Incurred Cost Audits................................................................................................20 Audit Findings and Review Deficiencies..................................................................20

10.1.4 Consultant Selection Methods..................................................................................21 One-Step RFP.........................................................................................................21 One-Step RFQ ........................................................................................................21 Two-Step (RFQ Followed by RFP)..........................................................................21

10.1.5 Consultant Selection Using the One-Step RFP Method...........................................22 Appoint Consultant Selection Committee................................................................22 Develop Technical Criteria for Evaluation of Proposals...........................................22 Develop Schedule for Consultant Selection ............................................................22 Prepare RFP ...........................................................................................................23 Financial Management and Accounting System Requirements ..............................24 Advertise for Consultants ........................................................................................24 Conduct Proposer’s Conference or Answer Written Questions...............................24 Receive and Evaluate Technical Proposals ............................................................25 Develop Final Ranking and Notify Consultants of Results ......................................25 Negotiate Contract with Top-Ranked Consultant ....................................................25

10.1.6 Consultant Selection Using the One-Step RFQ Method ........................................27 Appoint Consultant Selection Committee................................................................27 Develop Technical Criteria for Evaluation of Qualifications.....................................27 Develop Schedule for Consultant Selection ............................................................28 Prepare RFQ...........................................................................................................28 Financial Management and Accounting System Requirements ..............................29 Advertise for Consultants ........................................................................................29 Issue/Publish RFQ ..................................................................................................29 Receive/Evaluate Statements of Qualifications and Develop Short List.................. 29 Notify Consultants of Short List ...............................................................................30 Interview Top-Ranked Consultants .........................................................................30 Local Assistance Procedures Manual Chapter 10
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Develop Final Ranking and Notify Consultants of Results ......................................31 Conduct Scoping Meeting .......................................................................................31 Request Cost Proposal ...........................................................................................31 Negotiate Contract with Top-Ranked Consultant ....................................................32

10.1.7 Consultant Selection Using the Two-Step RFQ/RFP Method ................................. 33 Combined RFQ and RFP ........................................................................................33 Categorize Work .....................................................................................................34 Establish Minimum Qualifications............................................................................34 Issue RFQ...............................................................................................................35 Set-Up Evaluation Process .....................................................................................36 Evaluate Qualifications and Add Firm to List...........................................................36 Maintain List ............................................................................................................36 Issue RFP to Pre-qualified Consultants on List .......................................................37 Conduct Proposer’s Conference or Answer Written Questions...............................37 Receive and Evaluate Technical Proposals ............................................................37 Develop Final Ranking and Notify Consultants of Results ......................................38 Request Cost Proposal and Negotiate Contract with Top-Ranked Consultant........38

10.1.8 Completing the Project ............................................................................................39 Develop the Final Contract......................................................................................39 Review and Approval of Contracts ..........................................................................40 Execute Contract and Issue Notice to Proceed to Consultant................................. 41 Administer the Contract...........................................................................................41 Substitution of Consultant Personnel and Subconsultants......................................42 Invoicing (or Progress Payments) ...........................................................................42 Contract Amendments.............................................................................................43 Performance Evaluation..........................................................................................44 Project Records.......................................................................................................44 Retention Clauses...................................................................................................45 Review of Local Public Agency Actions...................................................................45

10.1.9 Miscellaneous Considerations..................................................................................45 Agreements with Other Governmental Agencies ....................................................45 Small Purchase Contracts.......................................................................................45 Noncompetitive Negotiated Contracts (Sole-Source)..............................................46 Retaining a Consultant in a Management Support (CMSR) Role............................46 Construction Engineering Services .........................................................................49

10.1.10 Program Management............................................................................................50

10.1.11 References.............................................................................................................50

10.2 STATE-ONLY FUNDED A&E CONTRACTS.............................................................52 Local Assistance Procedures Manual Chapter 10
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10.2.1 General ....................................................................................................................52

10.2.2 Definition of A&E ......................................................................................................53

10.2.3 Minimum Audit Requirements ..................................................................................53 A. Written Procedures .............................................................................................53 B. Conflict of Interest...............................................................................................53 C. Records ..............................................................................................................53 D. Full & Open Competition.....................................................................................53 E. Selection Basis ...................................................................................................53 F. Publication ..........................................................................................................54 G. Solicitation ..........................................................................................................54 H. Cost Comparison................................................................................................54 I. Negotiations .........................................................................................................54 J. Audit and Review Process...................................................................................54 K. A&E Consultant Contract Form...........................................................................54

10.2.4 References...............................................................................................................54

10.3 NON-A&E CONTRACTS ...........................................................................................55 Scope......................................................................................................................55 Determining Non-A&E.............................................................................................55 Example of Determining Non-A&E..........................................................................56 Intelligent Transportation System (ITS) Projects .....................................................56 Non-Infrastructure Projects .....................................................................................57 Governing Regulations and Codes for Non-A&E ....................................................57 Procurement of Non-A&E Consultant Contracts .....................................................57 RFP Basic Requirements ........................................................................................58 Additional Requirements and Evaluation Criteria ....................................................58 Consultant’s Proposal .............................................................................................59 Cost Proposal Worksheet........................................................................................59 DBE Consideration..................................................................................................59 Administrative Requirements ..................................................................................59 Oral Presentations Optional ....................................................................................60 Cost-Effective / Public Interest Finding....................................................................60 Protest / Appeals / Reinstatement Procedures........................................................61

10.4 A&E OVERSIGHT PROGRAM AND PROCESS REVIEW........................................61 General ...................................................................................................................61 Type of Reviews......................................................................................................61 A&E Consultant Contract Form Review ..................................................................61 Review Findings and Deficiencies...........................................................................62

10.5 SANCTIONS..............................................................................................................63 Local Assistance Procedures Manual Chapter 10
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Exhibits
Exhibit 10-B: Suggested Consultant Evaluation Sheet
Exhibit 10-G: Individual A&E Task Order DBE Tracking Sheet Exhibit 10-I: Notice to Proposers DBE Information
Exhibit 10-O1: Consultant Proposal DBE Commitment
Exhibit 10-O2: Consultant Contract DBE Commitment
Exhibit 10-Q: Disclosure of Lobbying Activities
Exhibit 10-R: A&E Boiler Plate Agreement Language
Exhibit 10-S: Consultant Performance Evaluation
Exhibit 10-T: Conflict of Interest & Confidentiality Statement Exhibit 10-U: Consultant in Management Support Role Conflict of Interest and Confidentiality Statement

All LAPM Exhibits are located at:
https://dot.ca.gov/programs/local-assistance/forms/local-assistance-procedures-manual-forms Local Assistance Procedures Manual Chapter 10
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10.1 FEDERALLY-FUNDED A&E CONTRACTS
Procurement Planning
1 2 3

*Select Project
*Set Project Objectives
*Determine Project Schedule
*Obtain CTC Allocation/Federal
Authorization to Proceed prior to
beginning reimbursable work
* Solicitations for Consultant in
Management Support Role
(CMSR): submit Conflict of
Interest (COI) and Scope of Work
(SOW) to DLA-HQ prior to
contract advertisement and
receive FHWA approval prior to
contract advertisement
*Identify Need for Consultant
*Designate Contract
Administrator
*Segment Project Work
*Define SOW of A&E Consultant
*Specify Products to be
delivered
*Estimate Cost of Consultant Work
(prepare independent cost
estimate)
*Determine Type of Contract
(Project Specific or On-Call)
*Determine Method of Payment:

Lump Sum; Cost-Plus- FixedFee; Cost Per Unit of Work; or Specific Rate of Compensation
*Submit Exhibit 9-D: Contract
Goal Methodology to DLAE for
review and concurrence prior to
contract advertisement
The Division of Local Assistance Acronyms List is available at:
https://dot.ca.gov/-/media/dot-media/programs/local-assistance/documents/guide/dla-acronyms.pdf Local Public Agency Local Public Agency
Figure 10-1: A&E Contract Procurement Process Workflow Diagram Local Public Agency
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Solicitation Documents and Advertisement
4 5 6
*Determine Solicitation Document;
RFP or RFQ
*Appoint Consultant Selection
Committee
*Collect signed Conflict of Interest
forms and Confidentiality
Statements (see Exhibit 10-T:

Conflict of Interest &
Confidentiality Statement) from all
members involved in process
*Determine Procurement Schedule
*Develop Technical Criteria
with level of importance
(weights) for Evaluation of
Proposals or the SOQ
*Prepare RFP or RFQ documents
*Include SOW, evaluation
process/criteria, DBE goals, MOP
and cost proposal, minimum
requirement of Proposal or SOQ,
Notice to Proposers DBE
Information (see Exhibit 10-I:

Notice to Proposers DBE
Information), submittal deadline
*Advertise RFP or RFQ on public
forum (newspaper, technical
publications, web hosting site,
other local websites)
*Issue RFP or RFQ (direct mailing,
web posting)
*Prepare to respond to
RFP/RFQ questions
*Conduct Proposers Conference,
if applicable
*Receive Proposals or
SOQs
Local Public Agency Local Public Agency Local Public Agency Figure 10-1: A&E Contract Procurement Process Workflow Diagram (continued) Local Assistance Procedures Manual Chapter 10
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Evaluation and Selection of Consultant
Contract Negotiation
7 8 9
*Distribute Proposals or SOQs to
Selection Committee members
*Ensure Committee members receive
the appropriate score sheet to use
(see Exhibit 10-B: Suggested
Consultant Evaluation Sheet)
*Convene Selection Committee and
evaluate submittals; perform
reference checks
*Develop Final Ranking or Short List
*Notify proposers of ranking/Short
List
*Retain all original score sheets and
summaries
*Send out RFPs to Short List
(two-step process)
*Conduct Interview of Short List
(if needed)
*Develop Final Ranking of
Consultants, and notify all
interviewees
*Retain all original score sheets
and summaries
*Provide a copy of Standard
Contract language to top ranked
consultant and invite for
negotiations (see Exhibit 10-R:

A&E Boiler Plate Agreement
Language for standard contract
language and provisions)
*Open and analyze cost
proposal from the Highest
Ranked firm
*Review and evaluate Financial
Document Review Request and
supporting documents, if
applicable
*Issue Financial Review Letter, if
applicable
*Perform contract audits and
reviews, if applicable, or review
of CPA audited ICR workpapers
to issue Cognizant Letter of
Approval
Local Public Agency Local Public Agency
Caltrans IOAI
Figure 10-1: A&E Contract Procurement Process Workflow Diagram (continued) Local Public Agency
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Contract Negotiation
Contract Execution
10 11 12
*Negotiate contract costs with the
most qualified Consultant
*Prepare and retain record of cost
negotiations
*Initiate CT IOAI Financial Review
Section (Section 10.1.3: A&E
Consultant Audit and Review
Process) and send documents
(Financial Document Review
Request), if applicable, to
Caltrans IOAI
*Receive and analyze findings of
the Financial Review Letter from
CT IOAI, if any
*Address and resolve all findings
by IOAI and incorporate into final
contract and cost proposal
*If negotiations with First ranked
firm is unsuccessful, formally
terminate cost negotiations with
Consultant and begin Step 9 with
next ranked consultant
*For CMSR, submit Exhibit 10-U:

Consultant in Management
Support Role Conflict of Interest
and Confidentiality Statement to
DLA-HQ. LPA will receive
FHWA’s approved Exhibit
10-U via email. FHWA approval
required prior to award of
consultant contract.
*Complete and submit the A&E
Consultant Contract form to the
A&E Consultant Contract
database prior to award or after
award, but no later than the first
invoice
*Retain A&E Consultant Contract
form
*Finalize contract, cost proposal
*Retain copy of contract Financial
Review Letter with acceptance,
denial, or adjustment of the ICR
*Sign and Execute contract
*Offer and conduct debriefing
meetings with consultant who
asked for one
*Send copies of executed
contract and DBE Commitment
Exhibits (Exhibit 10-O1:

Consultant Proposal DBE
Commitment and Exhibit 10-O2:

Consultant Contract DBE
Commitment) to DLAE
*Close out contract procurement
process
*Prior to concurring with invoice
payment related to consultant
services, ensure submittal of
the A&E Consultant Contract
form and District has received
and has a file on copy of the
executed consultant contract,
Exhibit 10-O1 Consultant
Proposal DBE Commitment,
Exhibit 10-O2: Consultant
Contract DBE Commitment.

Also, check IOAI database to
ensure that Certification of
Indirect Costs and Financial
Management System, if
applicable, has been accepted
by IOAI.
*Perform Incurred Cost Audit, if
selected
Local Public Agency Local Public Agency DLAE
Figure 10-1: A&E Contract Procurement Process Workflow Diagram (continued) Caltrans IOAI
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10.1.1 General
Introduction
A Local Public Agency (LPA) may engage consultants to perform architectural, engineering, and related services to develop a federal-aid funded project. LPAs requesting federal funds to reimburse Architectural and Engineering (A&E) Consultants must follow the selection and contracting procedures detailed in Section 10.1: Federally-Funded A&E Contracts of this chapter. LPAs using local funds to procure an A&E Consultant on a federal-aid funded project and will not seek federal reimbursement for the consultant cost may choose not to follow the selection and contracting procedures detailed in Section 10.1 of this chapter.

Definition of an Architectural and Engineering Consultant 23 CFR 172 and California Government Code 4525 defines A&E services as program management, construction management, feasibility studies (includes environmental studies and analysis), preliminary engineering, design, engineering, surveying, mapping or architectural related services.

Architectural and Engineering Consultants
The Brooks Act (40 U.S.C.1101-1104) requires LPAs to award federally-funded engineering and design related contracts based on fair and open competitive negotiations, demonstrated competence, and professional qualifications (23 CFR 172), at a fair and reasonable price (48 CFR 31.201-3).

Cost proposals submitted to the LPA must be sealed and must not be included as a criterion for rating such consultants. After ranking, cost negotiations will begin with the most qualified consultant and only their cost proposal will be opened. Should negotiations fail or result in a price that the LPA does not consider fair and reasonable, negotiations must be formally terminated, and the LPA must then undertake negotiations with the second most qualified consultant.

If the negotiations with the second most qualified firm are not successful, negotiations must be formally terminated and the LPA must then undertake negotiations with the third most qualified consultant, and so on, until the price is determined to be fair and reasonable by the LPA.

In selecting an A&E consultant, a detailed technical proposal or qualifications proposal, and a proposed contract will be required.

Depending upon the scope of work, the required contract provisions may need to include the California State Prevailing Wages (Federal Payment of Predetermined Minimum Wage applies only to federal-aid construction contracts). Prevailing wages will apply if the services to be performed will involve land surveying (such as flag persons, survey party chief, rodman, or chainman), materials sampling and testing (such as drilling rig operators, pile driving, crane operators), inspection work, soils or foundation investigations, environmental hazardous materials and so forth. California State Prevailing Wage information is available through the California Department of Industrial Relations (DIR) websites below:

Consultants will need to provide their Prevailing Wage Policy if their participation on the project includes prevailing wage work. The policy will include information on the accounting treatment of delta base and delta fringe, and verify the accounting treatment is consistent every year. • DIR FAQ website
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• DIR Wage Determination website
Non-A&E Consultants
Consultants other than A&E consultants may be selected using cost, cost and qualifications (best value), or other critical selection criteria. The procedures outlined in this chapter can be modified for selecting non-A&E consultants by adding a cost item to the contract proposal.

For more details on non-A&E consultants, see Section 10.3: Non-A&E Contracts of this chapter.

Selecting the Project
The LPA is responsible for selecting and initiating a federal-aid financed transportation project.

The decision to begin project development is influenced by the project needs, its acceptability, the timing of studies, financing, and construction. The LPA must identify the project’s objectives including the general level of improvement or service, operating standards, maximum cost, and the target date for project completion before commencing any consultant selection process.

Subcontracted Services
The consultant is responsible for performing the work required under the contract in a manner acceptable to the LPA. The consultant’s organization and all associated consultants and subconsultants must be identified in the proposal. If the consultant wishes to use a subconsultant not specified in the proposal, prior written approval must be obtained from the LPA. The subcontract must contain all required provisions of the prime contract. All subawards must include adequate oversight, management, and administration of engineering and design related consultant services and be administered in accordance with State laws and procedures specified in 23 U.S.C.106(g)(4) and 2 CFR 200.331-333.

Organizational and Consultant Conflicts of Interest
In the procurement of contracts for engineering services by private consulting firms using federal-aid highway funds, LPAs must take all the steps necessary to prevent fraud, waste, and abuse. The LPA must develop and maintain a written code of conduct governing the performance of its employees (including the contract administrator) engaged in the award and administration of federal-aid highway funded contracts, including the prevention of conflicts of interest in accordance with 23 CFR 172.7(b)(4).

A conflict of interest occurs when a public official’s private interests and his or her public duties and responsibilities diverge or are not consistent. Conflicts of interest may be direct or indirect (e.g., as result of a personal or business relationship). The appearance of a conflict of interest should be avoided as an apparent conflict may undermine public trust if not sufficiently mitigated.

Federal Regulation Governing Conflict of Interest (23 CFR 172.7(b)(4)) requires that:
• LPA must maintain a written code of standards of conduct for employees engaged in the award and administration of engineering and design service contracts; • No contracting agency employee who participates in the procurement, management, or administration of federal-funded contracts or subcontracts must have, directly or indirectly, any financial or other personal interest in connection with such contract or subcontract;
• No person or entity performing services for a contracting agency in connection with a federal-funded project must have, directly or indirectly, any financial or other personal Local Assistance Procedures Manual Chapter 10
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interest, other than employment or retention by the contracting agency, in any contract or subcontract in connection with such project;
• No person or entity performing services for a contracting agency in connection with a federal-aid highway funded project must have, directly or indirectly, any financial or other personal interest in any real property acquired for the project; • No contracting agency employees or agents must neither solicit nor accept gratuities, favors, or anything of monetary value from consultants, potential consultants, or parties to sub-agreements;
• LPA must promptly disclose in writing any potential conflict of interest to FHWA.

Consultants Performing Work on Multiple Phases of Federal-aid Projects LPAs may choose to hire the same consultant firm to perform construction engineering and/or inspection services on the same project on which the firm also performed design services. This can cause project delivery efficiencies, as the design firm is well-suited to verify that the project is being constructed in accordance with the design and can resolve issues related to the design on behalf of the contracting agency. However, this may also pose a potential conflict of interest if the firm has a vested financial interest in failing to disclose deficiencies in its design work product and seeks to insulate itself from pecuniary liability in subsequent phases of the project, such as minimizing or ignoring design errors and omissions, rather than serving the best interests of the contracting agency and the public. Procuring a different firm from the design firm to provide the construction engineering and/or inspection services provides another level of review and reduces the risk of, or potential for, a conflict of interest.

Although federal regulations do not expressly prohibit the same firm from providing services on subsequent phases, the LPAs are responsible for ensuring the public interest is maintained throughout the life of a project and that a conflict of interest, real or apparent, does not occur or is sufficiently mitigated by appropriate public agency controls. Prior to allowing a consulting firm to provide services on subsequent phases of the same project, the contracting agency must establish appropriate compensating controls in policies, procedures, practices, and other safeguards to ensure a conflict of interest does not occur in the procurement, management, and administration of consultant services.

When design and construction phase services are procured under a single solicitation, the selection of the consulting firm must be based on the overall qualifications to provide both design and construction phase services, which require different skill sets, experience, and resources. Procuring these services under different solicitations may result in selection of a more qualified firm to perform services in each phase, as the most qualified firm to perform design phase services may not be the most qualified firm to provide construction phase services. Similarly, the qualifications and capacity of a firm may change over time. As such, it may not be appropriate to contract with a consulting firm to provide construction phase services at the outset of a design phase, knowing that these services may not be needed for an extended period until the preconstruction phase of the project is complete and construction funding authorized. The contract with a consulting firm providing design phase services on a project may not be amended to include construction phase services unless the desired construction phase services were included within the original advertised scope of services and evaluation criteria of the solicitation from which a qualifications-based selection was conducted.

All consultants acting in a management support role must complete Exhibit 10-U: Consultant in Management Support Role Conflict of Interest and Confidentiality Statement (see Section

10.1.9: Miscellaneous Considerations in this chapter) and retain it in the LPA files.

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Miscellaneous Considerations Authorization to Proceed
The Federal Highway Administration (FHWA) must give the LPA an Authorization to Proceed (E-76) with the work prior to performing of any work for which federal reimbursement is to be requested, (see LAPM Chapter 3: Project Authorization). Eligible consultant contracts may be procured using local funds prior to receiving the E-76, but reimbursement is for work performed after the E-76 authorization date. If contract is procured using state or local funds, federal procedures must have been followed if seeking federal reimbursement. For state-funded projects see Section 10.2: State-Only Funded A&E Contracts and LAPG Chapter 25: State Programs for Local Agency Projects, for guidance on when work may proceed.

Copies of the Authorization to Proceed and the consultant contract must be retained in the LPA project files for future audit.

10.1.2 Identifying & Defining a Need for Consultants
The need for a consultant is identified by comparing the project’s schedule and objectives with the LPA’s capabilities, its staff availability of the required expertise, and its funding resources. If the LPA does not have sufficient staff capabilities, it may solicit assistance from another agency, or use a qualified private consultant to perform the required work.

If the LPA determines that there is a need to solicit assistance from another LPA, or to use a consultant, the District Local Assistance Engineer (DLAE) should be notified if federal-aid funds are to be requested for the project segment to be contracted out.

Designate Contract Administrator
The Contract Administrator is responsible for ensuring the quality of consultant contract products or services. The Contract Administrator is designated as soon as the need for consultant services is identified. The Contract Administrator is involved throughout the development of the selection process and the contract provisions, and in the administration of the consultant’s work. The Contract Administrator must be a qualified LPA employee or have staff that is qualified to ensure the consultant’s work is complete, accurate, and consistent with the terms and conditions of the consultant contract. On federal-aid contracts, the Contract Administrator or staff members must be a full-time public employee and familiar with the work to be contracted out and the standards to be used. The Contract Administrator must also abide by the laws, regulations and policies required as part of accepting federal or state funding for their project. Non-compliance with the laws, regulations, and policies may result in loss of project funding.

The Contract Administrator’s duties are listed in 23 CFR 172.9(d)(1) and include:
• Contract negotiation, contract payment, and evaluation of compliance performance, and quality of services provided by the consultant;
• Being familiar with the contract requirements, scope of services to be performed, and products to be produced by the consultant;
• Being familiar with the qualifications and responsibilities of the consultant’s staff and evaluating any requested changes in key personnel;
• Schedules and attends progress and project review meetings, commensurate with the magnitude, complexity, and type of work, to ensure the work is progressing in accordance with established scope of work and schedule milestones; Local Assistance Procedures Manual Chapter 10
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• Documents contract monitoring activities and maintaining supporting contract records as specified in 2 CFR 200.332-334;
• Provides direction to ensure the proposed work is advertised properly; • Prepares and distributes the Request for Qualifications (RFQ), description of work, and Request for Proposals (RFP), if used;
• Prepares the draft contract;
• Arranges for preparation before an independent estimate of the value of the work to be contracted out;
• Ensures that the selection procedures are followed;
• Analyzes the selected/best-qualified consultant’s cost proposal; • Ensures contract audit and review procedure is followed; • Ensures that fee/profit negotiation is conducted and keeps records; • Serves as the LPA’s primary contact person for the successful consultant; • Monitors the consultant’s progress and provides direction; • Ensures consultant costs billed are allowable in accordance with the federal cost principles and consistent with the contract terms as well as the acceptability and progress of the consultant’s work;
• Identifies other LPA staff for the consultant to contact, if needed; • Closes out the contract at completion, by processing the final invoice; completing a mandatory consultant evaluation, and final DBE utilization reports (Exhibit 17-F: Final Report - Utilization of Disadvantaged Business Enterprises (DBE) and First-Tier Subcontractors) or Exhibit 17-F1: Final Report - Utilization of Disadvantaged Business Enterprises (DBE) for A&E On-Call Contracts.

Segmenting Consultant Work
Consultant services are most effective when consultant work is segmented appropriately. The extent of segmenting depends upon the type and complexity of the work. Combining preliminary engineering tasks with the preparation of the required environmental analysis is normally desirable. Preparing an Environmental Assessment (EA) or Environmental Impact Statement (EIS) is more than simply writing a report. Assessment and impact reports include preliminary engineering needed to analyze project alternatives and produce an engineering and planning assessment. Initial project studies include only as much traffic and engineering analysis of alternatives, as is needed to produce a sound EA or EIS (see LAPM Chapter 6 Environmental Procedures and Standard Environmental Reference (SER) Chapter 31:Environmental Assessment (EA)/Finding of No Significant Impact (FONSI) and SER Chapter 32:Environmental Impact Statement (EIS). Final design must not begin until NEPA environmental approval has been received if federal reimbursement is desired.

Refer to Figure 10-2: Segmenting Consultant Work, which illustrates several satisfactory ways to segment consultant activities.

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Figure 10-2: Segmenting Consultant Work
Specify Products to be Delivered
The Contract Administrator identifies the products and services to be delivered as a result of consultant contract work, and minimum qualification of consultant professionals and staff. These vary depending upon the type of projects and the phase of project development being addressed.

Scope of Consultant Work
The scope of work, which the contract must include, is a detailed description of the products or services the consultant is to provide. From a detailed scope of work, consultants respond to a project advertisement, determine personnel and time requirements, and develop a technical proposal. Therefore, the scope of work must be clear, concise, complete, and describe the deliverables, standards for design and other work, quality control measures, acceptance criteria and deadlines.

Title VI Assurances
Title VI Assurances Appendices A and E must be included in each consultant contract. Include Title VI Assurances Appendices B, C, and D if applicable. The consultant must include the Title VI Assurances Appendices A and E, and if applicable Appendices B, C, and D in all subcontracts to perform work under the contract. Include Title VI Assurances Appendices B, C, and D if applicable. Refer to Exhibit 10-R: A&E Boilerplate Agreement Language, Article XXXII Title VI Assurances. Disadvantaged Business Enterprises will be afforded full opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, sex, national origin, religion, age, or disability in consideration for an award.

Non-Discrimination Clause
The Non-Discrimination Clause (Exhibit 10-R: A&E Boilerplate Agreement Language, Article XVI Non-Discrimination Clause and Statement of Compliance) must be included in each consultant contract. The consultant must include the non-discrimination and compliance Local Assistance Procedures Manual Chapter 10
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provisions of the Non-Discrimination Clause in all subcontracts to perform work under the contract.

Disadvantaged Business Enterprise (DBE) Participation
When administering federal-aid projects, federal regulations (49 CFR 26) require the LPA to comply with the DBE program and take necessary steps to ensure that DBE firms have the opportunity to participate in the projects. Refer to LAPM Chapter 9: Civil Rights and Disadvantaged Business Enterprises for DBE requirements for A&E Consultant Contracts.

Estimated Cost of Consultant Work
An independent estimate for cost or price analysis is needed for all consultant contracts (23 CFR 172.7(a)(1)(v)(B)) to ensure that consultant services are obtained at a fair and reasonable price. The estimate must be prepared prior to opening the cost proposal from the top-ranked consultant, so the LPA has a cost comparison to evaluate the reasonableness of the consultant’s cost proposal. The estimate, which is specifically for the use of the LPA’s negotiating team, is to be kept confidential and maintained for records.

A good cost estimate can be prepared only if the scope of work is defined clearly. The scope of work must include a list of the products or services which the consultant is required to deliver, and a time schedule of when they must be delivered.

It should be stressed that all work to be derived from the consultant services, such as preliminary design, environmental, or final design, must be clearly identified in the solicitation of consultant services (RFQ or RFP) and included in the cost estimate. The addition of work to the original scope by amendment should be avoided whenever possible. Contract modifications are required for any amendments to the terms of the existing contract that change the cost of the contract; significantly change the character, scope, complexity, or duration of the work; or significantly change the conditions under which the work is required to be performed.

Some of the costs estimating techniques are:

Analogous Estimating
Analogous cost estimating is using the actual cost of a previous, similar contract as the basis for estimating the cost of the current contract. Analogous cost estimating is frequently used to estimate costs when there is a limited amount of detailed information about the project.

Analogous cost estimating is generally less accurate, and it is most reliable when previous projects are similar in fact, and not just in appearance, and it uses expert judgment.

Parametric Estimating
Parametric estimating is a technique that uses statistical relationship between historical data and other variables to calculate a cost estimate for an activity resource. This technique can produce a higher level of accuracy depending upon the sophistication, as well as underlying resource quantity and the cost data. A cost example would involve multiplying the planned quantity of work by the historical cost per unit to obtain the estimated cost of the contract.

Bottom-up Estimating
This technique involves estimating the cost for individual work in the contract with the lowest level of detail. This detailed cost is then summarized or rolled up to determine a total cost of contract. Cost detail should include estimated hours per task, labor hourly cost for professional and non-professional classifications, subconsultant costs, other project direct costs, and profit.

Labor costs should be broken down to direct labor and indirect cost rates, if possible.

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If more than one project or phase of work is to be developed within the consultant contract, separate cost estimates are required for each project or phase of work. Separate cost estimates are required for each milestone and portion of the work expected to be subcontracted.

For on-call (as-needed) contracts, the cost estimate/analysis should include at minimum, a historical analysis of annual needs for consultant work, professional labor cost and market analysis, and reasonable profit analysis.

Determine Type of Contract
Types of contracts to be used are described as follows:
• Project-specific contract is between the LPA and consultant for the performance of services and a defined scope of work related to a specific project or projects. • Multi-phase contract is a project-specific contract where the defined scope of work is divided into phases which may be negotiated and executed individually as the project progresses.
• On-call contract is a contract that may be utilized for a number of projects, under which task or work orders are issued on an as-needed basis, for an established contract period and maximum total contract dollar amount. On-call contracts are typically used when a specialized service of indefinite delivery or indefinite quantity is needed for a number of different projects, such as construction engineering, design, environmental analysis, traffic studies, geotechnical studies, and field surveying, etc. Many agencies use these contracts to address peaks in workload of in-house engineering staff and/or to perform a specialized service which the agency does not have. On-call contracts must specify a reasonable maximum length of contract, not to exceed five (5) years, and a maximum total contract dollar amount (23 CFR 172.7(a)(2)(iv)). The maximum dollar amount for all contracts awarded under the solicitation must be stated in the solicitation. The maximum dollar amount is the aggregate of the on-call contracts anticipated to be awarded. For example, if the solicitation lists that up to five (5) contracts may be awarded, the aggregate amount of these five (5) contracts is the maximum contract dollar amount.

Setting maximum amount on each on-call contract under a multiple on-call solicitation does not meet the intent of 23 CFR 172. How many contracts are anticipated to be awarded must be stated in the solicitation. How task orders will be issued must be stated in the solicitation.

There are two options on how task orders must be awarded under multiple on-call contracts for the same type of service under the same solicitation:

1. Through an additional qualifications-based selection procedure also known as mini-RFP.
• Solicit task order to the multiple on-call consultants on the master on-call contracts
o Master on-call contracts are contracts awarded to on-call consultants at the initial RFQ/RFP procurement process. o Solicitation may be informal, e.g. email, letter, etc.; documentation is required.

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o Evaluation criteria must be included in the solicitation. The miniRFP contains evaluation criteria that matches the strengths of the qualified firms to the specifics of the known tasks, thereby selecting the most qualified firm for each task.
o The evaluation criteria can include:
i. availability of personnel,
ii. staff capabilities,
iii. DBE (10% or less of overall score); the overall DBE goal was established at the master on-call contract,
iv. completion of time,
v. experience of consultant
vi. specialized expertise, and past performance.
• Evaluate and rank proposals and select from the multiple on-call contracted consultants
o Recommend at least three panel members to evaluate and rank o Evaluate based on criteria in mini-RFP solicitation
• Negotiate and award to the on-call contracted consultant o The mini-RFP or the task order will be negotiated with first ranked firm from each competition. Task order (mini-RFP) cost will be based on wage rates established in the master on-call contract, and the time and deliverable requirements in the task order. • If only one proposal is received or there is an emergency, a NonCompetitive process must be justified, and Exhibit 12-F: Cost Effectiveness / Public Interest Finding / A&E Noncompetitive must be documented and signed by the DLAE
• Awarding task order to the multiple on-call consultants on a rotational basis does not meet the intent of the qualifications-based selection • Exhibit 10-G: Individual A&E Task Order DBE Tracking Sheet must be used to track percentage of DBE after a task order is completed • Each task order must have an Exhibit 10-O1: Consultant Proposal DBE Commitment and Exhibit 10-O2: Consultant Contract DBE Commitment as applicable

2. Regional basis where each on-call consultant is contracted to a designated area.

To maintain the intent of the Brooks Act (40 U.S.C.1101-1104) in promoting open competition and selection based on demonstrated competence and qualifications, oncall consultant contracts established through the RFQ process must meet the following requirements:
• Must define a general scope of work, complexity, and professional nature of services.
• Specify a task order procedure the LPA uses to procure project-specific work under the contract.

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• Task order work performed after the master on-call contract has expired will result in those costs being ineligible for federal or state reimbursement. • If multiple consultants are to be selected and multiple on-call contracts awarded through a single solicitation for specific services, the number of consultants that may be selected or contracts that may be awarded must be identified. • Specify procurement procedures in the contracts the LPA will use to award/ execute task orders among the consultants:
o Either through an additional qualification-based selection process (see the Two-Step RFQ/RFP process later in this chapter), OR o On regional basis whereby the region is divided into areas identified in the solicitation, and consultants are selected to provide on-call services for assigned areas only. The RFP may list multiple regions that allow consultants to crossover or be a “backup” to other consultants that for specifically documented reasons are not able to perform the work in their assigned region. Per 23 CFR 172.9 (a)(3)(iv)(B)(2), the “backup” option needs to be listed in the respective contracts.

An example of acceptable contract wording in multiple on-call contracts for the same type of service:
• “Agency has or will enter into three (3) task order contracts for performance of the Scope of Services identified in Exhibit “A”, including this Agreement (“CM Services Task Order Contracts”). The other CM Services Task Order Contracts are [identify other two contracts by agreement numbers and consultant firms].

The total amount payable by Agency for the CM Services Task Order Contracts must not exceed a cumulative maximum total value of Seven Million, Five Hundred Thousand Dollars ($7,500,000) (“NTE Sum”). It is understood and agreed that there is no guarantee, either expressed or implied that this dollar amount will be authorized under the CM Services Task Order Contracts through Task Orders. Each time a Task Order is awarded under any of the CM Services Task Order Contracts, the Agency must send written notification to Consultant and each of the other consultants entering into the CM Services Task Order Contracts. The notice must identify the total funds allocated under issued Task Orders, and the remaining unencumbered amount of the NTE Sum. Consultant acknowledges and agrees that Agency must not pay any amount under this Agreement that would exceed the NTE Sum, and Consultant must not enter into a Task Order that exceeds the NTE Sum.”
Determining the Project Schedule
The LPA develops a schedule for performance of work and completion of the project. The schedule must include sufficient time to allow for:
• Selecting the consultant;
• Developing the consultant contract;
• Completing the A&E consultant contract audit process; • Conducting meetings and project reviews.

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Determine Method of Payment
The method of payment of contract must be specified. The following four methods are permitted under 23 CFR 172.9(b) depending on the scope of services to be performed (sample cost proposals are provided on the DLA Consultant Selection and Procurement website):
• Cost-Plus-Fixed Fee
• Cost Per Unit of Work
• Specific Rates of Compensation
• Lump Sum
The method of payment to the consultant must be set forth in the original solicitation, contract, and in any contract modification thereto. A single contract may contain different payment methods as appropriate for compensation of different elements of work. Markups are not allowed on any of the four methods of payment.

The cost plus a percentage of cost and percentage of construction cost methods of payment must not be used. Both of these methods are explicitly prohibited by 23 CFR 172.9(b).

Cost-Plus-Fixed Fee
The consultant is reimbursed for costs incurred and receives an additional predetermined amount as a fixed fee (profit). Federal regulations require that profit be separately negotiated from contract costs. The determination of the amount of the fixed fee must take into account the size, complexity, duration, and degree of risk involved in the work. The fixed fee is not adjustable during the life of the contract. The fixed fee dollar amount must be clearly stated in the contract. See the DLA Consultant Selection and Procurement website for a useful tool on Profit/Fee Determination.

This method of payment is appropriate when the extent, scope, complexity, character, or duration of work cannot be precisely predicted. The fixed fee limit applies to the total direct and indirect costs. Fixed fees in excess of 15 percent of the total direct labor and indirect costs of the contract may be justified only when exceptional circumstances exist. The contract must specify a reasonable maximum length of contract period and a maximum total contract dollar amount (see Exhibit 10-R: A&E Boilerplate Agreement Language, Article V, Option 1). The contract cost proposal must identify all key employees and/or classifications to be billed. New key employees and/or classifications must be approved by the LPA before they incur work on the contract, or the costs can be questioned or disallowed. LPAs are not required to update the A&E Consultant Contract form when new key employees and/or classification are added to a contract. For more details, reference Section 10.1.8. Completing the Project.

Cost Per Unit of Work
The consultant is paid based on specific item of work performed. The item of work must be similar, repetitious, and measurable, such as a specific geotechnical investigation and material testing. This method of payment is appropriate when the cost per unit of work can be determined with reasonable accuracy in advance, but the extent or quantity of the work is indefinite. Contract payment provisions must specify what is included in the price to be paid for each item. Any item of work not identified in the contract cost proposal is not eligible for reimbursement. New items of work (those within the original scope of work only) must be amended into the contract before work is performed. The contract must also specify a Local Assistance Procedures Manual Chapter 10
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reasonable maximum length of contract period and a maximum total contract dollar amount (see Exhibit 10-R: A&E Boilerplate Agreement Language, Article V Option 2).

Specified Rates of Compensation
The consultant is paid at an agreed and supported specific fixed hourly, daily, weekly, or monthly rate, for each class of employee engaged directly in the work. Such rates of pay include the consultant’s estimated costs and net fee (profit). Federal regulations require that profit be separately negotiated from contract costs. The specific rates of compensation, except for an individual acting as a sole proprietor, are to include an hourly breakdown, direct salary costs, fringe benefits, indirect costs, and net fee. Other direct costs may be included, such as travel and equipment rentals, if not already captured in the indirect cost rate. Other direct costs regardless of amount are to be listed on the cost proposal.

This method of payment should only be used when it is not possible at the time of procurement to estimate the extent or the duration of the work, or to estimate costs with any reasonable degree of accuracy. This method should not be used for project-specific contracts and is recommended for on-call contracts for specialized or support type services, such as construction engineering and inspection, where the consultant is not in direct control of the number of hours worked, and it also requires management and monitoring of the consultant’s level of effort and the classification of employees used to perform the contracted work. The contract must also specify a reasonable maximum length of contract period and a maximum total contract dollar amount (see Exhibit 10-R: A&E Boilerplate Agreement Language, Article V Option 3).

Lump Sum
The consultant performs the services stated in the contract for an agreed amount as compensation, including a net fee or profit. This method of payment is appropriate only if the extent, scope, complexity, character, duration, and risk of the work have been sufficiently defined to permit fair compensation to be determined and evaluated by all parties during negotiations (see Exhibit 10-R: A&E Boilerplate Agreement Language, Article V: Option 4).

Normally, a lump sum contract will be paid in full at end of the contract when completed.

However, a lump sum contract can be negotiated with progress payment if feasible. The progress payment must be based on percent of work complete or completion of clearly defined milestones. The contract cost proposal must document the agreed-upon progress payment and include the necessary milestones costs, or the percent work complete schedule.

A firm fixed price method of payment is not the same as lump sum. A firm fixed price contract must not be amended.

Changes to Cost Proposal
Changes to the cost proposal requiring resubmittal to Independent Office of Audits and Investigations (IOAI) for review:
• Consultant/subconsultant name change
• New participating subconsultant’s Indirect Cost Rate (ICR) • Change in ICR rate
Since these changes require an amendment, the LPA is to update the A&E Consultant Contract form.

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10.1.3 A&E Consultant Audit and Review Process
This section outlines the audit and review process for A&E contracts that at any time use state or federal-aid highway funds in furtherance of highway construction projects. All proposed A&E contracts and supporting documents are subject to audit or review by Caltrans’ Independent Office of Audits and Investigations (IOAI), other state audit organizations, or the federal government. Not all proposed contracts will be audited or reviewed; rather, they will be selected on a risk-based approach.

Applicable Standards
State and federal requirements listed below, and specific contract requirements, serve as the standards for audits and reviews performed.

LPAs, consultants, and subconsultants are responsible for complying with state, federal, and specific contract requirements. LPAs are responsible for determining the eligibility of costs to be reimbursed to consultants.

Applicable standards include, but are not limited to:
• Caltrans Local Assistance Procedures Manual (LAPM);
• State and Federal agreements between LPAs and Caltrans, (i.e., Master Agreements); • Project Program Supplemental Agreements;
• 23 U.S.C., Section 112 – Letting of Contracts;
• 40 U.S.C., Chapter 11: the Brooks Act;
• 23 CFR 172 - Procurement, Management, and Administration of Engineering and Design Related Services;
• 23 CFR, Chapter 1- Federal Highway Administration, Department of Transportation; • 48 CFR, Federal Acquisition Regulation (FAR), Part 31- Contract Cost Principles and Procedures;
• 48 CFR, Chapter 99 – Cost Accounting Standards Board, Office of Federal Procurement Policy, Office of Management and Budget
• 2 CFR 200 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards;
• United States Government Accountability Office, Government Auditing Standards - Generally Accepted Government Auditing Standards (GAGAS); • California Government Code sections 4529.5 and 4529.10-4529.20; and • Proposed contract terms and conditions.

See Section 10.1.11: References of this chapter for links to above referenced standards.

Audit Guidance Available
The American Association of State Highway and Transportation Officials (AASHTO), Uniform Audit & Accounting Guide (AASHTO Audit Guide), which is referred to frequently in this section, is a valuable tool to guide LPAs, consultants, and Certified Public Accountants (CPA) through Local Assistance Procedures Manual Chapter 10
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the requirements for establishing, and audits of FAR-compliant ICR. The AASHTO Audit Guide is used extensively as an industry guide in the audit and review process.

LPAs may seek accounting assistance from internal audit staff and an independent CPA for compliance. The consultant may seek professional guidance in selecting its independent CPA.

See also the AASHTO Audit Guide, Chapter 2. Selection of CPA Firm as Overhead Auditor for guidance in the selection process. Training is also offered by FHWA’s National Highway Institute (see https://www.nhi.fhwa.dot.gov/home.aspx). Courses offered include:
• Using the AASHTO Audit Guide for the Procurement and Administration of A&E Contracts (FHWA-NHI-231028)
• Using the AASHTO Audit Guide for the Development of A&E Consultant Indirect Cost Rates (FHWA- NHI-231029)
• Using the AASHTO Audit Guide for the Auditing and Oversight of A&E Consultant Indirect Cost Rates (FHWA-NHI-231030)
For training and additional information provided by Caltrans Local Assistance, visit the Caltrans Local Assistance Blog. For FHWA’s Q&A for ICRs and audits, and A&E related services, visit FHWA Consultant Services website.

Allowable Costs
23 U.S.C.112(b)(2)(B) states that any A&E contract or subcontract awarded, whether funded in whole or in part with federal-aid highway funds in furtherance of highway construction projects, must be performed and audited in compliance with the federal cost principles.

LPAs are required to perform a cost analysis to ensure all costs are allowable and in compliance with federal and state requirements and retain documentation of negotiation activities and resources. Hourly rate(s) for each key personnel and/or classification of employee(s) proposed in cost proposals must be reasonable for the work performed and actual, allowable, and allocable in accordance with the federal cost principles.

All consultant ICRs must be supported with the required financial documents as outlined in the checklist on IOAI's Financial Document Review (FDR) Request Form; however, Category 4 applies to all consultants regardless of the participation amount.

Costs must be allowable only if the cost is incurred and cost estimates included in negotiated prices are allowable in accordance with the federal and state regulations and procedures, and contract provisions.

Consultants must account for costs appropriately and maintain records, including supporting documentation, adequate to demonstrate that costs claimed have been incurred, and are allowable, reasonable, and allocable to the contract, and comply with federal cost principles.

IOAI and representatives of the Federal Government have the right to conduct an audit of all contract costs. If the costs are subsequently determined to be unallowable, these costs are subject to repayment. For further guidance, refer to 23 CFR 172 and 48 CFR 31.

Generally, whenever LPAs, consultants, and/or contractors are unable to provide requested documentation, it must be viewed that the services were either not performed or the costs not properly recorded. Retention of all documents is required as it reduces the possibility of audit findings and disallowed costs.

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Safe Harbor Rate
Developing ICRs annually can place a significant burden on some small or new and emerging A&E consulting firms that lack financial sophistication to develop an ICR, as well as on other established A&E consulting firms that may not have previous experience with federally-funded contracts for which an ICR would have been developed in compliance with federal cost principles 48 CFR 31. This may create a barrier for otherwise eligible and qualified firms to compete for federally-funded contracts.

To help alleviate and remove potential barriers, the Division of Local Assistance (DLA) has adopted Caltrans Division of Procurement and Contract’s (DPAC) Safe Harbor Rate (SHR) process and rates which took into account LPA data. The SHR information and rates can be found at the DLA Consultant Selection and Procurement website:
https://dot.ca.gov/programs/local-assistance/guidance-and-oversight/consultant-selectionprocurement. To request information regarding the SHR methodology, email the A&E Oversight Branch at [email protected]. Eligible A&E consultant firms can choose to use the DLA SHR rate on new A&E contracts using federal-aid highway funds executed by LPAs in the State of California.

Use and application of the SHR by eligible firms provides reasonable assurance of consultant compliance with the federal cost principles per 23 CFR 172.11(c)(2). A&E consulting firms approved to use the established SHR will have their accounting system evaluated for capabilities of accumulating and tracking direct labor for applying the SHR, as well as for billing other direct costs by contract, segregating indirect costs, etc.

Use of the SHR is voluntary on behalf of the A&E consulting firm and LPAs. LPAs have the discretion to determine certification of eligibility based on requirements shown on the following SHR certification form: Consultant Firm Certification of Eligibility and Certification of Financial Management System.

A&E consultant firms (prime consultants and/or sub consultants) that have not had an ICR previously accepted by a cognizant agency may elect and request to use the SHR in a contract by submitting the completed SHR certification form, Consultant Firm Certification of Eligibility and Certification of Financial Management System, including the Questionnaire for Evaluating Consultant Firm’s Financial Management System section, and any other documents as needed.

This requirement is in addition to the A&E Consultant Audit and Review Process requirements described in this chapter.

It is the LPA’s responsibility to:
• Collect and screen all requests to use the safe harbor indirect cost rate. See SHR certification form, Consultant Firm Certification of Eligibility and Certification of Financial Management System, including the Questionnaire for Evaluating Consultant Firm’s Financial Management System section.
• Submit all SHR documents to the Independent Office of Audits & Investigations (IOAI) as part of the Financial Document Review Request package. The IOAI email address is:

[email protected]. Requests to use the safe harbor indirect cost rate must be accepted/approved by IOAI before contracts are executed.

Approval or Acceptance of Indirect Cost Rates
Cognizant Letters of Approval
A cognizant approved ICR has been audited by a cognizant agency (a State transportation agency of the State where the consultant's accounting and financial records are located or a Local Assistance Procedures Manual Chapter 10
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State transportation agency to which cognizance for the particular indirect cost rate(s) of a consulting firm has been delegated or transferred to in writing by the State transportation agency where the consultant’s accounting and financial records are located) in accordance with generally accepted government auditing standards to test compliance with the requirements of the federal cost principles (per 48 CFR 31), and the cognizant agency has either 1) issued an audit report of the consultant's indirect cost rate or 2) conducted a review of an audit report and related workpapers prepared by a certified public accountant and issued a letter of concurrence with the audited indirect cost rate(s). The cognizant agency approves the ICR and a cognizant approval letter is issued.

Caltrans Acceptance of Indirect Cost Rate
When the ICRs have not been established by a cognizant agency, Caltrans must perform an audit or review of a consultant’s and subconsultant’s ICR(s) to provide reasonable assurance of compliance with federal cost principles for consultant contracts with a dollar value equal to or greater than $1M.

An audit or review of the ICR may consist of one or more of the following:
• Perform a review to determine if the ICR was prepared in accordance with 23 CFR 172 and 48 CFR 31;
• Perform an audit to determine if the ICR was prepared in accordance with 23 CFR 172 and 48 CFR 31; and issue an audit report;
• Review and accept an ICR audit report and related workpapers prepared by a CPA or another State Transportation Agency;
• Perform other evaluations in accordance with a risk-based oversight process in accordance with 23 CFR 172 and 48 CFR 31.

Financial Review Performed Prior to Contract Execution
All consultants, including prime consultants and subconsultants, on a proposed contract with a dollar value equal to or greater than $1M are subject to an ICR financial review by IOAI. The financial documents required are detailed in the Financial Document Review Request form. IOAI will review the ICR financial documents to either accept or adjust the indirect cost rate prior to contract execution using a risk-based approach as dictated by factors that include but are not limited to:
• History of satisfactory performance and professional reputation of consultant; • Prior FAR compliant history and audit frequency;
• Experience of consultant with FAHP contracts;
• General responsiveness and responsibility;
• The approximate contract volume and dollar amount of all A&E contracts awarded to the consultant by Caltrans or an LPA in California within the last three calendar years; • The number of states in which the consultant does business; • The type and complexity of the consultant’s accounting system; • The relevant professional experience of any CPA performing audits of the consultants indirect cost rate;
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• Assessment of consultant’s internal control. Responses to internal control questionnaire, see AASHTO Audit Guide, Appendix B;
The outcome of an audit or review for contracts with a dollar value equal to or greater than $1M is for Caltrans to approve or accept the ICR so that it can be relied upon for future contracts with the consultant for a given one-year accounting period and for reliance by other contracting agencies using the same consultant. Contracts below $1 Million are not subject to the Caltrans Financial Document Review but LPAs are required to establish that all costs are in compliance with the federal cost principles, 48 CFR 31, and other applicable requirements are met. Cost analysis documents are required to be retained in the project files to demonstrate compliance.

For further guidance, refer to 23 CFR 172.11(b)(1). If the consultant is subject to Cost Accounting Standards (CAS), the consultant must use the applicable ICR for the contract.

LPAs are required to apply Caltrans-accepted consultant or subconsultant’s ICRs, to contracts.

An ICR is valid for the one-year applicable accounting period accepted or reviewed by Caltrans.

Consultants must update, on an annual basis, ICRs in accordance with the consultant’s annual accounting period and in compliance with the federal cost principles. LPAs must ensure that only approved or accepted ICRs of consultants for the applicable one-year accounting period be applied to contracts, if rates are not under dispute. A consultant’s accepted ICR for its one-year applicable accounting period must be applied to contracts; however, once an ICR is established for a contract, it may be extended beyond the one-year applicable period, through the duration of the specific contract, provided all concerned parties agree. Agreement to the extension of the one-year applicable period must not be a condition or qualification to be considered for the work or contract award. The contract must clearly specify the ICR period if it is beyond the one-year applicable period.

ICRs that have not been accepted by Caltrans for contracts with a dollar value equal to or greater than $1M will not be eligible for indirect cost payment. An ICR approved by a cognizant agency may be used across states for the one-year applicable accounting period, but an ICR accepted by Caltrans may only be applied to A&E contracts with Caltrans or LPA contracts using pass-through Caltrans funding. LPAs include Cities, Counties, Metropolitan Planning Organizations, Special Districts, and Regional Transportation Planning Agencies.

Local Public Agency Responsibilities
LPAs are responsible for obtaining all required ICR supporting documentation from A&E prime consultants and subconsultants as outlined in the Financial Document Review Request form.

LPAs are responsible for forwarding these documents to IOAI for review. LPAs are also required to ensure that IOAI has a copy of the Certification of Indirect Costs and Financial Management System form. The ICR included in the LPA’s cost proposal must match the ICR included in the Certification of Indirect Costs and Financial Management System form and the consultant’s ICR schedule. The proposed ICR, however, can be lower than ICR in the Certification of Indirect Costs and Financial Management System form and the consultant’s ICR schedule if the consultant elects to propose a lower ICR. For contracts spanning more than one year, LPAs are responsible for ensuring the Certification of Indirect Costs and Financial Management System form and cost proposals are updated annually unless all concerned parties agree to fix the ICR for the term of contract, and this is clearly specified in the contract. ICR updates are not required to IOAI if the ICR is fixed for the life of the contract. ICR’s are only reviewed for consultants that are being awarded a contract, not consultants on a short list or pre-qualified list.

The cost proposal includes contract costs: direct salary or wage rates, fixed fees, other direct costs, indirect costs, total costs, and certification for the costs. LPAs must perform and retain Local Assistance Procedures Manual Chapter 10
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documentation of activities and resources used to support that a cost analysis has been performed to establish that costs and elements were determined to be fair and reasonable in accordance with federal cost principles.

All contract supporting documentation must be retained by the LPA in project files for the required retention period. Unsupported costs may be disallowed and required to be returned to Caltrans. Having proper documentation policy and procedures, trained staff, and organized project files are essential for demonstrating that costs claimed and reimbursed have been incurred, are eligible, reasonable, allowable, and allocable to the contract and comply with federal cost principles.

Instructions are provided in the Financial Document Review Request form including requirements for submitting a complete Financial Review packet. Financial packets can be emailed to: [email protected].

Alternatively, Financial Review packets can be mailed to:

Department of Transportation
Independent Office of Audits and Investigations
MS 2 Attention: External Audit Manager
P.O. Box 942874
Sacramento, CA 94274-0001
LPAs may check IOAI’s website to verify whether consultants have been reviewed by Caltrans for the valid ICR period. All approved or accepted ICRs are issued an Acceptance Identification (ID) number by IOAI that is posted to IOAI’s website. This ID number should be referenced on all future contracts that use the same fiscal year ICR. ICR can be fixed for the life of the contract in prior written document or annually updated. Once it has been updated, it must be annually updated and the most current fiscal year of ICR must be used.

Consultant Responsibilities (Both prime consultants and subconsultants) A&E prime consultants and subconsultants in contract with LPAs using state or federal-aid highway funds should refer to the Financial Document Review Request form for the ICR financial documents required to be submitted to their LPA. Consultants must complete the Certification of Indirect Costs and Financial Management System form that attests that the ICR rate proposed is in compliance with federal cost principles (48 CFR 31) and that the consultant’s financial management system is adequate to accumulate and segregate reasonable, allowable, and allocable direct and indirect project costs. The Financial Document Review Request and Certification of Indirect Costs and Financial Management System forms should be submitted to the LPA who will forward a copy to IOAI along with all other related and required financial documents. For all future contracts within a same fiscal year, the consultant needs to only provide a copy of the Certification of Indirect Costs and Financial Management System form to the LPA.

Consultants must follow all the federal, state, and contract requirements outlined in the above, Applicable Standards section. Each contracting consultant must ensure its ICR is not combined with any parent company’s or subsidiary’s ICR.

ICR schedules for both prime consultants and subconsultants should be prepared using the accrual basis of accounting and be presented in compliance with the federal cost principles. See a Standard Indirect Cost Rate Schedule example that consultants can use when preparing their own.

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For public works Prevailing Wage contracts, all workers must be paid the prevailing wage rate determined by the Director of the Department of Industrial Relations according to the type of work and location of the project: http://www.dir.ca.gov/Public-Works/Prevailing-Wage.html.

When determined necessary, IOAI may request additional information, such as a labor distribution summary and Executive Compensation Analysis (ECA). A consultant’s labor distribution summary report is a labor expense report that detail all hours worked (paid and unpaid) for a fiscal year, wages earned, and benefits accrued by all the consultant’s employees.

The labor summary report should include employee names, salaries, hourly rates, total hours worked segregated by direct hours, indirect hours, paid time off hours, and uncompensated hours and amounts.

An ECA is an evaluation by the consultant to determine the allowability and reasonableness of executive compensation in compliance with federal cost principles and the AASHTO Audit Guide that can be based on either the National Compensation Matrix or independent compensation surveys.

Independent Office of Audits and Investigations’ Responsibilities After IOAI receives a consultant’s complete financial document packet (per the Financial Document Review Request form) from the LPA, IOAI will review the proposed ICR and supporting documents and notify LPAs in writing whether the proposed ICRs are accepted or adjusted.

Contracts will be executed after IOAI either accepts or adjusts the ICR. Correction of the final cost proposal, however, does NOT need to be cleared through Caltrans IOAI before executing the contract. An email notification from IOAI serves as documentation to support an accepted ICR.

Audits and Reviews to be Performed
After contract execution, a consultant’s ICR may be subject to further detailed review or audit by IOAI based on certain risk factors. Costs that are determined to be unallowable as a result of the review or audit will be subject to repayment.

Indirect Cost Rate Audits
During an ICR audit, IOAI or an independent CPA will examine the consultant’s proposed ICR for a one-year accounting period to ensure that unallowable costs have been removed from the indirect costs, that allowable costs have been correctly measured and properly charged and allocated, and that the ICR has been developed in accordance with the federal cost principles (as specified in 23 U.S.C.112(b)(2)(B), 23 CFR 172.11, 48 CFR 31 and other FAR and State requirements). As a result of the audit, the LPA will work with the consultant to adjust the ICR based on audit recommendations.

For guidance regarding the existing policies and procedures set forth in the federal regulations, and acceptable ICR schedules, refer to the AASHTO Audit Guide, Chapter 5, and the example Standard Indirect Cost Rate Schedule. The AASHTO Uniform Audit and Accounting Guide, Appendix A Review Program for CPA Audits of Consulting Engineers’ Indirect Cost Rates is also a resource for consultants and CPAs when preparing an ICR for audit.

CPA Workpaper Reviews
During a workpaper review of a CPA audit of an ICR, IOAI will review the CPA’s audit workpapers to determine whether to issue a Cognizant Letter of Approval for the ICR. The CPA Local Assistance Procedures Manual Chapter 10
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Workpaper Review determines whether: (a) the CPA’s audit of the ICR was conducted in accordance with Generally Accepted Government Auditing Standards (GAGAS), (b) the CPA adequately considered the auditee’s compliance with the federal cost principles and related federal and state laws and regulations. Chapter 11 of the AASHTO Audit Guide provides information to the CPA on the required audit disclosures.

IMPORTANT NOTE FOR CPAs: Contracts receiving state or federal funds are highly scrutinized. Materiality levels tend to be lower and more testing is required. GAGAS provides that auditors may find it appropriate to use lower materiality levels as compared with the materiality levels used in non-GAGAS audits because of the public accountability of government entities and entities receiving government funding, various legal and regulatory requirements, and the visibility and sensitivity of government programs. The AASHTO Audit Guide should be used as a tool for performing audits and attestations of A&E firms.

Contract Audits
During a Contract Audit, auditors will review a consultant’s financial management system and contract cost proposal to determine if:
• The consultants’ accounting system is adequate to accumulate and segregate costs; • Costs are reasonable, allowable, allocable, and supported adequately; • The contract contains all required fiscal provisions; • Proper state and federal procurement requirements were followed.

Incurred Cost Audits
During an Incurred Cost Audit, auditors will review incurred contract costs to determine if:
• Cost data are maintained in an accounting system that adequately gathers, records, classifies, summarizes, and reports accurate and timely financial data for direct and indirect project costs by account;
• Costs are adequately supported, reasonable, allowable, and allocable; • Costs incurred are in compliance with state and federal laws and regulations; • Costs incurred are in compliance with the Master Agreement and Supplemental Agreement;
• Costs incurred are in compliance with the fiscal provisions stipulated in the contract; and • The terms required by the Master Agreement and federal laws and regulations are in the contract.

Audit Findings and Review Deficiencies
If a consultant’s ICR is audited or reviewed, LPAs are responsible for ensuring all executed and future contracts reflect the audited and adjusted fiscal year ICR(s). LPAs should request reimbursement from the consultant for overpayment on rates that were adjusted down.

The LPA may be subject to sanctions outlined in Section 10.5 Sanctions if the state or federal government determines that any reimbursements to the consultant are the result of lack of proper contract provisions, unallowable charges, unsupported activities, or an inadequate financial management system.

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10.1.4 Consultant Selection Methods
There are three methods normally used in selecting a consultant:
• One-Step RFP
• One-Step RFQ
• Two-Step RFQ/RFP
The method used depends upon the scope of work, the services required, the project’s complexity, and the time available for selection of the consultant; see Consultant Selection Flowchart.

Beginning with Section 10.1.5: Consultant Selection Using the One–Step RFP Method, each of the selection methods is explained in detail. Regardless of the method used, the LPA must retain all consultant selection documentation in their project files as required by 23 CFR 172.

One-Step RFP
The One-Step RFP method may be used for Project–specific contracts when the scope of work is well-defined or for Multi-phased contracts where the defined scope of work is divided into phases. Other considerations include when the consultant’s services are highly specialized and there are few qualified consultants.

One-Step RFQ
The One-Step RFQ method is used when the requested services are specialized, or the scope of work is defined broadly and may include multiple projects. Typical services are preliminary engineering, surveying, environmental studies, preparation of Plans Specifications and Estimate (PS&E) and environmental documents, or construction management. This method or the twostep selection process is used for procurement of on-call contract(s). Note that specifications and requirements in the RFQ must cover all aspects of the final need. An RFP specific to the project, task, or service must be included in the solicitation for evaluation of a consultant's specific technical approach and qualifications.

Two-Step (RFQ Followed by RFP)
The Two-Step RFQ/RFP method may be used when the scope of work is complex or unusual.

This method also may be preferred by LPAs that are inexperienced about negotiations and procedures for establishing compensation. However, the Two-Step RFQ/RFP method is recommended for procurement of multiple on-call contracts, or on-call list, through a single solicitation. Regardless of any process utilized for pre-qualification of consultants or for an initial assessment of a consultant's qualifications under a RFQ, a RFP specific to the project, task, or service is required for evaluation of a consultant's specific technical approach and qualifications.

For more information, refer to description of on-call contract in Section 10.1.2: Identifying & Defining a Need for Consultants. This method requires substantially more work and time than the other two methods described above.

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10.1.5 Consultant Selection Using the One-Step RFP Method Of the three methods discussed, this one is most easily modified for non-A&E consulting contracts. This procurement procedure usually involves a single step process with issuance of a request for proposal (RFP) to all interested consultants. For non-A&E consulting contracts, a cost proposal must be part of the RFP and the selection criteria. For A&E contracts, the cost proposal is not requested until the consultants have been final ranked based upon their submitted technical proposal.

Appoint Consultant Selection Committee
A consultant selection committee with a minimum of three members is appointed at the beginning of the consultant selection process. The committee reviews materials submitted by consultants, develops a short list of qualified consultants, and develops a final ranking of the most qualified proposals. Representation on the committee includes the Contract Administrator and subject matter experts from the project’s functional area. The members should be familiar with the project/segment to be contracted out and with the LPA standards that will be used in the contract. Participation by a Caltrans district representative is at the option of the agency and subject to availability of the DLAE staff. Caltrans participation on the interview panel does not relieve the LPA of its responsibility to ensure that proper procurement procedures are followed, and all requirements are met.

LPA Contract Administrator ensures that all committee members meet the conflict of interest requirements (23 CFR 172.7(b)(4)) by completing and signing a conflict of interest statement prior to selection process initiation. A sample conflict of interest form is provided in Exhibit 10-T:

Conflict of Interest & Confidentiality Statement.

Develop Technical Criteria for Evaluation of Proposals
The Contract Administrator is responsible for developing the technical criteria, and their relative importance which are used to evaluate and rank the consultant proposals. In-state or local preference must not be used as factor in the evaluation, ranking, and selection phase. Local presence and DBE participation are the only two non-qualifications-based evaluation criteria that are permitted, however, the combined total of these criteria cannot exceed a nominal value of 10 percent of the total evaluation criteria (23 CFR 172.7(a)(1)(iii)(D)). All price or cost related items which include, but are not limited to, cost proposals, direct salaries/wage rates, indirect cost rates, and other direct costs are prohibited from being used as evaluation criteria.

The criteria and relative weights must be included in the RFP, and the same criteria and relative weights must be used in the evaluation sheets. Failure to include criteria and relative weights and to use the same criteria and weights during the evaluation will result in the contract costs being ineligible for federal or state reimbursement. Exhibit 10-B: Suggested Consultant Evaluation Sheet is a recommended evaluation sheet with criteria and rating points for A&E consultants, where cost is not used as a rating factor. This format is not mandatory, but it is recommended in the interest of developing consistency among the hundreds of agencies and consultants operating in the state. The LPA should consult with the DLAE before making major changes to the suggested approach.

Develop Schedule for Consultant Selection
Before the contract is advertised, the Contract Administrator completes a contract procurement schedule including key dates for consultant selection activities. The Contract Administrator should confirm key dates with all selection committee members before completing the schedule.

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Prepare RFP
The information required in an RFP solicitation includes the following:
• Description of project;
• Clear, accurate, detailed Scope of work, technical requirements, and qualifications; • Services to be performed;
• Deliverables to be provided;
• Procurement schedule;
• Applicable standards, specifications, and policies;
• Schedule of work (including estimated start and end dates of the contract); • Method of payment, and cost proposal requirements. The cost proposal is submitted in a separate concealed format. Cost proposals are requested from the highest ranked firm.

If these negotiations are formally terminated, the cost proposal is then requested from the next highest ranked firm. See sample cost proposals at the DLA Consultant Selection and Procurement website;
• Contract audit and review process requirements (see Section 10.1.3: A&E Consultant Audit and Review Process);
• Proposal format and required contents;
• Method, criteria, and weighting for selection;
• Requirements for any discussions that may be conducted with three or more of the most highly qualified consultants following submission and evaluation of proposals; • Specify contract type;
• Special provisions or contracts requirements;
• A DBE contract goal is specified in the solicitation (see Exhibit 10-I: Notice to Proposers DBE Information), if a federal-aid contract;
• CMSR requirements (see Exhibit 10-U: Consultant in Management Support Role Conflict of Interest and Confidentiality Statement);
• Protest procedures and dispute resolution process per 2 CFR 200.318(k) and 23 CFR 172.5(c)(18).

The RFP specifies the content of a proposal, the number of copies required, due date, mailing address, and a physical address where the submittals may be hand-delivered if different from the mailing address. A minimum of fourteen (14) calendar days is required between the time the RFP is published and time that proposals must be submitted. More time may be required for complex contracts or projects.

Items typically required in a technical proposal include:
• Work plan (specify what is to be covered);
• Organizational chart;
• Schedule and deadlines;
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• Staffing plan;
• Proposed Team—complete for prime consultant and all key subconsultants; • Key personnel names and classifications—key team members identified in the original proposal/cost proposal must not change (be different than) in the executed contract; • Staff resumes;
• Names of consultant’s project manager and the individual authorized to negotiate the contract on behalf of the consulting firm;
• Consultant DBE Commitment document, see Exhibit 10-O1: Consultant Proposal DBE Commitment;
• References.

Financial Management and Accounting System Requirements The LPA must ensure that consultant contract solicitation and advertising documents (RFPs) clearly specify that contracts must not be awarded to a consultant without an adequate financial management and accounting system as required by 48 CFR 16.301-3, 2 CFR 200, and 48 CFR 31. The LPA must ensure the selected consultants have adequate financial management systems as required by the applicable federal regulations.

Advertise for Consultants
The solicitation process for consultant services must be by public advertisement, or by any other public forum or method that assures qualified in-State and out-of-State consultants are given a fair opportunity to be considered for award of contract. The minimum length of advertisement is 14 calendar days.

Advertisement of the RFP in a major newspaper of general circulation, technical publications of widespread circulation, professional associations and societies, recognized DBE organizations, web hosting or clearing houses known for posting government contract solicitations such as BidSync, Planetbids, Public Purchase, or posting the RFP on the LPA’s or other widely used websites are all acceptable methods of solicitation.

To document website postings, the LPA should retain copies of screen shots displaying the posted begin/end dates.

The LPA must keep a record of all consultants that have downloaded RFP online as well as those receiving an RFP through other means, to ensure that any inquiry responses, addendums, or amendments to the RFP are given to all consultants that received the RFP.

Conduct Proposer’s Conference or Answer Written Questions The LPA may allow for clarification of the RFP by inviting submittal of written questions or by conducting a proposer’s conference, or by doing both. The LPA must publish or mail their responses to any written questions to all consultants receiving the RFP. No response should be given to verbal questions. It is important that all competing consultants receive the same information. If a proposer’s conference is to be held, the exact time and place must be specified in the RFP. Attendance at a proposer’s conference normally is not mandatory. However, consultants not attending the conference do not receive notes from the meeting unless they request the notes.

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Receive and Evaluate Technical Proposals
The Contract Administrator must verify that each proposal contains all of the forms and other information required by the RFP. If all required information is not provided, a proposal may be considered nonresponsive and rejected without evaluation. Late submittals, submittals to the wrong location, or submittals with inadequate copies are considered nonresponsive and must be rejected. Submittal of additional information after the due date must not be allowed.

Documentation of when each proposal was received must be maintained in the project files.

Copies of date stamped envelope covers or box tops are recommended. The members of the consultant selection committee must evaluate each proposal according to the technical criteria listed in the RFP. Minimum of three proposals must be received and evaluated. If only two proposals are received, a justification must be documented to proceed with the procurement.

The justification should state that the solicitation did not contain conditions or requirements that arbitrarily limited competition per 23 CFR 172.7(a)(1)(iv)(D) and competition is determined to be inadequate and it is not feasible or practical to re-compete under a new solicitation per 23 CFR 172(a)(3)(iii)(C). If only one proposal is received, a Non-Competitive process must be justified and an Exhibit 12-F: Cost-Effectiveness / Public Interest Finding / A&E Noncompetitive must be documented and signed by the DLAE. In either case, the re-advertisement of the RFP should be considered as an option.

The committee must also evaluate reference checks and other information gathered independently. Reference checks must be completed, and other information gathered before the interviews are conducted. If necessary, the results of the reference checks or other information may be discussed with the highest ranked qualified consultants at the interviews.

Develop Final Ranking and Notify Consultants of Results The selection committee evaluates each proposal, interviews the three or more highest ranked consultants (short listed) if noted in solicitation, and develops a final ranking of the highest ranked consultants. All consultants that submitted proposals must be informed about the final ranking of consultants. It is important that all competing consultants receive the same information.

Most consultants will request information as to why they were not the highest ranked. The LPA may have an established procedure adopted for conducting debriefings but may also consider the following: The selection committee should keep notes as to why a particular consultant was not selected. When a consultant requests debriefing, the reasons for not being selected must be objective reasons. The consultant should not be compared to others and should not be provided with information about other consultants during this debriefing. Normally, the Contract Administrator does the debriefing; however, any member of the selection committee may be designated to do the debriefing.

Negotiate Contract with Top-Ranked Consultant
Cost proposal (for both prime consultant and all subconsultants), and contract audit and review documents such as the Certification of Indirect Costs and Financial Management System and Financial Document Review Request forms, whichever is applicable (see Section 10.1.3: A&E Consultant Audit and Review Process) should be submitted in a separate sealed envelope.

Typically, the cost proposals are submitted by the short-listed consultants only, at time of interview. However, if time is of the essence and it can be justified, or if no interviews are planned, the cost proposal can be requested from all consultants with their technical proposal.

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The cost proposal for the most qualified consultant will be opened and used to begin negotiations. If agreement cannot be reached, then negotiations proceed to the next most qualified consultant. Each consultant’s cost proposal must remain sealed until negotiations commence with that particular consultant. The goal of negotiations is to agree on a final contract that delivers the services, or products required at a fair and reasonable cost to the LPA. At the completion of successful cost negotiations, all remaining sealed envelopes containing cost proposals must be returned to consultants.

Cost proposals in electronic form must be submitted separately from the RFP and contained in a secure database that is inaccessible to the members involved in the A&E consultant contract procurement process. Only the cost proposal of the most qualified consultant will be requested to be sent to the members. Cost proposals of unsuccessful consultants are confidential and must not be opened by the LPA or any private entity that the LPA uses to store the cost proposals. Any concealed cost proposals of the unsuccessful consultants must be returned unopened or properly disposed of in accordance with the LPA’s written policies and procedures.

The independent cost estimate, developed by the LPA in advance of requesting a cost proposal from the top-ranked consultant, is an important basis and tool for negotiations or terminating unsuccessful negotiations with the most qualified consultant. Items necessary for the independent cost estimate include, hours/detailed work, direct labor costs, indirect labor costs, other direct costs, and profit/fee. Agencies must retain documentation of how the cost estimate was developed. It can be revised, if needed, for use in negotiations with the next most qualified consultant. A contract audit and review may be required (see Section 10.1.3: A&E Consultant Audit and Review Process in this chapter). LPA Contract Administrator ensures that all required documentations are provided to Caltrans IOAI within 10 days of written request, including all documents for a Financial Review, if applicable. Caltrans IOAI will not proceed with a Financial Document Review until all required documentation is completed correctly and submitted.

Negotiations should be finalized after addressing all deficiencies noted in the Caltrans IOAI Financial Review Letter if applicable. An indirect cost audit may be performed within the record retention period of the contract.

Items typically negotiated include:
• Work plan;
• Schedule and deadlines (for deliverables and final duration of contract); • Products to be delivered;
• Classification, wage rates, and experience level of personnel to be assigned; • Cost items, payments, and fees. Fee is required to be negotiated as a separate element;
• Hours, level of effort by task and/or classification.

The consultant’s ICR is not a negotiable item. A lower rate cannot be negotiated by the LPA.

The LPA and the consultant will agree on the final cost proposal and incorporate into final contract. Retain all documentation related to negotiations.

Before executing the consultant contract, the LPA must review contract to ensure that all federal and state requirements have been met and adjustment or denial of ICR as identified in the Financial Review Letter has been included in the final cost proposal, if applicable.

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Prior to contract award, or after contract award but no later than the first invoice, the LPA must submit a completed A&E Consultant Contract form for all new federal funded A&E consultant contracts using the A&E Consultant Contract database at:
https://dla.dot.ca.gov/fmi/webd/AE%20Consultant%20Contract%20Form (Firefox or Chrome browser). Submission of the A&E Consultant Contract form is not required for non-A&E consultant contracts.

If there are any changes requiring an amendment to the contract after submittal of the A&E Consultant Contract form, refer to Section 10.1.8: Contract Amendments of this chapter.

10.1.6 Consultant Selection Using the One-Step RFQ Method The RFQ method is used when the services being procured are specialized, or the scope of work is defined broadly and may include multiple projects.

Appoint Consultant Selection Committee
A consultant selection committee with a minimum of three members is appointed at the beginning of the consultant selection process. The committee reviews and scores the materials submitted by consultants in response to the RFQ, develops a short list of qualified consultants, interviews those consultants, and develops a final ranking of the most qualified consultants.

Representation on the committee includes the Contract Administrator and subject matter experts from the project’s functional area. The members should be familiar with the scope of work to be contracted out and with the LPA standards that will be used in the contract.

Participation by a Caltrans district representative is at the option of the LPA and subject to the availability of the DLAE staff. Caltrans participation on the interview panel does not relieve the LPA of its responsibility to ensure that proper procurement procedures are followed, and all requirements are met.

Conflict of Interest & Confidentiality Statement.

Develop Technical Criteria for Evaluation of Qualifications The Contract Administrator is responsible for developing the technical criteria, and their relative importance which are used to evaluate and rank the consultant qualifications. In-State or local preference must not be used as factor in the evaluation, ranking, and selection phase. Local presence and DBE participation are the only two non-qualifications-based evaluation criteria that are permitted, however, the combined total of these criteria cannot exceed a nominal value of 10 percent of the total evaluation criteria (23 CFR 172.7(a)(1)(iii)(D)). All price or cost related items which include, but are not limited to, cost proposals, direct salaries/wage rates, indirect cost rates, and other direct costs are prohibited from being used as evaluation criteria.

The criteria and relative weights must be included in the RFQ, and the same criteria and relative weights must be used in the evaluation sheets. Failure to include criteria and relative weights and to use the same criteria and weights during the evaluation will result in the contract costs being ineligible for federal or state reimbursement. Exhibit 10-B: Suggested Consultant Evaluation Sheet is a recommended evaluation sheet with criteria and rating points for A&E consultants, where cost is not used as a rating factor. This format is not mandatory, but it is recommended in the interest of developing consistency among the hundreds of agencies and Local Assistance Procedures Manual Chapter 10
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consultants operating in the State. The LPA should consult with the DLAE before making major changes to the suggested approach.

Develop Schedule for Consultant Selection
Before a contract is advertised, the Contract Administrator completes a contract procurement schedule including key dates for consultant selection activities. The Contract Administrator should confirm target dates with all selection committee members before completing the schedule.

Prepare RFQ
As a minimum, the RFQ generally includes the following:
• General description of the services or project(s);
• Scope of work;
• Schedule of work (including contract begin and end dates); • Method of payment, and cost proposal requirements. The cost proposal is submitted in a separate sealed envelope. See sample cost proposals at the DLA Consultant Selection and Procurement website;
• Contract audit and review process requirements (see Section 10.1.3: A&E Consultant Audit and Review Process);
• Statement of Qualification (SOQ) format and required content to be submitted; • Method and criteria and weights for selection;
• A DBE contract goal is specified in the solicitation (see Exhibit 10-I: Notice to Proposers DBE Information), if a federal-aid contract;
• Consultants acting in a management support role requirements Exhibit 10-U: Consultant in Management Support Role Conflict of Interest and Confidentiality Statement; Protest procedures and dispute resolution process per 2 CFR 200.318(k) and 23 CFR 172.5(c)(18).

The RFQ specifies the content of the SOQ, the number of copies required, due date, mailing address, and a physical address where the submittals may be hand-delivered if different from the mailing address. Two to four weeks is usually allowed between the time the RFQ is published and time that SOQs must be submitted. More time may be required for complex contracts or scope of work.

Items typically required in a statement of qualification include:
• Qualifications of key personnel (including consultant project manager) proposed for the contract. Key team members identified in the original proposal/cost proposal must not change (be different than) in the executed contract;
• Staff resumes;
• Related projects that key personnel have worked on;
• Qualifications/experience of the firm;
• Organizational chart;
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• Forecast or Schedule of work;
• Consultant DBE Commitment document, see Exhibit 10-O1: Consultant Proposal DBE Commitment;
• References.

Financial Management and Accounting System Requirements The LPA must ensure that Consultant contract solicitation and advertising documents (RFQs) clearly specify that contracts must not be awarded to a consultant without an adequate financial management and accounting system as required by 48 CFR 16.301-3, 2 CFR 200, and 48 CFR

31. The LPA must ensure the selected consultants have adequate financial management systems as required by the applicable federal regulations.

Advertise for Consultants
The solicitation process for consultant services must be by public advertisement or any other public forum or method that assures qualified in-state and out-of-state consultants are given a fair opportunity to be considered for award of contract. The RFQ must contain sufficient project work information, so that interested consultants can submit an appropriate SOQ.

Advertisements for RFQ may take one of two approaches. The most common is an advertisement or publication of the RFQ in a major newspaper of general circulation, technical publication of widespread circulation, professional associations and societies, recognized DBE organizations, web hosting or clearing houses known for posting contract solicitations such as Bid Sync, PlanetBids, or posting the RFQ on other widely used websites. To document website postings, the LPA should retain copies of screen shots displaying the posted begin/end dates.

In the second approach, the LPA advertises the availability of the RFQ in a major newspaper of general circulation, technical publications of widespread circulation, professional associations and societies, recognized DBE organizations, or through a web hosting or clearing houses known for posting contract solicitations such as BidSync or PlanetBids, and requests that interested consultants send a letter of interest to the LPA for the RFQ. The RFQs must then be sent to those firms who indicated interest in the RFQ. In some cases, it may be desirable to advertise nationwide for a particular project or service. This approach provides a registry for firms who received the RFQ and therefore facilitates the broadcast of any revisions or addenda to the RFQ, if necessary.

Issue/Publish RFQ
The LPA must publish the RFQ online and also issue the RFQ to all consultants responding to newspaper advertisement. The LPA must keep a record of all consultants that have downloaded the RFQ online as well as those receiving an RFQ through other means, to ensure that any inquiry responses, addendums, or amendments to the RFQ are given to all consultants that received the RFQ.

Receive/Evaluate Statements of Qualifications and Develop Short List The first step in the evaluation process is to determine that each SOQ contains all forms and other information required by the RFQ. Otherwise, the submittals may be considered nonresponsive and rejected without evaluation. Late submittals, submittals to the wrong location, and submittals with inadequate copies are considered nonresponsive and must be rejected. Submittal of additional information after the due date must not be allowed.

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Documentation of when each proposal was received must be maintained in the project files.

Copies of date stamped envelope covers or box tops are recommended.

Minimum of three proposals must be received and evaluated. If only two proposals are received, a justification must be documented to proceed with the procurement. If only one proposal is received, a Non-Competitive process must be justified, and an Exhibit 12-F: Cost Effectiveness / Public Interest Finding / A&E Noncompetitive must be documented and signed by the DLAE. In either case, the re-advertisement of the RFP should be considered as an option.

The consultant selection committee reviews the submitted SOQ according to the published evaluation criteria and weighting factors. The committee makes an independent random check of one or more of the consultant’s references. This check applies to major subconsultants also.

The committee establishes a short list of consultants who are considered to be best qualified to perform the contract work. The short list includes enough qualified consultants to ensure that at least three consultants are interviewed.

Notify Consultants of Short List
All consultants that submitted an SOQ must be notified of the results of the review. The notification also identifies those consultants (short list) that will be requested to attend interviews if interviews were an option in the solicitation. Most consultants will request information as to why they were not placed on the short list. Therefore, the selection committee should keep notes why a particular consultant was not selected for the short list. When a consultant requests a debriefing, the reasons given for not being selected must be objective reasons. Consultants should not be compared with each other during the debriefing. Normally, the Contract Administrator does the debriefing; however, any member of the selection committee may be designated to do the debriefing.

Interview Top-Ranked Consultants
Each consultant to be interviewed is given a copy of the draft of the proposed contract, defining the detailed scope of work, and/or description of required services, and other information. This should be sent with the initial notification of the interview.

Between the time of the notification of the short list and interviews, the LPA may answer any questions concerning the scope of work to be contracted out, if not done earlier during the solicitation. In addition, the LPA may conduct additional reference checks for each consultant to be interviewed. Consultants should submit their questions about the RFQ and receive their answers from the LPA in writing. It is required that all consultants on the short list receive the questions and answers and are given the same information.

The committee should evaluate reference checks and other information that is gathered independently. Reference checks must be completed, and other information gathered before the interviews are conducted. If necessary, the results of the reference checks and other information may be discussed with the consultant at the interview.

Interviews are to be structured and conducted in a formal manner. Each consultant must be allowed the opportunity to make a presentation if desired; however, a time limit should be specified. Interview questions are prepared in advance.

Two types of questions may be asked:
• Questions that are to be asked of all competing consultants, and Local Assistance Procedures Manual Chapter 10
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• Questions relating to each specific consultant, based upon the reference checks, and the strengths and weaknesses identified during evaluation of the SOQ
The agency can request competing consultants to bring additional information or examples of their work to the interviews; if the additional information facilitates the interview or evaluation process. Additional information requested should be kept at a minimum, that is, only information required to select the most qualified consultant for the contract. The selection committee or LPA must not gather additional information concerning the consultants after the interviews are completed.

Develop Final Ranking and Notify Consultants of Results All consultants interviewed must be informed about the final ranking of consultants. It is important that all competing consultants receive the same information.

Most consultants will request information as to why they were not selected as the most qualified.

Therefore, the selection committee should keep notes as to why a particular consultant was not selected. When a consultant requests debriefing, the reasons for not being selected must be objective. Consultants should not be compared with each other or provided with information about other consultants during the debriefing.

Normally, the Contract Administrator does the debriefing; however, any member of the selection committee may be designated to do the debriefing. The next two sections provide guidance when the RFQ is solicited for specialized services and additional information is required prior to cost negotiations with consultant. For on-call contracts, skip the next two sections and begin Negotiation phase.

Conduct Scoping Meeting
The Contract Administrator should meet with the first-ranked consultant’s project manager to review the project, and to ensure that the consultant has a complete understanding of the work that is required. The consultant is shown as much material as is available regarding the project.

Any technical questions regarding the project are answered for the consultant.

Request Cost Proposal
The first-ranked consultant is asked to provide a cost proposal to perform the work described in the draft contract and discussed at the scoping meeting. The work is to be performed according to the conditions described in the draft contract using the payment method described therein.

Alternatively, if time is of the essence and it can be justified, sealed cost proposals may be requested from all of the consultants on the short list.

If the contract involves more than one project, the consultant must provide a separate cost proposal for each project in addition to a summary cost proposal for the total contract. If the contract involves milestones, the consultant must furnish a separate cost proposal for each milestone with a summary cost proposal for the total costs. If the contract involves subconsultants, the prime consultant must include a separate cost proposal for each subconsultant. Each subconsultant’s cost proposal must follow the same format as the prime consultant’s cost proposal.

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Negotiate Contract with Top-Ranked Consultant
Cost proposals (for both prime consultant and all subconsultants), and contract audit and review documents such as Certification of Indirect Costs and Financial Management System and Financial Document Review Request forms, whichever applicable (see Section 10.1.3: A&E Consultant Audit and Review Process), will be submitted in a separate sealed envelope.

After the top-ranked consultant submits a sealed cost proposal, the LPA reviews the cost proposal and compares it with the LPA’s confidential detailed independent cost estimate and enters into negotiations. The goal of negotiation is to agree on a final contract that delivers to the LPA the services or products required at a fair and reasonable cost.

Negotiations should commence with the most qualified consultant. If agreement on a fair and reasonable price cannot be reached, negotiations should then be formally terminated.

Negotiations then proceed to the next most qualified consultant, and so on. Each consultant’s cost proposal must remain sealed until negotiations commence with that particular consultant.

At the completion of successful cost negotiations, all remaining sealed envelopes containing cost proposals must be returned to consultants.

Cost proposals in electronic form must be submitted separately from the RFQ and contained in a secure database that is inaccessible to the members involved in the A&E consultant contract procurement process. Only the cost proposal of the most qualified consultant will be requested to be sent to the members. Cost proposals of unsuccessful consultants are confidential and must not be opened by the LPA or any private entity that the LPA uses to store the cost proposals. Any concealed cost proposals of the unsuccessful consultants must be returned unopened or properly disposed of by permanently deleting the cost proposals in accordance with LPA’s written policies and procedures.

A contract audit and review may be required (see Section 10.1.3: A&E Consultant Audit and Review Process earlier in this chapter). LPA Contract Administrator is responsible for the submittal of all required documentations to Caltrans IOAI in a timely fashion, including all documents for a Financial Review, if applicable. Caltrans IOAI will not proceed with a Financial Review until all required documentation is completed correctly and submitted. Negotiations may be completed after receipt of the Caltrans IOAI Financial Review Letter. An indirect cost audit may be performed within the record retention period of the contract.

The items typically negotiated include:
• Work plan;
• Staffing plan;
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• Schedule (including contract begin and end dates);
• Products to be delivered;
• Classification, wage rates, and experience level of personnel to be assigned; • Cost items, payments, and fee. Fee is required to be negotiated as a separate element.

The consultant’s ICR is not a negotiable item. A lower rate cannot be negotiated by the LPA.

For on-call contracts, typically a price agreement is reached based on specific rate of compensation for the term of the contract. The subsequent task orders (or mini agreements for individual project work) is negotiated based on cost plus fee, or lump sum, which is derived from the wage rates agreed upon earlier for the on-call contract.

Before executing the consultant contract, the LPA must review the contract to ensure that all federal and state requirements have been met, and receive Caltrans IOAI’s Financial Review acceptance letter, if applicable.

Prior to contract award, or after contract award but no later than the first invoice, the LPA must submit a completed A&E Consultant Contract form for all new federal-funded A&E consultant contracts using the A&E Consultant Contract database at https://dla.dot.ca.gov/fmi/webd/AE%20Consultant%20Contract%20Form (Firefox or Chrome browser).

If there are any changes to the contract after submittal of the A&E Consultant Contract form, refer to Section 10.1.8: Contract Amendments of this chapter.

10.1.7 Consultant Selection Using the Two-Step RFQ/RFP Method Combined RFQ and RFP
Selecting consultants using the Two-Step RFQ/RFP method requires combining certain steps from each of the other two methods previously described. The consultants are rated based upon both their qualifications and their technical proposals. This procurement procedure involves a two-step process with issuance of a request for qualifications (RFQ) whereby responding consultants are evaluated and ranked based on qualifications and a request for proposal (RFP) is then provided to three or more of the most highly qualified consultants. The two-step method leads to an executed project specific contract.

A different process may also be used that includes assessing minimum qualifications of consultants to perform services under general work categories or areas of expertise through a pre-qualification process whereby annual statements of qualifications and performance data are encouraged. These consultants are not ranked, and an RFP must be submitted to the entire list for evaluation and consideration. Regardless of any process utilized for pre-qualification of consultants or for an initial assessment of a consultant's qualifications under a RFQ, a RFP specific to the project, task, or service is required for evaluation of a consultant's specific technical approach and qualifications.

The initial steps in the Two-Step RFQ/RFP method (up to the development and notification of the short list) are similar to the steps followed when using the One-Step RFQ method. At this point, the consultants from the short list are issued an additional RFP. The remaining steps are the same as the later steps followed in the One-Step RFP method. Because it is a combination of the One-Step RFQ and One-Step RFP methods, this method of consultant selection requires Local Assistance Procedures Manual Chapter 10
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more work and time than the other two methods. Consequently, the Two-Step RFQ/RFP method is recommended for use only when the scope of work is not clearly known, very complex, or unusual.

The Two-Step RFQ/RFP is also well-suited for procuring multiple on-call contracts through a single solicitation (see Section 10.1.2 Determine Type of Contract). The outcome of the first step RFQ will be multiple contracts, or on-call list of consultants. For multiple on-call contracts, project work will be procured through subsequent competition or mini-RFPs amongst the on-call consultants.

LPAs may also use the Two-Step RFQ/RFP method to:

1. Develop and maintain a pre-qualified file/list of consultant firms by specific work categories or areas of expertise. This list includes all consultants that meet the minimum published pass/fail requirements. The pre-qualified list can be updated annually or at least every two years and must be maintained by the agency. This list has not gone through the evaluation process.

2. Create a short list of evaluated and ranked consultants that leads to executed contracts Because it is a combination of the One-Step RFQ and One-Step RFP methods, the Two-Step RFQ/RFP method of consultant selection requires more work and time than the other two methods. Consequently, the combined RFQ/RFP method is recommended for use when the scope of work is very complex or unusual.

Categorize Work
Descriptions of the categories of work, deliverables, and the minimum qualification standards for each category must be clearly identified.

The LPA may prequalify consulting firms in the following (or more) categories:
• Roadway Design
• Bridge Design
• Bridge Inspection
• Traffic Engineering
• Environmental Services
• Roadway Construction Inspection and Administration
• Landscape Architecture
• Land Surveying
• Intelligent Transportation System (ITS)
• Federal–aid Highway Project Development Support Services Establish Minimum Qualifications
In an effort to ensure quality performance and results, a consultant should be required to meet certain minimum qualifications to be eligible for consideration in the pre-qualification process.

General criteria guidelines should be established for consultant selection for a pre-qualified list.

The criteria may be established by an individual or a panel of subject matter experts for the specific task of developing the criteria. Some agencies also establish appropriate weights for Local Assistance Procedures Manual Chapter 10
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each criterion. It may be necessary to modify the criteria to fit specific cases. When a RFQ is published, it should state the criteria that will be used in the selection process.

Criteria for evaluating statements of qualifications, may include but are not limited to:
• Special expertise and experience of the firm’s key employees • Proposed staffing (include number of licensed and specialized staff) for the project and previous experience of those identified
• Experience of the firm and their personnel on previous projects similar to the one under consideration
• Consultant DBE Commitment document (see Exhibit 10-O1: Consultant Proposal DBE Commitment)
• Professional references by the firm with the LPA
• Understanding of the project by the firm as demonstrated by their approach to organizing and management of the work
• Current workload of the firm and their ability to meet the proposed project schedule • Quality of previous performance by the firm with the LPA • Use of subconsultants to accomplish work on the project • Equipment the firm has available and proposes to use as compatibility with ComputerAided Drafting and Design (CADD) and other equipment proposed to be used in accomplishing the work
• Familiarity with federal, state, and local codes, requirements, standards, and procedure • Examples of minimum qualifications for work categories above are provided here based on Caltrans best practices
Issue RFQ
The need for services of a consulting firm may be advertised in appropriate national, state, and local publications and web sites. Notices can also be sent to firms known to be qualified to do specific work, to professional societies, and to recognized Disadvantaged Business Enterprises (DBE) organizations. The advertisements and notices seek statements of interest and qualifications from consultants who are interested in the project. The DBE goal is established at the master on-call contract and included in the solicitation document.

The SOQ should list consulting firm details, names of principals, office locations, personnel by discipline, project experience and examples, current workload, types of service the firms are qualified to perform, and previous performance. Also, resumes of key persons, specialists, and other associates that may be assigned to the project or projects should be included. This information should be the basis for evaluating and placing a consulting firm on a general prequalification list.

Federal regulations require that any procedures related to prequalifying consultants cannot restrict competition.

Pre-qualification of consultants may be allowed as a condition for submitting a technical proposal for a contract only if the period between the date of the issuance of the RFP and the deadline for submitting a technical proposal affords sufficient time to enable a consultant to obtain pre-qualification status.

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Another practice is to qualify consultants on a project-by-project basis. This is accomplished for some agencies by advertising or publishing notices in national, state, and local publications for needed services for specific, individual projects. These notices include a precise project location, a defined preliminary scope of services to be performed, a specific schedule within which the work is to be completed, and a list of products and deliverables to be provided by the consultant. Specific project advertisements usually are published when the proposed project is large and complex, in-house resources are not available, special expertise is required, or the objectivity of an outside authority is desired.

Appropriate federal-aid requirements should be complied with on federal-aid projects.

Set-Up Evaluation Process
The first step in the evaluation process is to determine that each SOQ contains all forms, qualifications, and other information required by the RFQ. Otherwise, the submittals may be considered nonresponsive and rejected without evaluation. Documentation of when each SOQ was received must be maintained in the project files. Copies of date stamped envelope covers or box tops are recommended.

If all required information is not provided, a SOQ may be considered nonresponsive and rejected without evaluation. Late submittals, submittals to the wrong location, or submittals with inadequate copies are considered nonresponsive and must be rejected. Submittal of additional information after the due date must not be allowed.

The LPA must establish a process by which SOQs are evaluated and consultants who are deemed meeting the minimum qualifications are accepted and placed on a pre-qualified list.

Whether the LPA has a “committee” of experts evaluating the SOQs or individuals responsible for the evaluation, the process must be well-defined, open, and transparent. The prequalification process must also allow for consultants to be re-evaluated in cases of denials. The LPA must specify how long the pre-qualified list lasts, not to exceed two years. Federal regulation recommends refreshing the SOQs on an annual basis.

Conflict of Interest and Confidentiality Statement.

Evaluate Qualifications and Add Firm to List
All SOQs received should first be reviewed for completeness. Each response must contain all required forms and any other information requested in the advertisement. The response may be considered incomplete and rejected without further evaluation if all required information is not provided or if the submittal is late.

The qualifications of all responding firms are then reviewed according to established evaluation criteria or factors. The agency then establishes a short list of at least three consultants that are determined to be the most highly qualified to perform the required work. Firms not selected should be notified in writing.

Maintain List
Pre-qualification of a consultant expires in two years. Pre-qualified consultants must renew their pre-qualification status every two years. Firms can apply to be on the list at any time. After a period of two years, firms should re-apply (repeat the process of submitting SOQs) to be on the list. In addition to the required two-year renewal process, the consultant should also be required Local Assistance Procedures Manual Chapter 10
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to update the firm’s organizational structure within one year when there is a corporate/affiliate change, ownership control, type of work expertise, capacity, or any other major change.

If the consultant does not meet the minimum requirements and their SOQ is rejected, the committee must respond to the consultant explaining the reason for their rejection. The consultant is allowed to reapply to be on the list again provided the reasons for rejection are corrected.

The list of qualified firms can be maintained online through the agency’s website. Firms can also apply to be on the list through the agency website for ease of operation.

Issue RFP to Pre-qualified Consultants on List
An RFP is sent to the short-listed firms. The RFP should indicate the content of the technical proposal, technical review procedures, anticipated schedule of activities, scope of work, project description, where the technical proposals are to be delivered, the number of copies required, and the due date.

Some agencies receive the technical proposal orally as part of an interview conducted for this purpose. In these cases, written documentation may not be required.

Items typically required in a technical proposal include:
• Work plan
• Organization plan
• Schedule for meeting time frame
• Available computer equipment and programs
• Staffing plan and resumes including subconsultants
• Pre-award audit/financial package information (if deemed appropriate) • Examples of similar work previously completed
• Subconsultants, DBE, their proposed participation, and other related information Conduct Proposer’s Conference or Answer Written Questions The LPA may allow for clarification of the RFP by inviting submittal of written questions or by conducting a proposer’s conference, or by doing both. The LPA must publish or mail their responses to any written questions to all consultants receiving the RFP. No response should be given to verbal questions. It is important that all competing consultants receive the same information. If a proposer’s conference is to be held, the exact time and place must be specified in the RFP. Attendance at a proposer’s conference normally is not mandatory. However, consultants not attending the conference do not receive notes from the meeting unless they request the notes.

Receive and Evaluate Technical Proposals
The Contract Administrator must verify that each technical proposal contains all forms and other information required by the RFP. If all required information is not provided, a technical proposal may be considered nonresponsive and rejected without evaluation. Late submittals, submittals to the wrong location, or submittals with inadequate copies are considered nonresponsive and must be rejected. Submittal of additional information after the due date must not be allowed.

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Documentation of when each technical proposal was received must be maintained in the project files. Copies of date stamped envelope covers or box tops are recommended.

A consultant selection committee with a minimum of three members is appointed at the beginning of the consultant selection process. The members of the consultant selection committee must evaluate each technical proposal according to the technical criteria listed in the RFP. A minimum of three technical proposals must be received and evaluated.

If only two technical proposals are received, a justification must be documented to proceed with the procurement. If only one technical proposal is received, a Non-Competitive process must be justified, and an Exhibit 12-F: Cost-Effectiveness / Public Interest Finding / A&E Noncompetitive must be documented. In either case, the re-advertisement of the RFP should be considered as an option.

Develop Final Ranking and Notify Consultants of Results The selection committee discusses and documents the strengths and weaknesses of each technical proposal, interviews the three or more highest ranked consultants (short listed), and develops a final ranking of the highest ranked consultants. All consultants that submitted technical proposals must be informed about the final ranking of consultants. It is important that all competing consultants receive the same information.

Most consultants will request information as to why they were not the highest ranked. Therefore, the selection committee should keep notes as to why a particular consultant was not selected.

When a consultant requests debriefing, the reasons for not being selected must be objective reasons. The consultant should not be compared to others and should not be provided with information about other consultants during this debriefing. Normally, the Contract Administrator does the debriefing; however, any member of the selection committee may be designated to do the debriefing.

Request Cost Proposal and Negotiate Contract with Top-Ranked Consultant The first-ranked consultant is asked to provide a cost proposal to perform the work described in the draft contract and discussed at the scoping meeting. The work is to be performed according to the conditions described in the draft contract using the payment method described therein.

Alternatively, if time is of the essence and it can be justified, sealed cost proposals may be requested from all the consultants on the short list.

Cost proposals (for both prime consultant and all subconsultants) and contract audit and review documents, such as Certification of Indirect Costs and Financial Management System and Local Assistance Procedures Manual Chapter 10
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Financial Document Review Request forms, whichever applicable (see Section 10.1.3: A&E Consultant Audit and Review Process), will be submitted in a separate sealed envelope.

After the top-ranked consultant submits a sealed cost proposal, the LPA reviews the cost proposal and enters into negotiations. The goal of negotiation is to agree on a final contract that delivers to the LPA the services or products required at a fair and reasonable cost.

Negotiations should commence with the most qualified consultant. If agreement on a fair and reasonable price cannot be reached, negotiations should then be formally terminated.

Negotiations then proceed to the next most qualified consultant, and so on. Each consultant’s cost proposal must remain sealed until negotiations commence with that particular consultant.

At the completion of successful cost negotiations, all remaining sealed envelopes containing cost proposals must be returned to consultants.

A contract audit and review may be required (see Section 10.1.3: A&E Consultant Audit and Review Process). The LPA Contract Administrator is responsible for the submittal of all required documentations to Caltrans IOAI in a timely fashion, including all documents for a Conformance Review, if applicable. Negotiations may be completed after receipt of the Caltrans IOAI Conformance Letter. An indirect cost audit may be performed within the record retention period of the contract.

Items typically negotiated include:
• Work plan
• Schedule and deadlines (for deliverables and final duration of contract) • Products to be delivered
• Classification, wage rates, and experience level of personnel to be assigned • Other Direct Cost items, and profit or fee
The consultant’s ICR is not a negotiable item. A lower rate cannot be negotiated by the LPA.

The LPA and the consultant will agree on the final cost proposal and incorporate into final contract.

Before executing the consultant contract, the LPA must review the contract to ensure that all federal and state requirements have been met.

10.1.8 Completing the Project
Develop the Final Contract
The Contract Administrator requests a revised cost proposal from the consultant after:
(1) negotiations have been completed, (2) the LPA and consultant have agreed to a fair and reasonable price, and (3) a letter, if applicable, is released by Caltrans IOAI that accepts, denies, or makes an adjustment to the proposed ICR. The Contract Administrator should review Local Assistance Procedures Manual Chapter 10
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the revised cost proposal to ensure that all the items and changes discussed during negotiation were included. This revised cost proposal then becomes the final cost proposal and is attached to and made a part of the consultant contract. Sample contract language and format have been included as Exhibit 10-R: A&E Boilerplate Agreement Language.

The Contract Administrator has responsibility to ensure that the final negotiated contract is complete and has verified that all required backup documents have been provided. Copies of the contract are sent to the consultant for signature first.

Review and Approval of Contracts
Proposed contracts for consultant services (including subcontracted work) must be reviewed by the LPA to verify that:
• Compensation is fair and reasonable and includes prevailing wage rates, if applicable; • Work activities and schedules are consistent with the nature and scope of the project; • DBE goal Exhibit 10-O2: Consultant Contract DBE Commitment is included for all contracts regardless of goal;
• Certification of Indirect Costs and Financial Management System (for prime consultants and subconsultants) and Financial Document Review Request forms and all supporting documents, if applicable (contracts at or above $1 Million), have been submitted to Caltrans IOAI;
• If applicable, adjustment or denial of the ICR identified in the Financial Review Letter have been included in the final cost proposal;
• A&E Consultant Contract database must be used to ensure that required documentation has been provided;
• A cost proposal must include the costs of materials, direct salaries, payroll additions, other direct costs, indirect costs, fees, and backup calculations.

Before approving a contract for consulting services, the Contract Administrator must be satisfied that the consultant’s organization:
• Is qualified to perform the services required;
• Is in a position, considering other work commitments, to provide competent and experienced personnel to perform the services in the time allowed; • Is fully aware of all applicable federal and state laws including implementing regulations, design standards, specifications, previous commitments that must be incorporated into the design of the project, and administrative controls including those of Caltrans and FHWA.
• Has an adequate financial management system as required by the applicable federal regulations.
• Is not disbarred or suspended from state or federally-funded contracts. Per 23 CFR 172.7(b)(3) “A contracting agency shall verify suspension and debarment actions and eligibility status of consultants and subconsultants prior to entering into an agreement or contract in accordance with 2 CFR 1200 and 2 CFR 180.”
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The contract must provide for a defined level of acceptability and a statement to the effect that the consultant may be required to modify its work as necessary; to meet that level of acceptability as defined in the contract. The contract must provide for LPA reviews at appropriate stages during performance of the work, to determine if any changes or other actions are warranted.

The contract must provide that the consultant and subconsultants must maintain all books, documents, papers, accounting records, and other information pertaining to costs incurred.

Such materials must be available for inspection and audit by federal, state, and LPA authorized representatives; and copies thereof must be furnished, if requested.

Following final settlement of the contract accounts with the State or FHWA, such records and documents may be archived at the option of the LPA and must be retained for a three-year period after processing of the final voucher by FHWA.

Execute Contract and Issue Notice to Proceed to Consultant The Contract Administrator sends the consultant a fully executed copy of the contract with an original signature and issues a notice to proceed. Funds may not be used to reimburse the agency for any work or costs incurred before the Authorization to Proceed is issued, or for consultant costs incurred prior to the execution of the consultant contract. All executed on-call contracts must have a begin and end date. All executed project-specific or multiphase contracts must have a begin date and should have an end date prior to the Project End Date. Work performed after the Project End Date is not eligible for reimbursement; see LAPM Chapter 3:

Project Authorization. LPA consultant selection and contract execution costs may be reimbursable.

For on-call contracts, a fully executed copy of the contract with original signatures will be sent to the consultant. Each subsequent task order (for individual project) will be accompanied with a copy of the signed task order and a Notice to Proceed, once it is negotiated and approved. Task order expiration dates must not exceed the Master On-call agreement end date.

Administer the Contract
Project work begins as specified in the contract after the notice to proceed is issued to the consultant. Thereafter, the LPA manages and administers the contract to ensure that a complete and acceptable product is received on time, within standards, and within budget and terms of the contract.

Contract administration activities help to ensure that contractual obligations are completed satisfactorily. Generally, these activities include:
• Monitoring project progress and compliance with contract requirements; • Receiving, reviewing, and assessing reports, plans, and other required products/ deliverables;
• Receiving and reviewing state prevailing wages (see Department of Industrial Relations websites below):
o DIR FAQ website: http://www.dir.ca.gov/OPRL/FAQ_PrevailingWage.html o DIR Wage Determination website:
http://www.dir.ca.gov/oprl/DPreWageDetermination.htm
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• Reviewing invoices to ensure costs claimed are in accordance to the method of payment and contract cost proposal, approving payments;
• If new consultant personnel are added or substituted, labor rates must be verified prior to approving invoices.
• Record keeping and reporting;
• Controlling costs;
• Identifying changes to the scope of work and preparation of amendments (must ensure that any changes to the scope is within the constraints of the original RFP/RFQ; • Completing the consultant performance evaluations (see Exhibit 10-S: Consultant Performance Evaluation).

Substitution of Consultant Personnel and Subconsultants After contract execution the consultant should not substitute key personnel (project manager and others listed by name in the cost proposal) or subconsultants without prior written approval from the LPA. Refer to LAPM Chapter 9: Civil Rights & Disadvantaged Business Enterprise and 49 CFR 26 for DBE substitution requirements. To do so can result in the costs being ineligible for federal or state reimbursement. The consultant must request and justify the need for the substitution and obtain approval from the LPA prior to use of a different subconsultant on the contract.

The proposed substituted person must be as qualified as the original, and at the same or lower cost. For engineering types of consultant contracts, the consultant’s project manager must be a registered engineer in the State of California.

Invoicing (or Progress Payments)
The frequency and format of the invoices/progress payments are to be determined by the contract. Program Supplement Agreements (see LAPM Chapter 3: Project Authorization) need to have been prepared prior to any payments being requested. Payments to the consultant are to be in arrears. In other words, the consultant must have actually incurred and paid the costs before invoicing the LPA.

For federal reimbursement of consultant costs on a project, the LPA must submit the following to the DLAE, for each consultant or consulting firm used on the project (failure to do so will result in the consultant’s invoices for reimbursement being returned to the agency unprocessed):
• Copy of Executed Consultant contract;
• Exhibit 10-O1: Consultant Proposal DBE Commitment
• Exhibit 10-O2: Consultant Contract DBE Commitment
• Copy of issued task order and Exhibit 10-O2 for the task order for on-call contracts.

DLAE must confirm that the LPA has submitted copies of the Certification of Indirect Costs and Financial Management System form (for prime consultant and subconsultants) to Caltrans IOAI and that LPA has submitted the A&E Consultant Contract form to Caltrans.

The LPA is to follow the procedures given in LAPM Chapter 5: Invoicing, to obtain reimbursement of federal or state funds.

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Contract Amendments
Contract amendments are required to modify the terms of the original contract for changes such as extra time, added work, or increased costs. Only work within the original advertised scope of services must be added by amendment to the contract. The addition of work outside the original advertised scope will make that work ineligible for federal or state reimbursement (see FHWA’s Q&A for A&E related services).

There is no prescribed format for contract amendments. They may take the form of letter-type agreements meeting the legal requirements of the LPA, clearly outlining the changes and containing a mutually agreed-upon method of compensation. Such agreements must conform to the requirements of this manual with regard to payment.

A consultant contract may be amended at any time prior to the expiration date of the original contract. The most common amendment is to extend the ending date of the contract. All contract amendments must be fully executed before the ending date of the contract by formal amendment. Failure to amend a contract prior to the ending date will make the subsequent costs ineligible for federal and state reimbursement. Task orders are not considered an amendment and therefore not appropriate to extend the terms of the contract.

All contract amendments must be negotiated following the same procedures as the negotiation of the original contract and must be in writing and fully executed by the consultant and LPA before reimbursable work begins on the amendment. For any additional engineering and design related services outside of the scope of work established in the original solicitation, a contracting agency must either procure the series under a new solicitation, perform the work itself using agency staff, or use a different, existing contract under which the services would be within the scope of work. Overruns in the costs of the work must not automatically warrant an increase in the fixed fee portion of a cost-plus-fixed fee reimbursed contract. Permitted changes to the scope of work or duration may warrant consideration for adjustment of the fixed fee portion of cost-plus-fixed fee or lump sum reimbursed contracts. If an emergency exists of such magnitude that a delay cannot be tolerated, the LPA and the consultant may agree on an amendment initiating the work, so that reimbursable work may begin. The initiating amendment is then followed by a final amendment once the full scope of the emergency work is known and agreed to by both parties. In both cases, sufficient funding should be included in the amendments to pay for all work to be performed by the consultant. The final amendment must be executed as quickly as possible. Failure to fully comply with this section may result in the loss of LPA funding. Section 10.1.3: A&E Consultant Audit and Review Process of this chapter must apply to the entire contract and must be completed prior to execution of the contract amendment. For contracts greater than or equal to $1 Million, submit the Financial Document Review Request form to IOAI for all amendments on consultant/subconsultant's name change, amending an ICR, or adding new subconsultant's ICR. ICRs that have not been accepted by IOAI are not eligible for federal or state reimbursement. For contracts with original amounts under $1 Million but subsequently became greater than or equal to $1 Million after amendment, IOAI Financial Document Review is not required. If there are any changes to the contract after submittal of the A&E Consultant Contract form, the LPA must submit an amended form to the A&E Consultant Contract database prior to the first invoice after the contract has been amended. Submission of the A&E Consultant Contract form is not required for non-A&E consultant contracts. All amendments must incorporate any current requirements of the federal regulations including the federal fiscal provisions and submit the A&E Consultant Contract form to the A&E Consultant Contract database prior to the first invoice after the contract has been amended (please use Firefox or Chrome if not supported by your browser).

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Performance Evaluation
Pursuant to 23 CFR 172.9(d)(2) agencies are required to prepare an evaluation of the consultant when the project has been completed. The Contract Administrator evaluates the consultant’s performance after the consultant’s final report has been submitted, and the Contract Administrator has conducted a detailed evaluation with the consultant’s project manager. See Exhibit 10-S: Consultant Performance Evaluation for a suggested format for use by the LPA.

Project Records
Federal-aid Highway Program funding recipients and subrecipients must maintain adequate and readily accessible project performance and financial records, supporting documents, and other records considered pertinent to the grant agreement and in compliance with federal laws and regulations (e.g., 23 USC 112; 40 USC 1101-1104, 23 CFR 172, 48 CFR 31, and 2 CFR 200).

These records must be maintained for a minimum of three (3) years following issuance of the final voucher from FHWA (forwarded by Caltrans) and the closure of all other pending matters (2 CFR 200.334).

For audit purposes, project records and documentation must be kept for three (3) years after payment of the final federal or state voucher. Among the records to be retained are as follows (not an all-inclusive list):
• Copies of RFPs and RFQs, changes, addendums, etc. and bidder’s list; • Documentation of DBE participation (including Exhibit 10-O1: Consultant Proposal DBE Commitment, Exhibit 10-O2: Consultant Contract DBE Commitment), Exhibit 10-G:

Individual A&E Task Order DBE Tracking Sheet, Exhibit 17-F: Final Report – Utilization of Disadvantaged Business Enterprise and First-Tier Subcontractors or Exhibit 17-F1:

Final Report-Utilization of Disadvantaged Business Enterprise for A&E On-Call Contracts, and Exhibit 17-O: Disadvantaged Business Enterprise Certification Status Change.
• Solicitation and advertisement records;
• Identification of selection committee members;
• Record of receiving proposals, statement of qualifications; • Evaluation and ranking records such as original score sheets from all panel members, short list questions, and other documentation (see Exhibit 10-B: Suggested Consultant Evaluation Sheet);
• Independent cost estimate (prepared in advance of requesting a cost proposal from the top-ranked consultant);
• Record of negotiations (to include a separate negotiation of profit in accordance with federal guidelines);
• Financial Review Letter and Cognizant Agency Letter, when applicable; • CPA-audited ICR Audit Report or Approved State DOT Cognizant Indirect Rate Letter, if any;
• Consultant Certification of Costs and Financial Management (Certification of Indirect Costs and Financial Management System form) for contracts at or above $1 Million; Local Assistance Procedures Manual Chapter 10
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• A&E Consultant Audit Request Letter and Checklist (Financial Document Review Request form) for contracts at or above $1 Million and all supporting documentation. • Executed consultant contracts, cost proposals, and amendments (see Exhibit 10-R: A&E Boilerplate Agreement Language);
• Contract oversight and progress meeting documents;
• Progress and final payments, and supporting documentation; • Performance evaluation (see Exhibit 10-S: Consultant Performance Evaluation); • A&E Consultant Contract form (see A&E Consultant Contract database); • Accounting records documenting compliance with State and federal administrative requirements;
• Certifications and Conflict of Interest forms (Exhibit 10-T: Conflict of Interest & Confidentiality Statement, all personnel involved in the procurement of the agreement should complete Exhibit 10-T, Exhibit 10-U: Consultant in Management Support Role Conflict of Interest and Confidentiality Statement, and Exhibit 10-Q: Disclosure of Lobbying Activities, as appropriate). Exhibit 10-Q is included in the solicitation and must be completed if the consultant needs to disclose any lobbying activities.

Retention Clauses
At the option of the LPA, a retention clause may be included in the consultant contract. A retention clause in the consultant contract is recommended (see Exhibit 10-R: A&E Boilerplate Agreement Language, Article VIII).

Review of Local Public Agency Actions
Federal-aid or state reimbursement is contingent on meeting the federal or state requirements and can be withdrawn, if these procedures are not followed and documented. The LPA files are to be maintained in a manner to facilitate future FHWA or Caltrans process reviews and audits.

As specified in the Review and Approval of Contracts above, the Contract Administrator must review the proposed consultant contract before execution.

The A&E Consultant Contract form is to be completed prior to award, or after contract award but no later than the first invoice. A copy of this form must be retained in the LPA project files.

10.1.9 Miscellaneous Considerations
Agreements with Other Governmental Agencies
Intergovernmental or inter-entity agreements are encouraged if appropriate. If another governmental agency is requested to do work or provide services to an agency, an interagency agreement is needed (2 CFR 200, PCC 10340, and California Government Code 11256).

Small Purchase Contracts
Contracts that are less than $250,000 are considered small contracts in accordance with federal regulations. However, within the State of California, there is no recognized small purchase procedure and all A&E contracts are procured using qualifications-based selection and not cost.

For federal contracts that are less than $250,000 and are not anticipated to exceed this amount, the agency must use either Section 10.2: State-Only Funded A&E Contracts or the federal guidance for contracts greater than $250,000. If the contract is anticipated to exceed $250,000, Local Assistance Procedures Manual Chapter 10
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use one of the accepted procurement procedures listed in the previous sections. Small contracts using the simplified acquisition procedure (see Section 10.2: State-Only Funded A&E Contracts) must not exceed $250,000 or the additional costs are considered not reimbursable.

The entire contract could also be considered ineligible by FHWA depending on circumstances.

The scope of work, project phases, and contract requirements must not be broken down into smaller components to permit the use of small purchase procedure. DBE requirements apply for all federally-funded projects.

Noncompetitive Negotiated Contracts (Sole-Source)
Procurement by noncompetitive proposals may be used only when the award of a contract is infeasible under sealed bids or competitive proposals (23 CFR 172.7(a)(3)).

FHWA considers these types of contracts as Sole Source contracts and should be used only in very limited circumstances. An Exhibit 12-F prepared by the LPA and approved by Caltrans is required before establishing these services (23 CFR 172.7(a)(3); also see Exhibit 12-F: CostEffectiveness/Public Interest Finding/A&E Noncompetitive.

Conditions under which noncompetitive negotiated contracts may be acceptable include:
• Only one organization is qualified to do the work;
• An emergency exists of such magnitude that cannot permit delay; • Competition is determined to be inadequate after solicitation of a number of sources.

The LPA must:
• Follow its defined process for noncompetitive negotiation; • Develop an adequate scope of work, evaluation factors, and cost estimate before solicitation;
• Conduct negotiations to ensure a fair and reasonable cost.

The LPA must carefully document details of the special conditions, obtain Caltrans approval on the Exhibit 12-F: Cost Effectiveness / Public Interest Finding / A&E Noncompetitive and retain all documents in the project files for future Caltrans’ or FHWA’s review.

Retaining a Consultant in a Management Support (CMSR) Role Management support role means performing engineering management services or other services acting on the contracting agency's behalf, which are subject to review and oversight by agency officials, such as a program or project administration role typically performed by the contracting agency and necessary to fulfill the duties imposed by Title 23 of the United States Code, other federal and state laws, and applicable regulations. Other services can include supervising construction including serving as single point of contact, developing and maintaining project document tracking system, establishing project internal communication protocol, performing document control and implementing a quality assurance program.

Management support roles may include, but are not limited to, providing oversight of an element of a highway program, function, or service on behalf of the contracting agency or may involve managing or providing oversight of a project, series of projects, or the work of other consultants and contractors on behalf of the contracting agency. Contracting agency written policies and procedures as specified in 23 CFR 172.5(c) may further define allowable management roles and services a consultant may provide, specific approval responsibilities, and associated controls necessary to ensure compliance with federal requirements.

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The LPA may retain a qualified CMSR on its staff in professional capacities for federal-aid projects such as:
• A City Engineer (or equivalent) who manages the engineering unit for the city, providing oversight of a project, series of projects, managing or directing work of other consultants or contractors on behalf of the city.
• A County Engineer (or equivalent) who manages the engineering unit for the county such as duties described above.
• A Project Manager (or equivalent) who manages and oversees a project, series of projects, or the work of other consultants and contractors on behalf of the public agency. • A Program Manager (or equivalent) who manages and oversees an element of a highway program, function, or service on behalf of the public agency.

However, typically a CMSR is not:
• A consultant engineer performing project-specific design, and/or construction contract administration and construction engineering for the public agency. • A consultant providing support to administrative duties such as federal authorization process, labor compliance activities, and other management and administrative tasks.

The use of a CMSR should be limited to unique or very unusual situations. These situations require a thorough justification as to why the LPA cannot perform the management. Consultants used in management support roles must be selected using the same procedures as those for other consultants specified in this chapter. CMSR contracts with local/state funding only do not require FHWA approval. However, if the CMSR is not approved, they may not be used as a local/state match on another activity when the CMSR provides services on a federal-aid project (i.e., soft match).

Eligibility for federal reimbursement for a CMSR requires the following:
• Compliance with the selection procedures specified in this chapter; • Existence of a contract between the LPA and the consultant specifying the LPA engineering services to be performed;
• Written designation by the LPA of the responsibilities and authority of the consultant as an agency engineer;
• For a federal-aid project, completion of Exhibit 10-T: Conflict of Interest & Confidentiality Statement by all panel members (both consultants and employees) prior to participating in the A&E Selection Panel pertaining to the specific selection process and the firms being considered;
• Selection of consultants for A&E management positions must be by the use of qualification-based selection procedures on an open and competitive basis resulting in a contract with defined beginning and ending dates not to exceed five (5) years; • For a federal-aid project, the LPA’s CMSR must not:
o Participate in, or exercise authority over the A&E selection process, if that consultant’s firm is one of the proposing firms, or subconsultant to a proposing firm;
o Participate in, or exercise authority over management of work performed by the consultant’s firm, or to a consultant’s firm of which the LPA consultant firm is a Local Assistance Procedures Manual Chapter 10
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subconsultant. This would include, but not be limited to, managing or directing the work, approving changes in the schedule, scope, or deliverables, and approving invoices.
o Apply for or receive reimbursement of federal-aid funds for the LPA’s federal-aid project if either of the foregoing has occurred. However, reimbursement for the construction contract portion of the project will still be allowed provided all other federal-aid requirements have been met.
o Where benefiting more than a single federal-aid project, allocability of consultant contract costs for services related to a management support role must be distributed consistent with the cost principles applicable to the contracting agency in 23 CFR 172.7(b)(5).

If engineering services for a project are within the scope of the services described in the retained consultant’s contract, these services may be performed by the person or firm designated as an agency engineer. If the services are not within the scope, eligibility for federal reimbursement for these services require a new consultant contract to be developed using the selection procedures in this chapter. Retained consultants involved in the preparation of the RFP or RFQ must not be considered in the selection of consultants for the resulting project specific work.

When a CMSR is procured with federal-aid funds, the LPA (subgrantee) must fully comply with the following:
• Subparagraphs of 2 CFR 200.318 maintain a contract administration system and maintain a written code of standards. No employee, officer, or agent of the subgrantee must participate in selection, or in the award or administration of a contract supported by federal funds if a conflict of interest, real or apparent, would be involved. • Subparagraph of 23 CFR 172.7(b) requires that the LPA must receive approval of the CMSR from FHWA.
• Liability insurance should normally be required from the consultant (errors and omissions, etc.).

For federally-funded projects, LPAs that solicit to hire A&E consultant(s) in a management support role must obtain FHWA approval prior to contract execution.

In order for a contract for a CMSR to be federally eligible, the following are required prior to contract execution:
• The LPA must submit a request for approval via email, the Scope of Work (SOW) and Conflict of Interest (COI) Policy to the Division of Local Assistance-Headquarters (DLAHQ) at [email protected], prior to contract advertisement. • Once the LPA receives FHWA’s written response, the LPA may need to revise the documents reflecting FHWA’s opinions and can proceed with the RFQ. • Before award, the LPA must submit the completed Exhibit 10-U: Consultant in Management Support Role Conflict of Interest and Confidentiality Statement to DLA-HQ at [email protected]. LPA will receive FHWA’s approved Exhibit 10-U via email.

FHWA approval required prior to award of consultant contract.

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Figure 10-3: Consultant in a Management Support Role Flowchart Construction Engineering Services
Under federal-aid regulations and state policy, the primary responsibility for general supervision of construction must remain with the LPA. The LPA must also ensure that the work is performed in accordance with the approved plans and specifications, by employing or retaining as a consultant a registered engineer for construction engineering services on the project.

All construction engineering activities performed by a consultant must be under the overall supervision of a full-time employee of the agency who is in responsible charge. These activities may include preparation of contract change orders, construction surveys, foundation investigations, measurement, and computation of quantities, testing of construction materials, checking of shop drawings, preparation of estimates, reports, and other inspection activities necessary to ensure that the construction is being performed in accordance with the plans and specifications. The construction engineering consultant’s contract defines the relative authorities and responsibilities of the full-time employee of the LPA in charge of the project and the consultant’s construction engineering staff.

If a technical inspection consultant is to provide professional assistance to the LPA, a formal consultant contract must be executed which follows this chapter’s requirements. The contract must provide for reviews at appropriate stages during performance of the work to determine if any changes or other actions are warranted; these reviews are to be made by the LPA.

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10.1.10 Program Management
According to 23 CFR 172.5, LPAs are required to adopt written policies and procedures prescribed by Caltrans. As such, the LPA must adopt LAPM Chapter 10: Consultant Selection, which contain the A&E policies and procedures.

To meet this requirement, LPAs are required to email and provide one of the following documents to the DLA Office of Guidance and Oversight (OGO) at [email protected]:

1. A Board Resolution showing that the LPA is adopting Caltrans LAPM Chapter 10; OR

2. An official letter signed by the LPA’s Public Works Director or equivalent manager addressed to the DLA OGO Office Chief, stating that the agency is adopting Caltrans LAPM Chapter 10
The DLA Consultant Selection and Procurement website includes an example of the adoption resolution and letter. These examples are for reference only; the appropriate language to be used is determined by the individual agency.

LPAs are responsible for providing all resources necessary for the procurement, management, and administration of A&E consultant contracts including subcontracts. Ensuring consultant costs billed are allowable in accordance with the federal cost principles and consistent with the contract terms as well as the acceptability and progress of the consultant's work; • Monitoring the consultant's work and compliance with the terms, conditions, and specifications of the contract;
• Preparing a consultant's performance evaluation when services are completed and using such performance data in future evaluation and ranking of consultant to provide similar services;
• Closing-out a contract;
• Retaining supporting programmatic and contract records, as specified in 2 CFR 200.334 and the requirements of this part;
• Determining the extent to which the consultant, which is responsible for the professional quality, technical accuracy, and coordination of services, may be reasonably liable for costs resulting from errors and omissions in the work furnished under its contract; • Assessing administrative, contractual, or legal remedies in instances where consultants violate or breach contract terms and conditions, and providing for such sanctions and penalties as may be appropriate; and
• Resolving disputes in the procurement, management, and administration of engineering and design related consultant services.

10.1.11 References
2 CFR Part 200 – Uniform Administrative Requirements, Cost Principles, and Audit Requirement, and Audit Requirements for Federal Awards
https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200?toc=1 2 CFR Part 215 Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations https://www.govinfo.gov/app/details/CFR-2013-title2-vol1/CFR-2013-title2-vol1-part215/context Local Assistance Procedures Manual Chapter 10
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23 U.S.C.112 Letting of Contracts
https://www.govinfo.gov/app/details/USCODE-2021-title23/USCODE-2021-title23-chap1- sec112/context
23 CFR Part 172 Procurement, Management, and Administration of Engineering and Design Related Services
https://www.ecfr.gov/current/title-23/chapter-I/subchapter-B/part-172 40 U.S.C. Chapter 11 Brooks Act
https://www.govinfo.gov/app/details/USCODE-2021-title40/USCODE-2021-title40-subtitleIchap11/context 41 CFR Public Contracts and Property Management
http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title41/41tab_02.tpl 41 U.S.C. Public Contracts
https://www.govinfo.gov/app/details/USCODE-2020-title41/context 48 CFR Part 15 – Contract By Negotiation
https://www.ecfr.gov/current/title-48/chapter-1/subchapter-C/part-15 48 CFR Part 31 – Contract Cost Principles and Procedures https://www.ecfr.gov/current/title-48/chapter-1/subchapter-E/part-31 48 CFR Part 16 – Types of Contracts
https://www.ecfr.gov/current/title-48/chapter-1/subchapter-C/part-16 48 CFR 27, Subpart 27.3 – Patent Rights under Government Contracts https://www.ecfr.gov/current/title-48/chapter-1/subchapter-E/part-27/subpart-27.3 48 CFR 31.201-3 – Determining Reasonableness
https://www.ecfr.gov/current/title-48/chapter-1/subchapter-E/part-31/subpart-31.2/section-31.201-3 48 CFR, Chapter 99 - Cost Accounting Standards Board, Office of Federal Procurement Policy, Office of Management and Budget
https://www.ecfr.gov/current/title-48/chapter-99
49 CFR Part 26 Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs
https://www.ecfr.gov/current/title-49/subtitle-A/part-26 American Association of State Highway and Transportation Officials (AASHTO) Uniform Audit and Accounting Guide
https://transportation.org/audit/
Caltrans Division of Procurement and Contracts Website
http://www.dot.ca.gov/dpac/index.html
California Labor Code, Section 1775
https://leginfo.legislature.ca.gov/faces/codes_displaySection.xhtml?lawCode=LAB&sectionNum=1775 California Government Code Sections 4525 through 4529.5 https://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?lawCode=GOV&division=5.&title=1.& part=&chapter=10.&article=
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California Government Code Sections 4529.10 through 4529.20 https://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?lawCode=GOV&division=5.&title=1.& part=&chapter=10.1.&article=
Government Auditing Standards (GAS) issued by the United States Government Accountability Office
http://www.gao.gov/yellowbook/overview
Standard Environmental Reference (SER)
http://www.dot.ca.gov/ser/

10.2 STATE-ONLY FUNDED A&E CONTRACTS

10.2.1 General
LPAs are required to follow all applicable local and state regulations including those listed in LAPM Chapter 10 in accordance with their State Master Agreement. Although the requirements listed in this section are minimum requirements, the LPA must use good engineering judgment and best practices to document their processes and procedures when procuring A&E contracts utilizing qualifications-based selections. LPAs using local funds to procure an A&E Consultant on a state-only funded project and will not seek state reimbursement for consultant cost may choose not to follow the selection and contracting procedures detailed in Section 10.2: StateOnly Funded A&E Contracts of this chapter.

All consultants must comply with 48 CFR 31: Contract Cost Principles and Procedures. Also, consultants and LPAs must comply with 2 CFR 200: Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, excluding sections 200.318-200.326 Procurement Standards.

Agency state-only funded (SOF) agreements must contain the required federal fiscal provisions from 2 CFR 200 in all Division of Local Assistance funded agreements. Exhibit 10-R: A&E Boilerplate Agreement Language contains 2 CFR 200 requirements and may also be used in SOF agreements. Depending upon the scope of work, the required contract provisions may need to include the California State Prevailing Wages.

All proposed A&E contracts and supporting documents (including state-only funded) are subject to audit or review by Caltrans’ Independent Office of Independent Office of Audits and Investigations (IOAI), other state audit organizations, or the federal government and required to follow Section 10.1.3 A&E Consultant Audit and Review Process.

CMSR contracts with local/state funding only do not require FHWA approval. However, if they are not approved, they may not be used as a local/state match on another activity when the CMSR provides services on a federal-aid project (i.e., soft match). Refer to Section 10.1.9 Retaining a Consultant in a Management Support Role (CMSR).

DBE contract goals are not required for state-only funded contracts.

This guidance is for contracts utilizing state funds only. If any federal funds are added or reimbursed, the federal process must be followed.

Non-A&E consultant contracts reference Section 10.3: Non-A&E Contracts.

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Reference: California Government Code Title 1, Division 5, Chapter 10, Contracts with Private Architects, Engineering, Land Surveying, and Construction Project Management Firms §4525-4529.5.

10.2.2 Definition of A&E
Architectural, landscape architectural, engineering, environmental, and land surveying services includes those professional services of an architectural, landscape architectural, engineering, environmental, or land surveying nature as well as incidental services that members of these professions and those in their employ may logically or justifiably perform.

Construction project management means those services provided by a licensed architect, registered engineer, or licensed general contractor. Any individual or firm proposing to provide construction project management services must provide evidence that the individual or firm and its personnel carrying out onsite responsibilities have expertise and experience in construction project design review and evaluation, construction mobilization and supervision, bid evaluation, project scheduling, cost-benefit analysis, claims review and negotiation, and general management and administration of a construction project.

Environmental services mean those services performed in connection with project development and permit processing in order to comply with federal and state environmental laws.

Reference: California Government Code §4525-4529.5 and 4529.10-4529.20

10.2.3 Minimum Audit Requirements
A. Written Procedures
LPAs must follow the minimum requirements listed below in addition to any local laws and regulations.

California Government Code §4526
B. Conflict of Interest
The LPA must develop and maintain a written code of conduct governing the performance of its employees engaged in the award and administration of state-funded contracts, including the prevention of conflicts of interest.

California Government Code §4526, §1090, §4529.12
C. Records
LPAs must keep adequate records of all contracts including the procurement, project management, accounting, and financial administration.

California Government Code §4529.14, §4006
D. Full & Open Competition
All A&E contracts must be procured through a qualifications-based selection utilizing open and fair competition. Evaluate at least three consultants using published evaluation criteria and rank these firms in order of preference. If less than three consultants are evaluated, provide justification for agency file.

California Government Code §4526, §4527, §4529.12
E. Selection Basis
Selection of a firm must be based on qualifications and the order of ranked preference.

California Government Code §4526, §4527
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F. Publication
Solicitations for A&E contracts must be in a manner that is open and competitive.

California Government Code §4527
G. Solicitation
The solicitations must include published evaluation criteria to rank in order of preference.

Clearly define expectations in the solicitation in order to evaluate firms.

California Government Code §4527
H. Cost Comparison
An independent cost comparison to the consultant’s cost proposal must be done in order to ensure the contract is negotiated at a fair and reasonable price.

California Government Code §4528
I. Negotiations
Negotiations must be documented to verify a fair and reasonable contract has been executed using public funds.

California Government Code §4528
J. Audit and Review Process
A&E contracts procured by public agencies must be subject to standard accounting practices and may require financial and performance audits. All LPAs must follow the Audit and Review Process as stated in Section 10.1.3: A&E Consultant Audit and Review Process.

California Government Code §4529.14, 2 CFR 200
K. A&E Consultant Contract Form
The A&E Consultant Contract form must be completed and submitted in the A&E Consultant Contract database at https://dla.dot.ca.gov/fmi/webd/AE%20Consultant%20Contract%20Form (Firefox or Chrome browser) prior to contract award, or after contract award but no later than the first invoice for all new state-only funded A&E consultant contracts.

If there are any changes requiring an amendment to the contract after submittal of the A&E Consultant Contract form, the LPA must submit an updated form to the A&E Consultant Contract database prior to the first invoice after the contract has been amended. Submission of the A&E Consultant Contract form is not required for non-A&E consultant contracts.

10.2.4 References
California Government Code Section1090
https://leginfo.legislature.ca.gov/faces/codes_displaySection.xhtml?lawCode=GOV&sectionNum=1090.

California Government Code Section 4006
https://leginfo.legislature.ca.gov/faces/codes_displaySection.xhtml?lawCode=GOV&sectionNum=4006.

California Government Code Section 4525
https://leginfo.legislature.ca.gov/faces/codes_displaySection.xhtml?lawCode=GOV&sectionNum=4525.

California Government Code Section 4526
https://leginfo.legislature.ca.gov/faces/codes_displaySection.xhtml?lawCode=GOV&sectionNum=4526.

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California Government Code Section 4527
https://leginfo.legislature.ca.gov/faces/codes_displaySection.xhtml?lawCode=GOV&sectionNum=4527.

California Government Code Section 4528
https://leginfo.legislature.ca.gov/faces/codes_displaySection.xhtml?lawCode=GOV&sectionNum=4528.

California Government Code Section 4529.5
https://leginfo.legislature.ca.gov/faces/codes_displaySection.xhtml?lawCode=GOV&sectionNum =4529.5.

California Government Code Section 4529.12
https://leginfo.legislature.ca.gov/faces/codes_displaySection.xhtml?lawCode=GOV&sectionNum =4529.12.

California Government Code Section 4529.14
https://leginfo.legislature.ca.gov/faces/codes_displaySection.xhtml?lawCode=GOV&sectionNum =4529.14.

California Government Code Section 4529.20
https://leginfo.legislature.ca.gov/faces/codes_displaySection.xhtml?lawCode=GOV&sectionNum =4529.20.

10.3 NON-A&E CONTRACTS
Scope
This section covers the procurement requirements for the services that are not included in Section 10.1 Federally-Funded A&E Contracts and Section 10.2 State-Only Funded A&E Contracts. This guidance is for contracts utilizing federal-aid funds and state funds. Federal regulations refer to state and local regulations for non-A&E type contracts. Although LPAs are required to follow 2 CFR 200: Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards for all contracts, the Procurement Standards section 200.318- 200.326 is exempt. The guidance in this section follows the established regulations in the California Public Contract Code (PCC). Depending upon the scope of work, the required contract provisions may need to include the California State Prevailing Wages.

LPA must designate one person within the LPA as a contract manager. A contract manager must be a full-time, public employee of the contracting agency. The contract manager must have knowledge of legal and contractual arrangements (PCC 10348.5).

LPAs using local funds to procure non-A&E consultants on a federal-aid funded or state-only funded project and will not seek federal or state reimbursement for consultant costs may choose not to follow the selection and contracting procedures detailed in Section 10.3: Non-A&E Contracts of this chapter.

Determining Non-A&E
After identifying that there is a need for consulting services, the LPA must determine that the services needed are more of a technical nature and involve minimal professional judgement and that requiring a cost proposal would be in the public’s best interest. These type of consultant services that are not directly related to a highway construction project or that are not included in the definition of engineering and design-related services are considered non-A&E. The services Local Assistance Procedures Manual Chapter 10
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must not be included in Section 10.1.1: Definition of Architectural and Engineering Consultant and 10.2.2: Definition of A&E.

The determining factor is whether the services being procured are related to a specific construction project and whether the services require work to be performed, provided by, or under the direction of a registered engineer or architect.

Example of Determining Non-A&E
Material testing has been requested to ensure quality assurance on a construction project. The service includes only performing the material test and providing material test data. Although the service is related to a construction project, the overall service did not provide an evaluation or a discipline report. In this example, the LPA can determine that the service provided is more of a technical nature and is therefore a non-A&E service.

The following is a list of the more common non-A&E services:
• Right-of-Way Appraisal
• Right-of Way acquisition activities
• Conducting public outreach during environmental clearance or construction • Active Transportation Program educational and outreach activities • Intelligent Transportation System (ITS)
• Non-Infrastructure
• Local Roadway Safety Plan (LRSP) associated with Highway Safety Improvement Program (HSIP)-funded projects
• Traffic Counts
• Speed Surveys
Intelligent Transportation System (ITS) Projects
Intelligent Transportation System (ITS) means electronic, communications, or information processing used singly or in combination to improve the efficiency or safety of a surface transportation system. ITS projects are those that in whole or in part, fund the acquisition of technologies or systems of technologies that provide significant contributions to the provision of one or more ITS user services as defined in the National ITS Architecture.

The federal-aid procurement regulations identify three possible contract procurement procedures for ITS projects including engineering and design related services (A&E), construction, and non-engineering/non-architectural (non-A&E).

If ITS projects include physical installation of field devices and/or communications infrastructure, such as new traffic signals, new controller cabinets, changeable message signs, radio and computers, vehicle detectors, and conduits for cabling in the roadway, then that work and required equipment usually meets the definition of construction. The construction contract must be procured based on competitive bidding. If the ITS project involves software development, system integration, hiring engineers, and specialists for ITS design and installation support, inspection, design documentation, training and deployment, it may be considered an engineering and design services contract and the contract must be procured as an A&E consultant contract. If the scope of work is unclear as to whether it is an A&E type of work, contact [email protected] for assistance.

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However, if an ITS project does not meet either the definition of construction or engineering and design services, then the contract may be considered to be a non-A&E consultant contract.

Examples of non-A&E consultant contracts are:
• The procurement of hardware and software associated with incident management system;
• Software systems for arterial and freeway management systems; • Operating the 511 traveler information service;
• Nonprofessional services for system support such as independent validation and verification, testing and specification development;
For more information regarding Intelligent Transportation Systems (ITS) Program procurement requirements, refer to LAPG Chapter 13: Intelligent Transportation Systems (ITS) Program.

Non-Infrastructure Projects
Non-infrastructure (NI) projects are those transportation-related projects that do not involve either engineering design, Right-of-Way acquisition (for additional guidance refer to LAPM Chapter 13: Right of Way), or the eventual physical construction of transportation facilities.

Procurement of non-A&E consultant contracts associated with non-infrastructure projects must follow Non-A&E procurement procedures described in this chapter. For more information on NI projects, refer to LAPM Chapter 3: Project Authorization.

Governing Regulations and Codes for Non-A&E
When procuring non-A&E services with federal-aid funds, LPAs must comply with 2 CFR 200:

Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, excluding sections 200.318-200.326 Procurement Standards. LPAs must follow the same policies and procedures that the State uses for procurement with its non-federal funds.

When procuring non-A&E services with federal-aid and state-only funds, the governing procurement code is California Public Contract Code 10335-10381.

Procurement of Non-A&E Consultant Contracts
All non-A&E procurements contracts must be conducted in a manner providing full and open competition consistent with federal and state standards. LPA must meet the code of conduct governing the performance of its employees engaged in the award and administration of federal-aid and state-funded contracts, including the preventions of conflict of interest in PCC 10410.

The following are the fundamental rules when procuring a non-A&E consultant contract.

1. The request for proposal (RFP) must not limit the competition directly or indirectly to any one consultant. The RFP must be publicized, and all evaluation factors and their relative importance identified (PCC 10339).

2. Splitting a single transaction into a series of transactions for the purpose of evading the procurement requirements is not allowed (PCC 10329).

3. LPA must secure at least three competitive proposals for each contract (PCC 10340).

When receiving less than three proposals, refer to the Cost-Effective/Public Interest Finding in this section as an alternative to re-advertisement.

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4. No proposals must be considered which have not been received at the place, and prior to the closing time as stated in the RFP (PCC 10344(a)).

5. LPA must have a written procedure for evaluating proposals (PCC 10344).

RFP Basic Requirements
There are two general types of consulting service contract solicitations:

A. Request for Proposal using Cost only
B. Request for Proposal using Cost and Qualifications
The LPA must include the following in the request for proposal:

A. A clear, precise description of the work to be performed or services to be provided.

B. Description of the format that proposals must follow and the elements they must contain.

C. The standards the agency will use in evaluating proposals. This includes qualifications and certifications if applicable.

D. The date the proposals are due.

E. The procurement schedule that the LPA will follow in reviewing and evaluating the proposals.
(PCC 10344)
Additional Requirements and Evaluation Criteria
Additional Requirements for Request for Proposal using Cost only A. LPA must require consultants to submit their proposals and cost in a separate, sealed envelope.

B. LPA must determine those that meet the format requirements and the standards specified in the request for proposal.

C. The sealed envelopes containing the price and cost information for those proposals that meet the format requirements and standards must then be publicly opened and read.

D. Contract must be awarded to the lowest responsible consultant meeting the standards. (PCC 10344(b))
Additional Requirements for Request for Proposal using Cost and Qualifications A. LPA must include in the proposal the description of the evaluation and scoring method.

Substantial weight in relationship to all other criteria utilized must be given to the cost amount proposed by the consultant.

B. LPA must determine those that meet the format requirements specified in the RFP.

C. LPA evaluation committee must evaluate and score the proposals using the methods specified in the RFP. All evaluation and scoring sheets must be available for public inspection after the committee scoring process. Evaluation committee should comply to the prevention of conflict of interest in PCC 10410.

D. The non-A&E contract must be awarded to the consultant whose proposal is given the highest score by the evaluation committee.

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(PCC 10344(c))
When using RFP (Cost and Qualifications), the criteria used to evaluate the consultant’s proposals must have a logical foundation within the scope of work or within other technical requirements contained in the RFP. Each criterion must have a weight or level of importance, and it is recommended that total possible score for the evaluation criteria be one hundred (100) points. The proposed cost should be at least thirty percent (30%) of total points in evaluation criteria.

An example RFP for non-A&E is provided on the DLA Consultant Selection and Procurement website and may be modified.

Submission of the A&E Consultant Contract form is not required for non-A&E consultant contracts.

Consultant’s Proposal
The consultant’s proposal should include the following information:
• Consultant Project Manager – qualifications, roles, and responsibilities. • Methodology - description of work and overall approach, specific techniques that will be used and specific administrative and operations expertise to be used. • Workplan and Work Schedule - the technical proposal should include activities and tasks, and their delivery schedule.
• Personnel - List of personnel who will be working on the project, and their resumes. • Facilities and resources (If applicable) - Explanation of where the services will be provided and what type of equipment is needed to perform services. • Subcontracts - Identify all subcontracts that are to be used, description of each, and the work by each subconsultant/subcontractor. No work must be subcontracted unless listed in the technical proposal. Subconsultant resumes should be provided. • References - The technical proposal should provide at least three (3) clients for whom the proposer has performed work of similar nature to the request.

Cost Proposal Worksheet
The RFP should provide a standard format for cost proposal that all proposers must include in their proposal. The cost proposal format can be broken down by specific tasks, showing hourly labor rates, level of effort and material, and/or by milestones and deliverables.

LPA is not required to award a contract if it is determined that the contract price is not reasonable (PCC 10344(d)).

DBE Consideration
DBE consideration is required on all federal-aid funded contracts including non-A&E.

Administrative Requirements
Advertisement for RFPs may be through the LPA website, local publications, and national publications. Minimum solicitation time is 14 calendar days. The solicitation should inform potential qualified consultants that questions must be submitted in writing to the Agency Contract Manager/Administrator by a specified date and time. All pertinent technical information Local Assistance Procedures Manual Chapter 10
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and answers to consultant’s questions must be provided to all potential consultants. Written responses to all questions will be collectively compiled and provided as an addendum.

A proposal may be considered nonresponsive and rejected without evaluation if all required information is not provided. Proposals without information regarding, or not meeting, the required DBE utilization goal or without a Good Faith Effort documentation (see Exhibit 15-H:

Proposer/Contractor Good Faith Efforts), late submittals, submittals to the wrong location, or submittals with inadequate copies are considered nonresponsive and must be rejected.

Submittal of additional information after the due date must not be allowed. Documentation of when each proposal was received must be maintained in the project files. Copies of date stamped envelope covers or box tops are recommended.

No consultant who has been awarded a consulting service contract may be awarded a subsequent contract for the services or goods which are required as an end product of the consulting service contract, unless the subcontract is no more than 10 percent of the total monetary value of the consulting services contract. Excludes A&E contracts. (PCC 10365.5)
Contracts may be modified or amended only if the contracts so provide. Amendments must be requested and executed prior to the termination date of the most recently approved original or amended contract. All records of contract activities must be kept for three years after federal final voucher E-76 or state final voucher for State-Only funds. Costs are reimbursable after state allocation by the California Transportation Commission (CTC) and/or the issuance of the federal E-76. The per diem rate must not exceed the state rate. Contract Managers are responsible for monitoring expenditures on all contracts and verifying categories of work that require prevailing wage. A person in Responsible Charge of contract management is required for all federallyfunded projects.

Oral Presentations Optional
When oral presentations are required by the LPA, the evaluation criteria must include factors/sub-factors and weights used to score the proposers performance at the oral presentation. The evaluation committee will only be able to score each proposer based upon these criteria. The Contract Manager/Administrator should develop a set of questions related to the scope of work or the project to be asked during the evaluation committee question and answer (Q & A) section of the oral presentations. All proposers are asked the same questions for consistency.

Cost-Effective / Public Interest Finding
A minimum of three proposals must be evaluated to establish effective competition. Any agency that has received less than three proposals on a contract must document the names and addresses of the firms or individuals it solicited for proposals. Prepare an explanation as to why less than three proposals were received. When only two proposals are received, a justification must be documented to proceed with the procurement. When only one proposal is received, a Non-Competitive process must be justified and a Public Interest Finding (PIF) (Exhibit 12-F:

Cost-Effectiveness/Public Interest Finding/A&E Noncompetitive) must be documented. In either case, the re-advertisement of the RFP should be considered as an option. Retain document as supporting documentation in the contract file.

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Artesia City CouncilNovember 10, 2025

Artesia City Council
November 10, 2025