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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 • 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 shortlist. 148
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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.
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.
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 statements of qualification.
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. 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.
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.
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The items typically negotiated include:
• Work plan;
• Staffing plan;
• 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 (please use Firefox or Chrome if not supported by your 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 prequalification 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 prequalification 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.
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The initial steps in the Two-Step RFQ/RFP method (up to the development and notification of the shortlist) are similar to the steps followed when using the One-Step RFQ method. At this point, the consultants from the shortlist 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 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. D evelop and maintain a prequalified 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 prequalified 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. C reate 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 151
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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 prequalification process.
General criteria guidelines should be established for consultant selection for a prequalified 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 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 Computer- Aided 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 152
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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.
Prequalification 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 prequalification status.
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 per-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 prequalified list lasts, not to exceed two years. Federal regulation recommends refreshing the SOQs on an annual basis.
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 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.
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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
Prequalification of a consultant expires in two years. Prequalified consultants must renew their prequalification 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 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 Prequalified 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, 154
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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.
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.
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 discusses and documents the strengths and weaknesses of each technical proposal, interviews the three or more highest ranked consultants (shortlisted), 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 shortlist.
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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.
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 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. 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.
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.
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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 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.
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• 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.”
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;
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• 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
• 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. 159
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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.
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 160
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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).
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: D isadvantaged 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 d
ocumentation (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);
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• 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; • 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). 162
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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, 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: Cost- Effectiveness/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 Role (CMSR) An 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.
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• 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. A CMSR funded by local or state funds must have approval from FHWA to be considered qualified to manage federal projects or consultants providing services on federal projects.
Eligibility for federal or state 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 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 164
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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 (DLA- HQ) at [email protected], prior t o 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.
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Figure 10-4: 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 Caltrans Local Assistance 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.
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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
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-subtitleI- chap11/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/
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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§ionNum=1775
California Government Code Sections 4525 through 4529.5 and Sections 4529.10 through 4529.20
https://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?lawCode=GOV&division=5.&title=1.& part=&chapter=10.&article=
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
Government Code Sections 4525 through 4529.5 and Sections 4529.10 through 4529.20 https://leginfo.legislature.ca.gov/faces/codes_displayText.xhtml?lawCode=GOV&division=5.&title=1.& part=&chapter=10.&article=
Standard Environmental Reference (SER)
http://www.dot.ca.gov/ser/
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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: State- Only 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 (reference Federal Highway Administration December 4, 2014 Memorandum Action: 2 CFR 200 Implementation Guidance).
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.
For consultant contracts, procured with local or state funds, to provide services for federal-aid projects, or to oversee or manage other consultants providing these services, the Consultant in Management Support Role process must be completed to be eligible for reimbursement. 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.
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 170
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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
Local agencies shall 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
Local agencies shall 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 shall 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 shall be based on qualifications and the order of ranked preference.
California Government Code §4526, §4527
F. Publication
Solicitations for A&E contracts shall be in a manner that is open and competitive.
California Government Code §4527
G. Solicitation
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California Government Code §4527
H. Cost Analysis
An independent cost comparison to the consultant’s cost proposal shall 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 shall be subject to standard accounting practices and may require financial and performance audits. All agencies shall follow the Audit and Review Process as stated in Section 10.1.3: A&E Consultant Audit and Review Process.
Financial Document Review Request form
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 (please use Firefox or Chrome if not supported by your 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.
Reference: LAPM Ch.10.2
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CA Government Code References
California GOV §1090
(a) Members of the Legislature, state, county, district, judicial district, and city officers or employees shall not be financially interested in any contract made by them in their official capacity, or by any body or board of which they are members. Nor shall state, county, district, judicial district, and city officers or employees be purchasers at any sale or vendors at any purchase made by them in their official capacity. (b) An individual shall not aid or abet a Member of the Legislature or a state, county, district, judicial district, or city officer or employee in violating subdivision (a).
(c) As used in this article, “district” means any agency of the state formed pursuant to general law or special act, for the local performance of governmental or proprietary functions within limited boundaries.
California GOV §4006
Plans, specifications, work authorizations describing work to be performed, and all other information referred to in this chapter are open to inspection and examination as a public record.
California GOV §4525
For purposes of this chapter, the following terms have the following meaning:
(a) “Firm” means any individual, firm, partnership, corporation, association, or other legal entity permitted by law to practice the profession of architecture, landscape architecture, engineering, environmental services, land surveying, or construction project management.
(b) “State agency head” means the secretary, administrator, or head of a department, agency, or bureau of the State of California authorized to contract for architectural, landscape architectural, engineering, environmental, land surveying, and construction project management services. (c) “Local agency head” means the secretary, administrator, or head of a department, agency, or bureau of any city, county, city and county, whether general law or chartered, or any district which is authorized to contract for architectural, landscape architectural, engineering, environmental, land surveying, and construct ion project management services.
(d) “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.
(e) “Construction project management” means those services provided by a licensed architect, registered engineer, or licensed general contractor which meet the requirements of Section 4529.5 for management and supervision of work performed on state construction projects. (f) “Environmental services” means those services performed in connection with project development and permit processing in order to comply with federal and state environmental laws. “Environmental services” also includes the processing and awarding of claims pursuant to Chapter 6.75 (commencing with Section 25299.10) of Division 20 of the Health and Safety Code.
California GOV §4526
Notwithstanding any other provision of law, selection by a state or local agency head for professional services of private architectural, landscape architectural, engineering, environmental, land surveying, or construction project management firms shall be on the basis of demonstrated competence and on the professional qualifications necessary for the satisfactory performance of the services required. In order to implement this method of selection, state agency heads contracting for private architectural, landscape architectural, professional engineering, environmental, land surveying, and construction project management services shall adopt by regulation, and local agency heads contracting for private architectural, landscape architectural, professional engineering, environmental, land surveying, and construction project management services may adopt by ordinance, procedures that assure that these services are engaged on the basis of demonstrated competence and qualifications for the types of services to be performed and at fair and reasonable prices to the public agencies. Furthermore, these procedures shall assure maximum participation of small business firms, as defined by the Director of General Services pursuant to Section 14837.
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In addition, these procedures shall specifically prohibit practices which might result in unlawful activity including, but not limited to, rebates, kickbacks, or other unlawful consideration, and shall specifically prohibit government agency employees from participating in the selection process when those employees have a relationship with a person or business entity seeking a contract under this section which would subject those employees to the prohibition of Section 87100.
California GOV §4527
In the procurement of architectural, landscape architectural, engineering, environmental, land surveying, and construction project management services, the state agency head shall encourage firms engaged in the lawful practice of their profession to submit annually a statement of qualifications and performance data.
(a) When the selection is by a state agency head, statewide announcement of all projects requiring architectural, landscape architectural, engineering, environmental, land surveying, or construction project management services shall be made by the agency head through publications of the respective professional societies. The agency head, for each proposed project, shall evaluate current statements of qualifications and performance data on fi le with the agency, together with those that may be submitted by other firms regarding the proposed project, and shall conduct discussions with no less than three firms regarding anticipated concepts and the relative utility of alternative methods of approach for furnishing the required services and then shall select therefrom, in order of preference, based upon criteria established and published by him or her, no less than three of the firms deemed to be the most highly qualified to provide the services required.
(b) When the selection is by a local agency head, the agency head may undertake the procedures described in subdivision (a). In addition, these procedures shall specifically prohibit practices which might result in unlawful activity including, but not limited to, rebates, kickbacks, or other unlawful consideration, and shall specifically prohibit government agency employees from participating in the selection process when these employees have a relationship with a person or business entity seeking a contract under this section.
California GOV §4528
(a) When the selection
is by a state agency head the following procedures shall apply:
(1) The state agency head shall negotiate a contract with the best qualified firm for architectural, landscape architectural, engineering, environmental, land surveying, and construction project management services at compensation which the state agency head determines is fair and reasonable to the State of California or the political subdivision involved.
(2) Should the state agency head be unable to negotiate a satisfactory contract with the firm considered to be the most qualified, at a price the agency head determines to be fair and reasonable to the State of California or the political subdivision involved, negotiations with that firm shall be formally terminated. The state agency head shall then undertake negotiations with the second most qualified firm. Failing accord with the second most qualified firm, the state agency head shall terminate negotiations. The state agency head shall then undertake negotiations with the third most qualified firm. (3) Should the state agency head be unable to negotiate a satisfactory contract with any of the selected firms, the state agency head shall select additional firms in order of their competence and qualification and continue negotiations in accordance with this chapter until an agreement is reached. (b) When the selection is by a local agency head, the local agency head may undertake the procedures described in subdivision (a).
California GOV §4529
This chapter shall not apply where the state or local agency head determines that the services needed are more of a technical nature and involve little professional judgment and that requiring bids would be in the public interest.
California GOV §4529.12
All architectural and engineering services shall be procured pursuant to a fair, competitive selection process which prohibits governmental agency employees from participating in the selection process when they have a financial or business relationship with any private entity seeking the contract, and the procedure shall require compliance with all laws regarding political contributions, conflicts of interest or unlawful activities.
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California GOV §4529.14
Architectural and engineering services contracts procured by public agencies shall be subject to standard accounting practices and may require financial and performance audits as necessary to ensure contract services are delivered within the agreed schedule and budget.
California GOV §4529.20
This act seeks to comprehensively regulate the matters which are contained within its provisions. These are matters of statewide concern and when enacted are intended to apply to charter cities as well as all other governmental entities.
Federal Highway Administration Memorandum 2 CFR Part 200 Implementation Guidance 12/4/2014
Attachment A: FHWA 2 CFR Part 200 Uniform Guidance – Questions and Answers Question 21: “Will the FHWA/USDOT provide a waiver of the requirements in 2 CFR 200.317 for subrecipients to comply with State procurement requirements or other policies and procedures approved by the State (200.317)?”
Answer: Yes. The USDOT requested and received an OMB waiver of the requirements in 2 CFR 200.317 concerning procurement by subrecipients. This waiver provides an exception to the requirement for all subrecipients of a state to follow the procurement requirements in Sections 200.318 through 200.326. The waiver will allow States and subrecipients to continue to use state-approved procurement procedures as they did under part 18 prior to the adoption of the Uniform Guidance.
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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. (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 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)
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• 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.
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. 177
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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 (reference FHWA December 4, 2014 Memorandum Action: 2 CFR 200 Implementation Guidance, Attachment A).
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.
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.
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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.
(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 at https://dot.ca.gov/-/media/dot-media/programs/local- assistance/documents/ae/files/rfp-example-non-ae.docx 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. 179
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• 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 10340(c)).
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 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)
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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 federally- funded 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.
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.
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.
(PCC 10340(c))
Protest / Appeals / Reinstatement Procedures
Both state and federal regulations require well-defined protest/reinstatement procedures. It is essential that the procedures include a reasonable opportunity for the prospective consultant to present his/her case. The appeals procedures strengthen the process by which the contracting agency reaches its ultimate goal and helps defends its action against a claim of lack of due process. A termination clause and a provision for settlement of contract disputes are required.
Protest procedures and dispute resolution processes should be in accordance with PCC 10345.
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10.4 A&E OVERSIGHT PROGRAM AND PROCESS REVIEW
General
The A&E Oversight Branch is responsible for the oversight of consultant contracts procured by LPAs complying with federal regulations 23 CFR 172 and 23 U.S.C.112, and state regulations California Government Code 4525-4529.5.
For locally-administered federal-aid highway projects, A&E consultant contract oversight reviews will be performed by Caltrans’ Local Assistance A&E Oversight Engineers (A&EOEs).
DLAE staff should participate in the reviews.
Type of Reviews
The purpose of A&E consultant contract oversight reviews is to verify LPA compliance with federal and state consultant contract administration requirements. A risk-based approach has been identified by the A&E branch to aid LPAs with compliance that includes requiring agencies to complete and submit the A&E Consultant Contract form prior to contract award, or after contract award but no later than the first invoice. The objective is to create a database documenting all consultant contracts and to perform process reviews on a sample of contracts for the annual performance measures report.
Although the risk-based approach is the submittal of the A&E Consultant Contract form via the database, a process review may be conducted on projects for reporting purposes and to determine accuracy of the A&E Consultant Contract form information.
A&E Consultant Contract Form Review
The purpose of the A&E Consultant Contract form is to provide oversight and guidance to an LPA regarding consultant contract administration on a federal or state-funded project prior to the award of the contract. The A&E Consultant Contract form includes items considered critical for compliance with federal and state regulations.
Subsequent process reviews may be performed on selected state and/or federal projects requiring a greater degree of oversight if deemed necessary for agencies with a noncompliance history.
The following factors may be used when selecting projects for subsequent review:
• LPAs with identified deficiencies during an Incurred Cost Audit • Projects administered by agencies with previous sanctions/findings • Lack of experienced/trained LPA personnel
• Request by LPA or DLAE for additional assistance
During subsequent process reviews, the A&EOE will meet with the LPA's consultant contract administration team and discuss project record documentation requirements using the A&E Consultant Contract form. The timing of these types of reviews is targeted for pre- advertisement, pre-negotiations, and pre-award of the consultant contract. This will allow for any changes to take place prior to execution or termination of negotiations for re-advertising. The A&EOE will also explain new policies or procedures, discuss available training, and highlight common problem areas and the means to avoid them.
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Review Findings and Deficiencies
Caltrans will not be involved in most project-level reviews and approval activities. Instead, the Process Review as outlined in this section is Caltrans’ primary method of ensuring that federal and state requirements are met. During a Process Review of the LPA’s project files, errors and/or deficiencies that may violate federal or state law or regulation could be found. If that happens, federal and/or state funds may be withdrawn from a project depending on the severity and circumstance of the deficiency, as well as the possibility of jeopardizing future federal and/or state funding opportunities for the agency’s other projects.
It is important to note that the formal process review is not the only method of discovering project deficiencies. Errors or deficiencies are discovered occasionally as part of the normal routine of processing project submittals by DLAEs or DLA Area Engineers.
Review findings from any subsequent reviews will be forwarded to the LPA and the DLAE within five business days. Deficiencies identified during a review may require development of a corrective action plan by the LPA in consultation with the district within 30 calendar days of receipt of the deficiency notification, unless the agency disagrees with the deficiencies identified and appeals the decision as discussed below.
A list of common A&E consultant procurement-related deficiencies is found at the DLA Consultant Selection and Procurement website. These examples, not all-inclusive, should assist LPAs with knowing common deficiencies found in the past and the possible ramifications for those errors and deficiencies. The key to avoiding possible sanctions is to follow the procedures outlined in this chapter and other appropriate policies and guidelines, and if you have any questions, to consult your DLAE.
Corrective action plans, if required, will identify actions the LPA will take to address each deficiency noted. Corrective actions may include the following: Re-advertising, modifications of LPA
policies and procedures, and participation in training to address systemic related deficiencies. Project-specific issues may require additional measures to remedy deficiencies to ensure compliance with federal and state requirements and ensure reimbursement eligibility.
Corrective action plans must also include timelines for each action to be implemented. Failure to provide and implement corrective actions may result in sanctions or federal/state ineligibility notices against the project or LPA and could prevent federal or state participation in all or a portion of the project.
In the event the LPA disagrees with the deficiencies identified, the LPA will have 30 calendar days from receipt of the deficiency notification to submit their written request for appeal in accordance with the DLA’s Local Agency Dispute Resolution Process. If the appeal is denied, the LPA will have 30 calendar days from receipt of the decision to submit their corrective action plan.
The Dispute Resolution Process provides a means for the LPA to appeal a sanction that they feel has been imposed upon them unfairly or they feel the penalty is too harsh for the error or deficiency. This appeal process is not limited to just the appeal of sanctions; it can be used by LPAs when they disagree with the decision, they receive from a district office.
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10.5 SANCTIONS
Depending on the severity and circumstances of the deficiencies which may require sanctioning by Caltrans, the DLA or DLAE may impose one of the following sanctions:
• Freeze on all future programming of federal or state funds until corrective action is implemented
• Freeze progress payments for a federal-aid project until the project’s deficiency is corrected
• Percentage of federal or state funds for a project withdrawn • All federal or state funds withdrawn from a project
The DLAE will be responsible for notifying the LPA of sanctions imposed. Whether or not sanctions are imposed against an LPA, the LPA will be expected to develop a corrective action plan and implement it to correct the deficiencies. LPAs will be given adequate time to develop and implement their action plan. Failure to correct the deficiencies in a timely manner will be grounds for imposing additional sanctions
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OFFICE OF THE CITY MANAGER/EXECUTIVE DIRECTOR
65 Civic Avenue
Pittsburg, CA 94565
TO: Mayor and Council Members
FROM: Garrett Evans, City Manager
SUBJECT: Authorizing the Execution of a First Amendment to Consulting Services Agreement with RCH Group, Planning & Environmental Consulting, Inc.
MEETING DATE: February 20, 2024
EXECUTIVE SUMMARY
The proposed item would authorize the City Manager to execute the First Amendment to the Consulting Services Agreement with RCH Group, Planning & Environmental Consulting, Inc. for preparation of CEQA Review and related services for the Oakstone Northern California Expansion Project at the Linde plant located at 2000 Loveridge Road.
FISCAL IMPACT
Prior to this meeting date and any negotiation or execution of the consultant contract requests, Linde Inc. has provided the requested funds to cover the cost. Linde Inc. has an existing executed reimbursement agreement. As such, there is no fiscal impact to the City.
RECOMMENDATION
Staff recommends the City Council adopt the Resolution authorizing the City Manager to execute the First Amendment to the Consulting Services Agreement with RCH Group, Planning & Environmental Consulting, Inc. for preparation of CEQA Analysis and related services for the Oakstone Northern California Expansion Project.
BACKGROUND
The proposed project consists of development applications for a Use Permit, Design Review and Variance for the Oakstone Northern California Expansion Project at Linde’s existing facility located at 2000 Loveridge Road. The proposed development project will result in the expansion of Linde’s Northern California industrial gas market by building a new plant which will involve installation of an air separation unit system, including a distillation tower, heat exchanger cold box, storage tanks, air compressor and auxiliary equipment, at its existing facility. The new facility will expand Linde’s current production of liquid nitrogen, oxygen, and argon.
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The project also includes on-site circulation improvements to provide a 25-foot drive aisle through the parcel to the project site and expansion of the existing plant on the parcel near the entry/exit on to Loveridge Road.
Due to the complexity of the project and the required environmental assessment, the City executed a contract with RCH Group, Planning & Environmental Consulting, Inc. for preparation of CEQA Analysis documents and related services in the amount of $72,667.
On December 12, 2023, two hours before a scheduled and duly publicized public hearing for the Planning Commission to consider the proposed project, Adams Broadwell Joseph & Cardozo on behalf of Safe Fuel and Energy Resources California (“SAFER CA”) submitted a comment letter on the project. RCH Group, Planning & Environmental Consulting, Inc. has spent additional time preparing responses to the comments received and is expected to continue providing staff support for environmental review. Additional funds are therefore required for their additional services and to continue processing the applications.
The previous contract for CEQA Consultant fees was for a total of $72,667. The proposed amendment to the contract will increase it by the following: a) $24,820 for additional CEQA Consultant Fees; b) $21,800 for staff related processing and project review fees; c) $14,360 for contingency reserve funds, for a total contract budget of $133,647.
SUBCOMMITTEE FINDINGS
The item was not presented to a subcommittee.
STAFF ANALYSIS
Staff has determined that the IS/MND prepared by RCH Group, Planning & Environmental Consulting, Inc. pursuant to CEQA and preparation of the responses to comments are necessary for the continued processing of the applications.
Staff recommends that the City Council approve the amended contract to allow RCH Group to continue providing CEQA consulting services for the Oakstone Northern California Expansion Project.
ATTACHMENTS:
1. Resolution
2. 1 st Amendment Contract and Services Agreement RCH Group a. Attachment 1- Exhibit A –– Scope of Services
b. Attachment 2- Exhibit B –– Compensation Schedule
Report Prepared By: Maurice Brenyah-Addow, Senior Planner 186
Resolution No. 24- Page 1 of 2 February 20, 2024
BEFORE THE CITY COUNCIL OF THE CITY OF PITTSBURG
In the Matter Of:
Authorizing the Execution of a First )
Contract Amendment for Consultant )
Service Agreement with RCH Group, )
Planning & Environmental Consulting, ) RESOLUTION NO. 24- Inc. for the Preparation of CEQA Review)
and Related Services for the Oakstone )
Northern California Expansion Project, )
AP-23-0046 (UP, DR, VA). )
WHEREAS, Eugene Gordin of SGE Consulting Engineers on behalf of Linde Inc. (“Developer”) applied for a formal application for the development of the proposed project titled “Oakstone Northern California Expansion Project”, Planning Application No. 23-0046, requesting approval of Use Permit, Design Review and Variance to construct a new air separation facility at its existing plant located at 2000 Loveridge Road to expand Linde’s current production of liquid nitrogen, oxygen, and argon (“Project”); and WHEREAS, the City selected RCH Group, Planning & Environmental Consulting Inc. from its On-Call CEQA & NEPA Consultants list and entered into contract for environmental review services pursuant to the California Environmental Quality Act (CEQA) (“Consultant”); and
WHEREAS, on May 15, 2023, the City entered into a $72,667 Consulting Services Agreement (“Agreement”) with Consultant to prepare an Initial Study/Mitigated Negative Declaration (“IS/MND”) for the proposed project; and
WHEREAS, on September 27, 2023, Consultant provided the Draft Initial Study/Mitigated Negative Declaration (“IS/MND”) to the City for review and comment.
Subsequently, RCH Group completed the Public Review Draft by addressing comments received in the ISMND; and
WHEREAS, on December 12, 2023, after scheduling a public hearing for the Planning Commission to review the project, a public comment letter on the IS/MND was received about two hours before the hearing which compelled staff to request for a continuance of the hearing to a letter date; and
WHEREAS, staff has asked RCH Group to review and respond to the new comment letter; and
WHEREAS, on January 4, 2024, RCH Group submitted a proposal to amend the Consultant Services Agreement for additional $24,820 to be added to the original $72,667 for a total of $97,487 for work involved in review of the comment letter and providing responses; and
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Resolution No. 24- Page 2 of 2 February 20, 2024
WHEREAS the Developer Deposit for Project Evaluation Costs has increased to the sum of $133,647 with breakdown as follows:
a) $97,487 for CEQA Consultant fees,
b) $21,800 as City Environmental Review services fees in accordance with the City’s Master Fee Schedule effective January 1, 2023, and
c) $14,360 as a refundable contingency reserve funds.
WHEREAS, Developer has deposited a sum of $133,647 sufficient to reimburse the cost of project management and environmental review services provided by RCH Group, Planning & Environmental Consulting, Inc. at the City.
NOW, THEREFORE BE IT RESOLVED that the City Council hereby authorizes the City Manager to execute the First Amendment to the Consulting Services Agreement between the City of Pittsburg and RCH Group, Planning & Environmental Consulting, Inc.
PASSED AND ADOPTED by the City Council of the City of Pittsburg at a regular meeting on the 20th day of February 2024, by the following vote:
AYES:
NOES:
ABSTAINED:
ABSENT:
_____________________________
Juan Antonio Banales, Mayor
ATTEST:
______________________________
Alice E. Evenson, City Clerk
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_____________________________________________________________________________________ First Amendment to Consulting Services Agreement Between February 20, 2024 City of Pittsburg and RCH Group for the Oakstone Northern California Expansion Project
FIRST AMENDMENT TO CONSULTING SERVICES AGREEMENT BETWEEN
THE CITY OF PITTSBURG AND RCH GROUP PLANNING & ENVIRONTMENTAL CONSULTING, INC. FOR THE PREPARATION OF CEQA REVIEW
AND RELATED SERVICES FOR THE OAKSTONE NORTHERN CALIFORNIA EXPANSION
PROJECT
THIS First Amendment to the Principal Agreement made and entered into on May 15, 2023, hereafter referred to as Agreement, between RCH Group Planning & Environmental Consulting, a California corporation, therein referred to as Consultant, and the City of Pittsburg, a municipal corporation, therein referred to as City, is made and entered into on this 20th day of February, 2024.
WHEREAS, on May 15, 2023, the parties entered into an Agreement to prepare the Initial Study/Mitigated Negative Declaration (“IS/MND”) for the proposed Oakstone Northern California Expansion Project for a total compensation amount not to exceed Seventy-Two Thousand, Six Hundred and Sixty-Seven dollars ($72,667); and
WHEREAS, the parties desire to add services and increase the compensation accordingly.
NOW, THEREFORE, Consultant and City do mutually agree as follows:
1. Compensation. The first paragraph of Section 2 of the Agreement is hereby amended to read as follows:
City hereby agrees to pay Consultant a sum not to exceed Ninety-four thousand four hundred eighty-seven dollars ($94,487) as set forth in Exhibit B, attached hereto and incorporated herein for services to be performed and reimbursable expenses incurred under this Agreement. This dollar amount is not a guarantee that the City will pay that full amount to the Consultant, but is merely a limit of potential City expenditures under this Agreement.
2. Exhibit A Scope of Services. Exhibit A is hereby amended to add Attachment 1 of this First Amendment.
3. Exhibit B Compensation Schedule. Exhibit B is hereby amended to add Attachment 2 of this First Amendment.
4. Integration. This First Amendment contains the entire agreement between the parties with respect to its subject matter and supersedes whatever oral or written understanding they may have had prior to the execution of this First Amendment. 189
_____________________________________________________________________________________ First Amendment to Consulting Services Agreement Between February 20, 2024 City of Pittsburg and RCH Group for the Oakstone Northern California Expansion Project
This First Amendment shall not be amended or modified except by a written agreement executed by each of the parties. Except as specifically revised herein, all terms and conditions of the Agreement shall remain in full force and effect, and Consultant shall perform all duties, obligations and conditions required under the Agreement.
5. Inconsistencies. In the event of any conflict or inconsistency between the provisions of this First Amendment and the Agreement, the provisions of this First Amendment shall control in all respects.
6. Ambiguities. The parties have each carefully reviewed this First Amendment and have agreed to each term of this First Amendment. No ambiguity shall be presumed to be construed against either party.
7. Counterparts. This First Amendment may be executed by the parties in one or more counterparts all of which collectively shall constitute one document and agreement.
8. Authority. The person signing this First Amendment for Consultant hereby represents and warrants that he or she is fully authorized to sign this First Amendment on behalf of Consultant.
IN WITNESS WHEREOF, the parties have entered into this First Amendment on the day and year first hereinabove appearing.
190
_____________________________________________________________________________________ First Amendment to Consulting Services Agreement Between February 20, 2024 City of Pittsburg and RCH Group for the Oakstone Northern California Expansion Project
CONSULTANT:
RCH GROUP, PLANNING &
ENVIRONMENTAL CONSULTING, a
California Corporation
By:
Paul Miller, Managing Principal
CITY:
CITY OF PITTSBURG, a Municipal
Corporation of the State of California
By:
Garrett Evans, City Manager
APPROVED AS TO FORM:
By:
Donna Mooney, City Attorney
191
_____________________________________________________________________________________ First Amendment to Consulting Services Agreement Between February 20, 2024 City of Pittsburg and RCH Group for the Oakstone Northern California Expansion Project
Attachment 1
EXHIBIT A
Scope of Services
Consultant shall perform the following:
Add an on-site emergency generator to the Project description and revising the relevant sections to analyze potential impacts (e.g., air quality, energy, GHG emissions, noise, etc.).
Provide ongoing coordination between the Linde Applicant team and biological resources subconsultant related to wetlands and avoiding potential impacts.
Modify the Project site plan to avoid wetlands impacts – required graphics revisions for the Initial Study.
Respond to the comments, including creating a new graphic, have internal meetings with City staff, and attend additional Planning Commission meetings. If there is an appeal, draft responses to comments and attend appeal hearing.
192
_____________________________________________________________________________________ First Amendment to Consulting Services Agreement Between February 20, 2024 City of Pittsburg and RCH Group for the Oakstone Northern California Expansion Project
Attachment 2
EXHIBIT B
Compensation
193
OFFICE OF THE CITY MANAGER/EXECUTIVE DIRECTOR
65 Civic Avenue
Pittsburg, CA 94565
TO: Mayor and Council Members
FROM: Garrett Evans, City Manager
SUBJECT: Adoption of a City Council Resolution Allocating Additional Funds, Accept the Plans and Specifications, and Awarding Project 3118- Corporation Yard Fueling System Replacement
MEETING DATE: February 20, 2024
EXECUTIVE SUMMARY
Project 3118-Corporation Yard Fueling System Replacement (the “Project”) is for the upgrade of the City’s fueling system at the Environmental Center and installation of monitoring wells at the Corporation Yard that meet requirements set by the California State Water Resources Control Board. If adopted, this resolution will allocate additional funds to the Project, accept the project plans and specifications, and authorize the City Manager to award a construction contract to GEMS Environmental Management Services, Inc.
FISCAL IMPACT
The proposal from GEMS Environmental Management Services, Inc. is $991,213 for the Project. Funding for construction will be provided by the $400,000 Building & Fleet Maintenance Fund (Fund 621), $504,100 Water Operations Fund (Fund 501) and $504,000 Sewer Operations Fund (Fund 521) previously allocated to the Project, This resolution will allocate an additional $255,000 from Water Operations Fund (501) and $255,000 from Sewer Operations Fund (521).
If approved, the total project budget will be $1,918,100.
The Budget Summary is attached to this report.
RECOMMENDATION
City Council adopt the attached resolution to allocate an additional $255,000 from Water Operations Fund (501) and $255,000 from Sewer Operations Fund (521), accept the plans and specifications, and authorize the City Manager to execute a construction contract for Project 3118 with GEMS Environmental Management Services, Inc. for a total amount of $991,213.
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Staff recommends that the City Council allocate a construction contingency of $99,121 for any unanticipated costs and contract change orders.
Staff further recommends that the City Engineer be authorized to approve contract change orders in an amount not to exceed 50% of the construction contingency, and the City Manager be authorized to approve change orders in an amount not to exceed the approved project budget.
BACKGROUND
On December 16, 2019, the City Council adopted Resolution No. 19-13729 approving the Five-Year Capital Improvement Program for FY 2019/20-2023/24 and allocating $400,000 from Building & Fleet Maintenance Fund (Fund 621) to the Project.
On October 18, 2021, the City Council adopted Resolution No. 21-14004 approving the consultant agreement for the design of the Project.
On September 19, 2022, the City Council adopted Resolution No. 22-14167 authorizing the purchase of a 12,000 gallon above ground storage tank from Petroleum Marketing Equipment (PME) and approving and allocating additional funds to the Project.
On June 19, 2023, the City Council adopted Resolution No. 23-14318, approving the Five- Year Capital Improvement Program for FY 2023/24-2027/28, allocating an additional $239,100 from Water Operations Fund (Fund 501) and $239,000 from Sewer Operations Fund (Fund 521) to the Project.
On December 4, 2023 staff advertised the Project for construction bids.
Staff received two bid proposals for project construction. The low bid has been checked for arithmetical errors, completeness, and conformance with the bid requirements.
SUBCOMMITTEE FINDINGS
This item was not presented to a subcommittee.
STAFF ANALYSIS
The Project objective is to enhance the City’s fleet capabilities by upgrading the fueling system at the Environmental Center. This will include the demolition and removal of the existing 1,000 gallon gasoline tank and its associated fuel equipment. The upgraded above- ground storage tank, with a capacity of 12,000 gallons has been partitioned to accommodate 8,000 gallons of gasoline and 4,000 gallons of diesel. Additional components include new piping, construction of a concrete tank pad, a CMU (Concrete Masonry Unit) wall, and the implementation of an automatic sliding entry gate. Installation of monitoring wells at the corporation yard is ongoing to meet the California State Water Resources Control Board Requirement.
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Staff is requesting additional funds of $510,000 to the project to address any unforeseen budgetary shortfall, specifically for the completion of the new fueling system and remediation of the old fuel tank. The fueling system is a crucial infrastructure element that will provide fuel for the City’s fleet. It is vital to ensure a reliable fuel supply for City services and the additional funding is essential to guarantee the timely completion of the project.
ATTACHMENTS: Resolution
Budget Summary
Report Prepared By: Alex Ruiz, Assistant Engineer
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Resolution No. 24- Page 1 of 2 February 20, 2024
BEFORE THE CITY COUNCIL OF THE CITY OF PITTSBURG
In the Matter of:
Allocating Additional Funds, Accepting )
the Plans and Specifications and )
Awarding Project 3118-Corporation ) RESOLUTION NO. 24-
Yard Fueling System Replacement )
Project )
WHEREAS, Project 3118-Corporation Yard Fueling System Replacement Project (the “Project”) is for the construction of a new Aboveground Storage Tank (AST) fueling system at the Environmental Center; and
WHEREAS, on December 16, 2019, the City Council adopted Resolution No.19- 13729 adopting the Five-Year Capital Improvement Program for Fiscal Years 2019/20 through 2023/24 allocating $400,000 from Building & Fleet Maintenance Fund (Fund 621) to the Project; and
WHEREAS, on October 18, 2021, the City Council adopted Resolution No. 21- 14004 approving the Consultant Agreement for the design of the Project; and WHEREAS, on September 19, 2022, the City Council adopted Resolution No. 22- 14167 authorizing the purchase of a 12,000 gallon above ground storage tank from Petroleum Marketing Equipment (PME), and allocating additional funds to the Project; and WHEREAS, on June 19, 2023, the City Council adopted Resolution No. 23-14318, approving the Five-Year Capital Improvement Program for Fiscal Years 2023/24 through 2027/28, allocating an additional $239,100 from Water Operations Fund (Fund 501) and $239,000 from Sewer Operations Fund (Fund 521) to the Project; and WHEREAS, on December 4, 2023, staff advertised the Project for bids; and WHEREAS, on December 21, 2023, project construction bids were received and GEMS Environmental Management Services, Inc. was the lowest responsive, responsible bidder with a base bid for a total amount of $991,213; and WHEREAS, staff recommends that the City Council accept the plans and specifications; and
WHEREAS, staff recommends awarding the contract to GEMS Environmental Management Services, Inc. in the amount of $991,213 for the construction of the Project; and
WHEREAS, staff recommends establishing a construction contingency in the amount of $99,121 for unanticipated costs and contract change orders; and WHEREAS, staff recommends that the City Engineer or his designee be authorized to approve contract change orders for a total amount not to exceed 50% of the 197
Resolution No. 24- Page 2 of 2 February 20, 2024 contingency and the City Manager be authorized to approve change orders for a total amount not to exceed the approved project budget; and
WHEREAS, staff further recommends that the City Council approve and allocate an additional $255,000 from Water Operations Fund (501) and $255,000 from Sewer Operations Fund (521).
NOW, THEREFORE, BE IT RESOLVED, that the City Council of the City of Pittsburg hereby accepts the plans and specifications, awards the contract to GEMS Environmental Management Services, Inc., authorizes a construction contingency in the amount of $99,121, authorizes the City Engineer or his designee to approve contract change orders for a total amount not to exceed 50% of the contingency, authorizes the City Manager to approve change orders for an amount not to exceed the approved project budget.
BE IT FURTHER RESOLVED, that the City Council allocates an additional $255,000 from Water Operations Fund (501) and $255,000 from Sewer Operations Fund (521) to the Project.
PASSED AND ADOPTED by the City Council of the City of Pittsburg at a regular meeting on the 20th day of February 2024, by the following vote:
AYES:
NOES:
ABSTAINED:
ABSENT:
_____________________________
Juan Antonio Banales, Mayor
ATTEST:
_______________________________
Alice E. Evenson, City Clerk
198
Project Funding:
Building & Fleet Maintenance Fund (621) $400,000
Water Operations Fund (501) $504,100
Sewer Operation Fund (521) $504,000
New Allocation from Water Operations Fund (501) $255,000 New Allocation from Sewer Operation Fund (521) $255,000 Funding Total $1,918,100
Project Expenditures:
Design: AST Consultant Design Fee 82,430$
(Code 2122) CCO#1 16,870$
Subtotal 99,300$
Miscellaneous:
(Code 1399) Advertising $1,000
Subtotal $1,000
Construction: UST Removal/MNS Project Management Fee $248,407 (Code 2281) UST Well Monitoring $275,000
Aboveground Storage Tank - PME Purchase $94,600
Material Testing $3,458
Construction Base Bid $991,213
Construction Contingency ~ 10% $99,121
Subtotal $1,711,800
Staff Time: Staff Costs During Design $23,000
(Code 1101) $30,000
Subtotal $53,000
Admin: Staff Costs During Design $23,000
(Code 2372) $30,000
Subtotal $53,000
$1,918,100Estimated Expenditures Total
Project Budget Summary
Corporation Yard Fuel System Replacement Project
Project No. 3118
Staff Costs During Construction Management
Staff Costs During Construction Management
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OFFICE OF THE CITY MANAGER/EXECUTIVE DIRECTOR
65 Civic Avenue
Pittsburg, CA 94565
TO: Mayor and Council Members
FROM: Garrett Evans, City Manager
SUBJECT: Adoption of a City Council Resolution Authorizing the City Manager to Execute a Contract for Janitorial Services with Impec Group MEETING DATE: February 20, 2024
EXECUTIVE SUMMARY
The existing Agreement for janitorial services expires on February 28, 2024. If approved, this resolution will authorize execution of a general services agreement for janitorial services with Impec Group, Inc. (Impec).
FISCAL IMPACT
The janitorial services contract with Impec is funded in the City’s Fiscal Year (FY) 2023/24 Operating Budget for Buildings Maintenance Operations. No new funds are requested.
RECOMMENDATION
City Council adopt the attached Resolution authorizing the City Manager to execute a general services agreement with Impec in the amount of $156,102 for janitorial services for a period of one year with the option to extend the term twice for two years respectively, for a total of five (5) years maximum.
BACKGROUND
The Public Works Department is responsible for janitorial services throughout City building facilities. City facilities are divided among two (2) separate agreements. This agreement is for four (4) building locations: City Hall/Police Department (65 Civic Avenue), Housing Authority (Community Access) (916 Cumberland Avenue), Pittsburg Senior Center (300 Presidio Lane) and the Pittsburg Library (80 Power Avenue). These services involve weekly, monthly, and quarterly cleaning tasks including dusting, wiping, sanitizing, vacuuming, and spot cleaning various areas and surfaces in office spaces, restrooms, and common areas. 200
The City seeks proposals for janitorial services every two or three years to ensure costs are competitive and quality of service meet expectations. The Request for Proposals process includes a required pre-proposal meeting where vendors tour and inspect all public and employee areas of City-maintained buildings in order to review the full scope and standards required of proposals submitted for review.
SUBCOMMITTEE FINDINGS
This item was not presented to a subcommittee.
STAFF ANALYSIS
A total of five companies submitted responses to the Request for Proposal in January, 2024. Impec was selected through the competitive process, which included comparison of several factors, including price and professional references. Impec offers competitive pricing and has provided satisfactory janitorial services for the City for several years, including during the COVID-19 pandemic.
ATTACHMENTS: Resolution
RFP Results
General Services Agreement
Report Prepared By: Natasha Farmer, Public Works Administrative Analyst II 201
Resolution No. 24- Page 1 of 1 February 20, 2024
BEFORE THE CITY COUNCIL OF THE CITY OF PITTSBURG
In the Matter Of:
Authorizing the City Manager to )
Execute a Contract for Janitorial ) RESOLUTION NO. 24-
Services with Impec Group )
WHEREAS, the Public Works Department is responsible for the care and maintenance of all City buildings; and
WHEREAS, outside companies are used to service these janitorial needs; and WHEREAS, the current Agreement for Janitorial Services with Impec Group (Impec), expires on February 28, 2024; and
WHEREAS, the City seeks proposals for Janitorial Services periodically to ensure costs are competitive and quality of service meets expectations; and WHEREAS, in January 2024, staff solicited and received proposals for janitorial services and Impec was selected through the competitive process; and WHEREAS, funding is available in the City’s Fiscal Year 2023/24 Operating Budget for Buildings Maintenance Operations.
NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of Pittsburg hereby authorizes execution of a General Services Agreement for Janitorial Services with Impec.
PASSED AND ADOPTED by the City Council of the City of Pittsburg at a regular meeting on the 20th day of February 2024, by the following vote:
AYES:
NOES:
ABSTAINED:
ABSENT:
_______________________________
Juan Antonio Banales, Mayor
ATTEST:
_______________________________
Alice E. Evenson, City Clerk
202
CITY OF PITTSBURG PROPOSAL EVALUATION SHEET
Overall/Average Janitorial Services
SELECTION/EVALUATION CRITERIA
Proposer Total Annual Cost Total Cost Technical Experience Quality of Supervision & Personnel
References & Work History Total Score
(35 Points Maximum) (25 Points Maximum) (20 Points Maximum) (20 Points Maximum) IMPEC $156,101.34 35 24 20 18 97
Universal Building Services $180,288.00 34 22 18 17 90
EcoBrite $242,732.07 31 23 18 17 89
Aim to Please $286,266.50 31 22 17 16 85
Quality Cleaning Professionals $590,700.00 27 20 17 17 81 Rater #1
SELECTION/EVALUATION CRITERIA
Proposer Total Annual Cost Total Cost Technical Experience Quality of Supervision & Personnel
References & Work History Total Score
(35 Points Maximum) (25 Points Maximum) (20 Points Maximum) (20 Points Maximum) IMPEC $156,101.34 35 25 20 18 98
Universal Building Services $180,288.00 34 20 17 17 88
EcoBrite $242,732.07 30 20 17 17 84
Aim to Please $286,266.50 29 20 16 16 81
Quality Cleaning Professionals $590,700.00 26 18 17 18 79 Rater #2
SELECTION/EVALUATION CRITERIA
Proposer Total Annual Cost Total Cost Technical Experience Quality of Supervision & Personnel
References & Work History Total Score
(35 Points Maximum) (25 Points Maximum) (20 Points Maximum) (20 Points Maximum) IMPEC $156,101.34 35 24 20 19 98
Universal Building Services $180,288.00 33 22 18 18 91
EcoBrite $242,732.07 31 24 19 17 91
Aim to Please $286,266.50 30 22 18 16 86
Quality Cleaning Professionals $590,700.00 26 21 17 16 80 Rater #3
SELECTION/EVALUATION CRITERIA
Proposer Total Annual Cost Total Cost Technical Experience Quality of Supervision & Personnel
References & Work History Total Score
(35 Points Maximum) (25 Points Maximum) (20 Points Maximum) (20 Points Maximum) IMPEC $156,101.34 35 24 19 18 96
Universal Building Services $180,288.00 34 23 18 17 92
EcoBrite $242,732.07 33 24 18 17 92
Aim to Please $286,266.50 33 23 17 16 89
Quality Cleaning Professionals $590,700.00 28 22 18 17 85 Bid date: January 18, 2024
Copy of Janitorial Rating Spreadsheet - 2024
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General Services Agreement between February 29, 2024
City of Pittsburg and Impec Group Page 1 of 14
GENERAL SERVICES AGREEMENT BETWEEN
THE CITY OF PITTSBURG AND
NAME OF SERVICE PROVIDER
THIS Agreement (“Agreement”) for general services is made by and between the City of Pittsburg (“City”) and Impec Group, a California limited liability company (“Service Provider”) (together referred to as the “Parties”) as of February 29, 2024 (the “Effective Date”).
Section 1. SERVICES. Subject to the terms and conditions set forth in this Agreement, Service Provider shall provide to City the services described in the Scope of Services attached as Exhibit A, and incorporated herein, at the time and place and in the manner specified therein.
1.1 Term of Services. The term of this Agreement shall begin on the Effective Date and shall end on February 28, 2025. The City has the option in the sole discretion of the City Manager to extend the term twice for two (2) years each, for a total of five (5) years maximum.
1.2 Standard of Performance. Service Provider shall perform all services required pursuant to this Agreement according to the standards observed by a competent practitioner of the profession in which Service Provider is engaged.
1.3 Assignment of Personnel. Service Provider shall assign only competent personnel to perform services pursuant to this Agreement. In the event that City, in its sole discretion, at any time during the term of this Agreement, requests in writing the reassignment of any such persons to ensure Service Provider performs services in accordance with the Standard of Performance, Service Provider shall, immediately upon receiving City’s request, reassign such persons.
1.4 Time. Service Provider shall devote such time to the performance of services pursuant to this Agreement as may be reasonably necessary to meet the standard of performance provided herein above and to satisfy Service Provider’s obligations hereunder.
Section 2. COMPENSATION. City hereby agrees to pay Service Provider a sum not to exceed one hundred sixty thousand dollars ($160,000.00) per year, as set forth in Exhibit B, attached hereto and incorporated herein for services to be performed and reimbursable expenses incurred under this Agreement. This dollar amount is not a guarantee that the City will pay that full amount to the Service Provider, but is merely a limit of potential City expenditures under this Agreement.
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Service Provider and City acknowledge and agree that compensation paid by City to Service Provider under this Agreement is based upon Service Provider’s estimated costs of providing the services required hereunder, including salaries and benefits of employees and subcontractors of Service Provider. Consequently, the parties further agree that compensation hereunder is intended to include the costs of contributions to any pensions and/or annuities to which Service Provider and its employees, agents, and subcontractors may be eligible. City therefore has no responsibility for such contributions beyond compensation required under this Agreement.
2.1 Invoices. Service Provider shall submit invoices, not more often than once a month during the term of this Agreement, based on the cost for services performed and reimbursable costs incurred prior to the invoice date. Invoices shall contain the following information, unless waived by the City Manager, or his or her designee:
▪ Serial identifications of progress bills; i.e., Progress Bill No. 1 for the first invoice, etc.;
▪ The beginning and ending dates of the billing period; ▪ A Task Summary containing the original contract amount, the amount of prior billings, the total due this period, the balance available under the Agreement, and the percentage of completion; ▪ At City’s option, for each work item in each task, a copy of the applicable time entries or time sheets shall be submitted showing the name of the person doing the work, the hours spent by each person, a brief description of the work, and each reimbursable expense;
▪ The total number of hours of work performed under the Agreement by Service Provider and each employee, agent, and subcontractor of Service Provider performing services hereunder;
▪ The Service Provider’s signature.
2.2 Monthly Payment. City shall make monthly payments, based on invoices received, for services satisfactorily performed, and for authorized reimbursable costs incurred. City shall pay undisputed invoices that comply with the above requirements within 30 days from the receipt of the invoice.
2.3 Final Payment. Service Provider shall submit its final invoice within 60 days of completing its services. Service Provider’s failure to submit its final invoice within this 60 day period shall constitute Service Provider’s waiver of any further billings to, or payments from, City.
2.4 Reimbursable Expenses. Reimbursable expenses, if any, are specified in Exhibit B and included in the total compensation referenced in Section 205
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2. Expenses not listed in Exhibit B are not chargeable to, or reimbursable by, City.
2.5 Payment of Taxes. Service Provider is solely responsible for the payment of all federal, state and local taxes, including employment taxes, incurred under this Agreement.
2.6 Authorization to Perform Services. The Service Provider is not authorized to perform any services or incur any costs whatsoever under the terms of this Agreement until receipt of a written authorization from the City Manager, or his or her designee.
Section 3. FACILITIES AND EQUIPMENT. Except as set forth herein, Service Provider shall, at its sole cost and expense, provide all facilities and equipment that may be necessary to perform the services required by this Agreement
Section 4. INSURANCE REQUIREMENTS. Before beginning any services under this Agreement, Service Provider, at its own cost and expense, shall procure the types and amounts of insurance specified herein and maintain that insurance throughout the term of this Agreement. The cost of such insurance shall be included in the Service Provider’s bid or proposal. Service Provider shall be fully responsible for the acts and omissions of its subcontractors or other agents.
4.1 Workers’ Compensation. Service Provider shall, at its sole cost and expense, maintain Statutory Workers’ Compensation Insurance and Employer’s Liability Insurance for any and all persons employed directly or indirectly by Service Provider in the amount required by applicable law.
The requirement to maintain Statutory Workers’ Compensation and Employer’s Liability Insurance may be waived by the City upon written verification that Service Provider is a sole proprietor and does not have any employees and will not have any employees during the term of this Agreement.
4.2 Commercial General and Automobile Liability Insurance.
4.2.1 General requirements. Service Provider, at its own cost and expense, shall maintain commercial general and automobile liability insurance for the term of this Agreement in an amount not less than $2,000,000 per occurrence and $4,000,000 aggregate, combined single limit coverage for risks associated with the work contemplated by this Agreement.
4.2.2 Minimum scope of coverage. Commercial general coverage shall be at least as broad as Insurance Services Office Commercial General Liability occurrence form CG 0001 (most recent edition) 206
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covering comprehensive General Liability on an “occurrence” basis.
Automobile coverage shall be at least as broad as Insurance Services Office Automobile Liability form CA 0001 (most recent edition) covering any auto (Code 1), or if Service Provider has no owned autos, hired (code 8) and non-owned autos (Code 9). No endorsement shall be attached limiting the coverage.
4.2.3 Additional requirements. Each of the following shall be included in the insurance coverage or added as a certified endorsement to the policy:
a. The Commercial General and Automobile Liability Insurance shall cover on an occurrence basis.
b. City, its officers, officials, employees, agents, and volunteers shall be covered as additional insureds for liability arising out of work or operations on behalf of the Service Provider, including materials, parts, or equipment furnished in
connection with such work or operations; or automobiles owned, leased, hired, or borrowed by the Service Provider.
Coverage can be provided in the form of an endorsement to the Service Provider’s insurance at least as broad as CG 20 10 11 85, or both CG 20 10 10 01 and CG 20 37 10 01.
c. For any claims related to this Agreement or the work hereunder, the Service Provider’s insurance covered shall be primary insurance as respects the City, its officers, officials, employees, agents, and volunteers. Any insurance or self-insurance maintained by the City, its officers, officials, employees, agents or volunteers shall be excess of the
Service Provider’s insurance and non-contributing.
d. The policy shall cover inter-insured suits and include a “separation of Insureds” or “severability” clause which treats each insured separately.
e. Service Provider agrees to give at least 30 days prior written notice to City before coverage is canceled or modified as to scope or amount.
4.3 Professional Liability Insurance.
4.3.1 General requirements. Service Provider, at its own cost and expense, shall maintain for the period covered by this Agreement professional liability insurance for licensed professionals performing 207
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work pursuant to this Agreement in an amount not less than $1,000,000 per occurrence or claim covering the Service Provider’s errors and omissions.
4.3.2 Claims-made limitations. The following provisions shall apply if the professional liability coverage is written on a claims-made form:
a. The retroactive date of the policy must be shown and must be before the date of the Agreement.
b. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the Agreement or the work.
c. If coverage is canceled or not renewed and it is not replaced with another claims-made policy form with a retroactive date that precedes the date of this Agreement, Service Provider must purchase an extended period coverage for a minimum of five (5) years after completion of work under this
Agreement.
d. A copy of the claim reporting requirements must be
submitted to the City for review prior to the commencement of any work under this Agreement.
4.4 All Policies Requirements.
4.4.1 Submittal Requirements. Service Provider shall submit the following to City prior to beginning services:
a. Certificate of Liability Insurance in the amounts specified in this Agreement; and
b. Additional Insured Endorsement as required for the General Commercial and Automobile Liability Polices.
4.4.2 Acceptability of Insurers. All insurance required by this Agreement is to be placed with insurers with a Bests' rating of no less than A:VII.
4.4.3 Deductibles and Self-Insured Retentions. Insurance obtained by the Service Provider shall have a self-insured retention or deductible of no more than $100,000.
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4.4.4 Wasting Policies. No policy required herein shall include a “wasting” policy limit (i.e. limit that is eroded by the cost of defense).
4.4.5 Waiver of Subrogation. Service Provider hereby agrees to waive subrogation which any insurer or contractor may require from Service Provider by virtue of the payment of any loss. Service Provider agrees to obtain any endorsements that may be
necessary to effect this waiver of subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer.
The Workers’ Compensation policy shall be endorsed with a waiver of subrogation in favor of the City for all work performed by the Service Provider, its employees, agents, and subcontractors.
4.4.6 Subcontractors. Service Provider shall include all subcontractors as insureds under its policies or shall furnish separate certificates and endorsements for each subcontractor. All coverages for subcontractors shall be subject to all of the requirements stated herein, and Service Provider shall ensure that City, its officers, officials, employees, agents, and volunteers are covered as additional insured on all coverages.
4.4.7 Excess Insurance. If Service Provider maintains higher insurance limits than the minimums specified herein, City shall be entitled to coverage for the higher limits maintained by the Service Provider.
4.5 Remedies. In addition to any other remedies City may have if Service Provider fails to provide or maintain any insurance policies or policy endorsements to the extent and within the time herein required, City may, at its sole option: 1) obtain such insurance and deduct and retain the amount of the premiums for such insurance from any sums due under the Agreement; 2) order Service Provider to stop work under this Agreement and withhold any payment that becomes due to Service Provider hereunder until Service Provider demonstrates compliance with the requirements hereof; and/or 3) terminate this Agreement.
Section 5. INDEMNIFICATION AND SERVICE PROVIDER’S RESPONSIBILITIES.
5.1 General Indemnification. To the fullest extent permitted by law, Contractor shall defend, indemnify and hold City, its officials, officers, employees, volunteers and agents free and harmless from any and all claims, demands, causes of action, costs, expenses, liability, loss, damage or injury, in law or equity, to property or persons, including wrongful death, in any manner arising out of or incident to any alleged 209
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negligent acts, omissions or willful misconduct of Contractor, its officials, officers, employees, agents, subcontractors and subcontractors arising out of or in connection with the performance of the Services, the Project or this Agreement, including without limitation the payment of all consequential damages, attorneys’ fees and other related costs and expenses. Contractor shall defend, at Contractor's own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against City, its directors, officials, officers, employees, agents or volunteers. Contractor shall pay and satisfy any judgment, award or decree that may be rendered against City or its directors, officials, officers, employees, agents or volunteers, in any such suit, action or other legal proceeding. Contractor shall reimburse City and its directors, officials, officers, employees, agents and/or volunteers, for any and all legal expenses and costs, including reasonable attorneys’ fees, incurred by each of them in connection therewith or in enforcing the indemnity herein provided. Contractor's obligation to indemnify shall not be restricted to insurance proceeds, if any, received by City or its directors, officials, officers, employees, agents or volunteers. Notwithstanding the foregoing, to the extent Contractor's Services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor. This Section 5.1 shall survive any expiration or termination of this Agreement.
5.2 PERS Indemnification. In the event that Service Provider or any employee, agent, or subcontractor of Service Provider providing services under this Agreement is determined by a court of competent jurisdiction or the California Public Employees Retirement System (PERS) to be eligible for enrollment in PERS as an employee of City, Service Provider shall indemnify, defend, and hold harmless City for the payment of any employee and/or employer contributions for PERS benefits on behalf of Service Provider or its employees, agents, or subcontractors, as well as for the payment of any penalties and interest on such contributions, which would otherwise be the responsibility of City.
Section 6. STATUS OF SERVICE PROVIDER.
6.1 Independent Contractor. At all times during the term of this Agreement, Service Provider shall be an independent contractor and shall not be an employee of City.
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6.2 Service Provider Not an Agent. Except as City may specify in writing, Service Provider shall have no authority, express or implied, to act on behalf of City in any capacity whatsoever as an agent. Service Provider shall have no authority, express or implied, pursuant to this Agreement to bind City to any obligation whatsoever.
Section 7. LEGAL REQUIREMENTS.
7.1 Governing Law. The laws of the State of California shall govern this Agreement.
7.2 Compliance with Applicable Laws. Service Provider and any subcontractors shall comply with all laws applicable to the performance of the work hereunder. Service Provider shall also, to the extent required by the California Labor Code, pay not less than the latest prevailing wage rates as determined by the California Department of Industrial Relations.
7.3 Licenses and Permits. Service Provider represents and warrants to City that Service Provider and its employees, agents, and any subcontractors have, and will maintain at their sole cost and expense, all licenses, permits, qualifications, and approvals of whatsoever nature that are legally required to practice their respective professions. In addition to the foregoing, Service Provider and any subcontractors shall obtain and maintain during the term of this Agreement valid business licenses from City.
7.4 Nondiscrimination and Equal Opportunity. Service Provider shall not discriminate, on the basis of a person’s race, religion, color, national origin, age, physical or mental handicap or disability, medical condition, genetic information, marital status, sex, sexual orientation, gender or gender identity, against any employee, applicant for employment, subcontractor, bidder for a subcontract, or participant in, recipient of, or applicant for any services or programs provided by Service Provider under this Agreement. Service Provider shall comply with all applicable federal, state, and local laws, policies, rules, and requirements related to equal opportunity and nondiscrimination in employment, contracting, and the provision of any services that are the subject of this Agreement, including but not limited to the satisfaction of any positive obligations required of Service Provider thereby.
7.5 Registration and Monitoring. Service Provider shall be currently registered with the Department of Industrial Relations and qualified to perform public work consistent with Labor Code section 1725.5, except in limited circumstances as referenced in Labor Code section 1771.1(a) or the exemption set forth in section 1771.1(n). Additionally, Service 211
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Provider is hereby notified that this Project is subject to compliance monitoring and enforcement by the Department of Industrial Relations.
7.6 Prevailing Wage Rates. In accordance with California Labor Code Section 1771, not less than the general prevailing rate of per diem wages for work of a similar character in the locality in which the services described in Exhibit A are to be performed, and not less than the general prevailing rate of per diem wages for holiday and overtime work as provided in the California Labor Code must be paid to all workers engaged in performing the services described in Exhibit A. In accordance with California Labor Code Section 1773.2, the City has obtained the general prevailing wages in the locality in which the services described in Exhibit A are to be performed for each craft or type of work needed to be as published by the State of California Department of Industrial Relations, Division of Labor Statistics and Research, a copy of which is on file in the City’s General Services Department and shall be made available on request. Contractor must comply with all applicable laws and regulations that apply to wages earned in performance of the services described in Exhibit A. Contractor assumes all responsibility for such payments and shall defend, indemnify and hold the City harmless from any and all claims made by any worker, governmental agency or other third party with regard thereto.
The Service Provider and any subcontractors engaged in performance of the services described in Exhibit A shall comply with Labor Code Section 1775, which establishes a penalty per day for each worker engaged in the performance of the services described in Exhibit A that the Service Provider or any subcontractor pays less than the specified prevailing wage.
In accordance with Labor Code Section 1776, the Service Provider and each subcontractor engaged in performance of the services described in Exhibit A shall keep accurate payroll records showing the name, address, social security number, work, straight time and overtime hours worked each day and week, and the actual per diem wages paid to each journeyman, apprentice, worker, or other employee employed in performance of the services described in Exhibit A. Such records shall be in kept, maintained and made available in accordance with the requirements of Labor Code Section 1776.
Section 8. TERMINATION AND MODIFICATION.
8.1 Termination. Upon ten days’ prior written notice, City may cancel this Agreement at any time and without cause upon such written notification to Service Provider. In the event of termination, Service Provider shall be 212
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entitled to compensation for services performed to the effective date of termination; City, however, may condition payment of such compensation upon Service Provider delivering to City any or all documents, photographs, computer software, video and audio tapes, and other materials provided to Service Provider or prepared by or for Service Provider or the City in connection with this Agreement.
8.2 Amendments. The parties may amend this Agreement only by a writing signed by the parties hereto.
8.3 Assignment and Subcontracting. City and Service Provider recognize and agree that this Agreement contemplates personal performance by Service Provider and is based upon a determination of Service Provider’s unique personal competence, experience, and specialized personal knowledge. Moreover, a substantial inducement to City for entering into this Agreement was and is the professional reputation and competence of Service Provider. Service Provider may not assign this Agreement or any interest therein without the prior written approval of the City Manager, or his or her designee. Service Provider shall not subcontract any portion of the performance contemplated and provided for herein, other than to the subcontractors noted in the proposal, without prior written approval of the City Manager, or his or her designee.
8.4 Survival. All obligations arising prior to the termination of this Agreement and all provisions of this Agreement allocating liability between City and Service Provider, including but not limited to the provisions of Section 5, shall survive the termination of this Agreement.
8.5 Options upon Breach by Service Provider. If Service Provider materially breaches any of the terms of this Agreement, City’s remedies shall include, but not be limited to, the following:
8.5.1 Immediately terminate the Agreement;
8.5.2 Retain the plans, specifications, drawings, reports, design documents, and any other work product prepared by Service Provider pursuant to this Agreement;
8.5.3 Retain a different service provider to complete the work described in Exhibit A not finished by Service Provider; or
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Provider pursuant to Section 2 if Service Provider had completed the work.
8.5.5 The remedies mentioned in this Agreement are not exclusive of any other right, power or remedy permitted by law. The City’s failure or delay in exercising any remedy shall not constitute a waiver of such remedy or preclude the further exercise of City’s rights.
Section 9. KEEPING AND STATUS OF RECORDS.
9.1 Records Created as Part of Service Provider’s Performance. All final versions of reports, data, maps, models, charts, studies, surveys, photographs, memoranda, plans, studies, specifications, records, files, or any other documents or materials, in electronic or any other form, that Service Provider prepares or obtains pursuant to this Agreement and that relate to the matters covered hereunder shall be the property of the City.
Service Provider hereby agrees to deliver those documents to the City upon termination of the Agreement, and the City may use, reuse or otherwise dispose of the documents without Service Provider’s permission. It is understood and agreed that the documents and other materials, including but not limited to those described above, prepared pursuant to this Agreement are prepared specifically for the City and are not necessarily suitable for any future or other use. City and Service Provider agree that, until final approval by City, all data, plans, specifications, reports and other documents are confidential drafts and will not be released to third parties by Service Provider without prior written approval of City.
9.2 Service Provider’s Books and Records. Service Provider shall maintain any and all records or documents evidencing or relating to charges for services or expenditures and disbursements charged to the City under this Agreement for a minimum of 3 years, or for any longer period required by law, from the date of final payment to the Service Provider to this Agreement. All such records shall be maintained in accordance with generally accepted accounting principles and shall be made available for inspection, audit, and/or copying at any time during regular business hours, upon oral or written request of the City. Pursuant to Government Code Section 8546.7, the Agreement may be subject to the examination and audit of the State Auditor for a period of 3 years after final payment under the Agreement.
Section 10 MISCELLANEOUS PROVISIONS.
10.1 Attorneys’ Fees. If a party to this Agreement brings any action, including an action for declaratory relief, to enforce or interpret the provision of this 214
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Agreement, the prevailing party shall be entitled to reasonable attorneys’ fees in addition to any other relief to which that party may be entitled. The court may set such fees in the same action or in a separate action brought for that purpose.
10.2 Venue. In the event that either party brings any action against the other under this Agreement, the parties agree that trial of such action shall be vested exclusively in the state courts of California in Contra Costa County or in the United States District Court for the Northern District of California.
10.3 Severability. If a court of competent jurisdiction finds or rules that any provision of this Agreement is invalid, void, or unenforceable, the provisions of this Agreement not so adjudged shall remain in full force and effect. The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement.
10.4 No Implied Waiver of Breach. The waiver of any breach of a specific provision of this Agreement does not constitute a waiver of any other breach of that term or any other term of this Agreement.
10.5 Successors and Assigns. The provisions of this Agreement shall inure to the benefit of and shall apply to and bind the successors and assigns of the parties.
10.6 Conflict of Interest. Service Provider may serve other clients, but none whose activities within the corporate limits of City or whose business, regardless of location, would place Service Provider in a “conflict of interest,” as that term is defined in the Political Reform Act, codified at California Government Code Section 81000 et seq.
Service Provider shall not employ any City official in the work performed pursuant to this Agreement. No officer or employee of City shall have any financial interest in this Agreement that would violate California Government Code Sections 1090 et seq.
10.7 Solicitation. Service Provider agrees not to solicit business at any meeting, focus group, or interview related to this Agreement, either orally or through any written materials.
10.8 Notices. Any notice, demand, request, consent or approval that either party is required to give the other pursuant to this Agreement, shall be in writing and may be given by either (i) personal service, or (ii) certified United States mail, postage prepaid, return receipt requested. Notice shall be effective upon personal delivery or delivery to the addresses specified 215
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below, as reflected on the receipt of delivery or return receipt, as applicable.
Service Provider : Impec Group
3350 Scott Blvd., Bldg. #8
Santa Clara, CA 95054
ATTN: Joe Cigolini
[email protected]
City: City of Pittsburg
65 Civic Avenue
Pittsburg, CA 94565
ATTN: City Manager
10.9 Professional Seal. Where applicable in the determination of the City Manager, or his or her designee, the first page of a technical report, first page of design specifications, and each page of construction drawings shall be stamped/sealed and signed by the licensed professional responsible for the report/design preparation. The stamp/seal shall be in a block entitled “Seal and Signature of Registered Professional with report/design responsibility.”
10.10 Integration. This Agreement, including the scope of work attached hereto and incorporated herein as Exhibits A and B represents the entire and integrated agreement between City and Service Provider and supersedes all prior negotiations, representations, or agreements, either written or oral. To the extent there are any inconsistences between this Agreement, the Exhibits, and Service Provider’s proposal, the Agreement shall control To the extent there are any inconsistences between the Exhibits and the Service Provider’s Proposal, the Exhibits shall control.
Exhibit A Scope of Services
Exhibit B Compensation Schedule
10.11 Counterparts. This Agreement may be executed in multiple counterparts, each of which shall be an original and all of which together shall constitute one agreement.
10.12 Construction of Agreement. Each party hereto has had an equivalent opportunity to participate in the drafting of the agreement and/or to consult with legal counsel. Therefore, the usual construction of an agreement against the drafting party shall not apply hereto.
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10.13 No Third Party Beneficiaries. This Agreement is made solely for the benefit of the parties hereto, with no intent to benefit any third parties.
The Parties have executed this Agreement as of the Effective Date.
CITY OF PITTSBURG SERVICE PROVIDER
____________________________ ______________________________ Garrett Evans, City Manager Raffy Espiritu, CEO / President
Approved as to Form:
____________________________
Donna Mooney, City Attorney
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EXHIBIT A
SCOPE OF SERVICES
Includes four building locations: City Hall/Police Department (65 Civic Avenue), Housing Authority (Community Access) (916 Cumberland Avenue), Pittsburg Senior Center (300 Presidio Lane) and the Pittsburg Library (80 Power Avenue) in Pittsburg, California.
These services include supervision, supplies (including all paper products and liners, and all cleaning chemicals and waxes), services, equipment (auto scrubbers, buffers, floor machines, carpet extractors, vacuum cleaners, etc.), labor, permits, insurance to perform satisfactory work.
Janitorial services provided shall include supervision, supplies (including all paper products and liners, and all cleaning chemicals and waxes), services, equipment (auto scrubbers, buffers, floor machines, carpet ex tractors, vacuum cleaners, etc.), labor, permits, insurance to perform satisfactory work as outlined and based on the City of Pittsburg’s Standard Operating Procedure for cleaning and sanitation set forth herein.
Carpet Cleaning and Floor Car e for All Facilities. The Contractor shall bonnet clean and/or shampoo carpets at all locations for a professional appearance at the intervals designated below.
City staff will determine the scheduling for cleaning of carpets (staff must be given at least week notice of cleaning).
1. Library carpet cleaning quarterly.
2. City Hall floor service at PD and Cell area quarterly. The remaining floor areas including all stairs and stairwells of City Hall two (2) times a year.
3. Senior Center floor and carpet cleaning quarterly.
4. Housing Authority Community Access two (2) times a year.
The carpet areas should be uniform in appearance and free of embedded dirt, grime, stains, and discoloration after each designated cleaning. Carpet shall be cleaned with a commercial floor machine with steam and power scrubbing capability that will clean both sides of the carpet using extraction method and a drying time o f four to five hours. All shampooing solution s shall be removed f rom walls, furniture, trash receptacles, chairs and s imilar items. Chairs, tras h receptacles, and easily movable items shall be moved to shampoo carpet areas underneath and then returned to their original location.
Dusting (Civic Center). The intent of the services to be performed is to leave the facility dust - free, extending up to eight (8) feet, as well as in the areas as so specified. The scope of work is as follows:
• Clean and/or du st all ledges, cubicle/cabinet tops, TV screens, bathroom/cubicle partitions, and window sills; entrance door frames an d exit signs; remove all cobwebs off of beams located throughout and thoroughly remove dust from all vertical/vaulted ceiling surfaces.
• All conference room and break room tables and chairs, entry lobby doors, lobby area, and lobby bathroom shall be cleaned on a daily basis. 218
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Police Department
• Garages: Blow out or sweep on a weekly basis.
• Jail Cells: Flush and clean floor drains on a weekly basis.
Special Cleaning Requirements (will be considered an u nacceptable service if not completed)
• Council Chamber s-foyer and st ainless steel panels (Use Stainless Steel Cleaner By Claire ONLY)
• Disinfect and wipe down equipment in gym
• Jail cells and temporar y holding areas cleaned daily (Contractor will have to return i f in use)
• Schedule janitorial services around meetings in offices, conference rooms, etc • Conference Room: Perform dusting; floor care services; emptying of trash receptacles, etc.
• Keep Janitor closets including sinks in clean and orderly condition
Miscellaneous
• Monthly scheduled management me etings with the City o f Pittsburg t o ensure services with the Contractor are consistent with Standard Operating Procedures.
• Contractor will not be paid for work outside the scope of this document and as stated i n the proposal without prior written authorization by the City of Pittsburg.
• Should it become necessary for the Contractor to respond to an emergency call after working hours, on weeken ds, or holidays, Contractor shall be reimbursed at the agreed upon rates. Contractor agrees to respond within 4-hours of an emergency and agrees to be available for emergency callout. The Contractor will provide an emergency telephone number for on-call emergencies, 24-hours per day, and 7 days per week.
• Contractor to emp loy adequately and appropriately trained staff with satisfacto ry professional janitorial and floor care abilities. Currently all sites require two personnel minimum to accomplish satisfactory janitorial service and meet schedule restrictions. Staff must possess satisfactory oral and written communications and work within the following guidelines (days and hours) for each building:
City Hall: Clean five (5) day work week Monday through Friday within the hours of 5 am to 8 pm and including one or more days during the weekend. Note: There are restricted/locked areas that can only be cleaned during normal business hours of 8 am to 5 pm (Holiday and weekend work included).
Library: Clean five (5) days a week, Tuesday through Saturday.
Starting times: Tuesday (after 8 pm), Wed (after 6 pm), Thurs (after 8 pm), Fri/Sat (after 6 pm)
Housing Authority (Community Access): Clean two (2) days a week (M-F) spaced early and end weekdays between 6 pm and 9 pm
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Senior Center: Clean five (5) days a week Monday through Friday between 5 pm and 12 am.
Hours at times are subject to change if necessary.
STANDARD OPERATING PROCEDURE-CLEANING & SANITATION
Purpose. To describe a regular cleaning and san itation procedure and to ensure that only approved materials are u sed at all city buildings in Pittsburg, California. The Contractor shall provide janitorial services as outlined in the Scope of Work/Specifications and Standard Operating Procedure (SOP). The Contractor shall perform all cleaning tasks to meet the completen ess, quality and frequency requirements set forth in this RFP. NOTE: The cleaning and sanitation is based on a 5 and/or 7-day workweek as outlined in the Mandatory requirements.
Scope. This SOP applies to Public Works, Janitorial Contractors, and all buildings within the City of Pittsburg.
Responsibility. The Public Works Department is responsible for the supervision and auditing of cleaning and sanitation tasks as outlined in this SOP.
• Procedures. The cleaning and sanitation procedures for facilities are divided into specific operations. These operations are scheduled to be performed at predetermined intervals for different work areas within the facility. Materials authorized for use are included in this RFP.
Definitions
The following definit ions apply to the methods of cleaning and san itation as specified i n this procedure:
Damp Mop
Moisten floor surface with an appropriate solution and wipe clean.
Damp Wipe
Moisten disposable cleaning towel or clean rag with an appropriate solution and wipe clean.
Dry Mop
Use a treated broad-faced cotton towel to capture and remove dust and debris from smooth, hard floor surfaces (static action).
Extract
Flush foreign material from fabric using special equipment for this purpose (also known as steam or dry cleaning).
Hand Dust
Uses a disposable towel or clean rag to wipe, capture, and remove dust (static action).
Refinish
• Apply appropriate synthetic floor finish on floor as required and appropriate.
Sanitize
Use a germicidal detergent in conjunction with cleani ng procedures, i.e., DAMP WIPE, DAMP MOP, WASH, and SCRUB.
Scrub
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Saturate surface with an appropriate solution and agitate by hand or mechanically with the aid of a scrubbing pad or brus h to suspend foreign matter. Remove excess solution with wet vacuu m equipment or other means. Damp mop.
Shampoo
Clean fabric surfaces with appropriate solution by hand or mechanical means and let air-dry.
Spray Buff (as appropriate)
Use a high -speed machine to ap ply appropriate solution to clean and polish synthetic floor finishes.
Strip (as appropriate)
Flood surface with emulsifying detergent solution and agitate by hand or mechanically with the aid of a scrubbing pad to suspend floor finish. Remove solut ion with wet vacuum equipment or other means. Apply a neutralizing solution and remove. Damp mop.
SPECIFIC TASKS-DAILY
Listed below are the specific tasks for cleaning and sanitation of common a reas, lobby, offices, conference rooms, exercise & fitness room, restrooms, etc.
Carpet
The Contractor shall vacuum all carpeted floor areas so that after vacuuming, they are free of all liter, dust, soil, etc. Chairs, trash receptacles, and easily movable items shall be moved to vacuum underneath and returned to their original location when vacuuming has been completed. The Contractor shall remove all spots on carpets that are smaller than two square feet.
Floors
The Contractor shall damp mop and c lean resilient and ceram ic tile floors, including all splash marks on furniture, walls, baseboard, etc., using a germicidal solution. The Contractor’s cleaning shall include corners and abutm ents so that they are uniform in appearance and are free of streaks, swirl marks, detergent residue, or any evidence of stai ns, soil, film debris, or standing water. The Contractor shall ensure that the mop used to clean the bathroom floor is not used on any other common floor area. The Contractor shall display caution signs when floors are wet and personnel other than Contractor personnel are present in the area. Signs shall remain in place until floors are completely dry.
The Contractor shall maintain all resilient and ceramic tile floors with floor cleaning machines, unless specified elsewhere as having carpet or specia l floor ing. After floors receive floor maintenance, the entire floor shall have a uniform coating of nonskid finish and glossy appearance and be free of scuffmarks, heel marks, and other stains and discoloration. The Contractor shall remove floor finish from ba seboards, walls, furniture, trash receptacles, etc. Chairs, tr ash receptacles, and easily removable items shall be tilted or moved to maintain floors underneath and returned to their original location when maintenance has been completed. The Contractor shall apply these techniques only to the portion of the floor needing work to bring the entire surface up to the above stated standard. The Contractor shall not apply finish on surfaces that have not been cleaned.
Trash
The Contractor shall empty and ret urn to their initial location, wastebaskets, receptacles , and other trash containers within the area including the removal of white recycle wastebaskets. The 221
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Contractor shall wash and sanitize wastebaskets and trash receptacles used for disposal of food remnants inside and out. Plastic trash liners shall be place d in all waste receptacles and/or replaced when soiled or torn. The exterior of trash and ash urn receptacles shall be cleaned as required to assure cleanliness. The Contractor shall dispose of trash in plastic bags secured with a bag tie. The Contractor shall pick up any trash that may fall in or around the building during the removal of collected tr ash. The Contractor shall deposit all trash in the outside trash collection point.
Low Dusting
The Contractor shall perform low dusting so that after dusting, all dust, smudges, cobwebs, litter, lint, and dry soil are removed from surfaces of chairs, conference/break room tables, file cabinets and other types of office furniture, wall hangings, cubicle/cabinet tops, partitions, ledges, window sills, light fixtures, ceiling corners, etc. Contractor shall thoroughly clean exhaust vents and pay special attention to rafters, corners, and overhangs. All areas shall be inspected and kept cobweb free.
Glass
The Contractor shall clean and polish interior and e xterior glass doors. Areas will include sills/ledges, display cases, glass cabinets, mirrors, interior windows, etc.
Drinking Fountains and Sinks
The Contractor shall clean and disinfect all porcelain and polish metal surfaces, including damp- wipe and then drying all surfac e areas with clean cloth, including exter ior of counters, shelves, and refrigerator. The Contractor shall clean drinking fountains and sinks so that after cleaning, drinking fountains and sinks shall be free from spots, stains, smudg es, scale, and other obvious soil. The Contractor shall scrub and wipe sink and polish chrome fixtures.
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Lunchroom and Coffee Areas
Damp wipe tables and chairs in lunchroom and on patio. Clean l unchroom and coffee areas; disinfect counter and tabletop surfaces and rinse with clean water including sinks, outside front/top of refrigerators and vending machines. Clean microwaves, inside and outside.
Stairs and Stairwells
Dust, mop, and clean the stairs, stairwells and landings, as well as the floor area underneath the stairs on a daily basis.
Elevator
Clean interior cab and exterior door of elevator. Mop floor and remove dust, smu dges, fingerprints, and other markings. Clean and disinfect control panels using a germicidal cleaner.
Clean and polish interior glass.
Mirrors, Light Switches, and Door Knobs
Polish all mirrors and clean light switches, keypad devices, doorknobs, handles, etc., using a germicidal cleaner throughout common areas.
Restrooms
The Contractor shall perform restroom cleaning as specified. Restroom c leaning shall include the following tasks:
• Clean/Disinfect: The Contractor shall clean all surfaces and sanitize basins, toilets, toilet seats, urinals, chrome fittings, and other such surfaces, using germicidal detergent. After cleaning, all surfaces sh all be free of dirt, grime, film, stains, scum, soap residue, dust , and other foreign matter.
• Spot Clean: The Contractor shall remove smudges, fingerprints, marks, str eaks, dust, etc. from washable surfaces, of partitions, stalls, stall doors, hand rails, wall areas adjacent to urinals, toilets, interior and exterior doors, and soap/towel dispenser. The Contractor shall spot clean using a germicidal detergent. After spot cleaning, the surface shall have a clean, uniform appearance. Other walls surfaces not mentioned should be spot cleaned as needed to the same standards.
• Descale: The Contractor shall descale interior of toilet bowls and urinals so that after cleaning the entire surface is free of streaks, stains, scum, scale, urine deposits, and rust stains.
• Mirrors and Dispensers: The Contractor shall clean and polish mirrors and adjacent trim as needed so that after cleaning the entire surface is free of streaks, stains, scum, scale, and stains.
• Waste Receptacles: The Contractor shall empty waste an d sanitary napkin disposal receptacles and replace liners. Wash and sanitize inside and outside using a germicidal solution; polish outside chrome with bright metal polish.
• Floors: The Contractor shall damp mop resilient and ceramic tile floors using a germicidal detergent solution.
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• Supplies: The Contractor shall supply and replenish the restroom areas with certified green toilet paper, paper towels, toilet seat covers, and soap products to ensure supplies are not depleted before the next service.
SPECIFIC TASKS - WEEKLY
• Clean, wipe and sani tize restroom doors, walls and partitions. Clean walls in common areas using a product consistent with paint manufacturer’s recommendations.
• Clean and wipe down all computers, monitors, and keyboards with an approved lint/dust free cloth.
• Remove fingerp rints and spot d amp wipe all woodwork, doors, and walls, partition s, window ledges, tops of filing cabinets, etc.
• Spot clean interio r windows and glass in conference rooms, office suites , and workstations.
• Damp wipe all doors, moldings, jams, window frames, ledges, sills, and baseboards.
• Remove cobwebs within interiors or around the outside or behind any door.
• Clean and wipe down tops, sides, and front of lockers in Police Department.
• Clean and sanitize kick plates, thresholds, light switches, and handles.
• Machine scrub and/or hard wax surface floors as required.
• Edge vacuum carpet, removing all dust, dirt, and lint.
SPECIFIC TASKS - MONTHLY
•
• Dust and polish all furniture. Wipe down desks, filing cabinets, fr amed pictures, plagues, telephones, etc.
• Dust, clean and vacuum upholstered chairs. Wipe thoroughly and polish arms, legs and bases.
• Clean, wipe and/or wash all Venetian blinds, removing all fingerprints, smudges, and dust on inside and outside.
• Vacuum and wipe down ceiling vents (includes restrooms) and HV AC with appropriate cleaner.
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EXHIBIT B
COMPENSATION SCHEDULE
Total Contract amount: Not to exceed $160,000 per year
City shall comensate Service Provider at the monthly amount of : $13,008.44
Cost of Services Monthly Annual
City Hall/PD $ 7,861.18 $ 94,334.22
Library $ 2,324.33 $ 27,891.90
Housing Authority $ 863.75 $ 10,365.03
Senior Center $ 1,959.18 $ 23,510.19
TOTAL $ 13,008.44 $ 156,101.34
A “no penalty” grace period of fifteen (15) days shall be provided by the City to Contractor starting the effective date of this Agreement.
The City of Pittsburg reserves the right to reduce payments made to the Contractor for service performances found to be unacceptable by the City representative. The City will allow four (4) legitimate complaints for below standard cleaning service per month. If a fifth legitimate complaint occurs, $300 will be deducted from the monthly price negotiated by the contract. After the initial $300 deduction, future complaints will result in an additional $200 deduction per complaint until the end of the month.
A legitimate complaint is defined as a service flaw registered by building occupants and confirmed with a visual inspection by the City`s representative. The Contractor is required to correct the service problem within eight (8) hours of notification. Failure to correct the service problem within this time frame will result in an additional complaint for each 8 hours.
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CERTIFICATE OF COMPLIANCE WITH LABOR CODE § 3700
I am aware of the provisions of Section 3700 of the Labor Code which require every employer to be insured against liability for workers’ compensation or to undertake self-insurance in accordance with the provisions of that code, and I will comply with such provisions before commencing the performance of the work of this contract.
IMPEC GROUP
By:
Title:
226
OFFICE OF THE CITY MANAGER/EXECUTIVE DIRECTOR
65 Civic Avenue
Pittsburg, CA 94565
TO: Mayor and Council Members
FROM: Garrett Evans, City Manager
SUBJECT: Adoption of an Ordinance Approving an Amendment to the San Marco Development Plan and PD-1362 (Planned Development, Ordinance No. 12-1362) District for Siena at San Marco Residential Subdivision (Units 16 and 17), AP-21-1584 (GP, PD/RZ, SUBD, DR)
MEETING DATE: February 20, 2024
EXECUTIVE SUMMARY
On February 5, 2024, the City Council held a public hearing on a request to adopt a resolution approving a General Plan Map Amendment and Vesting Tentative Map for a 206- lot single-family residential, subdivision on an approximately 48-acre portion of Village C (Unit 17) and an approximately 10-acre portion of Village O (Unit 16) located immediately south of the Willow Pass Road interchange on State Route 4, near the westernmost edge of Pittsburg city limits in the PD-1362 (Planned Development, Ordinance No. 12-1362) district.
Assessor's Parcel Nos. 091-050-072 and portion of 091-050-071. After closing the public hearing, the Council adopted Resolution No. 24-14425 approving the General Plan Map amendment and Vesting Tentative Map for a Major Subdivision. The City Council also introduced and waived further reading of an ordinance approving an amendment to the San Marco Development Plan and PD-1362 (Planned Development, Ordinance No. 12-1362) District for the project. The ordinance is now ready for City Council adoption.
FISCAL IMPACT
One-time revenues related to construction permits and other development fees and exactions (as outlined in Exhibit C of Resolution No. 24-14425) are anticipated with this project. There is no impact to the General Fund if this project is approved.
RECOMMENDATION
City Council to take the following action:
1. Move to adopt Ordinance No. 24-____ approving an Amendment to the San Marco Development Plan and PD-1362 (Planned Development, Ordinance No. 12-1362) District for the Siena at San Marco Residential Subdivision (Units 16 and 17). 227
BACKGROUND
The requested amendment to the Development Plan and PD-1362 District (Ordinance No. 12-1362), if approved, would: 1) Reassign 98 units from multifamily Village M, nine (9) units from multifamily Village B, and five (5) units from multifamily Village O to single family Village C and 2) Convert 25 units from multifamily Village O to single family units in Village O. See Exhibit A of Attachment 1 for the proposed Amendment to the San Marco Development Plan and PD-1362 District.
For a more detailed discussion of the application in its entirety, the City Council may refer to the February 5, 2024, staff report titled “Adoption of a City Council Resolution Approving a General Plan Map Amendment and Vesting Tentative Map for a Major Subdivision; and Introduction and Waive First Reading of an Ordinance Approving an Amendment to the San Marco Development Plan and PD-1362 (Planned Development, Ordinance No. 12-1362) District for Siena at San Marco Residential Subdivision (Units 16 and 17), AP-21-1584 (GP, PD/RZ, SUBD),” included as Attachment 2 of this report.
SUBCOMMITTEE FINDINGS
This item was not presented to a subcommittee.
STAFF ANALYSIS
After the City Council holds a public hearing and introduces an ordinance on a given matter, approval of the matter is formalized by City Council adoption of the ordinance by a majority vote at a meeting no fewer than five days after the public hearing. The ordinance becomes effective 30 days after the date of its adoption.
ATTACHMENTS:
1. Ordinance 24-____
a. Exhibit A – Amendment to San Marco Development Plan and PD-1362 Plan
2. City Council Staff Report dated February 5, 2024
Report Prepared By: Alison Hodgkin, Associate Planner
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Ordinance No. 24- Page 1 of 6 February 20, 2024
BEFORE THE CITY COUNCIL OF THE CITY OF PITTSBURG
In the Matter of:
Amending the San Marco Development )
Plan and PD-1362 (Planned )
Development, Ordinance No. 12-1362) )
District for “Siena at San Marco ) ORDINANCE NO. 24-
Residential Subdivision (Units 16 and )
17), AP-21-1584 (GP, PD/RZ, SUBD) )
WHEREAS, on April 3, 1990, the City Council adopted Ordinance No. 90-990 certifying a negative declaration and authorizing the execution of the Southwest Development Agreement (DA) for the development of 2,938 residential units on 639 acres in the southwest hills of Pittsburg. The DA established provisions under which the development would be built, including land use regulations, fees and assessments, and infrastructure; and
WHEREAS, on January 19, 1993, the City Council adopted Resolution No. 93-7888 certifying a subsequent environmental impact report (SEIR) for the 2,938-unit project currently known as the San Marco Development; and
WHEREAS, on February 1, 1993, the City Council adopted Ordinance No. 93-1057 zoning the San Marco Development property to a residential Planned Development District (PD-1057), with a PD Plan consisting of 1,412 single-family residential units and 1,526 multifamily residential units; and
WHEREAS, there have been four subsequent amendments to the DA since the original approval on January 19, 1993. On October 1, 2001, the Council approved Ordinance No. 01-1187, the first amendment to the DA to extend the term of the agreement to the year 2020. Initial construction of residential units in San Marco began in 2001. On July 19, 2010, the Council approved Ordinance No. 10-1326, the second amendment to the DA, which revised the map exhibit of the DA to remove 1.41 acres that the developer wanted for a commercial gasoline station, rather than a residential use. On April 15, 2013, the Council approved Ordinance No. 13-1369, the third amendment to the DA, to extend the term of the agreement to the year 2032, among other items, including park improvements and annual payments for DA compliance reviews. On December 21, 2020, the Council approved Ordinance No. 20-1481, the fourth amendment to the DA, which allowed a General Plan Map Amendment and amendments to the Planned Development District and San Marco Development Plan for the San Marco Commercial Center project; and WHEREAS, there have been four subsequent amendments to the original PD Ordinance since it was adopted on February 1, 1993. On February 3, 2003, the Council approved Ordinance No. 03-1204, a City-initiated amendment increasing lot coverage allowances for single-family homes in this and other PD Districts from 40 to 55 percent, depending on lot size. On August 21, 2006, the Council adopted Ordinance No. 06-1270, an applicant-initiated amendment to San Marco Development Park Requirements, consolidating several mini-parks in the original development plan into two larger community parks, consistent with the City of Pittsburg 2001 General Plan. On October 15, 2012, the 229
Ordinance No. 24- Page 2 of 5 February 20, 2024 Council adopted Ordinance No. 12-1362 to exchange development density (176 units) within the San Marco Development from townhouse/multifamily Village O to single-family Village A. On December 21, 2020, the Council approved Ordinance No. 20-1480, amending the San Marco PD District and Development Plan to allow for a small commercial shopping center (San Marco Commercial Center) on the 3.69-acre property on the southeast corner of San Marco Boulevard and W. Leland Road. The San Marco Commercial Center project consists of a 29,822-square-foot anchor tenant building and two separate commercial pad sites. The anchor tenant building is designed to accommodate a grocery store or retail use.
One of the commercial pads is designed to accommodate an 1,826-square-foot restaurant with drive-through service and the second pad could accommodate a 3,500-square-foot restaurant. To date, approximately 1,540 single-family houses, 462 multi-family units (San Marco Villas 1 and 2 (Village B)), a public elementary school and an adjoining neighborhood park and a community park have been built in the San Marco Development; and WHEREAS, on July 21, 2021, Discovery Builders, Inc., filed Planning Application No.
AP-21-1584 (GP, PD/RZ, SUBD), requesting: 1) an Amendment to the General Plan Map to change the land use designation of the project site from High Density Residential and Open Space to Low Density Residential and Open Space, 2) an Amendment to the San Marco Development Plan and PD-1362 (Planned Development, Ordinance No. 12-1362) District to transfer a total of 112 units from other villages into Village C and convert a total of 206 multi- family units to single-family units, 3) a Vesting Tentative Map for a 206-lot Major Subdivision (Siena at San Marco); and to subdivide the project site into 206 individual lots for single- family residences. The project site is located immediately south of the Willow Pass Road interchange on State Route 4, near the westernmost edge of Pittsburg city limits in the PD- 1362 (Planned Development, Ordinance No. 12-1362) district. Assessor's Parcel Nos. 091- 050-072 and portion of 091-050-071; and
WHEREAS, the project site is located within the larger San Marco Development area which is subject to the San Marco Development Agreement (DA) originally approved by the City Council on July 1, 1993, as subsequently amended. The project site is regulated by the conditions of approval set forth in the PD-1362 (Planned Development District, Ordinance No. 12-1362) District; and
WHEREAS, a Final Supplemental Environmental Impact Report (SEIR) was prepared and certified in accordance with CEQA to examine the potential environmental effects of the original project (Final EIR for the San Marco Subdivision). The Pittsburg City Council certified the Final SEIR in Resolution No. 93-7888 on January 19, 1993, making the required findings under CEQA (State Clearinghouse No. 91073029). An Addendum to the certified Final SEIR has been prepared in accordance with CEQA Guidelines Section 15164 to address the proposed project (Siena at San Marco Units 16 and 17). The Addendum must be considered by the City Council with Planning Application No. AP-21-1584 (GP, PD/RZ, SUBD); and
WHEREAS, Pittsburg Municipal Code (PMC) sections 18.16.020 and 18.62.070 identify the Planning Commission as the advisory body to the City Council on proposed changes to PD Districts of the zoning map, and requires that the Commission conduct a public hearing and determine, prior to making its recommendation, that: 1) the change proposed is consistent with the objectives, policies, general land uses and programs specified in the General Plan and applicable specific plan; 2) a community need is 230
Ordinance No. 24- Page 3 of 5 February 20, 2024 demonstrated for the change proposed; and 3) its adoption will be in conformity with public convenience, general welfare and good zoning practice; and WHEREAS, on June 27, 2023, after conducting a duly noticed public hearing, the Planning Commission adopted Resolution No. 10226, recommending approval of the proposal in its entirety, including the requested amendment to the San Marco Development Plan and PD-1362 (Planned Development, Ordinance No. 12-1362) District; and WHEREAS, on or prior to Friday, January 26, 2024, in accordance with Government Code sections 65090 and 65091, and PMC section 18.14.020.A - D, a “Notice of Public Hearing,” for the February 5, 2024, public hearing on this item was published in the East County Times; was posted at City Hall; was delivered for posting at the Pittsburg Library; and was mailed via first class or electronic mail to the applicant, to the property owner, to owners of property located within 300 feet of the proposed project site, to local service agencies whose services might be affected by this project, and to individuals who had previously filed written request for such notice; and
WHEREAS, on February 5, 2024, the City Council held a duly-noticed public hearing to: 1) introduce and waive further reading of this ordinance approving the proposed amendment to the San Marco Development Plan and PD-1362 (Planned Development, Ordinance No. 12-1362) District; and 2) adopt a resolution approving the proposed General Plan Map Amendment, and Vesting Tentative Map, at which time oral and/or written testimony was considered.
NOW, THEREFORE, the City Council of the City of Pittsburg does ORDAIN as follows:
SECTION 1. Findings.
A. The City Council finds that each fact set forth in the preceding recitals is true and correct and incorporated by reference.
B. Based on the City Council Staff Report entitled, “Adoption of a Resolution Approving a General Plan Map Amendment and Vesting Tentative Map for a Major Subdivision; and Introduction and Waive First Reading of an Ordinance Approving an Amendment to the San Marco Development Plan and PD-1362 (Planned Development, Ordinance No. 12-1362) District for Siena at San Marco Residential Subdivision (Units 16 and 17), AP-21-1584 (GP, PD/RZ, SUBD),” dated February 5, 2024, and based on all the information contained in the Planning Division files on the project, incorporated herein by reference and available for review in the Planning Division located at 65 Civic Avenue in Pittsburg, and based on all written and oral testimony presented at the public hearing, the City Council finds that:
1. City staff prepared an Addendum for the proposed project to determine whether and to what extent the Subsequent Environmental Impact Report (SEIR) for the San Marco Development area remains sufficient to address the potential impacts of the proposed project, or whether additional documentation may be required under the California Environmental Quality Act (CEQA) (Public Resources Code [PRC] §§ 21000, et seq.). Based on the analysis in 231
Ordinance No. 24- Page 4 of 5 February 20, 2024 the Addendum, staff determined that preparation of a supplemental or Subsequent EIR or ND was not required and that an Addendum provides the required documentation under CEQA for the proposed project.
Amendment to the San Marco Development Plan and PD-1362 (Planned Development, Ordinance No. 12-1362) District:
2. Pursuant to Pittsburg Municipal Code (PMC) section 18.62.070, amendments to adopted PD Districts are processed in the same manner as zoning map amendments.
3. The proposed amendment to the San Marco Development Plan and PD-1362 District is subject to the San Marco DA originally approved by the City Council on July 1, 1993, which was found to be consistent with the objectives, policies, general land uses and programs specified in the 1988 General Plan.
4. The proposed amendment to the San Marco Development Plan and PD-1362 District is compatible with the uses authorized in, and the regulations prescribed for, the land use district for which it is prepared, in that the land uses and property development regulations allowed in the proposed ‘PD District’ will be similar to the land uses and property development regulations that were approved for other residential subdivisions in the San Marco Development area, i.e., Toscana (Village A), Positano (Village D – Units 11 and 12) and Capri (Village E – Unit 13) subdivisions:
Max. Lot Coverage: 55 percent
Min. Front Yard: 15 ft. to nearest wall
10 ft. to porch
18 ft. to garage
Min. Corner Side Yard: 8 ft.
Min. Side Yard: 4 ft.
Min. Rear Yard: 5 ft.
5. There is a community need for the proposed change to the amendment to the San Marco Development Plan and PD-1362 District. Currently, the entire San Marco Development area is designated exclusively for residential use in the approved PD Plan. The proposed amendment would not increase the total number of units already envisioned for the San Marco Development but would increase the number of small-lot, single-family units in the project, thereby increasing opportunities for homeownership for entry-level buyers in the community.
6. The proposed amendment to the San Marco Development Plan and PD-1362 District will be in conformity with public convenience, general welfare, and good zoning practice, in that it would not increase the total number of units already envisioned for the San Marco Development and would provide well- designed, new homes for existing and new residents near the San Marco Commercial Center and the Pittsburg/Bay Point BART station. 232
Ordinance No. 24- Page 5 of 5 February 20, 2024 SECTION 2. Amendment.
Based on the findings and the authority set forth above, the City Council hereby amends the Zoning Map, as referenced in Pittsburg Municipal Code, Title 18 (Zoning Ordinance) section 18.04.020, to amend PD-1362 District and the corresponding San Marco Development Plan Land Use Table to: 1) reflect a reassignment of 98 units from multifamily Village M, nine (9) units from multifamily Village B, and five (5) units from multifamily Village O to single family Village C, and 2) convert 25 units from multifamily Village O to single family units in Village O as depicted in Exhibit A of this resolution.
SECTION 3. Effective Date.
This Ordinance shall be in full force and effective thirty (30) days after its adoption.
SECTION 4. Severability.
If any section, subdivision, sentence, clause, phrase or portion of this Ordinance is for any reason held invalid or unconstitutional by any court of competent jurisdiction, such portion shall be deemed a separate, distinct and independent provision, and such holding shall not affect the validity of the remaining portions.
SECTION 5. Publication.
The ordinance shall be posted and published in accordance with the California Government Code.
The foregoing ordinance was introduced at a regular meeting of the City Council of the City of Pittsburg held on February 5, 2024, and was adopted and ordered published at regular a meeting of the City Council held on February 20, 2024, by the following vote:
AYES:
NOES:
ABSTAINED:
ABSENT:
Juan Antonio Banales, Mayor
ATTEST:
Alice E. Evenson, City Clerk
233
1 2
4 3
5 (C)
3 5
(B)4
9 (D)
10(D)
(B)6 7 (B)
8 (A)
(B)
RECREATION
CENTER
(D)2
(D)3
(B)1
Exhibit A - Amendment to San Marco Development Plan and PD Plan, Siena at San Marco Residential Subdivision, AP-21-1584 (GP, PD/RZ, SUBD) 234
Siena at San Marco Residential Subdivision (Units 16 and 17) , AP-21-1584 ( GP,
PD/RZ, SUBD, DR)
Specific development regulations for Siena at San Marco (Units 16 and 17) are as follows:
Max. Lot Coverage: 55 percent
Min. Front Yard: 15 ft. to nearest wall
10 ft. to porch
18 ft. to garage
Min. Corner Side Yard: 8 ft.
Min. Side Yard: 4 ft.
Min. Rear Yard: 5 ft.
The proposed development regulations in the PD Plan (listed a bove) are similar to the standards that were approved for the Toscana (Village A), Positano (Village D – Units 11 and 12) and Capri (Village E – Unit 13) subdivisions.
235
OFFICE OF THE CITY MANAGER/EXECUTIVE DIRECTOR
65 Civic Avenue
Pittsburg, CA 94565
TO: Mayor and Council Members
FROM: Garrett Evans, City Manager
SUBJECT: Adoption of a City Council Resolution Approving a General Plan Map Amendment and Vesting Tentative Map for a Major Subdivision; and Introduction and Waive First Reading of an Ordinance Approving an Amendment to the San Marco Development Plan and PD-1362 (Planned Development, Ordinance No. 12-1362) District for Siena at San Marco Residential Subdivision (Units 16 and 17), AP-21-1584 (GP,
PD/RZ, SUBD)
MEETING DATE: February 5, 2024
EXECUTIVE SUMMARY
This is a public hearing on a request to adopt a resolution approving: 1) a General Plan Map Amendment to change the land use designation of the project site from High -Density Residential and Open Space to Low Density Residential and Open Space, 2) a Vesting Tentative Map for a 206-lot Major Subdivision. This public hearing also includes a request to introduce and waive first reading of an ordinance approving an amendment to the San Marco Development Plan and PD-1362 (Planned Development, Ordinance No. 12 -1362) District to transfer a total of 112 units from other villages into Village C and convert a total of 206 multi- family units to single -family units for the Siena at San Marco Residential Subdivision (Units 16 and 17). The project site is located immediately south of the Willow Pass Road interchange on State Route 4, near the westernmost edge of Pittsburg city limits in the PD-1362 (Planned Development, Ordinance No. 12 -1362) district. Assessor's Parcel Nos. 091 -050-072 and portion of 091-050-071.
FISCAL IMPACT
One-time revenues related to construction permits and other development fees and exactions are anticipated with this proposal. There is no impact to the General Fund if this project is approved.
RECOMMENDATION
City Council open the public hearing; take public comment; close the public hearing and take the following actions:
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1. Adopt a resolution (Attachment 1) approving a General Plan Map amendment, Vesting Tentative Map for a Major Subdivision; and
2. Introduce, waive further reading, and pass to second reading, an ordinance (Attachment 2) approving an amendment to the San Marco Development Plan and PD- 1362 (Planned Development, Ordinance No. 12-1362) District.
Please note: A condition of approval for the project has been included making approval of the Vesting Tentative Map for a Major Subdivision contingent upon City Council adoption of the ordinance approving the amendment to the San Marco Development Plan and PD-1362 (Planned Development, Ordinance No. 12-1362) District.
BACKGROUND
On July 21, 2021, West Coast Home Builders, Inc., filed Planning Application No. AP-21-1584 (GP, PD/RZ, SUBD), requesting: 1) an Amendment to the General Plan Map to change the land use designation of the project site from High -Density Residential and Open Space to Low Density Residential and Open Space, 2) an Amendment to the San Marco Development Plan and PD-1362 (Planned Development, Ordinance No. 12-1362) District to transfer a total of 112 units from other villages into Village C and convert a total of 206 multi-family units to single-family units, 3) a Vesting Tentative Map for a 206 -lot Major Subdivision (Siena at San Marco); to subdivide the project site into 206 individual lots for single -family residences, and 4) Design Review of landscape and arch itectural plans to construct residences at Siena at San Marco.
On July 27, 2023, the Planning Commission held a public hearing to consider the project.
Following public testimony and deliberations, the Planning Commission adopted Resolution No. 10226 (Attachment 3), recommending the City Council adopt an ordinance and resolution to approve the Siena at San Marco Residential Subdivision (Units 16 and 17), subject to conditions.
The project as previously reviewed by the Planning Commission on July 27, 2023, included a request for design review, which was included in the recommendation by the Planning Commission. However, the applicant has requested this portion of the application be withheld from consideration at this time to allow the applicant to revise the architecture and landscape plans. Once resubmitted, staff will return to the Planning Commission and City Council, as appropriate, for consideration and review
Existing Conditions: Village C (62.52 acres) and Village O (25.90 acres) are vacant and undeveloped and bisected by West Leland Rd; Village C is on the north side of West Leland Road and Village O is on the south side of West Leland Road. Surrounding land uses are primarily residential, vacant rangeland and open space.
The project site is comprised of an approximately 48 -acre portion of Village C (Unit 17) and an approximately 10 -acre portion of Village O (Unit 16). The remaining 15 -acre portion of Village C, while currently vacant, is slated for future development of San Marco Villas (Phase III – 270 multifamily units).
The project site (Units 16 and 17) consists of gently rolling hills and some leveled areas.
Elevations within the Unit 17 portion of the project site range from 300 to 460 feet above mean sea level and there is a notable large hill in the central part of U nit 17 with a transmission tower and corridor through the middle of the site. Elevations within the Unit 16 portion of the 237
project site range from 350 to 440 feet above mean sea level with a low area in the western portion of Unit 16, with the surrounding hill gently sloping toward the low area. The transmission line corridor through the project site houses two parallel Pacific Gas and Electric (PG&E) electrical transmission lines (230 and 115 kilovolt [kV]).
The project site is approximately one and one-half-mile from the Pittsburg/Bay Point Bay Area Rapid Transit (BART) station and is within a quarter mile of Tri Delta Transit Route 200 bus stops located near the intersection of West Leland Road and San Marco Boulevard.
See Photos of the Project Site in Attachment 4.
Surrounding Land Uses
Village C (~48 acres)
North: Agricultural-Natural Resources Trust parcel (5 acres) (constructed detention basin), State Highway 4
West: Avila Road RV & Boat Storage, Spilker, LLC property (vacant) South: West Leland Road and Units 11 and 12 (Positano) East: Future San Marco Villas III (~15 acres of Village C) – 270 multifamily units, Existing San Marco Villas I and II (Village B – 462 multifamily units)
Village O (~10 acres)
North: West Leland Road
West: Existing residential subdivision known as Positano (Village L) South: Residential Subdivision known as Positano (Village L) East: Eastern portion (~16 acres) of Village O (vacant)
See Map of Surrounding Land Uses in Attachment 5.
Proposed Project: The proposed project, if approved, would allow for the development of 181 single-family units on an approximately 48 -acre portion of Village C (Unit 17) and 25 single - family units within all approximately 10 acres of Village O (Unit 16).
Village C. The San Marco Development Plan originally planned for 339 multifamily units (townhouse apartments) to be built in Village C. To date, 270 of the 339 multifamily units have been approved (San Marco Villas III), but not yet constructed which leaves 69 units remaining in Village C. The applicant proposes to transfer 112 units into Village C (98 units from Village M, nine units from Village B, and five units from Village O), which would increase the unit count in Village C to 181 total. All 181 units were planned as multifamily units under the original San Marco Development Plan. The proposed project, if approved, would map and construct all 181 units as single-family units instead of multifamily units.
Village O. The San Marco Development Plan originally planned for 291 multifamily units (townhouse apartments) to be built in Village O. To date, none of those units have been approved or constructed. The applicant proposes to convert 25 units within Village O from multifamily units to single family units.
Taken together, Units 16 and 17 (the Siena Subdivision – 206 total single family units) would be constructed on an approximately 58-acre portion of the larger San Marco site; 25 units on a 10-acre portion of Village O and 181 units on a 48-acre portion of Village C. 238
Project Entitlements.
Three approvals are requested for this project: 1) a General Plan Map Amendment, 2) an Amendment to the San Marco Development Plan and PD -1362 (Planned Development, Ordinance No. 12 -1362), and 3) a Vesting Tentative Map for a Major Subdivision. Each approval is discussed in detail below.
1. General Plan Map Amendment
The proposed General Plan Map Amendment, if approved, would change the current land use designation of the project site from High -Density Residential and Open Space, which allows construction to a maximum of 25 dwelling units per acre (du/ac), to Low Densi ty Residential and Open Space which allows for the construction of a maximum of 7 du/ac.
See Exhibit A of Attachment 1 (Resolution) for the proposed General Plan Map Amendment.
2. San Marco Development Plan and PD -1362 District Amendment (Zoning Map Amendment):
The proposed amendment to the Development Plan and PD-1362 District (Ordinance No. 12- 1362), if approved, would:
a. Reassign 98 units from multifamily Village M, nine (9) units from multifamily Village B, and five (5) units from multifamily Village O to single family Village C; and b. Convert 25 units from multifamily Village O to single family units in Village O.
See Exhibit A of Attachment 2 (Ordinance) for the proposed Amendment to the San Marco Development Plan and PD-1362 District.
3. Vesting Tentative Map for a Major Subdivision:
The proposed Major Subdivision, if approved, would subdivide the approximately 58 -acre project site into 206, single -family residential lots. The proposed l ot sizes range from 3,402 sq. ft. (minimum) to 16,375 sq. ft. (maximum) in Unit 16 and 3,375 sq. ft. (minimum) to 26,560 sq. ft. (maximum) in Unit 17. See discussion below for Vesting Tentative Map project development and design regarding access, open spac e, off-street parking, bicycle facilities, and infrastructure and utilities.
Access:
Vehicular access to Unit 17 would be from Siena Village Drive. Messina Circle, Livorno Drive, and Brindisi Drive would serve lots in the northern portion and Casina Circle, Giovanni Drive, Catania Court, Lucca Lane, and Pesara Lane would serve lots in the southern portion of Unit
17. Vehicular access Unit 16 would be from Street A. Street B would serve lots in the eastern portion of Unit 16.
All streets throughout the proposed subdivision would be public streets*. Six -foot-wide sidewalks on both sides of the street are required.
Proposed roadway widths are listed below:
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Siena Village Drive: 40-ft. – 52-ft.
Giovanni Drive: 40-ft.
Casina and Messina Circles: 36-ft.
Brindisi and Livorno Drives: 36-ft.
Lucca and Pesaro Lanes**: 30-ft.
Catania Court: 30-ft.
Streets A and B: 36-ft.
*Lucca and Pesaro Lanes on the west side of Unit 17 would be private access easements, not public streets, and therefore do not include sidewalks.
**Note: Pursuant to California Vehicle Code section 22500.1 and California Fire Code section 503.3, roadways less than 36 -ft. wide shall have NO PARKING -FIRE LANE signs posted, allowing for parking on one side only or curbs painted red with the words NO PA RKING - FIRE LANE clearly marked. This requirement will apply to Catania Court and both Lucca and Pesaro Lanes.
Open Space:
Unit 17
There are 11 open space lots of varying sizes throughout Unit 17; Parcels A (49,207 sq. ft.), B (406,631 sq. ft.) and J (222,321 sq. ft.) would be designated open space devoted to Geological Hazard Abatement District (GHAD). Parcel C would be a 2,888-sq. ft. pocket park, Parcel D (1,132 sq. ft.) would be devoted to Emergency Vehicle Access, Parcels E (668 sq. ft.), F (1,093 sq. ft.), G (2,468 sq. ft.) and H (4,366 sq. ft.) would be common area landscaping, Parcel I (1,924 sq. ft.) would be drainage maintena nce access and Parcel K would be a 20,314-sq. ft. dog park. Parcels L and M are located across West Leland Road from Unit 17 and would be designated open space. Parcel N indicates a future West Leland Road.
Unit 16
There are four open space lots of varying sizes throughout Unit 16: Parcel A would be a pump station (5,079 sq. ft.), Parcels B (15,363 sq. ft.), C (6,443 sq. ft.) and D would be designated open space devoted to Geological Hazard Abatement District (GHAD).
Frontage improvements to West Leland Road and Santa Teresa Drive (curb, gutter and sidewalk) have already been provided by the applicant.
Infrastructure/Utilities:
Water
Based on a water supply analysis conducted by West Yost, dated July 27, 2022, the proposed subdivision is not anticipated to change the storage or pumping capacity findings or recommendations included in the City’s 2015 Water System Master Plan or the City ’s 2020 Urban Water Management Plan. Further, the additional water demand due to the Project’s land use changes represents only a 0.1 percent increase in the City’s projected future maximum day and peak hour demands. Thus, the additional water demand is not anticipated to trigger the need for additional pipeline improvements.
Sewer
The City and the Delta Diablo Sanitation District would provide sewer services. The sewer master plan for the overall San Marco Development was previously reviewed and approved by the City, which has always showed the proposed sewers for Unit 17 be conveyed thru San 240
Marco Villas and eventually discharged into San Marco Boulevard. The proposed sewer design and layout is consistent with the previously City approved master plan.
Stormwater
The Contra Costa County Flood Control District has previously reviewed and approved the San Marco Drainage Study which included the proposed project site.
Provisions regulating stormwater management and discharge control in Chapter 13.28 PMC, require effective February 15, 2005, implementation of appropriate source control and site design measures and stormwater treatment measures for projects that create or replace one acre or more of impervious surface, and that effective August 15, 2006, reduce the threshold to projects that create or replace 10,000 square feet or more of impervious surface.
These provisions do not apply to the proposed project because the Southwest Development Agreement for the San Marco Development occurred on April 3, 1990 (Ordinance No. 90 - 990), prior to implementation of stormwater management and C3 requirements adopted i n February 2005.
Additionally, the applicant is not proposing more impervious surface than what was already approved under the current adopted San Marco Development Plan and PD-1362.
Stormwater from the project will not be treated on-site. Rather, it will flow through street drains and existing infrastructure along W Leland Road to the existing C3 basin near the corner of San Marco Boulevard and W Leland Road approximately between one -quarter and one-half mile from Unit 16 and 17 residences.
A condition of approval will require the applicant to evaluate the existing, receiving storm and sewer facilities for adequate capacity and provide the results to the City to identify any service or supply problems. If any service or supply problems arise, the applicant agrees to cover the cost for installation of additional facilities required to be constructed to accommodate the proposed project.
See Exhibit B of Attachment 1 (Resolution) for the proposed Major Subdivision 9550 and Vesting Tentative Map.
See Exhibit C of Attachment 1 (Resolution) for the proposed Conditions of Approval.
GENERAL PLAN/CODE COMPLIANCE:
Pittsburg General Plan 2020
The project site is located within the larger San Marco Development area which is subject to the San Marco Development Agreement (DA) originally approved by the City Council on July 1, 1993.
The DA was subsequently amended on October 1, 2001, in Ordinance No. 01 -1187, on July 19, 2010, in Ordinance No. 10 -1326, on April 15, 2013, in Ordinance No. 13 -1369 and on December 21, 2020, in Ordinance No. 20-1481.
The DA locked in the land use regulations at the time it was originally adopted. At the time the DA and PD plan were adopted, they were determined to be consistent with the applicable General Plan (1988).
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The project site is located within the San Marco Development area in the Southwest Hills subarea of the General Plan and is currently designated a mixture of High-Density Residential and Open Space. The High -Density Residential designation is intended to p rovide sites for residential densities ranging from 14 to 25 units per acre. The proposed Low Density Residential designation is intended to provide sites for residential densities ranging from 1 to 7 units per acre.
The proposed project is a single -family development with a density of 3.57 units per acre which is inconsistent with the existing General Plan land use designation for the project site.
To address this inconsistency, the applicant is requesting the parcel be redesignated to Low Density Residential. If the proposed General Plan Amendment is approved, the maximum density for the project site would be reduced from 25 units per acre to 7 units per acre, which would allow for a maximum of 404 units on the 57.73 -acre project site. The applicant is proposing a total of 206 units on the project site, which is less than the maximum that would be allowed.
Zoning/Amendment to the San Marco Development Plan and PD -1362 (Planned Development, Ordinance No. 12-1362) District (Zoning Map Amendment)
The current zoning for the site is PD-1362 (Planned Development District, Ordinance No. 12- 1362) District, and the site is regulated by the conditions of approval set forth in the ordinance establishing the PD District. As previously discussed, the propose d project falls within the area designated as Villages C and O in the San Marco Development Plan area.
The requested PD District amendment would amend the current San Marco Development Plan to: 1) modify the land use table to transfer 98 units from multifamily Village M, nine (9) units from multifamily Village B, and five (5) units from multifamily Village O to single family Village C, and 2) convert 25 units from multifamily Village O to single family units in Village O.
The proposed transfer would not increase the total number of residential units (2,938) approved for construction within the San Marco Development area, pursuant to the provisions of the existing DA.
Pursuant to PMC section 18.62.070, amendments to adopted PD Districts are processed in the same manner as zoning map amendments.
Inclusionary Housing Requirements
Development of the project site (Villages C and O) was envisioned in and is consistent with the current San Marco Development Plan. The San Marco Development Plan was determined to be consistent with the applicable General Plan (1988) at the time it was approved. The proposed project is exempt from Inclusionary Housing requirement s in Chapter 18.86 PMC adopted in 2004 because the project is subject to the San Marco Development Agreement.
The terms of the San Marco Development Agreement expressly prohibit the application of new City rules, regulations and policies that come into effect after July 1, 1993. As such, the current proposal is exempt and not subject to the Inclusionary Housing Ordinance.
East Contra Costa County Habitat Conservation Plan/Natural Community Conservation Plan (ECCC HCP/NCCP)
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The City joined the East Contra Costa County Habitat Conservation Plan Association as a member agency with the adoption of City Council Resolution No. 00-9196 on June 19, 2000.
On April 16, 2007, the City established procedures to implement the East Contra Costa County Habitat Conservation Plan/Natural Community Conservation Plan (ECCC HCP/NCCP) in PMC Chapter 15.108 (Ordinance No. 07-1293).
PMC section 15.108.030 (Applicability) describes development projects which are exempt from the City’s HCP provisions. PMC section 15.108.030(A)(4) specifically exempts “Development projects with vested rights as established by California law including Government Code Sections 65864 through 65869 (development agreements) and Sections 66498.1 through 66498.9 (vesting tentative maps) where such rights vested prior to adoption of the ordinance codified in this chapter.”
The San Marco Development falls within this exemption given execution of the Southwest Development Agreement for the San Marco Development occurred on April 3, 1990 (Ordinance No. 90 -990), prior to implementation of HCP requirements and procedures adopted in 2007.
Required Finding – General Plan Map Amendment: In order to adopt a general plan amendment, the City Council must determine, in accordance with Government Code section 65358, that the amendment would be in the public interest.
Required Findings – Zoning Map Amendment: In order to approve zoning changes, the City Council must determine, in accordance with PMC section 18.48.030, that:
A. the change proposed is consistent with the objectives, policies, general land uses and programs specified in the General Plan and applicable specific plan;
B. in the case of a base district, overlay district or general land use regulation, the change proposed is compatible with the uses authorized in, and the regulations prescribed for, the land use district for which it is proposed;
C. a community need is demonstrated for the change proposed; and
D. its adoption would be in conformity with public convenience, general welfare and good zoning practice.
Required Findings – Vesting Tentative Map for a Major Subdivision: In order to approve a Vesting Tentative Map for a Major Subdivision, the City Council must determine, in accordance with PMC section 17.20.060(c), that:
A. the proposed map is consistent with the general plan and any applicable specific plan, or other applicable provision of PMC;
B. the site is physically suitable for the type of development;
C. the site is physically suitable for the proposed density of development;
D. the design of the subdivision or the proposed improvements would not cause substantial environmental damage or substantially and avoidably injure fish or wildlife or their habitat;
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E. the design of the subdivision or the type of improvements would not cause serious public health problems; and
F. the design of the subdivision or the type of improvements would not conflict with easements, acquired by the public at large, for access through or use of property within the proposed subdivision.
A full analysis of how the proposed project meets the required General Plan Map amendment and Vesting Tentative Map for a Major Subdivision findings is provided in Section 2 (Findings) of the Resolution (Attachment 1). A full analysis of how the proposed p roject meets the required findings for an Amendment to an adopted PD Plan is provided in Section 2 (Findings) of the Ordinance (Attachment 2).
Environmental Review: On January 19, 1993, the City Council adopted Resolution No. 93 - 7888 certifying a Final Subsequent Environmental Impact Report (SEIR) for the entire, 639 - acre, 2,938-unit project currently known as the San Marco Development (State Clearinghouse No. 1991073029).
CEQA Guidelines Section 15164(a) provides that the lead agency or a responsible agency shall prepare an Addendum to a previously certified EIR or Negative Declaration (ND) if some changes or additions are necessary but none of the conditions described in CEQA Guidelines Section 15162 (listed below) calling for preparation of a Subsequent EIR or ND have occurred.
1. Substantial changes are proposed in the project which will require major revisions of the previous EIR or ND due to the involvement of new significant environmental effects or a substantial increase in the severity of previously identified significant effects;
2. Substantial changes occur with respect to the circumstances under which the project is undertaken which will require major revisions of the previous EIR or ND due to the involvement of new significant environmental effects or a substantial increase in the severity of previously identified significant effects; or
3. New information of substantial importance, which was not known and could not have been known with the exercise of reasonable diligence at the time the previous EIR was certified as complete, or the ND was adopted shows any of the following:
A. The project will have one or more significant effects not discussed in the previous EIR or ND.
B. Significant effects previously examined will be substantially more severe than shown in the previous EIR or ND.
C. Mitigation measures or alternatives previously found not to be feasible would in fact be feasible, and would substantially reduce one or more significant effects of the project, but the project proponents decline to adopt the mitigation measure or alternative; or
D. Mitigation measures or alternatives which are considerably different from those analyzed in the previous EIR or ND would substantially reduce one or more significant effects on the environment, but the project proponents decline 244
to adopt the mitigation measure or alternative (CEQA Guidelines, Section 15162, subd. (a); see also Pub. Resources Code, Section 21166).
City staff prepared an Addendum for the proposed project to determine whether and to what extent the SEIR for the San Marco Subdivision remains sufficient to address the potential impacts of the proposed project, or whether additional documentation may be required under the California Environmental Quality Act (CEQA) (Public Resources Code [PRC] §§ 21000, et seq.).
There are no substantial changes proposed by the proposed project or the circumstances in which the proposed project would be undertaken that would require major revisions of the prior certified SEIR. The proposed project does not require preparation of a new subsequent or supplemental EIR due to: 1) the involvement of new significant environmental effects, (2) a substantial increase in the severity of previously identified significant effects, or (3) new information of substantial importance. No mitigation measures or alternatives previously found not to be feasible would in fact be feasible, nor has the Siena at San Marco proponent declined to adopt any additional mitigation measures or alternatives that would substantially reduce one or more significant effects on the environment. Rather, all the impacts associated with the Modified Project are within the envelope of impacts addressed in the prior certified SEIR. Applicable mitigation measures from the prior certified SEIR are identified and discussed in t he Addendum and are also recommended for adoption as Conditions of Approval. Based on the discussion in this analysis and in the Addendum, staff determined that preparation of a supplemental or Subsequent EIR or ND was not required and that an Addendum provides the required documentation under CEQA for the proposed project.
See Attachment 6 for a link to the CEQA Addendum.
Public Notice: On or before Friday, January 26, 2024, in accordance with Government Code sections 65090 and 65091, and PMC section 18.14.020.A, B and D, a “Notice of Public Hearing,” for the February 5, 2024, public hearing on this item was published in the East County Times; was posted at City Hall and at or near the project site; was delivered for posting at the Pittsburg Library; was posted on the “Public Notices” section of the City’s website and was mailed via first class or electronic mail to the applicant, to the property owner, to owners of property located within 300 feet of the proposed project site, to local service agencies whose services might be affected by this project, and to individuals who had previously filed written request for such notice. In a ddition, a copy of the notice was posted on www.nextdoor.com (“Nextdoor”) and was sent directly to all subscribed residents in the “Avila,” “San Marco” and “San Marco Villas” neighborhoods.
See Attachment 7 for the Public Hearing Notice.
SUBCOMMITTEE FINDINGS
This item was not reviewed by a subcommittee.
STAFF ANALYSIS
Staff believes that the City Council can make the required findings to approve of the requested General Plan Map Amendment, Zoning Map Amendment, and Vesting Tentative Map for a Major Subdivision. The staff -recommended findings are provided in Section 2 (F indings) of Attachment 1 (Resolution) and Attachment 2 (Ordinance) and summarized below.
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There is a community need for the proposed amendments and requested approvals. The proposed amendments and requested approvals would conform with public convenience, general welfare and good zoning practice. Currently, the entire San Marco Development area is designated for exclusively residential use in the approved PD Plan. The proposed amendments and requested approvals would not increase the total number of units already envisioned for the San Marco Development rather, would increase the number of small -lot, single-family units in the project, thereby increasing opportunities for homeownership for entry-level buyers in the community. The proposed amendments and requested approvals would also place an increased number of residences in the San Marco develo pment area closer to the Pittsburg/Bay Point BART station.
The proposed project is consistent with many of the goals and policies contained within the 2020 General Plan. For instance, the proposed project will: provide low-density, single-family residential in the Southwest Hills subarea (Goal 2 -G-4), provide a dog park as a community amenity (Policy 2-P-6), utilize a PD zoning to achieve a high -quality design outcome (Policy 2-P-5), pay its share of the costs for the construction of facilities needed to serve the development (Policy 3-P-1, 3-P-13, and 7-P-2), include a Class IV bicycle facility along West Leland Road from Villa Drive to Santa Teresa Drive.
Additionally, there is no new information identifying new significant effects, nor is there an increase in the severity of previously identified impacts related to development of the project site. The conclusions from the prior certified SEIR remain unchan ged when considering implementation of the proposed project.
ATTACHMENTS:
1. Resolution
a. Exhibit A – General Plan Map Amendment
b. Exhibit B – Vesting Tentative Map for Major Subdivision c. Exhibit C – Conditions of Approval
d. Exhibit D – Addendum Appendix G
2. Ordinance
a. Exhibit A – Amendment to San Marco Development Plan and PD-1362 Plan
3. Planning Commission Resolution No. 10226
4. Photos of Project Site
5. Map of Surrounding Uses
6. CEQA Addendum
7. Public Hearing Notice
Prepared by: Alison Hodgkin, Associate Planner
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