Agenda packet — Santa Ana City Council, September 16, 2025 (part 4 of 9)

On March 3, 2025, PWA released Request for Proposals (RFP) No. 25-036 (Exhibit 1) on the City’s online bid management and publication system, PlanetBids, by which it sought the services of qualified consulting firms to provide WDR compliance services. A total of 1,083 vendors were notified and 17 vendors downloaded the RFP package.

The following table summarizes the participation of firms for RFP 25-036:
1,083 Vendors notified
50 Santa Ana vendors notified
17 Vendors downloaded the RFP Packet
1 Proposal received
0 Proposals received from Santa Ana
Vendors
The City received one proposal, which was evaluated for content and responsiveness to the RFP. The proposal from EEC Environmental was comprehensive and met all the City’s requirements. EEC Environmental has a proven track record with the City and other local municipalities to provide technical expertise as needed by staff. As such, staff recommends awarding an agreement to EEC Environmental for WDR compliance services (Exhibit 2).

EEC Environmental has previously performed work for the City in the same capacity and scope as currently being requested. The continuation of their support for Waste Discharge Requirements ensures consistency, efficiency, and effective delivery of services. EEC Environmental is the regional leader in WDR compliance services having provided similar services for over 30 cities and special districts in Southern California including the City of Anaheim, the Irvine Ranch Water District, and the Costa Mesa Sanitary District.

ENVIRONMENTAL IMPACT
There is no environmental impact associated with the action.

FISCAL IMPACT
Funding is available in the Fiscal Year 2025-26 budget and funding for subsequent fiscal years will be included in the proposed budgets for City Council consideration. A breakdown of the funding is provided in the table below.

City Council 19 – 2 9/16/2025
Waste Discharge Requirement Compliance Services
September 16, 2025

Page 3 ends

Fiscal
Year
Accounting
Unit - Account
#
Fund
Description Accounting Unit,
Account Description
Budget
Available /
Projected
Contract (3-Year Term)
2025-26 05617640-
62300 Sewer Fund
Sanitary Sewer
Service, Contract
ServicesProfessional
$340,000
2025-26 06017644-
62300 Water Fund
Water Quality,
Contract ServicesProfessional$20,000
2026-27 05617640-
62300 Sewer Fund
Sanitary Sewer
Service, Contract
ServicesProfessional
$340,000
2026-27 06017644-
62300 Water Fund
Water Quality,
Contract ServicesProfessional$20,000
2027-28 05617640-
62300 Sewer Fund
Sanitary Sewer
Service, Contract
ServicesProfessional
$340,000
2027-28 06017644-
62300 Water Fund
Water Quality,
Contract ServicesProfessional$20,000
Optional Two, One-Year Extensions
2028-29 05617640-
62300 Sewer Fund
Sanitary Sewer
Service, Contract
Services-Professional
$340,000
2028-29 06017644-
62300 Water Fund
Water Quality,
Contract ServicesProfessional$20,000
2029-30 05617640-
62300 Sewer Fund
Sanitary Sewer
Service, Contract
ServicesProfessional
$340,000
City Council 19 – 3 9/16/2025
Waste Discharge Requirement Compliance Services
September 16, 2025

Page 4 ends

Fiscal
Year
Accounting
Unit - Account
#
Fund
Description Accounting Unit,
Account Description
Budget
Available /
Projected
2029-30 06017644-
62300 Water Fund
Water Quality,
Contract ServicesProfessional$20,000
Total: $1,800,000

EXHIBIT(S)

1. RFP No. 25-036

2. Agreement with EEC Environmental
Submitted By: Rodolfo Rosas, P.E., Acting Executive Director – Public Works Agency Approved By: Alvaro Nuñez, City Manager
City Council 19 – 4 9/16/2025
City Council 19 – 5 9/16/2025

CITY OF SANTA ANA

NOTICE INVITING PROPOSALS
NOTICE IS HEREBY GIVEN that proposals will be received from qualified consultant(s) for Waste Discharge Requirement Compliance Services.

Responses to this Request for Proposal (RFP) will be accepted until Thursday, April 3, 2025 at 2:00 p.m.

Proposals shall be submitted electronically through the PlanetBids system. No other form of submittal will be accepted. It is the responsibility of the proposer to ensure that any proposals submitted has been uploaded to PlanetBids prior to this proposal due date and time. Refer to “Response to RFP” section for additional submittal instructions.

Proposals shall NOT be mailed or sent via telegraphic, electronic or facsimile means.

All notifications, requests for information, updates and addenda will be posted on PlanetBids at page at https://www.planetbids.com/portal/portal.cfm?CompanyID=20137. Proposers shall be responsible for monitoring the site to obtain information regarding this solicitation. Failure to respond to required updates may result in a determination of a nonresponsive qualification.

LETTER OF INTENT: As a courtesy to the City, all interested firms are encouraged to submit a Letter of Intent of their pending proposal to the noted Project Manager by the required date as shown on the cover page of this RFP. Letters shall be sent via certified mail or email. A decision, by an interested firm, not to be submit a Letter of Intent would not lead to the disqualification of the firm City Council 19 – 6 9/16/2025

CITY OF SANTA ANA

TABLE OF CONTENTS
I. BACKGROUND ........................................................................................................................... 4 II. OVERVIEW OF PROJECT .......................................................................................................... 4 III. TERM OF AGREEMENT ............................................................................................................. 4 IV. MINIMUM QUALIFICATIONS ...................................................................................................... 4 V. RESPONSE TO RFP .................................................................................................................. 5 VI. CERTIFICATIONS (ATTACHMENTS) ......................................................................................... 9 VII. REFERENCES .......................................................................................................................... 10 VIII. MINIMUM SCOPE AND LIMIT OF INSURANCE ....................................................................... 10 IX. SELECTION PROCEDURES & CRITERIA ............................................................................... 10 X. WITHDRAWALS........................................................................................................................ 11 XI. GENERAL TERMS AND CONDITIONS .................................................................................... 11 XII. AWARD OF AGREEMENT ........................................................................................................ 16 XIII. IMPLEMENTATION ................................................................................................................... 16

EXHIBITS
Exhibits provided herein for Proposers’ reference only.

EXHIBIT I – SCOPE OF SERVICES
EXHIBIT II – SAMPLE AGREEMENT

ATTACHMENTS
A PROPOSER’S CERTIFICATION, PROPOSAL ITEM PRICING

B REFERENCES
C PROPOSER’S STATEMENT

D NON-COLLUSION AFFIDAVIT

E NON-LOBBYING CERTIFICATION

F NON-DISCRIMINATION CERTIFICATION

G SUBCONTRACTOR DESIGNATION FORM
City Council 19 – 7 9/16/2025

CITY OF SANTA ANA
4 I. BACKGROUND
The City of Santa Ana, California, is rich in culture and pride, the county seat of Orange County, and encompasses an area of approximately 27 square miles. For more information, please visit https://www.santa-ana.org/
II. OVERVIEW OF PROJECT
The City of Santa Ana (City) is seeking proposals from qualified firms and organizations (Proposers) to provide Waste Discharge Requirements Compliance Services and related water quality and environmental compliance. See EXHIBIT I for complete Scope of Services.

The term “Vendor”, “Proposer”, “Firm”, “Consultants”, and “Contractor” shall refer to any legal entity or entities submitting a proposal in response to this Request for Proposals (RFP).

III. TERM OF AGREEMENT
The anticipated term of the agreement is for an initial period of three (3) years. The City may, at its discretion, extend the agreement with the same or more limited scope of required services for two (2) additional one (1) year periods, upon mutual agreement contingent upon City Council approval, or City Manager or City Attorney authorization, as appropriate. The total term of the awarded agreement shall not exceed five (5) years.

Usage is not guaranteed. Execution of an agreement between the City and successful firm(s) and/or individual(s) does not guarantee work throughout the duration of the contract period.

Numerous factors will be evaluated by the City in its delivery of project and assignments, including technical expertise required.

IV. MINIMUM QUALIFICATIONS
1) Contractor must have been in business continuously for the most recent five (5) years prior to the date of this RFP.
2) Minimum three (3) most recent years of experience performing similar services as those detailed in the Scope of Services section of this RFP.

City Council 19 – 8 9/16/2025

CITY OF SANTA ANA
5 V. RESPONSE TO RFP
A. SUBMITTAL INSTRUCTIONS
It is the responsibility of the Proposer to ensure that any proposals submitted have been uploaded to PlanetBids prior to the RFP due date and time. Proposals, including all required sections and forms, shall be submitted electronically via the City’s Bid Management System, PlanetBids. Additionally, it is a requirement that five (5) hard copy proposals be delivered to the Public Works Agency drop box located on the City Yard Admin Building in the first floor lobby in an enclosed sealed envelope and marked clearly with the following:

Gentle note: staff will not timestamp or sign any hard copy deliveries as the electronic submittal by the deadline is suffice. For further instructions regarding hard copy submission of proposals, refer to PlanetBids.

PlanetBids will not accept late proposals and no exceptions shall be made. Proposers will receive an e-bid confirmation number with a time stamp from PlanetBids indicating that their proposal was submitted successfully. The City will only receive and consider those proposals that were transmitted successfully. Submit proposal online at:
http://www.planetbids.com/portal/portal.cfm?CompanyID=20137.

Proposer shall be solely responsible for informing itself with respect to the proper utilization of the bid management system, for ensuring the capability of their computer system to upload the required documents, and for the stability of their internet service. Failure of the Proposer to successfully submit an electronic proposal shall be at the Proposer’s sole risk and no relief will be given for late and/or improperly submitted proposals. Proposers experiencing any technical difficulties with the bid submission process may contact PlanetBids at (818) 992- 1771. Questions of an operational nature may be directed to the City’s assigned Buyer.

Neither the City, nor PlanetBids, makes any guarantee as to the timely availability of assistance, or assurance that any given problem will be resolved by the bid submission deadline.

Proposals shall NOT be sent via telegraphic, electronic, or facsimile means.

All notifications, updates and addenda will be posted online on PlanetBids at https://www.planetbids.com/portal/portal.cfm?CompanyID=20137. Proposers shall be responsible for monitoring the site to obtain information regarding this solicitation. Failure to respond to required updates may result in a determination of a nonresponsive proposal. “SEALED PROPOSAL FOR

WASTE DISCHARGE REQUIREMENTS COMPLIANCE SERVICES
RFP NO. 25-036

IN THE CITY OF SANTA ANA
DO NOT OPEN WITH REGULAR MAIL.”
City of Santa Ana
Attn.: Jose Medina, P.E.

Public Works Agency
220 S. Daisy Ave.; M-85
Santa Ana, CA 92703
City Council 19 – 9 9/16/2025

CITY OF SANTA ANA
6 B. COMMUNICATION / CONTACT WITH CITY STAFF
Unless otherwise authorized herein, Proposers who are considering submitting a proposal in response to this RFP, or who submit a proposal in response to this RFP, are only to communicate with the assigned Project Coordinator(s), and no other City staff about this RFP from the date this RFP is issued until a contract is awarded. The City will provide all official communication concerning this RFP in writing via the City’s Bid Management System, PlanetBids.

The City will not be responsible for or bound by any oral communication or any other information or contact that occurs outside the official communication process specified herein, unless confirmed in writing by the designated Project Manager(s).

C. REQUEST FOR INFORMATION OR CLARIFICATION / QUESTIONS Questions regarding this RFP shall be submitted via PlanetBids. Responses to all questions will be posted on PlanetBids no later than the date and time shown at the schedule of key RFP dates on the cover page of this RFP. All prospective Proposers are advised to visit PlanetBids on a regular basis as responses may be posted earlier than the date above (if applicable). No verbal requests or responses will be accepted. Significant interpretations or clarifications will be addressed via addenda to this RFP.

Significant interpretations or clarifications and responses to questions received by the deadline will be addressed via addenda to this RFP, which will be released and posted on PlanetBids under the “Addenda/Emails” tab.

D. EXCEPTIONS
Requests submitted for City’s consideration of proposed terms and conditions, including modifications to the City’s RFP and/or Contract terms and conditions must be submitted by the deadline for questions. Such requests should include an attachment in Word or PDF format on formal company letterhead that shows the requested modifications. Should the Proposer be considered for award recommendation and progress into the negotiations phase, the requests for exceptions or modifications to the City’s terms and conditions will be discussed at that time. The City will not accept any requests after the deadline for questions and reserves the right to reject or strike any requests for exceptions or additional terms and conditions related to Agreement, RFP, and insurance and indemnification terms and conditions.

E. ADDENDA
Any changes in RFP from the date of release to date of submittal will result in an addendum or amendment. Notification of such addendum or amendment shall be posted on City’s PlanetBids system, https://www.planetbids.com/portal/portal.cfm?CompanyID=20137.

Proposers shall be responsible for monitoring the site to obtain information regarding this solicitation.

F. UNDERSTANDING PROPOSAL
It is the responsibility of each Proposer to inquire about any criteria, condition, term, provision, or requirement of the RFP that the Proposer does not understand. Responses to inquiries, if they significantly change or clarify the RFP requirements or any aspect of the procurement process, will be forwarded by addenda to all Proposers. The City will not be bound by any oral responses to inquiries. By submitting proposals, Proposers assert that they have fully read the RFP and any addenda issued by the City, the proposed Contract and any other Contract Documents, and affirm that the terms and conditions stated therein are fully understood and are acceptable to the Proposer. Each Proposer accepts the terms and City Council 19 – 10 9/16/2025

CITY OF SANTA ANA
7 conditions of the Contract Documents and indicates their ability and willingness to perform the requested services under such terms and conditions. Any exceptions to the terms and conditions set forth in the Contract Document shall be submitted to the City by the deadline to submit requests for information or clarification/questions set forth herein.

G. PROPOSAL CONTENTS
Proposals are to be prepared in such a way as to provide a straightforward, concise delineation of capabilities to satisfy the requirements of this RFP. Colored displays, promotional materials, photographs etc., are not necessary or desired. Emphasis should be concentrated on conformance to RFP instructions, responsiveness to the RFP requirements, and on completeness and clarity of content. Digital dividers and clear organization of content and material are encouraged.

1. Statement of Qualifications (SOQ)
SOQ must include a Table of Contents and be limited to a maximum of 20 pages (excluding City’s required Certifications listed in Section VIII below; Proposal Cover Letter, section dividers, table of contents, front/back cover pages). The page limitation includes all appendices, attachments, and supplemental information. Additionally, SOQ must include the following:
a. Cover Letter
Proposals shall include a letter signed by a principal or authorized representative who can make legally binding commitments for the entity. Include type of business entity.

Cover Letter shall not exceed one page.

Cover letter must be addressed to the following City Project Manager:

Jose Medina, P.E.

City of Santa Ana – Public Works Agency
220 S. Daisy Ave., M-85
Santa Ana, CA 92703
b. Services Provided
A description of proposed services to be provided and how they meet the needs of the City as described in Exhibit I – Scope of Services.
c. Agreement Statement
Proposal shall include a statement outlining your concurrence or reference to concerns previously submitted with any and all provisions as contained in EXHIBIT II – Sample Agreement of this RFP (if any).
d. Firm and Team Experience
Proposal shall include a profile of the firm’s experience including the following:
i. A general description of the firm, including size and number of employees working directly with the City on this agreement.
ii. Firm’s nearest address serving the City of Santa Ana and headquarters address.
iii. Name and contact information of the supervising Project Manager/Principal Agent, to be assigned to the agreement. The Project Manager/Principal Agent shall be the primary contact person to represent your firm and will be the person to conduct the presentation, if invited to an interview.

City Council 19 – 11 9/16/2025

CITY OF SANTA ANA
8 iv. Resumes for all key staff proposed describing relevant experience. e. Proposed Work Plan/Understanding of Need
Proposal shall include a statement demonstrating the firm’s understanding of the Scope of Services.

Additionally, proposed work plan shall include Proposers’:
i. Anticipated approach to performing services as specified herein; ii. Suggestions or special concerns the evaluation committee should take into consideration (if any);
iii. Description of deliverables and implementation plan. Proposer shall submit a general description of the deliverables, implementation plan, and timeline. f. References:

Attachment B – References shall be submitted for similar projects performed for state and/or similar government clients.

2. Cost Proposal
All Proposers are required to submit a fixed rate fee with their Cost Proposal. Pricing instructions should be clearly defined to ensure fees proposed can be compared and evaluated. Cost Proposal must include a payment schedule if applicable. City reserves the right to negotiate compensation and/or payment schedule prior to award of any resulting agreement. When applicable, if providing hourly rate sheets, Proposer shall not include rate ranges or averages.

The fee proposal shall be submitted separately and concurrently with the technical proposal, electronically in PlanetBids, and as a hard copy in a separately sealed envelope, clearly labeled as “Fee Proposal.” This shall include the firm’s Standard Hourly Fee Schedule, a table outlining the tasks and team hourly effort for each of the major tasks, and a Project Fee Schedule, as outlined in the Scope of Work.

The City shall not provide reimbursement for travel-related expenses, mileage, parking, lodging, meals, incidental fees, insurance, freight/shipping and handling/delivery, and any other business expenses, supplies and materials related to providing services as specified herein. Additional costs will not be considered and will not be reimbursed by the City, therefore, such costs must be absorbed in Proposer’s cost proposal fee structure.

Any language related to travel reimbursement shall be stricken from the document by the City and if not stricken, shall be deemed invalid.

Proposals shall be valid for a minimum of one hundred eighty (180) days following Proposal deadline. The cost for developing the Proposal is the sole responsibility of the Proposer. All Proposals submitted become property of the City.

Pricing shall remain firm for the entire initial Agreement term. Thereafter, any proposed pricing adjustment for follow-on renewal periods shall be submitted to the City Representative in writing at least ninety (90) days prior to the new Agreement term. The City reserves the right to accept, reject, or negotiate any proposed pricing adjustment not to exceed the Bureau of Labor Statistics Consumer Price Index (CPI) data as follows:

City Council 19 – 12 9/16/2025

CITY OF SANTA ANA
9 Los Angeles-Long Beach-Anaheim, CA; All Urban Consumers; Not Seasonally Adjusted; annualized change comparing the most recent month’s reported data to the same month of the prior year. (This information may be found on the U.S. Department of Labor’s website at www.bls.gov.)
H. PROTEST PROCEDURES
Only respondents who have actually submitted a proposal may file a “protest” to an RFP with the City’s Purchasing Department. In order for a Proposer’s protest to be considered valid, the protest must:

1. Be filed in writing before 5:00 p.m. of the 5th business day following the posting of RFP Results/Notice of Intent to Award on the City’s online bidding system;

2. Clearly identify the specific irregularity or accusation;

3. Clearly identify the specific City staff determination or recommendation being protested;

4. Specify, in detail, the grounds of the protest and the facts supporting the protest; and

5. Include all relevant, supporting documentation with the protest at time of filing.

If the protest does not comply with each of these requirements, it will be rejected as invalid. If the protest is valid, the City’s Purchasing Manager, or other designated City staff member, shall review the basis of the protest and all relevant information. The decision from the Purchasing Manager, or her/her designee, is final and no further appeals will be considered.

VI. CERTIFICATIONS (ATTACHMENTS)
In addition to the SOQ, Narrative/Technical Proposal, and Cost Proposal, the following forms, included in this RFP, shall be signed and included as part of the proposal submittal package:
• Attachment A: Proposer’s Certification and Proposal Item Pricing • Attachment B: References
• Attachment C: Proposer’s Statement
• Attachment D: Non-Collusion Affidavit
• Attachment E: Non-Lobbying Certification
• Attachment F: Non-Discrimination Certification
• Attachment G: Subcontractor Designation Form
The proposal must be completely responsive to the RFP. Incomplete proposals will be deemed as nonresponsive and will be rejected. The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any commitment will be awarded pursuant to this RFP or otherwise.

PLEASE NOTE:
• All forms above must be signed by a representative of the Firm that is legally authorized to contractually bind the Proposer.
• City will not waive notarization requirement when applicable on any of the required attachments.

City Council 19 – 13 9/16/2025

CITY OF SANTA ANA
10 VII. REFERENCES
Contractor shall provide three (3) references from other similar public agencies for which services similar to those specified in this RFP have been performed, including contact names and telephone numbers. Use ATTACHMENT B – References. The respondent grants permission for the City to contact any individuals listed as references.

City may disqualify a Proposer if:
• References fail to substantiate Proposer’s description of services and deliverables provided; or
• References fail to support that Proposer has a continuing pattern of providing capable, productive, and skilled personnel, or
• City is unable to reach the point of contact with reasonable effort. It is the Proposer’s responsibility to inform the point of contact(s) of normal City working hours.

VIII. MINIMUM SCOPE AND LIMIT OF INSURANCE
See Exhibit II – Sample Agreement
IX. SELECTION PROCEDURES & CRITERIA
A. Evaluation: The City will establish a proposal review committee. The review committee will evaluate proposals based on the response to the RFP, which includes adherence to outlined directions and format, and the City evaluation criteria set forth below.

B. Scoring Criteria: Proposers will be ranked by the review committee based on the following criteria:

CATEGORY POINTS
Responsiveness to RFP
• Proposal’s compliance with the requirements of this RFP. • Scope of Services offered including ability to provide optional services. • The value to any new and/or innovative product or service suggestions or other new ideas and enhancements.
30 Understanding of Need
Include milestones of completion of key tasks, to be completed by specific team members.
25 Relevant Project Experience/Schedule of Delivery
• Relevant project experience within the last 5 years, including experience with public agencies.
• The experience, resources, and qualifications of the firm and individuals assigned to this account, including manager, supervisor and assigned staff.
30 Fee 10

TOTAL POSSIBLE SCORE
(Before interviews – if held) 100
City Council 19 – 14 9/16/2025

CITY OF SANTA ANA
11 C. Rankings: A final score will be calculated for each submitted proposal and used to rank Proposers. Based upon the foregoing criteria, all proposals shall be ranked by score. Only those proposals receiving a score above 70 will be considered for award. The City reserves the right to award the contract to any proposer(s) with a score above 70. The review committee will evaluate proposers based on their response to the RFP and the City evaluation criteria set forth above.

D. Interviews: The review committee may invite the proposers to interview. If invited to interview, Proposers must be prepared to include key personnel in the interview and/or presentation.

The City reserves the right to seek additional information from any or all Proposers invited to present proposals. A final score will be calculated for each submitted proposal and used to rank Proposers. City reserves the right to begin negotiations and enter into a contract without holding interviews, or further discussions.

E. Selection: The City is under no obligation to accept any proposal and reserves the right to negotiate with respondents as to fees and terms. The City may reject proposals at its sole discretion. If proposal fails to satisfy any requirements outlined in this RFP, it may be considered non-responsive and may be rejected.

The City shall not be obligated to accept the lowest priced proposals, but will make awards in the best interests of the City after all factors have been evaluated. The review committee will recommend the qualified Proposers to the City Council or City Manager for award of contract, as appropriate.

X. WITHDRAWALS
Proposers are responsible for verifying all prices and information before submitting a proposal.

Prior to the proposal due date, the Proposer or Proposer’s representative may withdraw the proposal by providing written notice of the proposal withdrawal to the City Contact/Project Manager. Verbal or telephonic withdrawals are not permissible.

XI. GENERAL TERMS AND CONDITIONS
A. AMERICANS WITH DISABILITIES ACT
The awarded Contractor hereby certifies that it will comply, as applicable, with the Americans with Disabilities Act of 1990 (“ADA”), 42 USC §§ 12101 et seq., and its implementing regulations, including Subtitle A, Title II of the ADA. Contractor will not discriminate against persons with disabilities nor against persons due to their relationship to or association with a person with a disability. Any contract entered into by the awarded Contractor (or any subcontract thereof), relating to this RFP, shall be subject to the provisions of this paragraph.

B. CITY BUSINESS LICENSE
The selected proposer must obtain a City of Santa Ana Business License prior to the execution of a contract and must provide a copy to the Buyer assigned to this RFP. The awarded party shall maintain a current business license throughout the term of the resulting Interviews
• The City reserves the right to conduct interviews with the highest-rated firm(s). In the event the City does perform an interview process, the following is the maximum number of additive points that may be applied to the proposal score. Total possible score may exceed 100 points. 20 City Council 19 – 15 9/16/2025

CITY OF SANTA ANA
12 contract. Procedure to obtain a City of Santa Ana Business License is available by contacting the Finance and Management Services, Business Tax Office at (714) 647-5447 or on the City’s website: www.santa-ana.org
C. CITY RIGHT TO REJECT
The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any agreement will be awarded pursuant to this RFP or otherwise. The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety or to waive any minor inconsistency, informality or technical defect in the proposal.

D. CONFLICT OF INTEREST
Contractor shall exercise reasonable care and diligence to prevent any actions or conditions that could result in a conflict with the best interests of the City. This obligation shall apply to the Contractor; the Contractor’s employees, agents, and Subcontractors associated with accomplishing work and services hereunder. The Contractor’s efforts shall include, but not be limited to, establishing precautions to prevent its employees, agents, and Subcontractors from providing or offering gifts, entertainment, payments, loans or other considerations which could be deemed to influence or appear to influence City staff or elected officers from acting in the best interests of the City.

Each Proposer must disclose any existing or potential conflict of interest relative to the performance of the contractual services resulting from this RFP. Any such relationship that might be perceived or represented as a conflict should be disclosed. The City reserves the right to disqualify any Proposer on the grounds of actual or apparent conflict of interest.

No person, firm, or subsidiary thereof who has been awarded this Contract may be awarded a Contract for the provision of services, the delivery of supplies, or the provision of any other related action which is required, suggested, or otherwise deemed appropriate as an end product of this Contract. Therefore, Contractor is precluded from contracting for any work recommended as a result of this Contract.

E. CONTRACTOR’S EXPENSE
Pre-Contractual Expenses: The City is not liable for any costs incurred by Proposers prior to entering into a formal contract. Costs of developing a response to this RFP, are entirely the responsibility of the Proposer, and shall not be reimbursed in any manner by the City. Precontractual expenses are not to be included in the cost proposal. Pre-contractual expenses include, but are not limited to, preparation of the proposal, submission of the proposal and additional information, attendance at pre-proposal conference, negotiating any matter related to this RFP with City, and/or any other expenses incurred by the Proposer prior to the date of award and execution, if any, of the contract.

Other Expenses: The Contractor will be responsible for all costs related to photo copying, telephone communications, fax communications, and parking while on City sites during the performance of work and services under this Contract.

F. CONTRACTOR’S PROJECT MANAGER/KEY PERSONNEL
Except as formally approved by the City, the key personnel identified in Contractor’s proposal shall be the individuals who will actually complete the work. Changes in staffing must be reported in writing and approved by the City. The City shall have the right to require the removal and replacement of the Contractor’s Project Manager and key personnel under the awarded contract. The City shall notify the Contractor in writing of such action. The City is not required to provide any reason, rationale, or additional factual information if it elects to City Council 19 – 16 9/16/2025

CITY OF SANTA ANA
13 request any specific key personnel be removed from performing services under the awarded contract. The City shall review and approve the appointment of the replacement for the Contractor’s personnel. Said approval shall not be unreasonably withheld.

Standards of Conduct: Contractor’s personnel shall be courteous and maintain good working relationships with all stakeholders, state or outside agencies, other team members and staff within the City.

G. COST PROPOSAL
The awarded Contractor agrees to provide the purchased services at the costs, rates, and fees as set forth in their Fee Schedule in response to this RFP. No other costs, rates or fees shall be payable to the awarded Subcontractor for implementation of their proposal.

H. DATA RETENTION
Contractor shall be responsible for retaining data, records, and documentation for the preparation of required items. These materials shall be made available to and as requested by City.

All materials, documents, data or information obtained from the City Data files or any City medium furnished to Contractor in the performance of an awarded contract will at all times remain the property of the City. Such data or information may not be used or copied for direct or indirect use by Contractor after completion or termination of this Contract without the express written consent of the City. All materials, documents, data or information, including copies, must be returned to the City at the end of the contract.

All data, documents and other products used, developed, or produced during response preparation of the RFP will become property of the City. All responses to the RFP shall become property of the City. Proposer information identified as proprietary shall be maintained confidential, to the extent allowed under the California Public Records Act.

I. DRUG-FREE WORKPLACE
The awarded Contractor certifies compliance with Government Code Section 8355 in matters relating to providing a drug-free workplace. Failure to comply with these requirements may result in suspension of payments under the Contract or termination of the contract or both, and the Contractor may be ineligible for award of any future City contracts.

J. EXAMINATION
Proposer represents that it has thoroughly examined and become familiar with the services and responsibilities required this RFP and that it is capable of effectively and efficiently performing quality work to achieve the City’s objectives. Any attachments referenced herein or any interpretations, clarifications or amendments subsequently posted in relation to this RFP are fully incorporated.

Any irregularities or lack of clarity in the RFP should be brought to the designated City Contact/Project Manager’s attention as soon as possible so that corrective addenda may be furnished to prospective Proposers.

Proposals which appear unrealistic in the terms of technical commitments, lack of technical competence, or are indicative of failure to comprehend the complexity and risk of this contract, may be rejected.

City Council 19 – 17 9/16/2025

CITY OF SANTA ANA
14 K. EXECUTION OF AGREEMENT
Upon successful negotiations, the City and the selected Proposer will enter into an Agreement similar to that as shown in EXHIBIT II – Sample Agreement of this RFP. If a Proposer is unwilling or unable to execute an Agreement within thirty (30) days after being notified of selection under this RFP, the City reserves the right to disqualify them without any further obligation
L. FISCAL NONFUNDING CLAUSE
In the event sufficient budgeted funds are not available for a new fiscal period, the City shall retain the right to notify the provider of such occurrence in writing at least thirty (30) days before the end of the current fiscal period and terminate the contract on the last day of the current fiscal period without penalty or expense to the City.

M. INDEPENDENT CONTRACTOR
Contractor is considered an independent Contractor and neither Contractor, its employees, nor anyone working under Contractor will be considered an agent or an employee of City.

Neither Contractor, its employees, nor anyone working under Contractor, will qualify for workers’ compensation or other fringe benefits of any kind through City.

N. JOINT OFFERS/SUBCONSULTANTS
Where two or more Proposers desire to submit a single proposal in response to this RFP, they should do so on a prime sub-consultant basis. The City intends to contract with a single firm, also known as the prime, and not with multiple firms doing business as a joint venture.

Should the use of sub-consultants be offered, the Proposer shall provide the same assurances of competence for the sub-consultant plus the demonstrated ability to manage and supervise the subcontracted work. Sub-consultants shall not be allowed to further subcontract with others for work under the Agreement. The provisions of the Agreement shall apply to all sub-consultants in the same manner as the Proposer. The proposer is responsible for all the actions taken by their sub-contractor.

The City reserves the right to reject, replace and approve any and all Subcontractors. All Subcontractor(s) shall be identified in the response to the RFP and the City reserves the right to reject any proposed Subcontractor(s). Subcontractors shall be the responsibility of the prime Contractor and the City shall assume no liability of such Subcontractors.

O. LITIGATION STATUS
Each Proposer must include in its proposal a complete disclosure of any alleged significant prior or ongoing contract failures, any civil or criminal litigation or investigation pending which involves the Proposer or in which the Proposer has been judged guilty or liable. Failure to comply with the terms of this provision will disqualify any proposal. The City reserves the right to reject any proposal based upon the Proposer’s prior history with the City or with any other party, which documents, without limitation, unsatisfactory performance, adversarial or contentious demeanor, significant failure(s) to meet contract milestones or other contractual failures.

P. NEGOTIATIONS
The City reserves the right to negotiate final contract terms with any Proposer selected. The contract between the parties will consist of the RFP together with any modifications thereto, and the awarded Contractor’s proposal, together with any modifications and clarifications thereto that are submitted at the request of the City during the evaluation and negotiation process. In the event of any conflict or contradiction between or among these documents, the documents shall control in the following order of precedence: the final executed contract, the RFP, any modifications and clarifications to the awarded Contractor’s proposal, and the City Council 19 – 18 9/16/2025

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15 awarded Contractor’s proposal. Specific exceptions to this general rule may be noted in the final executed contract.

Negotiations shall be confidential and not subject to disclosure to competing Contractors unless and until an agreement is reached. If contract negotiations cannot be concluded successfully, the City reserves the right to negotiate a contract with another Contractor or withdraw the RFP.

Q. NON-PAYMENTS
Note that payments will NOT be made for any unsatisfactory work until corrected. In the event of nonpayment of undisputed sums by the City, Contractor shall give the City thirty (30) working days to cure the alleged breach.

R. OWNERSHIP OF DOCUMENTS
The City has permanent ownership of all directly connected and derivative materials produced under this contract by the Contractor. All documents, reports and other incidental or derivative work or materials furnished hereunder shall become and remains the sole property of the City and may be used by the City as it may require without additional cost to the City. Contractor shall provide the City copies of documents upon its request at any time. None of the documents, reports and other incidental or derivative work or furnished materials shall be used by the Contractor without the express written consent of the City.

S. PARKING
The City will not provide free parking and/or reimbursement for the cost of parking while providing services and conducting business with the City.

T. PROFESSIONAL STANDARDS
Contractor staff shall be courteous to the public and City staff utilizing facilities where Contractor is performing work, but shall be responsive only to the requests of the City’s Project Manager or designee. Contractor staff shall direct all inquiries to Project Manager or designee.

Contractor acknowledges that City locations consist of public-use facilities and recognizes the obligation to ensure Contractor personnel and agents maintain the highest level of professional standards in attire, decorum, and interaction with the public and City personnel.

U. PROJECT MANAGER
The selected Proposer will assume responsibility for all services in its proposal. The selected Proposer shall identify a sole point of contact, Project Manager, with the greatest knowledge in regard to the required service operations and contractual matters, including payment of any and all charges resulting from the Agreement.

V. PROPOSAL VALIDITY
Services, pricing, and warranties indicated in a Proposer’s Proposal must be valid for a period of 180 days at minimum after the submission of the Proposal.

W. PUBLIC AGENCIES
Other public agencies, as defined by California Government Code Section 6500, may choose to use the terms of this Contract, subject to Contractor’s acceptance. The City is not liable or responsible for any obligations related to a subsequent contract between Contractor and another public agency.

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16 X. PUBLIC RECORDS
Proposals will become public record after the award of a contract unless the proposal or specific parts of the proposal can be shown to be exempt by law. Each Proposer may clearly label all or part of a proposal as "CONFIDENTIAL" provided that the Proposer thereby agrees to indemnify and defend the City for honoring such a designation. The failure to so label any information that is released by the City shall constitute a complete waiver of any and all claims for damages caused by any release of the information. Proposer information identified as proprietary shall be maintained confidential, to the extent allowed under the California Public Records Act.

Y. SUBCONTRACTORS
Proposals in response to this RFP must identify any Subcontractors, and outline the contractual relationship between the Awarded Subcontractor and each Subcontractor. An official of each proposed Subcontractor must sign, and include as part of the proposal submitted by the Prime Contractor, a statement to the effect that the Subcontractor has read and will agree to abide by the awarded Contractor’s obligations. Any Subcontractor proposed after award of contract must be approved by the City before commencement of work.

The City will look solely to the awarded Contractor for the performance of all contractual obligations which may result from an award based on this RFP, and the awarded Contractor shall not be relieved for the non-performance of any or all Subcontractors.

XII. AWARD OF AGREEMENT
Selected Contractor(s) will be notified in writing. Any award is contingent upon the successful negotiation of final contract terms.

A. EXECUTION OF AGREEMENT
A standard agreement is included as EXHIBIT II Sample Agreement of this RFP. “Proposer” will hereinafter be referred to as “Consultant” or “Contractor” in standard agreement. The term of the agreement will begin after the agreement is fully executed, and all required bonds, insurance documents and contents of the payment information packet have been received and approved.

XIII. IMPLEMENTATION
A. KICK-OFF MEETINGS
The successful proposer will be required to meet with City staff prior to commencement of services or at any time as required by the City, to discuss and agree on operational issues including transition of services and scheduling.

B. NOTICE TO PROCEED
Prior to issuance of a formal Notice to Proceed (NTP), Consultants shall provide all required bonds, insurance documents, and contents of the Information Packet for review and approval by the City. “On-Call” contracts require the City Project Managers to request a project/task proposal from Consultants on an “as-needed” basis. Proposals will then be evaluated by City Staff and written NTPs will be issued accordingly per task order.

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WASTE DISCHARGE REQUIREMENTS COMPLIANCE SERVICES
RFP NO. 25-036
A. Introduction
The Water Resources Division of the Public Works Agency is committed to providing the highest quality drinking water systems and sewer collection and conveyance systems.

To pursue this mission, the Water Resources Division is issuing this Request for Proposal (RFP) for Waste Discharge Requirement (WDR) and Environmental Compliance Services to assist City staff in implementing key mandated programs, including the FOG control program outlined in the City’s Sewer System Management Plan (SSMP) and as adopted in the Santa Ana Municipal Code Chapter 39. Continuous and timely interaction with our customers, particularly the food service establishment (FSE) community, is paramount to the successful control of FOG in the sewer collection and conveyance system. The work that will be performed by the selected Consultant is essential to the City’s ability to effectively control FOG in the sewer collection and conveyance systems, as well as maintaining compliance with key regulatory programs.

B. Background & Description
The City of Santa Ana is located in the County of Orange in Southern California. The City encompasses 27.2 square miles and a population of 310,000 people. There are approximately 1,385 FSEs and about 449 are equipped with Grease Removal Equipment (GREs) that require regular FOG control inspections. The City’s SSMP can be found on the City’s website at https://www.santa-ana.org/documents/sewer-system-management-plan-ssmp/.

The Water Resources Division is a part of the City’s Public Works Agency and oversees and maintains the daily operations of the public water system and sanitary sewer system. The City of Santa Ana’s water system is comprised of approximately 460 miles of water main, 48 MG of potable water at 8 sites, 7 Metropolitan Water District connections, 21 groundwater wells, 7 pump stations, 4 pressure regulating stations and utilizes 2 pressure zones. The City’s sanitary sewer system has approximately 9,000 manholes, 391 miles of sewer mains and 2 lift stations. The sewer system collects all sewage and transports it to the Orange County Sanitation District for treatment. The Water Resources Division administrative and engineering section is tasked with overseeing the implementation of WDR and other Environmental compliance programs.

C. Work Description
The selected Consultant will provide WDR/SSMP compliance services, FOG Program management services, FSE & GRE inspections, Environmental compliance services, program information and outreach, expert review and advice to City staff, maintain maps, records, and an array of related technical support services. The Core Requirements and Deliverables are listed below and represent the central work efforts the Consultant will be responsible for performing.

D. Core Requirements and Deliverables (Stated Fee basis)

EXHIBIT I

SCOPE OF SERVICES
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Consultant shall provide the following deliverables in accordance with established procedures as dictated by the Program Manager or designee. Turnaround time shall not exceed thirty (30) calendar days per assignment unless otherwise specified by the Program Manager or designee.

The Consultant is expected to be knowledgeable in environmental protection and treatment, especially as it relates to sewage systems, FOG control, as well as public water systems.

1. Waste Discharge Requirements (WDR) and Sewer System Management Plans (SSMP).

The consultant shall be knowledgeable with the State’s environmental compliance regulations including the Sanitary Sewer System Waste Discharge Requirements issued by the Water Resources Control Board. The consultant shall provide environmental compliance services including:
• Performing the City’s SSMP Audits as required by the WDR regulations, assessing the effectiveness and performance of key WDR programs, and preparing a report of the findings and recommendations. • Preparing City’s SSMP updates as required by the WDR regulations utilizing the previous updates as foundations (2019 SSMP, 2021 SSMP, 2025 SSMP, etc.) • Providing quarterly WDR training and advising City staff on emerging issues, revisions and additions to the SSS WDR.
• Provide updates and training on SSO contingency plans for the City’s sewage lift stations.
• Providing SSO response support, including data analysis, volume estimating, reporting, etc.
• Develop a sewer system maintenance (cleaning) program and schedule which prioritizes sewer main cleaning based on parameters such as topography, condition of pipe, flow characteristics and historical inspection analyses. The proposed sewer maintenance program will optimize cleaning frequencies and resource deployment. Deliverables will include cleaning program maps in PDF format and in GIS format compatible for use with the City’s infraMAP software.

2. FOG Program Management.

The Consultant shall collect, organize, and manage the FOG control program data. The current and existing geodatabase shall be maintained and updated. The Consultant shall provide monthly inspection reports and include the following: number of inspections made during the period, findings (i.e. out of compliance, follow-up inspections, etc.), provide recommendations and assist the FOG Manager with follow up documentation and technical expertise. The Consultant shall coordinate meetings with the FOG Control Program Manager to evaluate and prioritize required activities. The Consultant shall be available during normal working hours, after hours and weekends to provide assistance as required.

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The consultant must be able to maintain the FSE inventory and maintain a schedule that prioritizes FSE inspection frequencies based on FOG production, compliance history, elevated maintenance location relationships, and SSO history.

The Consultant shall coordinate with the City to establish all inspection schedules and tasks related thereof. These schedules will be coordinated in conjunction with City Staff and FOG inspectors. Additionally, the consultant shall provide outreach material, educate and train City personnel performing Food Service Establishment (FSE) Inspections.

The Consultant shall be able to append Orange County Health Care Agency National Pollutant Discharge Elimination System (NPDES) inspection data into the City’s geodatabase for analysis and to identify necessary NPDES follow-up inspections. The Consultant must have specific knowledge of current and pending MS-4 requirements and be able to integrate storm-water inspection elements into the FSE inspection process.

The City uses infraMAP software to collect, and to manage FOG data along with ArcGIS software. The Consultant must have expertise using these software packages.

The Consultant shall be able to conduct, obtain, and analyze data from different sources to ensure and provide an up-to-date inventory of food facilities within the City and shall be able to integrate these data into the City’s FOG geodatabase.

The City’s inspection process leverages wireless technology for all field inspection activities. Consultant must be familiar with mobile data acquisition systems including hardware, operating systems, software, network structures, and evolving technologies.

The Consultant shall provide oversight and administration support of the FSE inspection program. The Consultant shall work with the FOG Control Program Manager to develop and implement FOG related initiatives such as: residential FOG disposal education outreach program, BMP’s educational outreach to FSE owners and distribute FOG related material like pamphlets, and DVD’s. In addition, the Consultant shall perform evaluations and develop performing measures to FOG related chemical and biological additives used for FOG.

The Consultant shall have vast experience and expertise on grease control devices (GRD’s) and FOG control measures and or additives. The Consultant shall provide upon request reports and facts for and advice the City on grease control devices. These reports are not limited to size, design, maintenance practices, but shall provide an entire overall perspective of this devices and wide use of in the food service industry.

The consultant must be able to manage pictures, GRE requirement documents, permits, and other documents for all FSEs and make those documents accessible through the mobile map interface.

Consultant shall review City Municipal Code and provide recommendations for program modifications or enhancements
Consultant shall conduct site assessments of FSEs to determine or evaluate GCD retrofit options

3. Food Service Establishment (FSE) Inspections and Enforcement.

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The consultant shall physically inspect each FSE in the City as determined by the FOG Control Program Manager or its designee. The consultant shall provide educational information and Best Management Practices (BMP’s) information to the FSE facility owner/manager in charge at the time of inspection. In addition, the Consultant shall coordinate, establish work schedules and provide educational and training information to City personnel as necessary and required upon City request.

The Consultant shall prepare and provide a summary of the FSE inspection to the owner/manager in charge. This handout shall be in English and Spanish.

Inspection Categories:
• Permitting Inspections- These are comprehensive initial inspections of new and or remodeled FSE’s. The purpose is to identify the type of food, equipment and kitchen practices that could contribute FOG to the sewer system. FSE’s are provided with educational education on FOG program compliance and BMP’s. The Consultant will be required to educate and provide this information to the FSE’s at the time of the inspection.
• Grease Removal Equipment (GRE) Inspections- These inspections are conducted to evaluate compliance with a facility’s grease removal equipment requirements.

The inspections should be comprehensive in support of potential future enforcement efforts where necessary and should include measuring FOG content of each chamber of all GREs.
• Best Management Practices (BMP) Inspections- These are inspections to determine the compliance with all required kitchen BMP’s. These should include a thorough survey of kitchen facilities. Additional, education material shall be provided to the FSE at the time of inspection.
• Compliance Inspections- These inspections are conducted when it is determined by the FOG Control Manager that a follow-up or emergency inspection required for non-compliance issue that has been identified thereof. • FSE NPDES Inspections- These inspections are in response to follow-up on NPDES issues identified by the Orange County Health Care Agency. Inspectors must be familiar with the NPDES program and its regulations and identify violations and verify compliance.
• Limited Food Preparation (LFP) Inspections- These are inspections of known or probable LFP facilities to confirm their FOG discharge status.

E. As-Assigned Tasks (Time and Materials cost basis)

1. Maintaining Maps and Geodatabase Records.

The FOG Control Program utilizes GIS technologies (infraMAP) and maps to manage, maintain, and update a FOG geodatabase containing information on all FSEs & GREs City Council 19 – 24 9/16/2025

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and inspection records. The Consultant shall maintain and update the FOG geodatabase and associated maps. The consultant will be tasked with the following:
• Review inspection records and results for quality assurance and control purposes. • Add, edit or delete records and map points as FSEs and GREs are added or deleted from the inventory.
• Edit existing records and feature classes to reflect true field conditions. This would include FSE and GRE relationships.
• Maintain layer definition queries that access FOG program data to represent FSEs and GREs that need routine inspections, FSEs and GREs that have existing violations, FSEs and GREs that have never been inspected, FSEs that have NPDES violations, and LFPs that need to be confirmed. • Coordinate with staff and technology consultants to identify and implement infraMAP software inspection form improvements and troubleshoot errors and issues. This may include providing a GIS analyst for on-site support. • Coordinate with staff and technology consultants to define required WDR program work flows and support integration with emerging technology. • Consultant should be able to use data validation tools to review feature class data including FOG inspection activity data.
• Assist the City with maintenance data analysis and O&M task optimization.

2. Training & Support
The Consultant shall provide training and support on as needed basis and as required by the City. The training shall include and not limited to: WDR updates, Sewer System Management Plan meeting goal and objectives, FOG Program evaluations and reports, GIS support and mapping system. The training shall be conducted in the field and on the classroom as needed by the City and their Staff.

3. General Environmental Compliance Support
In addition to WDR compliance, the consultant shall provide expertise and support in a wide range of compliance programs that fall within the Water Resources Division purview, including but not limited to: cross-connection program support, potable water discharge permitting and monitoring, production well O&M assessment and support, water distribution infrastructure, stormwater compliance, compliance related business process development, project management, and assistance.

4. General Sewer System O&M Support
The Consultant shall be able to assist the City with assessment of sewer system issues and development of corrective actions including source identification and mitigation.

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F. Technical Abilities
Proposer must demonstrate the following skills:

1. Ability to successfully perform FSE and GRE inspections in other languages (in addition to English). Additional consideration will be given to proposers which demonstrate this ability.

2. Knowledge of environmental regulations and formal training in environmental sciences and or engineering.

3. Demonstrated capability to integrate GIS, database and maintenance management technologies to effectively manage FSE inspections and FOG Program tasks.

G. Cooperative Work Environment
It is required that successful proposer be able to work together in a cooperative work environment with the program manager/contract administrator and staff, and other consultants as required.

H. Ongoing Coordination/Status Meetings
During the term of the contract, the Program Manager reserves the right to schedule periodic group or individual meetings (anticipated to be once per quarter).

I. Content
The City retains control over all creative content, and is responsible for providing existing creative content to the Consultant. The City will work with the Consultant(s) to develop any new creative, including public service announcements, display ads, collateral materials, etc., as well as the technical and knowledge support required to execute any advertising activities. The City will be the sole authority in determining acceptability of Consultant(s) work product.

J. References and Related Work Product Samples
The List of References form is required to be completed. Proposers and Subcontractors of Proposer are required to provide a minimum of three (3) references to demonstrate successful performance for work of similar size and specific scope of work per component specific for proposal submittal as specified in this contract during the past five (5) years. The name of the project and the dollar amount of the contract shall be provided for each listed reference along with contact information. Proposers and Subcontractors of Proposer must also demonstrate that they are properly equipped to perform the work as specified in this contract. Previous experience working with government agencies and working cooperatively with other companies/agencies/entities will be an important consideration. This will enable the City to judge product reliability, vendor performance, and other information.

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K. Oral Interviews and Presentations
Only Proposers meeting qualifications as determined at the sole discretion of the City will be required to make individual oral presentations to the City Evaluation Committee, or its designated representatives, in order to clarify their Proposals and as part of the selection process. The interview of key personnel is to determine if the City is able to establish rapport and a productive professional working relationship with these individual(s) and to assess their expertise. Prior to any oral presentation/interview, the City will have completed all reference checks. Multiple interviews may be required and may be by telephone and or in person which shall be solely determined at the discretion of the City. If the City determines that such oral presentation and interview of the key personnel is needed, the Issuing Office will schedule a time and place.

Proposers are required to make the oral presentation and interview of the key personnel within seven (7) workdays after request by the City. Proposers should be prepared to discuss and substantiate any of the areas of the Proposal submitted, as well as its qualifications to furnish the specified products and services. Notwithstanding the possibility of a request for an oral presentation and interview of the key personnel, Proposers shall not rely on the possibility of such a request and shall submit a complete and comprehensive written response to this solicitation. Any costs incurred for the oral presentation and interview of the key personnel are the responsibility of the Proposer.

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CONSULTANT AGREEMENT

CITY OF SANTA ANA
THIS AGREEMENT is made and entered into on this day of , 20__ by and between ___________________________________________________________, (“Consultant”), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (“City”).

RECITALS
A. The City desires to retain a Consultant having special skill and knowledge in the field of:

B. Consultant represents that Consultant is able and willing to provide such services to the City.

C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field.

NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows:

1. SCOPE OF SERVICES
Consultant shall perform during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in Scope of Services - Exhibit A, attached hereto and incorporated by reference.

2. COMPENSATION
a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Compensation - Exhibit B. The total amount to be expended during the term of this Agreement shall not exceed $xxxxxx.
b. Payment by City shall be made within forty-five (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City.

3. TERM
This Agreement shall commence on [enter a Start Date or “the date first written above”] for a number (#) year term with the option for the City to grant up to a number (#)-year renewals, exercisable by a writing by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 15, below.

4. INDEPENDENT CONTRACTOR
Consultant shall, during the entire term of this Agreement, be construed to be an independent Consultant and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employeremployee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social

EXHIBIT II

SAMPLE AGREEMENT
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security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes.

5. OWNERSHIP OF MATERIALS
This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement (“Documents & Data”).

Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City’s sole risk.

6. INSURANCE
Company shall procure and maintain for the duration of the contract insurance against claims for security breaches, system failures, injuries to persons, damages to software, and damages to property (including computer equipment), theft, or other misuse of Customer’s data, infringement of intellectual property, invasion of privacy and breach of data, which may arise from or in connection with the performance of the work hereunder by Company, its agents, representatives, or employees.

MINIMUM SCOPE AND LIMIT OF INSURANCE
Coverage shall be at least as broad as:

1. Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an “occurrence” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence and $2,000,000 general aggregate.

2. Automobile Liability (AL): Insurance Services Office Form CA 00 01 covering code 1 (any auto, with limits no less than $1,000,000 combined single limits.

3. Technology Professional Liability Errors and Omissions Insurance (E&O): appropriate to the Consultant’s profession and work hereunder, with limits not less than $2,000,000 per occurrence and $2,000,000 aggregate. Coverage shall be sufficiently broad to respond to the duties and obligations as is undertaken by the Company in this agreement and shall include, but not be limited to, claims involving business interruption, damage to or destruction of electronic information, and alteration of electronic information. The policy shall provide coverage for Company’s failure to provide professional services and/or products under this Agreement. The Policy shall include, or be endorsed to include, damage to, alteration of, loss of, or destruction of electronic data and/or information “property” of Customer in the care, custody, or control of Company.

4. Workers’ Compensation as required by the State of California, with statutory limits, and Employer’s Liability insurance with limits of no less than $1,000,000 per accident, policy, employee, for bodily injury or disease.

If Company maintains broader coverage and/or higher limits than the minimums shown above for any line of coverage, Customer requires and shall be entitled to the broader coverage and/or the higher limits maintained by Company. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to Customer.

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Other Insurance Provisions
The above required insurance policies are to contain or be endorsed to contain the following provisions:

1. City of Santa Ana, its City Council, its officers, officials, employees, agents, and volunteers are to be covered as additional insureds, under Company’s CGL, AL and E&O policies, with respect to any liability arising out of work or operations performed by or on behalf of the Company including materials, parts, equipment, and personnel furnished in connection with such work or operations.

2. Company’s Insurance companies agree to waive all rights of subrogation against City of Santa Ana, its City Council, its officers, officials, employees, agents, and volunteers for losses paid under the terms of any policy which arise from work performed by Company under this Agreement.

3. For any claims related to this contract, Company’s insurance coverage shall be primary and any insurance maintained by City of Santa Ana, its City Council, its officers, officials, employees, agents, or volunteers shall not contribute with it.

4. A severability of interest provision must apply for all the additional insureds, ensuring that Company’s insurance shall apply separately to each insured against whom a claim is made or suit is brought, except with respect to the insurer’s limits of liability.

5. Insurance policies required herein shall provide that coverage shall not be canceled, suspended, voided, reduced in coverage or in limits, non-renewed by the carrier, or materially changed except after thirty (30) days prior written notice has been given to City. Ten (10) days prior written notice shall be provided to City for policy cancellation or non-renewal due to non-payment of premium.

6. Certificate Holder on each Evidence of Insurance certificate shall be: City of Santa Ana, Attention: (Name of Department Staff Responsible for Agreement), 20 Civic Center Plaza M-XX (Responsible Staff’s Department Mail Box), Santa Ana, CA 92701. The name and location of project must be included in the Description of Operations section of each certificate.

Self-Insured Retentions
Self-insured retentions must be declared to and approved by Customer. Customer may require Company to provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention.

Acceptability of Insurers
Insurance is to be placed with insurers authorized to conduct business in the state of California with a current A.M.

Best rating of no less than A-:VII, unless otherwise acceptable to Customer.

Claims Made Policies
If any of the required policies provide coverage on a claims-made basis:

1. The retroactive date must be shown and must be before the date of the contract.

2. Insurance must be maintained and evidence of insurance must be provided for at least three (3) years after completion of work.

3. If coverage is canceled or non-renewed, and not replaced with another claims-made policy form with a retroactive date prior to the contract effective date, Company must purchase “extended reporting” coverage for a minimum of three (3) years after completion of work.

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Verification of Coverage
Company shall furnish Customer with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by this clause). Failure to obtain the required documents prior to the work beginning shall not waive Company’s obligation to provide them.

Customer reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time.

Subcontractors
Company shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein.

Special Risks or Circumstances
Customer reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances.

Failure to Maintain Insurance Coverage
If Company, for any reason, fails to maintain insurance coverage, which is required pursuant to this Agreement, for the entire term of this contract, the same shall be deemed a material breach of Agreement. Customer, at its sole option, may terminate this Agreement at any time and obtain damages from Company resulting from said breach.

7. INDEMNIFICATION
Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Contractor, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent 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.

8. INTELLECTUAL PROPERTY INDEMNIFICATION
Consultant shall defend and indemnify the City, its officers, agents, representatives, and employees against any and all liability, including costs, for infringement of any United States’ letters patent, trademark, or copyright infringement, including costs, contained in the work product or documents provided by Consultant to the City pursuant to this Agreement.

CITY OF SANTA ANA
(3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement.

10. CONFIDENTIALITY
If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. “Confidential Information” shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City.

11. CONFLICT OF INTEREST CLAUSE
Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement.

12. NON-DISCRIMINATION
Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, gender expression, gender, medical conditions, genetic information, or military and veteran status, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization, promotion, termination or other employment related activities or any services provided under this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations.

13. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City.

Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein.

14. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City’s ability to have any of the services which are the subject to this Agreement performed by City personnel or by other Contractors retained by City.

City Council 19 – 32 9/16/2025

CITY OF SANTA ANA

15. TERMINATION
This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions:
a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate.
b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement.

16. WAIVER
No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies.

17. JURISDICTION - VENUE
This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement.

18. PROFESSIONAL LICENSES
Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement.

19. NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons:

To City:

Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA 92702-1988
Fax: 714- 647-6956
City Council 19 – 33 9/16/2025

CITY OF SANTA ANA
With courtesy copies to:

Executive Director, ------- Agency
City of Santa Ana
20 Civic Center Plaza (M-xx)
P.O. Box 1988
Santa Ana, California 92702
Fax:

To Contractor:

A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded.

20. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney’s fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. The Agreement is the final and complete agreement and any prior or contemporaneous agreements for similar services between the parties is superseded by this Agreement. This shall not apply where the Parties are currently engaged and Consultant is providing services not contemplated by this Agreement.
c. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement.

First & Last Name
Title
Consultant Firm Name
Address
City, State, Zip
Fax:

City Council 19 – 34 9/16/2025

CITY OF SANTA ANA
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written.

ATTEST: CITY OF SANTA ANA

Jennifer L. Hall Alvaro Nuñez
City Clerk City Manager
APPROVED AS TO FORM:

SONIA R. CARVALHO CONSULTANT:

City Attorney
By:

Assistant City Attorney
Tax ID#
RECOMMENDED FOR APPROVAL:

Nabil Saba
Executive Director
Public Works Agency

SAMPLE ONLY

(name)
(title)
City Council 19 – 35 9/16/2025

CITY OF SANTA ANA
Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Exhibit I) and am qualified to provide services being requested as specified herein. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal.

Proposer’s fee proposal shall be submitted concurrently with the technical proposal, but in a separate file, clearly labeled as “Fee Proposal.” This shall include the firm’s Standard Hourly Fee Schedule, and a Project Fee Schedule as listed below. All services performed by the consultant not specifically captured by the unit prices listed shall be compensated on a time and material basis:

TO: CITY COUNCIL OF THE CITY OF SANTA ANA
FROM:

Item Description Unit Estimated
Quantity
Unit Price Total

1. Perform SSMP Audit Each 1 $ $

2. Perform SSMP Update Each 1 $ $

3. Lift Station Contingency Plan
Development
LS 1 $ $

4. Permitting Inspections* Each 100 $ $

5. GRE Inspections* Each 400 $ $

6. BMP Inspections* Each 1000 $ $

7. Compliance Inspections* Each 200 $ $

8. LFP Confirmation
Inspections*
Each 100 $ $

9. FSE NPDES Inspections* Each 100 $ $

10. WDR Training and Support* Each 4

11. SSO Response Support* Each 4
TOTAL
*These are estimated annual quantities. Actual inspection quantities, training, and support over contract term may vary.

ATTACHMENT A
PROPOSER’S CERTIFICATION, PROPOSAL PRICING
City Council 19 – 36 9/16/2025

CITY OF SANTA ANA
PROPOSER’S STATEMENT: I have read, understood and agree to the terms and conditions on all pages of the Request for Proposals. Upon request, I will transfer and deliver goods or services to the City in accordance with said terms and conditions.
__________________________________________________________________________________

LEGAL NAME OF COMPANY PHONE AND FAX NUMBERS
__________________________________________________________________________________

BUSINESS ADDRESS
__________________________________________________________________________________

PRINTED NAME OF AUTHORIZED AGENT TITLE
__________________________________________________________________________________

SIGNATURE OF AUTHORIZED AGENT DATE E-MAIL ADDRESS
__________________________________________________________________________________

FEDERAL ID NUMBER (IF APPLICABLE) CONTRACTOR LICENSE NUMBER (IFAPPLICABLE)
__________________________________________________________________________________

CITY OF SANTA ANA BUSINESS LICENSE NUMBER
(PLEASE PROVIDE IF AVAILABLE, BUT NOT REQUIRED UNTIL AND IF AN AWARD IS MADE TO PROPOSER.) THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL.

PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.

City Council 19 – 37 9/16/2025

CITY OF SANTA ANA
List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications.

REFERENCE
Customer Name:_________________________Contact Individual: ____________________________ Address: ________________________________Phone Number:
_______________________________ EMAIL: ____________________________________ Contract Amount: ________________________Year: ______________________________________ Description of supplies, equipment, or services provided:
__________________________________________________________________________________

THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL.

PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.

ATTACHMENT B

REFERENCES
City Council 19 – 38 9/16/2025

CITY OF SANTA ANA
Proposer understands and agrees that this written RFP (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between proposer and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto.

Proposer further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish City all required required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and City’s legal holidays), or the funds, check, draft, or proposer’s bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City is difficult to ascertain; otherwise said funds, check drafts, or proposer’s bond substituted in lieu thereof shall be returned to the undersigned.

Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed.

All terms contained in the specifications, the certification of nondiscrimination by contractors, and the required insurance certificates are to be incorporated by reference into this agreement and are made specifically as part of this RFP.

Firm________________________________________________________________________________ Signed and Printed Name: ______________________________________________________________ Title ________________________________________________________________________________ Date
THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL.

PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.

ATTACHMENT C
PROPOSER’S STATEMENT
City Council 19 – 39 9/16/2025

CITY OF SANTA ANA
(Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA
In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the proposer declares that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the proposal is genuine and not collusive or sham; that the proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived or agreed with any proposer or anyone else to put in a sham proposal, or that anyone shall refrain from bidding; that the proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price of the proposer or any proposer, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the proposal are true; and, further, that the proposer has not, directly or indirectly, submitted his or her proposal price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham proposal.

Note: The above non-collusion affidavit is part of the proposal. Signing this proposal on the signature portion thereof shall also constitute signature of this non-collusion affidavit. Proposers are cautioned that making a false certification may subject the certifier to criminal prosecution.

Signed____________________________________________________________________________ State of ________, County of __________________________________________________________ Subscribed and sworn to (or affirmed) before me on this________ day of_____________, 20____, by ________________________, proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me.
________________________
Notary Public Signature Notary Public Seal
THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL.

PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.

ATTACHMENT D

NON-COLLUSION AFFIDAVIT
City Council 19 – 40 9/16/2025

CITY OF SANTA ANA
The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in conformance with its instructions.

This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly.

Signed:

Title:

Firm:

Date:

THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL.

PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.

ATTACHMENT E

NON-LOBBYING CERTIFICATION
City Council 19 – 41 9/16/2025

CITY OF SANTA ANA
The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows:

1. The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Consultant agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause.

2. The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin.

3. The Consultant shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers’ representatives of the Consultant’s commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment.

4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor.

5. The Consultant shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders.

6. In the event of the Consultant’s non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Consultant may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law.

7. The Consultant shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract

ATTACHMENT F

NON-DISCRIMINATION CERTIFICATION
City Council 19 – 42 9/16/2025

CITY OF SANTA ANA
or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States.

8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter.

Signed:

Title:

Firm:

Date:

THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL.

PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.

City Council 19 – 43 9/16/2025

CITY OF SANTA ANA
Bidder acknowledges and agrees that under Public Contract Code section 4100, et seq., it must clearly set forth below the name and location of each subcontractor who will perform work or labor or render service to the bidder in or about the work in an amount in excess of one-half of one percent (0.5%) of bidder’s total bid and the kind of work that each will perform. Furthermore, bidder acknowledges and agrees that under Public Contract Code section 4100, et seq., if bidder fails to list as to any portion of work, or if bidder lists more than one subcontractor to perform the same portion of work (i.e. bidder must indicate what portion of the work each subcontractor will perform), bidder must perform that portion itself or be subjected to penalty under applicable law.

If alternate bids are called for and bidder intends to use subcontractors different from or in addition to those subcontractors listed for work under the base bid, bidder must list subcontractors that will perform work in an amount in excess of one half of one percent (0.5%) of bidder’s total bid, including alternates.

In case more than one subcontractor is named for the same kind of work, the Contractor is to state the portion of work that each subcontractor will perform. Bidders or suppliers of materials only do not need to be listed. If further space is required for the list of proposed subcontractors, additional sheets showing the required information, as indicated below, shall be attached hereto and made a part of this document.

Listed below is the name of each subcontractor that will perform work, labor, or render services to the undersigned related to the work of this project. This is to include any subcontractor that will specially fabricate and install a portion of work according to detailed drawings contained in the plans and specifications in the amount greater than one half of one percent (.05%) of the contractors total bid. Additional sheets may be attached if needed.

Subcontractor Name: Location:

Portion of Work/Trade: Bid Amount
Contractor’s License Number

DIR Registration No.

Subcontractor Name: Location:

Portion of Work/Trade: Bid Amount:

Contractor’s License No: DIR Registration No:

Contractor will not be subcontracting any portion of work.

THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL.

PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.

ATTACHMENT G

SUBCONTRACTOR DESIGNATION FORM
City Council 19 – 44 9/16/2025

Page 1 of 10 ends

AGREEMENT WITH EEC ENVIRONMENTAL TO PROVIDE

WASTE DISCHARGE REQUIREMENT COMPLIANCE SERVICES
THIS AGREEMENT is made and entered into on this 16th day of September, 2025 by and between EEC Environmental, a California corporation (“Consultant”), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (“City”).

RECITALS
A. On March 12, 2025, the City issued Request for Proposal No. 25-036, by which it sought a qualified consultant to provide waste discharge requirement compliance services for the City’s Public Works Agency.

B. Consultant submitted a responsive proposal that was selected by the City. Consultant represents that it is able and willing to provide the services described in the scope of work documented in RFP No. 25-036.

NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows:

1. SCOPE OF SERVICES
Consultant shall perform the services described in the scope of work included in RFP No. 25-036, attached as Exhibit A and incorporated in full.

2. COMPENSATION
a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit B. The total amount to be expended during the term of this Agreement shall not exceed One Million, Eight-Hundred Thousand dollars ($1,800,000), including any extension periods. b. Payment by City shall be made within forty-five (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. City and Consultant agree that all payments due and owing under this Agreement shall be made through Automated Clearing House (ACH) transfers. Consultant agrees to execute the City’s standard ACH Vendor Payment Authorization and provide required documentation. Upon verification of the data provided, the City will be authorized to deposit payments directly into Consultant’s account(s) with financial institutions.

Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City.

Exhibit 2
City Council 19 – 45 9/16/2025

Page 2 of 10 ends

3. TERM
This Agreement shall commence on the date first written above and terminate on August 18, 2028, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended for two (2) additional one (1) year periods, exercisable by a writing by the City Manager and the City Attorney.

4. INDEPENDENT CONTRACTOR
Consultant shall, during the entire term of this Agreement, be construed to be an independent Consultant and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes.

Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City’s sole risk.

6. INSURANCE
Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require any subcontractors to obtain and maintain insurance as described below for the entire Term of this Agreement against claims for injuries to persons or damage to property which may arise from or in connection with services, products and materials supplied to City. Total cost of such insurance shall be borne by Consultant.

MINIMUM SCOPE AND LIMIT OF INSURANCE
City Council 19 – 46 9/16/2025

Page 3 of 10 ends

2. Automobile Liability: Insurance Services Office Form CA 00 01 covering Code 1 (any auto), with limits no less than $1,000,000 combined single limits. In the event Consultant does not maintain commercial automobile liability insurance, City will accept evidence of personal automobile insurance with existing limits, which can be lower than $1,000,000.

3. Workers’ Compensation: as required by the State of California, with Statutory Limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident, policy or employee, for bodily injury or disease. Coverage is not required if Consultant has no employees and signs request to waive such insurance.

4. Professional Liability Insurance: with limits no less than $2,000,000 per occurrence or claim, and $2,000,000 aggregate.

If Consultant maintains broader coverage and/or higher limits than the minimum requirements for each line of coverage shown above, City requires and shall be entitled to the broader coverage and/or the higher limits maintained by Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to City.

Other Insurance Provisions
The above required insurance policies are to contain or be endorsed to contain the following provisions:

1. City, its City Council, its officers, officials, employees, agents, and volunteers are to be covered as additional insureds, under Consultant’s CGL, Professional Liability, and Automobile Liability policies, with respect to any liability arising out of work or operations performed by or on behalf of the Consultant including materials, parts, equipment, and personnel furnished in connection with such work or operations.

2. Consultant’s Insurance company(ies) agrees to waive all rights of subrogation against City, its City Council, its officers, officials, employees, agents, and volunteers for losses paid under the terms of any policy which arise from work performed by Consultant under this Agreement.

3. For any claims related to this contract, Consultant’s insurance coverage shall be primary and any insurance maintained by City, its City Council, its officers, officials, employees, agents, or volunteers shall not contribute with it.

4. A severability of interest provision must apply for all the additional insureds, ensuring that Consultant’s insurance shall apply separately to each insured against whom a claim is made or suit is brought, except with respect to the insurer’s limits of liability.

Page 4 of 10 ends

or non-renewal due to non-payment of premium.

6. Certificate Holder on each Evidence of Insurance certificate shall be: City of Santa Ana, Attention: Jose Medina, 20 Civic Center Plaza, M-85, Santa Ana, CA 92701. The name and location of project must be included in the Description of Operations section of each certificate.

Self-Insured Retentions
Self-insured retentions must be declared to and approved by the City. The City may require the Consultant to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention.

Acceptability of Insurers
Insurance is to be placed with insurers authorized to conduct business in the State of California with a current A.M. Best rating of no less than A:VII, unless otherwise acceptable to City.

Verification of Coverage
Consultant shall furnish City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive Consultant’s obligation to provide them.

City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time.

Special Risks or Circumstances
City reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances.

7. INDEMNIFICATION
Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by City Council 19 – 48 9/16/2025

Page 5 of 10 ends

reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant’s services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant.

9. RECORDS
Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement.

11. CONFLICT OF INTEREST CLAUSE
a. Consultant covenants that it presently has no interests and shall not have interests, City Council 19 – 49 9/16/2025

Page 6 of 10 ends

direct or indirect, which would conflict in any manner with performance of services specified under this Agreement.
b. No immediate family members of either the Mayor, City Council Member, or any appointed City Official, including appointed board and commission members, as defined under the City’s Municipal Code, whose position with the City shall award or influence the award of this Agreement, or any competing contract or amendment thereof, shall be employed in any capacity by the Consultant or have any other direct or indirect financial benefit or interest in this Agreement. c. The section also prohibits the awarding of any agreement, contract, grant, or any amendment to those awards, to any former full-time employee for one-year from date of employee separation except for any CalPERS retiree as authorized by City Council resolution
d. The Consultant must comply with all conflict of interest laws, ordinances, and regulations now in effect or hereafter to be enacted during the term of this Agreement.

The Consultant warrants that it is not now aware of any facts which conflict with the prohibitions defined above. If the Consultant hereafter becomes aware of any facts that might reasonably be expected to create a conflict of interest, it must immediately make full written disclosure of such facts to the City. Full written disclosure must include, but is not limited to, identification of all persons implicated and a complete description of all relevant circumstances. Failure to comply with the provisions of this paragraph will be a material breach of this Agreement.
e. Consultant covenants that none of its directors, officers, employees, or agents shall participate in selecting or administrating any subcontract supported (in whole or in part) by City funds stemming from the Agreement where the awarding of the subcontract has any direct or indirect financial benefit or interest to any individual, as defined in subsections (b) and (c) above.

13. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms City Council 19 – 50 9/16/2025

Page 7 of 10 ends

of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein.

14. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City’s ability to have any of the services which are the subject to this Agreement performed by City personnel or by other Consultants retained by City.

Page 8 of 10 ends

arise out of, in connection with or by reason of this Agreement.

To City:

City Clerk
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA 92702-1988
Fax: 714- 647-6956
With courtesy copies to:

Executive Director, Public Works Agency
City of Santa Ana
20 Civic Center Plaza (M-21)
P.O. Box 1988
Santa Ana, California 92702
To Consultant:

EEC Environmental
Attn: Jim Kolk, Principal Engineer
1 City Boulevard West, Suite 1800
Orange, CA 92868
A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have City Council 19 – 52 9/16/2025

Page 9 of 10 ends

been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded.

20. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney’s fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. The Agreement is the final and complete agreement and any prior or contemporaneous agreements for similar services between the parties are superseded by this Agreement. This shall not apply where the Parties are currently engaged and Consultant is providing services not contemplated by this Agreement. c. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement.
[signature page to follow]

City Council 19 – 53 9/16/2025
Rodolfo
Rosas
Digitally signed by
Rodolfo Rosas
Date: 2025.08.28
14:13:47 -07'00'
City Council 19 – 54 9/16/2025

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EXHIBIT B
City Council 19 – 63 9/16/2025

FOR THE CITY OF SANTA ANA TY OF SANTA AN
RFP No. 25-
A ANA
5-036
April 3, 2025
City Council 19 – 64 9/16/2025
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City Council 19 – 65 9/16/2025
City Council 19 – 66 9/16/2025
EEC Fee Proposal – WDR Compliance Services FPͲ1 April 3, 2025 Fee Proposal – Waste Discharge Requirements Compliance
Services (RFP #25-036)
EEC Environmental (EEC) is pleased to submit this fee proposal to provide continued Waste Discharge Requirement (WDR) and Environmental Compliance services, including Fats, Oils, and Grease (FOG) Program Management services, to the City of Santa Ana (City). The table below summarizes proposed unit/lump sum fees and provides estimated costs for AsͲAssigned Tasks, which will be performed on a time and materials basis pursuant to EEC’s 2025 Fee Schedule (hourly rate schedule) provided following this page.

Unit Estimated Unit Price Total
1 Perform SSMP Audit Each 1 $12,500$12,500 2 Perform SSMP Update Each 1 $8,500$8,500 3 Lift Station Contingency Plan Lump 1 $5,000$5,000 4 Permitting Inspections Each 100 $130$13,000 5 GRE Inspections Each 400 $110$44,000 6 BMP Inspections Each 1000 $100$100,000 7 Compliance Inspections Each 200 $130$26,000 8 LFP Confirmation Each 100 $45$4,500 9 FSE NPDES Inspections Each 100 $45$4,500 10 WDR Training and Support Each 4 $2,500$10,000 11 SSO Response Support Each 4 $2,500$10,000 $238,000
Basis Cost Est.

Ͳ FOG Program Management T&M $60,000
1 Maintaining Maps and Database T&M $22,500
2 Training and Support T&M $22,500
General Environmental Complinace Support
CrossͲConnection Program Support $25,000
Potable Water Discharge Permitting/Support $25,000 Production Well O&M Support $25,000
Water Distribution Infrastructure Support $32,500 Stormwater Compliance Support $20,000
Project Management and Assistance $50,000
4 General Sewer System O&M Support T&M $45,000
$327,500
80Ͳ100 hours
150Ͳ200 hours
AsͲAssigned Tasks (Estimated) Total
80Ͳ100 hours
80Ͳ100 hours
80Ͳ100 hours
100Ͳ125 hours
80Ͳ100 hours
150Ͳ200 hours
3 T&M
275Ͳ325 hours
80Ͳ100 hours
Unit/Lump Sum BasisItems
AsͲAssigned (T&M) Items Level of Effort
City Council 19 – 67 9/16/2025
City Council 19 – 68 9/16/2025
Public Works Agency
www.santa-ana.org/pw
Item # 20
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
September 16, 2025
TOPIC: Electrical Upgrade at Corporate Yard

AGENDA TITLE
Agreement with Pacific International Electric Company Inc., dba Pacific Industrial Electric, for Electrical Upgrade at the Corporate Yard (Specification No. 25-075) (General Fund)

RECOMMENDED ACTION
Authorize the City Manager to execute an agreement with Pacific Industrial Electric to provide electrical improvements at the Corporate Yard in an amount not to exceed $796,707, for a term beginning September 16, 2025 and expiring September 15, 2026, with the option for a single one-year extension (Agreement No. A-2025-XXX).

GOVERNMENT CODE §84308 APPLIES: No

DISCUSSION
The Public Works Agency (PWA) is responsible for operating and maintaining the City’s Corporate Yard, which serves as the central hub for the agency’s operations and maintenance functions. The Corporate Yard houses multiple PWA divisions, including the General Maintenance Division, Water Resources Division, Fleet Services Division, and Parks Maintenance Division. Additionally, the Corporate Yard supports functions of other PWA divisions and City departments by providing shop and office facilities, as well as storage space for machinery and equipment.

The Corporate Yard includes fueling stations that provide unleaded gasoline, diesel, propane, and compressed natural gas (CNG) for use by City personnel and authorized contractors. The site also supports the City’s refuse management operations by serving as a collection point for materials handled by City-operated services, and as a staging location for contracted street sweeping equipment.

The existing electrical infrastructure at the Corporate Yard has exceeded its recommended capacity. To accommodate any future site improvements that require additional electrical supply, the installation of a new transformer is necessary. This upgrade is essential to support the expansion of the City’s zero-emissions vehicle fleet through the addition of on-site electric vehicle (EV) charging stations. Furthermore, staff has identified the need to install new air-conditioning units in currently non-climateCity Council 20 – 1 9/16/2025 Electrical Upgrade at Corporate Yard
September 16, 2025

Page 2 ends

controlled areas. The new transformer will ensure a reliable power supply to meet these growing energy demands and support the City’s long-term sustainability goals.

On June 5, 2025, Invitation for Bids (IFB) No. 25-075 was released on the City’s online bid management and publication system, PlanetBids, for qualified contractors to provide electrical improvements for the City’s Corporate Yard. A summary of vendor participation and results is as follows:
591 Vendors notified
38 Santa Ana vendors notified
56 Vendors downloaded the IFP Packet
5 Bids received
0 Bids received from Santa Ana Vendors
Bids were opened on July 1, 2025 and evaluated (Exhibit 1). Five bids were submitted by the IFB deadline, and all were determined to be responsive to the specifications and meet the City’s requirements. The bid submitted by Pacific Industrial Electric is determined to be the lowest responsible bid, is responsive to the specifications, and meets the City’s requirements. Staff recommends awarding an agreement to Pacific Industrial Electric (Exhibit 2) for a total estimated delivery cost of $796,707, which includes $49,451 for unforeseen conditions.

This is the first project that Pacific Industrial Electric is undertaking with the City. The company has prior experience performing electrical work for entities such as the Montebello Unified School District and the County of Santa Clara. The scope of work for this project includes services such as the installation of power poles, the connection of a 12,000-volt power distribution center, and the transfer of existing power to new systems. A reference check was conducted as part of the evaluation process and the results were outstanding, confirming the company’s strong reputation and reliability.

ENVIRONMENTAL IMPACT
There is no environmental impact associated with the action.

FISCAL IMPACT
The funds were budgeted and available in the following account for Fiscal Year 2024- 2025 and will be carried forward for use in Fiscal Year 2025-2026, subject to City Council approval of the carryover on October 7, 2025. City Staff will issue two Notices to Proceed (NTP). The First NTP will authorize the vendor to procure materials due to long lead times. Once the materials are secured, staff will coordinate with Southern California Edison (SCE) and the vendor to issue a second NTP, scheduling and completing the work. Once the work is scheduled, staff expects it to be completed within 40 working days.

City Council 20 – 2 9/16/2025
Electrical Upgrade at Corporate Yard
September 16, 2025

Page 3 ends

Fiscal
Year
Accounting Unit -
Account #
Fund
Description
Accounting Unit,
Account Description Total
2025-26 01117017-66400
(25-6032)
PWA
General
Fund
PWA-Service
Enhancement $796,707
Total: $796,707

EXHIBIT(S)

1. Exhibit 1 – Abstract of Bids

2. Exhibit 2 – Agreement with Pacific International Electric Company Inc.

Submitted By: Rodolfo Rosas, P.E., Acting Executive Director – Public Works Agency Approved By: Alvaro Nuñez, City Manager
City Council 20 – 3 9/16/2025

BIDDER LOCATION TOTAL
Armstrong Cal Builders Inc. Stanton, CA $ 888,550
Eco Energy Solutions Inc. dba
High Volt Electric Simi Valley, CA $ 1,095,104
Leed Electric, Inc. Santa Fe Springs, CA $ 1,292,732
Opal Fuels Station Services LLC Rancho Cucamonga, CA $ 979,510 Pacific International Electric
Company, Inc. dba Pacific
Industrial Electric, Inc. Brea, CA $ 796,707

ABSTRACT OF BIDS
Electrical Upgrade at Corporate Yard (IFB No. 25-075)
EXHIBIT 1
City Council 20 – 4 9/16/2025

AGREEMENT WITH PACIFIC INDUSTRIAL ELECTRIC TO PROVIDE

ELECTRICAL IMPROVEMENTS FOR CITY OF SANTA ANA
THIS AGREEMENT is made and entered into on this 16th day of September, 2025 by and between Pacific International Electric Company Inc., doing business as Pacific Industrial Electric, (“Contractor”), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (“City”).

RECITALS
A. On June 5, 2025, the City issued Invitation for Bids (“IFB”) No. 25-075, by which it sought qualified contractors to provide electrical improvements for the City’s Corporate Yard.

B. Contractor submitted a responsive proposal that was selected by the City. Contractor represents that it is able and willing to provide the services described in the scope of work that was included in IFB 25-075.

C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field.

NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows:

1. SCOPE OF SERVICES
Contractor shall perform during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in Scope of Services - Exhibit A, attached hereto and incorporated by reference.

2. COMPENSATION
a. City agrees to pay, and Contractor agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit B. The total amount to be expended during the term of this Agreement shall not exceed $796,707.12, including any extension periods.
b. Payment by City shall be made within forty-five (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. City and Contractor agree that all payments due and owing under this Agreement shall be made through Automated Clearing House (ACH) transfers. Contractor agrees to execute the City’s standard ACH Vendor Payment Authorization and provide required documentation. Upon verification of the data provided, the City will be authorized to deposit payments directly into Contractor’s account(s) with financial institutions.

Payment need not be made for work which fails to meet the standards of performance EXHIBIT 2
City Council 20 – 5 9/16/2025
set forth in the Recitals which may reasonably be expected by City.

3. TERM
a. This Agreement shall commence on the date first written above for a one (1) year term with the option for the City to grant a one (1) year extension, exercisable by a writing by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 17, below.
b. Contractor is to proceed with the procurement of long-lead-time materials, specifically including, but not limited to the switchgear, upon receipt of Phase 1 – Procurement Notice to Proceed. Proof of order with expected delivery date shall be submitted to City. The construction work shall be completed within 30 calendar days from the date of the Phase 2 - Full Notice to Proceed (Construction). c. If Contractor does not complete the work within the time periods noted in subsection b above, the City will suffer damage. It is impractical and infeasible to determine the amount of damage. Therefore, Contractor shall pay to the City, as fixed and liquidated damages and not as a penalty, the sum of $500 each and every calendar day of delay.

The Contractor and Contractor's Surety shall be liable for the amount. If City for any cause authorizes or contributes to a delay, suspension of work or extension of time, its duration shall be added to the time allowed for completion, but shall not be deemed a waiver nor be used to defeat any right of the City to damages for non-completion or delay.

4. PREVAILING WAGES
Contractor is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., (“Prevailing Wage Laws”), which require the payment of prevailing wage rates and the performance of other requirements on “public works” and “maintenance” projects. If the services being performed are part of an applicable “public works” or “maintenance” project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. Contractor shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws.

5. INDEPENDENT CONTRACTOR
Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social City Council 20 – 6 9/16/2025
security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes.

6. OWNERSHIP OF MATERIALS
This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Contractor under this Agreement (“Documents & Data”). Contractor shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement.

Contractor represents and warrants that Contractor has the legal right to license any and all Documents & Data. Contractor makes no such representation and warranty in regard to Documents & Data which were provided to Contractor by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City’s sole risk.

7. INSURANCE
Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require any subcontractors to obtain and maintain insurance as described below for the entire Term of this Agreement against claims for injuries to persons or damage to property which may arise from or in connection with services, products and materials supplied to City. Total cost of such insurance shall be borne by Contractor.

MINIMUM SCOPE AND LIMIT OF INSURANCE

2. Automobile Liability: Insurance Services Office Form CA 00 01 covering Code 1 (any auto), with limits no less than $1,000,000 combined single limits. In the event Contractor does not maintain commercial automobile liability insurance, City will accept evidence of personal automobile insurance, which can be lower than $1,000,000.

3. Workers’ Compensation: as required by the State of California, with Statutory Limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident, policy or employee, for bodily injury or disease. Coverage is not required if Contractor has no employees and signs request to waive such insurance.

4. Professional Liability Insurance: with limits no less than $1,000,000 per occurrence or City Council 20 – 7 9/16/2025
claim, and $1,000,000 aggregate.

If Contractor maintains broader coverage and/or higher limits than the minimum requirements for each line of coverage shown above, City requires and shall be entitled to the broader coverage and/or the higher limits maintained by Contractor. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to City.

Other Insurance Provisions
The above required insurance policies are to contain or be endorsed to contain the following provisions:

1. City, its City Council, its officers, officials, employees, agents, and volunteers are to be covered as additional insureds, under Contractor’s CGL, Professional Liability, and Automobile Liability policies, with respect to any liability arising out of work or operations performed by or on behalf of the Contractor including materials, parts, equipment, and personnel furnished in connection with such work or operations.

2. Contractor’s Insurance company(ies) agrees to waive all rights of subrogation against City, its City Council, its officers, officials, employees, agents, and volunteers for losses paid under the terms of any policy which arise from work performed by Contractor under this Agreement.

3. For any claims related to this contract, Contractor’s insurance coverage shall be primary and any insurance maintained by City, its City Council, its officers, officials, employees, agents, or volunteers shall not contribute with it.

4. A severability of interest provision must apply for all the additional insureds, ensuring that Contractor’s insurance shall apply separately to each insured against whom a claim is made or suit is brought, except with respect to the insurer’s limits of liability.

6. Certificate Holder on each Evidence of Insurance certificate shall be: City of Santa Ana, Attention: Jose Medina, 20 Civic Center Plaza M-85, Santa Ana, CA 92701. The name and location of project must be included in the Description of Operations section of each certificate.

Self-Insured Retentions
Self-insured retentions must be declared to and approved by the City. The City may require the Contractor to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention.

City Council 20 – 8 9/16/2025
Verification of Coverage
Contractor shall furnish City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive Contractor’s obligation to provide them.

City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time.

8. BONDS
Contractor shall furnish a bond to be approved by the City, in the amount of One Hundred Percent (100%) of the Contract price, to guarantee the faithful performance of the work (Performance Bond). This Contract shall not become effective until such bond is supplied to and approved by the City.

9. INDEMNIFICATION
Contractor agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Contractor, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Contractor further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent 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.

10. INTELLECTUAL PROPERTY INDEMNIFICATION
City Council 20 – 9 9/16/2025
Contractor shall defend and indemnify the City, its officers, agents, representatives, and employees against any and all liability, including costs, for infringement of any United States’ letters patent, trademark, or copyright infringement, including costs, contained in the work product or documents provided by Contractor to the City pursuant to this Agreement.

11. RECORDS
Contractor shall keep records and invoices in connection with the work to be performed under this Agreement. Contractor shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Contractor under this Agreement. All such records and invoices shall be clearly identifiable. Contractor shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Contractor shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Contractor under this Agreement.

12. CONFIDENTIALITY
If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. “Confidential Information” shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Contractor without reference to information disclosed by the City.

13. CONFLICT OF INTEREST CLAUSE
a. Contractor covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement.
b. No immediate family members of either the Mayor, City Council Member, or any appointed City Official, including appointed board and commission members, as defined under the City’s Municipal Code, whose position with the City shall award or influence the award of this Agreement, or any competing contract or amendment thereof, shall be employed in any capacity by the Contractor or have any other direct City Council 20 – 10 9/16/2025
or indirect financial benefit or interest in this Agreement. c. The section also prohibits the awarding of any agreement, contract, grant, or any amendment to those awards, to any former full-time employee for one-year from date of employee separation except for any CalPERS retiree as authorized by City Council resolution
d. The Contractor must comply with all conflict of interest laws, ordinances, and regulations now in effect or hereafter to be enacted during the term of this Agreement.

The Contractor warrants that it is not now aware of any facts which conflict with the prohibitions defined above. If the Contractor hereafter becomes aware of any facts that might reasonably be expected to create a conflict of interest, it must immediately make full written disclosure of such facts to the City. Full written disclosure must include, but is not limited to, identification of all persons implicated and a complete description of all relevant circumstances. Failure to comply with the provisions of this paragraph will be a material breach of this Agreement.
e. Contractor covenants that none of its directors, officers, employees, or agents shall participate in selecting or administrating any subcontract supported (in whole or in part) by City funds stemming from the Agreement where the awarding of the subcontract has any direct or indirect financial benefit or interest to any individual, as defined in subsections (b) and (c) above.

14. NON-DISCRIMINATION
Contractor shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, gender expression, gender, medical conditions, genetic information, or military and veteran status, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization, promotion, termination or other employment related activities or any services provided under this Agreement. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations.

15. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein.

City Council 20 – 11 9/16/2025

16. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City’s ability to have any of the services which are the subject to this Agreement performed by City personnel or by other Contractors retained by City.

17. TERMINATION
This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination, subject to the following conditions:
a. As a condition of such payment, the Executive Director may require Contractor to deliver to the City all work product(s) completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Contractor consents to the City's use thereof for such purposes as the City deems appropriate.
b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement.

18. WAIVER
No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies.

19. JURISDICTION - VENUE
This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement.

20. PROFESSIONAL LICENSES
Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and City Council 20 – 12 9/16/2025
in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement.

21. NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons:

To City:

City Clerk
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA 92702-1988
With courtesy copies to:

Executive Director, Public Works Agency
City of Santa Ana
20 Civic Center Plaza (M-21)
P.O. Box 1988
Santa Ana, California 92702
To Contractor:

Pacific Industrial Electric
Attention: Chris Michalski
230 N. Orange Avenue
Brea, CA 92821

22. CALIFORNIA AIR RESOURCES BOARD (CARB) COMPLIANCE

Contractor shall comply, and shall ensure all subcontractors comply, with all applicable requirements of the most current version of the regulations imposed by California Air Resources Board (“CARB”) including, without limitation, all applicable terms of Title 13, California Code City Council 20 – 13 9/16/2025
of Regulations Division 3, Chapter 9 and all pending amendments (“Regulation”).

Throughout the Project, and for three (3) years thereafter, Contractor shall make available for inspection and copying any and all documents or information associated with Contractor and its subcontractors’ fleets including, without limitation, the Certificates of Reported Compliance (“CRCs”), fuel/refueling records, maintenance records, emissions records, and any other information the Contractor is required to produce, keep or maintain pursuant to the Regulation upon two (2) calendar days’ notice from the City.

Contractor shall be solely liable for any and all costs associated with compliance with the Regulation as well as for any and all penalties, fines, damages, or costs associated with any and all violations, or failures to comply with the Regulation. Contractor shall defend, indemnify and hold harmless the City, its officials, officers, employees and authorized volunteers free and harmless from any claims, liabilities, costs, penalties or interest arising out of any failure or alleged failure to comply with the Regulation.

23. COMMUNITY WORKFORCE AGREEMENT
Contractor shall adhere to the City’s Community Workforce Agreement (CWA), a pre-hire collective bargaining agreement, which establishes the labor relations policies and procedures for Contractor to follow in the crafts persons employed to complete the Project as more fully described in the CWA. The CWA may be found on the City’s website at: CWA City of Santa Ana 12-20- 2023

23. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney’s fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement.

City Council 20 – 14 9/16/2025
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written.

ATTEST: CITY OF SANTA ANA

JENNIFER L. HALL ALVARO NUÑEZ
City Clerk City Manager
APPROVED AS TO FORM: CONTRACTOR:

SONIA R. CARVALHO
City Attorney
By:

Kyle Nellesen By:

Assistant City Attorney Title:

RECOMMENDED FOR APPROVAL:

RUDY ROSAS, P.E.

Acting Executive Director
Public Works Agency
le Nellesen
i t t Cit Att
Roxanne Medina
CAO
Roxanne
Medina
Digitally signed by Roxanne Medina
DN: cn=Roxanne Medina, o=Pacific
Industrial Electric, ou=CAO,
email=roxanne@pacificindustrialelect
ric.com, c=US
Date: 2025.08.11 11:20:36 -07'00'
Rodolfo
Rosas
Digitally signed by
Rodolfo Rosas
Date: 2025.08.28
14:16:41 -07'00'
City Council 20 – 15 9/16/2025

EXHIBIT A
City Council 20 – 16 9/16/2025
City of Santa Ana IFB No. 25-075 Page 3 of 25

SCOPE OF WORK
I. SCOPE OF WORK
Contractor shall perform scope of work as set forth below and in accordance with ATTACHMENT A.

A. GENERAL DESCRIPTION
The City of Santa Ana Public Works Agency – Water Resources Division oversees and maintains the daily operations of the Water System and Sanitary Sewer System. The City’s water system has an average daily demand of about 30 million gallons (MG) with 45,000 service connections. It is comprised of approximately 478 miles of water main, 45 MG of storage at five (5) sites, seven (7) MWD connections, 21 groundwater wells, seven (7) pump stations, four (4) pressure regulating stations and utilizes two (2) pressure zones.

The City is soliciting competitive bids from qualified Contractors WR provide electrical improvements through the purchase and installation of an electrical panel and its appurtenances located at 220 S Daisy Ave Santa Ana (“City Yard” or “Corporate Yard”).The work involves the complete removal of the existing 2000 Amp main service panel/switchboard and its appurtenance along with the furnishing and installation of a new 4000 Amp main service panel/switchboard, rated 277/480V 3-Phase. The scope includes, but is not limited to, providing and installing all necessary service entrance conductors, conduits, main circuit breaker, grounding electrode system, bonding, terminations, panels, structures (switch & transformer pad), trench, and metering provisions as required by Southern California Edison (SCE), and associated appurtenances necessary to successfully install and commission the new 4000 Amp Main Service Panel/Switchboard for re-energization by SCE including back feeding existing switchgear as necessary during installation. Removal of 6” curb, clearing and grubbing per 2021 Green Book Section 300- for the placement of new concrete slab to grade.

The project scope includes the need for the replacement of one (1) electrical pole and furnishing a new class 3 electrical pole.

All work shall be performed in strict accordance with the latest adopted editions of:
x State of California Construction Safety Order (CAL/OSHA) x ASNI C2, National Electrical Safety Code (NESC)
x National Electrical Code (NEC)
x Southern California Edison’s (SCE) Electrical Service Requirements (ESR) Manual and Underground Structure Standards (UGS).

Applicable Codes of local authorities having lawful jurisdiction pertaining to the work required.

City Council 20 – 17 9/16/2025
City of Santa Ana IFB No. 25-075 Page 4 of 25

SCOPE OF WORK
% SPECIFICATIONS
The requested scope of the Contractor includes, but is not limited to the following:
x Remove 750KVA XFMR
x Remove 3 runs of 700 from XFMR to old 2000 Amp Panel
x Install PME 5 on new 4’x6’ structure
x Set new 150KVA XFMR on new 10’x12’ structure 5422446
x Procure SCE structure directly from Manufacture according to Design Plan

([KLELW,

x Install all new ducts and structures
x Backfeeding the Corporate Yard Electrical Circuit to Ensure Continuous Power to All Buildings
All electrical equipment removed shall be disposed to facilities that are permitted to receive electrical waste and satisfy EPA and local waste regulations.

The Contractor will be required to coordinate with SCE and shall accommodate for the following work to be completed by SCE:
x Remove #2 primary from 87115E to P5422446
x Pull new 1/0 primary from PME5 to new 1500KVA XFMR
x Pull 6 runs of 700 to new 4000Amp panel
x EMS to pre-set meter and CT’s
All material, equipment and construction should adhere to SCE Design Drawing 1724689_0.01.

Vendor shall coordinate with SCE all the required installation/upgrades of SCE facilities including new cables, setting of new equipment (switch, transformer, etc.), removal of old transformer, old cable upstream of the panel, removal/installation of SCE meters.

C. DELIVERY REQUIREMENTS AND LOCATION(S)
Contractor shall identify and prioritize long lead items including but not limited to 4000- amp switchgear and shall coordinate delivery to project location in a timeframe that minimizes downtime.

All materials to be delivered to corporate yard to be coordinated with city staff for location of deliveries. All items to be delivered during city corporate yard hours of operation.

City Yard
215 S. Center St.

Santa Ana, CA 92703
Monday-Thursday 7AM-5PM
Friday 7AM-4PM
City Council 20 – 18 9/16/2025
City of Santa Ana IFB No. 25-075 Page 5 of 25

SCOPE OF WORK
Contractor work is to be performed during city hours of operation listed above. Under special circumstances, work can be scheduled at different times or days with approval from city project manager. Unless authorized by city staff no weekend or holiday work.

D. CARB FLEET REGULATIONS:

The California Air Resources Board (“CARB”) implemented amendments to the In-Use Off-Road Diesel-Fueled Fleets Regulations (“Regulation”) which are effective on January 1, 2024 and apply broadly to all self-propelled off road diesel vehicles 25 horsepower or greater and other forms of equipment used in California. A copy of the Regulation is available at:
https://ww2.arb.ca.gov/sites/default/files/barcu/regact/2022/off-roaddiesel/appa-1.pdf.

Bidders are required to comply with all CARB and Regulation requirements, including, without limitation, all applicable sections of the Regulation, as codified in Title 13 of the California Code of Regulations section 2449 et seq. throughout the duration of the Project.

Bidders must provide, with their Bid, copies of Bidder’s and all listed Subcontractors’ most recent, valid Certificate of Reported Compliance (“CRC”) issued by CARB. Failure to provide valid CRCs as required herein may render the Bid non-responsive.

City Council 20 – 19 9/16/2025

EXHIBIT B
City Council 20 – 20 9/16/2025
City Council 20 – 21 9/16/2025
City Council 20 – 22 9/16/2025
City Council 20 – 23 9/16/2025
City Council 20 – 24 9/16/2025
Public Works Agency
www.santa-ana.org/pw
Item # 21
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
September 16, 2025
TOPIC: Construction Contract for the Santa Ana Zoo Hive Building

AGENDA TITLE
Award a Construction Contract to Optima RPM, Inc. for the Santa Ana Zoo Education Hub Building A – Phase 1 Project (No. 23-2601) (Non-General Fund)

RECOMMENDED ACTION

1. Approve an appropriation adjustment recognizing $166,000 in donations from Friends of Santa Ana Zoo into the PRCSA Fees & Donations (02213002-57081) revenue account and appropriate the same amount into the PRCSA Fees & Donations (02213200-66200) building expenditure account for the Santa Ana Zoo Education Hub Building A – Phase 1. (Requires five affirmative votes)

2. Approve an appropriation adjustment recognizing $750,000 in revenue collected in prior years into the Acquisition & Development-District 3 (31313002-50001) revenue account and appropriate the same amount into the Acquisition & Development-District 3 (31313260-66200) building expenditure account for the Santa Ana Zoo Education Hub Building A – Phase 1. (Requires five affirmative votes)

3. Approve an amendment to the Fiscal Year 2025-2026 Capital Improvement Program to include an additional $916,000 in construction funds for the Santa Ana Zoo Education Hub Building A – Phase 1 Project (No. 23-2601).

4. Approve the Project Cost Analysis for a total estimated construction delivery cost of $4,454,082, which includes $3,563,265 for the construction contract, $534,490 for contract administration, inspection, and testing, and $356,327 for unanticipated or unforeseen work.

5. Award a construction contract to Optima RPM, Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $3,563,265, subject to change orders, for construction of the Santa Ana Zoo Education Hub Building A – Phase 1 Project (No. 23-2601), for a term beginning September 16, 2025 and ending upon project completion, and authorize the City Manager to execute the contract.

City Council 21 – 1 9/16/2025
Construction Contract for the Santa Ana Zoo Hive Building September 16, 2025

Page 2 ends

6. Approve an Agreement with Berg & Associates, Inc., for Construction Management and Inspection services for the Santa Ana Zoo Education Hub Building A – Phase 1 Project, in an amount not to exceed $374,315 for a threeyear term beginning September 16, 2025 and expiring September 15, 2028, with an option for two, one-year extensions.(Agreement No. A-2025-XXX)

7. Determine that, pursuant to the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER-2025-62 will be filed for Project No. 23-2601.

GOVERNMENT CODE §84308 APPLIES: Yes

DISCUSSION
The Public Works Agency Engineering Services Division (PWA) is responsible for the administration and oversight of all Capital Improvement Projects in the City. The Santa Ana Zoo Education Hub Building A – Phase 1 (No. 23-2601) (Project) involves the construction of a new educational facility, known as the Hive, within the Santa Ana Zoo at Prentice Park. This Project is the first phase of a multi-phased initiative to expand and modernize the Zoo’s educational infrastructure. The Project includes the construction of the Hive building, which will serve as a flexible space for educational programming, community workshops, public events, and after-hours rentals. The Project location is immediately adjacent to the Zoo’s large event lawn and amphitheater space which will enhance the functionality of those spaces (Exhibit 1). The Hive building is designed to support both indoor and outdoor learning experiences and will incorporate sustainable building practices, Americans with Disabilities Act (ADA)-compliant access, and Zoocompatible architectural elements.

This project supports the goals outlined in the Santa Ana Zoo Master Plan and aligns with the broader City vision of enhancing public spaces, promoting environmental education, and improving community-serving amenities. The Hive will strengthen the Zoo’s role as a regional attraction and a vital resource for students, families, and educators. The project is necessary to meet the growing demand for structured educational programming and to replace outdated facilities that no longer meet current or future needs.

The educational reach of the Zoo is broad, with nearly 500 school visits in 2024, representing over 33,000 students. The education team has led over 600 programs for the public, including 29 park pop-ups, 421 animal presentations, and 90 story time programs.

Construction is anticipated to begin in November 2025, with project completion expected by November 2026. The construction of this Project is coordinated with planned improvements at the Zoo including future development phases of the Education City Council 21 – 2 9/16/2025
Construction Contract for the Santa Ana Zoo Hive Building September 16, 2025

Page 3 ends

Hub. Upon completion, the Hive will provide a welcoming, functional, and modern space that enhances the Zoo’s ability to deliver high-quality educational experiences. The final site will include supporting infrastructure improvements, with maintenance coordinated by PWA staff and Zoo management.

The Project reflects the City’s continued investment in public infrastructure, educational equity, and long-range community enrichment. It will directly benefit residents, visitors, and partner organizations by providing a dedicated space for lifelong learning and engagement.

Funding History
The City received funding from the State of California in the FY21-22 budget through the advocacy of Senator Tom Umberg, 34th District, in the amount of $2,000,000 towards the completion of this project. On May 3, 2022, Council adopted a resolution approving the acceptance of grant funds from the State of California Natural Resources Agency, and a contract for architectural services was advertised on February 22, 2023 and awarded on August 1, 2023 to LOC Architects. The original design concept proposed a single large building; however, site and subsurface investigations revealed the presence of mature trees and underground utilities, including a Southern California Edison easement, which conflicted with the initial design. As a result, a revised approach was necessary. On April 16, 2024, the City Council approved an amended agreement with LOC Architects, modifying the scope of work to include the design of two separate buildings and a layout compatible with the site constraints. To date, $350,000 of the grant funds have been spent on design and the deadline to expend the State funds is March 1, 2026. City staff has been in communication with the State throughout this process and provided updates as the project has moved along. Staff may need to request an extension to the spending deadline.

Project Advertisement and Contractor Procurement
To provide an opportunity for local vendors to submit bids, the City notified a total of 219 regional vendors via PlanetBids, many of which are Santa Ana based. Furthermore, staff specifically reached out to Santa Ana vendors to encourage their participation in bids. A total of 13 bids were received and deemed responsive. One bid was received from a Santa Ana contractor.

As legally required, a Notice Inviting Bids was advertised in the Orange County Register newspaper on May 7, 2025 and May 14, 2025. The project was also advertised in PlanetBids from May 7, 2025 to July 2, 2025. Bids were received electronically via PlanetBids on July 2, 2025. No bid protest was submitted by any of the bidders during the bid protest period. A copy of construction plans, contracts, specifications, and all related reference materials (such as The Greenbook) are available for public review at the City’s Public Works Agency, Central Files office located in City Hall.

City Council 21 – 3 9/16/2025
Construction Contract for the Santa Ana Zoo Hive Building September 16, 2025

Page 4 ends

Construction Contract Bid Results
RANK BIDDER’S NAME LOCATION BID
1 Optima RPM, Inc. Irvine, CA $3,563,265
2 New Dynasty Construction Co. Tustin, CA $4,678,650
3 Armstrong Cal Builders Inc. Stanton, CA $4,727,200
4 FEC Future Contractors and
Engineers Inc. Irvine, CA $4,728,200
5 Newman Midland Corp Long Beach, CA $4,786,000
6 KYA Services LLC Santa Ana, CA $4,904,784
7 Loengreen, Inc. La Canada. CA $5,079,200
8 SS+K Construction Inc. Mission Viejo, CA $5,201,200
9 Pub Construction Inc. Diamond Bar, CA $5,322,200
10 Loghmani & Associates
Design Group, Inc. Playa Del Rey, CA $5,489,000
11 PCN3, Inc. Los Alamitos, CA $5,594,200
12 Klassic Engineering &
Construction Inc. Orange, CA $6,232,950
13 The Nazerian Group Encino, CA $6,614,123
Optima RPM, Inc. submitted the lowest responsive bid in the amount of $3,563,265 (Exhibit 2). Based on the bid analysis, reference checks, and evaluation against the bid criteria, staff finds Optima RPM, Inc. to be a responsible and qualified bidder and recommends awarding them the construction contract. Founded in 2011, Optima RPM, Inc. is a national general contractor with a proven track record of successfully completing projects across the country. The firm has completed multiple projects in both the private and public sectors, including city halls, park centers, gymnasiums, administration buildings, and tenant improvements throughout Orange County. Optima RPM, Inc. has demonstrated that they possess the stability and experience necessary to successfully complete this project in accordance with the City’s plans, specifications, and expectations. (Exhibit 3).

This will be the first project Optima RPM, Inc. will build in Santa Ana. Optima RPM, Inc. has done similar projects in the past for other public agencies. Most recently they completed construction of the Central Park Amphitheater for the City of Menifee and modernization of an existing motel for the City of Ontario. Based on a contractor’s reference check, staff was informed that Optima RPM, Inc. performed quality work for those agencies. Based on the bid analysis, staff recommends awarding the construction contract to Optima RPM, Inc.

Construction Management Bid Results
The RFP for Construction Management services was advertised on the City’s online procurement management and publication system, with Proposals due on July 3, City Council 21 – 4 9/16/2025
Construction Contract for the Santa Ana Zoo Hive Building September 16, 2025

Page 5 ends

2025. Seven proposals were received and evaluated by a selection committee. Based on criteria outlined in the RFP, the following summarizes the seven responding firms and their ranking.

Firm City Rank
Berg & Associates, Inc. San Pedro, CA 1
TynanGroup, Inc. Newport Beach, CA 2
Transtech Engineers, Inc. Chino, CA 3
JS Held Newport Beach, CA 4
APSI Construction Management Santa Ana, CA 5
P2S, Inc. Long Beach, CA 6
Willdan Anaheim, CA 7
Staff recommends awarding an agreement to Berg & Associates, Inc. to provide the Construction Management and Inspection Services based upon the scope of work and selection criteria outlined in RFP 25-077 (Exhibit 4). Their proposal demonstrated the firm has the necessary capacity and expertise to complete the required services. The firm’s rates are reasonable and within industry standard, the team qualifications are appropriate for this project, and the proposal was determined to provide the best value for the city.

This will be the second time Berg & Associates has worked with the City. They have been the primary consultant on Projects Nos. 19-6438, 19-6439, 19-6440 SR55/Ritchey Street Water Improvements, where they demonstrated their ability to deliver quality results. They have consistently provided satisfactory work and shown a strong understanding of the City’s processes and expectations.

Project Delivery
To deliver a complete project, in addition to the construction contract, the estimated total project delivery cost includes a budget allocation for construction administration, inspection, and testing. Construction administration and inspection may be performed by either Staff or consultants and includes construction management, inspection of the Contractor’s work to ensure contract compliance, workmanship and quality, materials testing, and implementation of the labor requirements.

Any of the allocated construction administration funds not spent are considered project savings and are returned to the respective fund balances upon close out of the project.

As indicated in the Cost Analysis and as summarized in the table below, the estimated total construction delivery cost of the project is $4,454,082.

City Council 21 – 5 9/16/2025
Construction Contract for the Santa Ana Zoo Hive Building September 16, 2025

Page 6 ends

Project Item Total
Construction Contract Bid Amount $3,563,265
Construction Administration $285,062
Inspection $178,163
Testing $71,265
Unforeseen Conditions $356,327
TOTAL ESTIMATED CONSTRUCTION DELIVERY COST $4,454,082
Project Schedule and Contract Time
The project completion is scheduled for November 2026, barring unforeseeable conditions such as rain, natural disasters, or other delays beyond the control of the City and of the Contractor. The contract time for this project is 250 working days, as specified in the bid documents. Working days are counted in accordance with the City’s Standard Specifications, which exclude weekends, City-observed holidays, and inclement weather days that prevent work.

The actual completion date will depend on the contractor’s schedule, material procurement timelines, and any unforeseen delays. Based on a typical project timeline, the estimated project completion is provided below:

Project Milestones
Milestone Estimated
Completion Date
Notes
Administrative Startup October 2025 Contract execution, bonds, insurance
Material Procurement October 2025 Procurement may take place concurrently with construction.

Contractor Mobilization November 2025 Start of construction activities Project Completion November 2026 Based on 250 working days The contractor will be constructing this project in a singular phase, fulfilling the scope of work as outlined in the contract documents. The contractor is responsible for determining the scheduling and sequencing of activities based on their proposed means and methods.

Public Outreach
This project was conceptualized as a part of the 20-year Master Plan for the Santa Ana Zoo approved by the City Council in 2018. Community surveys in 2020 and 2021 showed widespread support for the Zoo and the desire for additional educational opportunities and programming. Stakeholders were involved in the design process and the construction location is within the interior of the zoo campus, greatly reducing the impact on neighboring properties.

City Council 21 – 6 9/16/2025
Construction Contract for the Santa Ana Zoo Hive Building September 16, 2025

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Upon Council approval of recommended actions, prior to start of construction, Staff will notify Zoo Patrons of upcoming construction and post informational material including who to contact for additional information or to address issues of concern. Additionally, the contractor is required to install signage at the project site indicating project details and contact information.

ENVIRONMENTAL IMPACT
Pursuant to the California Environmental Quality Act (CEQA), the recommended actions are exempt from further review pursuant to Section 15303(c) of the CEQA Guidelines for projects consisting of new building construction not involving the use of significant amounts of hazardous substances and up to four commercial buildings not exceeding 10,000 square feet in floor area. The proposed project continues to meet these parameters of the CEQA Guidelines and Categorical Exemption Environmental Review No. ER-2025-62 will be filed for Project 23-2601 (Exhibit 5).

FISCAL IMPACT
As indicated in the Cost Analysis, the estimated total construction delivery cost of the project is $4,454,082. Funding for the project was partially allocated in prior years.

Funds appropriated in prior years will be included in the City’s Carry Forward of Unspent 2024-2025 Funds to be presented to the City Council for approval at the October 7, 2025 City Council meeting. The remainder of the funding for the project is included in recommended actions #1 and #2. Any remaining balances not expended at the end of the fiscal year will be carried forward into Fiscal Year 2026-2027 (Exhibit 6).

The proposed contract authorizes staff a maximum of 10% for construction contract change orders. Staff would return to City Council for authorization and appropriation of additional funding if necessary.

With the approval of the requested appropriation adjustment, a portion of the accumulated fund balance will be appropriated for spending in the Acquisition & Development Fund -District 3, Building Improvements Account (No. 31313260-66200).

The spendable portion of the fund balance is estimated to be $765,225 as of June 30, 2025, which is sufficient to allow for the recommended appropriation of $750,000. The funds will be budgeted and available for this item in the accounts below.

Fiscal
Year
Accounting
Unit – Account
No.
(Project No.)
Fund
Description
Accounting Unit,
Account Description Amount

CURRENT REMAINING BUDGET
2025-26 16113262-66200
(23-2601) State Grants
State Resources
Agency Grant-Building
Improvements
$1,649,880
City Council 21 – 7 9/16/2025
Construction Contract for the Santa Ana Zoo Hive Building September 16, 2025

Page 8 ends

Fiscal
Year
Accounting
Unit – Account
No.
(Project No.)
Fund
Description
Accounting Unit,
Account Description Amount
2025-26 01113017-66200
(23-2601) General Fund
PRCSA-Service
Enhancement-Building
Improvements
$441,013
2025-26 05113263-66200
(23-2601)
Capital Outlay
Fund
Park ImprovementsBuilding Improvements $450,000
2025-26 01213020-66200
(23-2601)
Cannabis
Public Benefit
Fund
PRCSA Youth
Services-Building
Improvements
$873,759
2025-26 01113200-66200
(23-2601) General Fund PRCSA AdministrationBuilding Improvements $123,430

APPROPRIATION ADJUSTMENT
2025-26 02213200-66200
(23-2601)
PRCSA Fees
& Donations
Fund
PRCSA Fees &
Donations-Building
Improvements
$166,000
2025-26 31313260-66200
(23-2601)
Acquisition &
DevelopmentDistrict 3
Acquisition &
Development-Building
Improvements
$750,000
TOTAL $4,454,082

EXHIBIT(S)

1. Location Map

2. Bid Proposal

3. Construction Contract

4. Agreement for Construction Management & Inspection Services

5. Environmental Determination

6. Capital Improvement Project Worksheet
Submitted By: Rodolfo Rosas, P.E., Acting Executive Director – Public Works Agency Approved By: Alvaro Nuñez, City Manager
City Council 21 – 8 9/16/2025
PWA

SANTA ANA
PUBLIC WORKS AGENCY Project No. 23-2601 Santa Ana Zoo Education Hub Building A – Phase 1
Exhibit 1
LEGEND:
- PROJECT LIMITS STANDARD AVE
2ND ST
City Council 21 – 9 9/16/2025
EXHIBIT 2
City Council 21 – 10 9/16/2025
City Council 21 – 11 9/16/2025
EXHIBIT 3
City Council 21 – 12 9/16/2025
City Council 21 – 13 9/16/2025
Rodolfo
Rosas
Digitally signed by
Rodolfo Rosas
Date: 2025.08.28
11:28:37 -07'00'
City Council 21 – 14 9/16/2025

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CONSULTANT AGREEMENT WITH BERG & ASSOCIATES, INC. TO PROVIDE

CONSTRUCTION MANAGEMENT AND INSPECTION SERVICES FOR THE SANTA

ANA ZOO EDUCATION HUB PROJECT
THIS AGREEMENT is made and entered into on this 16th day of September, 2025 by and between Berg & Associates, Inc., (“Consultant”), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (“City”).

RECITALS
A. On June 5, 2025, the City issued Request for Proposal (“RFP”) No. 25-077, by which it sought qualified consultants to provide construction management and inspection services for the Santa Ana Zoo Education Hub Project.

NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows:

1. SCOPE OF SERVICES
Consultant shall perform during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in the Scope of Services which was included with RFP 25-077, attached hereto as Exhibit A and incorporated by reference, as well as Consultant’s Proposal Response, which is attached as Exhibit B and incorporated by reference.

2. COMPENSATION
a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Compensation - Exhibit C. The total amount to be expended during the term of this Agreement shall not exceed $374,315, including any extension periods.
b. Payment by City shall be made within forty-five (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City.

EXHIBIT 4
City Council 21 – 15 9/16/2025

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3. TERM
This Agreement shall commence on the 16th of September, 2025 for a three-year term, unless terminated earlier in accordance with Section 16, below. The term of this Agreement may be extended for two additional one-year periods upon a writing executed by the City Manager and the City Attorney.

4. PREVAILING WAGES
Consultant is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., (“Prevailing Wage Laws”), which require the payment of prevailing wage rates and the performance of other requirements on “public works” and “maintenance” projects. If the services being performed are part of an applicable “public works” or “maintenance” project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws.

5. INDEPENDENT CONTRACTOR
Consultant shall, during the entire term of this Agreement, be construed to be an independent Consultant and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes.

6. OWNERSHIP OF MATERIALS
This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement (“Documents & Data”). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement.

City Council 21 – 16 9/16/2025

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7. INSURANCE
Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require any subcontractors to obtain and maintain insurance as described below for the entire Term of this Agreement, and for 5 years thereafter, against claims for injuries to persons or damage to property which may arise from or in connection with services, products and materials supplied to City. Total cost of such insurance shall be borne by Consultant.

MINIMUM SCOPE AND LIMIT OF INSURANCE

2. Automobile Liability: Insurance Services Office Form CA 00 01 covering Code 1 (any auto), with limits no less than $1,000,000 combined single limits.

4. Professional Liability Insurance: with limits no less than $1,000,000 per occurrence or claim, and $2,000,000 aggregate.

These insurance requirements shall not in any way act to reduce coverage that is broader or includes higher limits than the minimums shown above. If Consultant maintains broader coverage and/or higher limits than the minimums shown above, City requires and shall be entitled to the broader coverage and/or the higher limits maintained by Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to City. Insurance provided under this Agreement shall not contain any restrictions or limitations which are inconsistent with City’s rights under this Agreement.

Other Insurance Provisions
The above required insurance policies are to contain or be endorsed to contain the following provisions:

1. City, its City Council, its officers, officials, employees, agents, and volunteers are to be covered as additional insureds, under Consultant’s CGL, Professional Liability, and Automobile Liability policies, with respect to any liability arising out of work or operations performed by or on behalf of the Instructor including materials, parts, equipment, and personnel furnished in connection with such work or operations.

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losses paid under the terms of any policy which arise from work performed by Consultant under this Agreement.

6. Certificate Holder on each Evidence of Insurance certificate shall be: City of Santa Ana, Attention: Ed Torres, 20 Civic Center Plaza., M-22, Santa Ana, CA 92701. The name and location of project must be included in the Description of Operations section of each certificate.

Claims Made Policies
If any coverage required is written on a claims-made coverage form:

1. The retroactive date must be shown, and this date must be before the execution date of the contract.

2. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of work.

3. If coverage is cancelled or non-renewed, and not replaced with another claims-made policy form with a retroactive date prior to the contract effective, or start of work date, Consultant must purchase extended reporting period coverage for a minimum of five (5) years after completion of work.

4. A copy of the claims reporting requirements must be submitted to City.

Waiver of Subrogation
Contractor hereby agrees to waive rights of subrogation which any insurer of Contractor may acquire from Contractor by virtue of the payment of any loss. Contractor agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation. The Workers’ Compensation policy shall be endorsed with a waiver of subrogation in favor of City for all work performed by Contractor, its employees, agents and sub-contractors.

Page 5 of 11 ends

policy endorsements before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive Consultant’s obligation to provide them.

City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time.

Sub-Contractors
Consultant shall require and verify that all sub-contractors maintain insurance meeting all requirements stated herein, and Consultant shall ensure that City is an additional insured on insurance required from sub-contractors. For CGL coverage, sub-contractors shall provide coverage with a form at least as broad as CG 20 38 04 13.

Failure to Maintain Insurance Coverage
If Consultant, for any reason, fails to maintain insurance coverage which is required pursuant to this Agreement, the same shall be deemed a material breach of contract. City, at its sole option, may terminate this Agreement at any time and obtain damages from Consultant resulting from said breach.

8. INDEMNIFICATION
Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Contractor, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent 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.

9. INTELLECTUAL PROPERTY INDEMNIFICATION
City Council 21 – 19 9/16/2025

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Consultant shall defend and indemnify the City, its officers, agents, representatives, and employees against any and all liability, including costs, for infringement of any United States’ letters patent, trademark, or copyright infringement, including costs, contained in the work product or documents provided by Consultant to the City pursuant to this Agreement.

10. RECORDS
Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement.

11. CONFIDENTIALITY
If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. “Confidential Information” shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City.

12. CONFLICT OF INTEREST CLAUSE
a. Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement.
b. No immediate family members of either the Mayor, City Council Member, or any appointed City Official, including appointed board and commission members, as defined under the City’s Municipal Code, whose position with the City shall award or influence the award of this Agreement, or any competing contract or amendment City Council 21 – 20 9/16/2025

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thereof, shall be employed in any capacity by the Consultant or have any other direct or indirect financial benefit or interest in this Agreement. c. The section also prohibits the awarding of any agreement, contract, grant, or any amendment to those awards, to any former full-time employee for one-year from date of employee separation except for any CalPERS retiree as authorized by City Council resolution
d. The Consultant must comply with all conflict of interest laws, ordinances, and regulations now in effect or hereafter to be enacted during the term of this (Contract, Agreement, or Grant). The Consultant warrants that it is not now aware of any facts which conflict with the prohibitions defined above. If the Consultant hereafter becomes aware of any facts that might reasonably be expected to create a conflict of interest, it must immediately make full written disclosure of such facts to the City. Full written disclosure must include, but is not limited to, identification of all persons implicated and a complete description of all relevant circumstances. Failure to comply with the provisions of this paragraph will be a material breach of this Agreement. e. Consultant covenants that none of its directors, officers, employees, or agents shall participate in selecting or administrating any subcontract supported (in whole or in part) by City funds stemming from the Agreement where the awarding of the subcontract has any direct or indirect financial benefit or interest to any individual, as defined in subsections (b) and (c) above.

13. NON-DISCRIMINATION
Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, gender expression, gender, medical conditions, genetic information, or military and veteran status, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization, promotion, termination or other employment related activities or any services provided under this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations.

14. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein.

City Council 21 – 21 9/16/2025

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15. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City’s ability to have any of the services which are the subject to this Agreement performed by City personnel or by other Contractors retained by City.

16. TERMINATION
This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions:
a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate.
b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement.

17. WAIVER
No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies.

18. JURISDICTION - VENUE
This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement.

19. PROFESSIONAL LICENSES
Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of City Council 21 – 22 9/16/2025

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Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement.

20. NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons:

To City:

Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA 92702-1988
Fax: 714- 647-6956
With courtesy copies to:

Executive Director, Public Works Agency
City of Santa Ana
20 Civic Center Plaza (M-21)
P.O. Box 1988
Santa Ana, California 92702
To Contractor:

Berg & Associates, Inc.

Attn: Alicia Berg, Vice President
302 W. 5th Street, Suite 210
San Pedro, CA 90731
City Council 21 – 23 9/16/2025

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21. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney’s fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. The Agreement is the final and complete agreement and any prior or contemporaneous agreements for similar services between the parties is superseded by this Agreement. This shall not apply where the Parties are currently engaged and Consultant is providing services not contemplated by this Agreement. c. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement.

City Council 21 – 24 9/16/2025

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IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written.

ATTEST: CITY OF SANTA ANA
Jennifer L. Hall Alvaro Nuñez
City Clerk City Manager
APPROVED AS TO FORM:

SONIA R. CARVALHO CONSULTANT:

City Attorney
By:

Kyle Nellesen
Assistant City Attorney (title)
Tax ID#
RECOMMENDED FOR APPROVAL:

Rodolfo Rosas, P.E.

Acting Executive Director
Public Works Agency
By:

Title:

Alicia M. Berg
Vice President
Rodolfo
Rosas
Digitally signed by
Rodolfo Rosas
Date: 2025.08.28
11:31:20 -07'00'
City Council 21 – 25 9/16/2025
EXHIBIT 5
City Council 21 – 26 9/16/2025
City of Santa Ana Quality Assurance Program 2020

Page 2 ends

TABLE OF CONTENTS
I. INTRODUCTION ....................................................................................................................3 II. PURPOSE .................................................................................................................................3 III. DEFINITION OF TERMS .......................................................................................................3 IV. CERTIFICATE OF PERSONNEL ...........................................................................................4 V. MANUFACTURED AND ASSEMBLED MATERIALS .......................................................5 VI. ACCEPTANCE TESTING AND SAMPLING ........................................................................5 VII. SOURCE INSPECTION ..........................................................................................................5 VIII. REPORTING TEST RESULTS TO RESIDENT ENGINEER ................................................6 IX. INDEPENDENT ASSURANCE PROGRAM ..........................................................................6 X. QUALITY ASSURANCE PROCEDURE DOCUMENTATION AND RECORDS ..............7 XI. MINOR QUANTITIES OF CONSTRUCTION MATERIALS WITHOUT TESTING .........7 XII. ASPHALT CONCRETE PAVEMENT .....................................................................................8 XIII. LIST OF EXHIBITS .................................................................................................................9 City Council 21 – 27 9/16/2025
City of Santa Ana Quality Assurance Program 2020

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I. INTRODUCTION
A Quality Assurance Program (QAP) consists of an Acceptance Program and an Independent Assurance (IA) Program that will provide assurance that the materials and workmanship incorporated into a construction project are in conformance with the contract specifications. A QAP should be updated as needed, and at least once every five years.

There are no federal QAP regulations for local agency administered Federal-aid projects off the National Highway System (NHS). However, to ensure that a local agency is a good steward of public funds and to ensure that the materials and workmanship incorporated in a construction project are in conformance with the contract specifications, the use of a QAP is essential.

Consequently, Caltrans has included the requirement in the Local Assistance Procedures Manual that every local agency receiving funds for a Federal-aid transportation project must have a QAP.

This manual provides guidelines that local agencies can use to develop a QAP for all Federal-aid projects off the State Highway System (SHS) which would include agency transportation projects off the NHS and the essential connecting roads on the NHS that are off the SHS.

II. PURPOSE
The purpose of this program is to provide assurance that the materials incorporated into the construction projects are in conformance with the contract specifications. This program should be updated every five years or more frequent if there are changes of the testing frequencies or to the tests themselves. To accomplish this purpose, the following terms and definitions will be used:

III. DEFINITION OF TERMS
Acceptance Testing (AT) - Sampling and testing, or inspection, to determine the degree of compliance with contract requirements.

Independent Assurance Program (IAP) - Verification that AT is being performed correctly by qualified testers and laboratories.

Quality Assurance Program (QAP) - A sampling and testing program that will provide assurance that the materials and workmanship incorporated into the construction project are in conformance with the contract specifications. The main elements of a QAP are the AT, and IAP.

Source Inspection - AT of manufactured and prefabricated materials at locations other that the job site, generally at the manufactured location.

In order to ensure that the materials and workmanship incorporated in each state and federallyfunded project are in conformance with the contract specifications, the City of Santa Ana shall apply the following procedures:

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City of Santa Ana Quality Assurance Program 2020

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IV. CERTIFICATE OF PERSONNEL
Acceptance sampling and testing shall be performed by personnel of either the County of Orange's Materials Testing Laboratory or a private testing laboratory selected by the City.

The personnel who will conduct the sampling and testing must be certified. They can be certified by Caltrans' District Materials Engineer, The National Institute for Certification in Engineer Technologies, or other authority acceptable by the Resident Engineer of the City of Santa Ana (Resident Engineer) to be proficient in acceptance sampling and testing. The personnel shall possess a current certificate of proficiency. A copy of each person's certificate must be on file in both Caltrans' District Materials Laboratory and in the Resident Engineer's office. The certificate shall list the sampling and testing which the individual is authorized to perform.

The laboratory for the project must be under the responsible engineering management of a registered professional engineer with experience in inspection and testing of construction materials. This engineer must certify the results of all tests performed by the lab personnel under his/her supervision.

Standard Specifications for Public Works Construction (Green Book) are used for all City projects. According to Section 4-1.3.3, the City shall select a testing laboratory to sample and test materials at locations too distant for the local testing lab to conduct testing and sampling.

Depending on terms of the contract, the costs may be borne by the contractor but the contractor shall not select or exercise authority over this testing laboratory.

Acceptance testers from either the Orange County Materials Testing Laboratory or a private testing laboratory shall carry adequate identification with them so that the Independent Assurance testing personnel can verify the acceptance testers' certificates.

The City will obtain services from the County of Orange's and the private testing laboratories only after they show evidence that they meet the following criteria:

1. Correlation Testing Program: the materials laboratory shall be a participant in one or more of the following testing programs:
a. AASHTO Materials Reference Laboratory (ARML)
b. Cement and Concrete Reference Laboratory (CCRL)
c. Caltrans' Reference Samples Program (RSP)

2. These testing laboratories are to maintain laboratory testing equipment in accordance with recognized national standards.

3. All their sampling and testing personnel used on the City projects are certified as described above.

4. They have an independent assurance testing and sampling program. This program can be performed either by their own personnel not involved in the acceptance testing and sampling or by another quality assurance organization.

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City of Santa Ana Quality Assurance Program 2020

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V. MANUFACTURED AND ASSEMBLED MATERIALS
The City shall accept manufactured or prefabricated structural materials based on either a Certificate of Compliance or/and source inspection by the City, Caltrans or a qualified private testing laboratory. Guidelines from Caltrans shall be used to determine which materials can be accepted based on certificates of compliance.

The Resident Engineer shall ensure that a Certificate of Compliance is furnished with each lot of materials to be delivered to the site and that lot numbers and the project number be clearly identified on the certificate and on lot tags affixed or stenciled to the released materials.

The certificates shall be signed by the manufacturer to certify that the materials and workmanship are in compliance with the project specifications. The project inspector's daily report shall make reference for all materials accepted on the basis of a signed Certificate of Compliance.

Materials accepted on the basis of a Certificate of Compliance may be tested later. Items found not in compliance with contract requirements may be subject to rejection.

A Certificate of Compliance for each item shall be kept in the Resident Engineer's file.

Exhibits 16-T1 and 16-T2, attached, list materials requiring a Certificate of Compliance.

VI. ACCEPTANCE TESTING AND SAMPLING
The City, through its selected testing laboratory, shall conduct acceptance sampling and testing of materials and work on the first day such work is performed and continues daily until the work is completed. The Resident Engineer or the designated construction inspector shall maintain a material and testing "Summary Log", which shall include location and depth of samples, quantity of sample material, name of the tester, test results and retest result of the previously failed samples with cross reference numbers. The Frequency Tables can be used as guidelines for these tests.

The selected testing laboratory which will conduct Acceptance Testing (AT) shall have and maintain current Caltrans Accreditation throughout the duration of contract.

VII. SOURCE INSPECTION
When the County of Orange and the private laboratories can't provide source inspection for the City, the City may request the assistance from Caltrans Office of Materials Engineering and Testing Services to provide the above mentioned inspections.

The request shall be made sufficiently in advance and shall comply with the following:

1. Submit Request for Source Inspection (Exhibit 16-W) to Caltrans' District Local Assistance Engineer (DLAE) 30 days prior to submitting the "Request for Authorization to Proceed with Construction."
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2. DLAE notifies the City of the status of the above mentioned request and gives the City the EA (Expenditure Authorization) number and the estimated costs, if the City's request is accepted.

3. The City sends in the "Request for Authorization to Proceed with Construction," "Local Program Agreement Checklist" and "Finance Letter" to DLAE.

4. The City shall pay advance deposit to cover the estimated costs of the source inspection.

5. EA number will be shown on the bill.

6. Upon receiving them, the City shall execute the Program Supplement (PS) agreement and (LPA).

7. After award of the construction contract, the Resident Engineer is to complete the top portion of Form CEM-3101, Notice of Materials to be Used, and have the contractor complete the bottom portion of the form. The Resident Engineer shall send a cover memo (Exhibit 16-W), the Form CEM-3101, and one set of PS&E to Caltrans' District Materials Engineer.

VIII. REPORTING TEST RESULTS TO RESIDENT ENGINEER
When aggregate is sampled in the material source, results of sand equivalent, cleanness value and sieve analysis should be submitted within 24 hours. When soils and aggregate are sampled at the job site, results of these tests should be submitted within 72 hours.

Compaction and density tests taken at the job site should be submitted within 24 hours.

When soils and asphalt concrete are sampled at the job site, R value and asphalt extraction should be submitted in 96 hours.

IX. INDEPENDENT ASSURANCE PROGRAM
The Independent Assurance Program (IAP) includes, but is not limited to:
a. Verifying the equipment used for acceptance testing is properly calibrated and in good working condition. Records of equipment calibrations should be kept with the equipment.
b. Witnessing sampling and testing by the acceptance tester. c. Performing corroboration testing by the acceptance tester and impendent assurance personnel.
d. A written procedure for dispute resolution.

IAP services shall be provided by Caltrans.

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City of Santa Ana Quality Assurance Program 2020

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X. QUALITY ASSURANCE PROCEDURE DOCUMENTATION AND RECORDS All material records of samples, tests, material releases and certificate of compliance for the project shall be part of the project file to be kept in one location. These records shall be kept in the City's central file office at least for three years and shall be available to be reviewed by Caltrans FHWA personnel at any time.

Upon completion of the project, the Resident Engineer shall complete a Materials Certificate, Exhibit 17-G, incorporate this Certificate in the Report of Expenditure and send both to Caltrans District Director, Attention: District Local Assistant Engineer. A copy of this Certificate shall be included in the construction records. All materials used in the project which did not conform to the specifications must be justified and explained on the Materials Certificate, including the contract change order(s) that has been executed to reconcile the non-compliance.

XI. MINOR QUANTITIES OF CONSTRUCTION MATERIALS WITHOUT TESTING The Resident Engineer may accept minor quantities of construction materials without testing, provided the following conditions are met:

1. The supplier has recently furnished similar materials found to be satisfactory using normal testing and sampling. Visual examination indicates the material is acceptable.

2. A certification is by the manufacturer indicating the material is in compliance with the specifications.

To accept minor quantities of materials as described above, the project inspector shall submit a report indicating conditions under which the materials are accepted, including quantity, location where placed, certification number, visual inspection record and other relevant data.

This report shall be filed with other project documents. The following list suggests maximum quantities of materials may be accepted without testing:

1. Aggregate - other than for use in Portland Cement Concrete, not to exceed 100 tons per day nor more than 500 tons per project.

2. Bituminous Mixtures - not to exceed 50 tons per day except in major street intersections, quantity shall be increased to 300 tons. Sampled at Resident Engineer's discretion if project total is less than 500 tons.

3. Bituminous Materials - not to exceed 100 gallons per day.

4. Paint - not to exceed 20 gallons per project.

5. Masonry Items - check dimensions of products and uniformity of manufacture.

6. Non-Reinforced or Clay Pipes - no more than 100 linear feet.

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City of Santa Ana Quality Assurance Program 2020

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For typical projects, of size and quantities, in the City of Santa Ana the following "Frequency Table" shall be the material sampling and testing minimum standards. A final, bound/stamped, laboratory report is to be supplies to the Resident Engineer and retained in the project records.

XII. ASPHALT CONCRETE PAVEMENT
Plant inspection for daily quantities of 500 tons or more. o One per project minimum.

Test Required:
o Aggregate prior to mixing, per 1000 tons
% crushed particles
Sieve analysis
Sand equivalent
o Combined Mixture, per 1000 tons
Stabilometer
Asphalt oil content
Maximum density
In-place density
o Liquid Asphalt
Certificate of Compliance
Field Compaction:
o Tests shall be at 200' to 400' intervals in each lane paved. Tests shall be taken in each layer placed.

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City of Santa Ana Quality Assurance Program 2020

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XIII. LIST OF EXHIBITS
Exhibit 16-D (Certificate of Proficiency)
Exhibit 16-G (Form MR-0104, Corroboration Report)
Exhibit 16-H (Form MR-0110, Independent Assurance Sampling and Testing Log Summary) Exhibit 16-I (Form CEM-3101, Notice of Materials to be Used) Exhibit 16-K (Form MR-0029, Report of Inspection of Material) Exhibit 16-R (Size, Frequency and Location of Sampling and Testing Tables) Exhibit 16-S (Caltrans Test Method - ASTM Test method Conversion Chart) Exhibit 16-T1 (Materials Requiring a Certificate of Compliance per Caltrans Standard Specs) Exhibit 16-T2 (Materials Requiring a Certificate of Compliance per the Greenbook) Exhibit 16-W (Source Inspection Request to TransLab)
Exhibit 16-Z2 (Acceptance Testing Results Summary Log)
Exhibit 17-G (Materials Certificate)
Exhibit W (Organization of Project Files)
Orange County Public Works Quality Assurance Plan
City Council 21 – 34 9/16/2025
Local Assistance Procedure Manual Exhibit 16-D
Certidicate of Proficiency
January 2018

Page 1 of 1 ends

CALIFORNIA DEPARTMENT OF TRANSPORTATION

CERTIFICATE OF PROFICIENCY
In the Sampling and Testing of Construction
Materials
This certifies that
is qualified to perform the following tests:

CALIFORNIA TEST DATE CERTIFIED BY DATE RENEWED BY
202 Sieve Analysis
217 Sand Equivalent
226 Moisture Content
227 Cleanness Value
229 Durability Index
231 Relative Compaction-Nuclear
375 Relative Compaction of AC
379 Asphalt Content-Nuclear
504 Air entertainment in PCC
518 Unit Weight-PCC
523 Flexural Strength of PCC-Beams 533 Kelly Ball penetration-PCC 539 Sampling Fresh Concrete
540 Fabricating PCC Cylinders
District Materials Engineer IAST Certificate #
Certification expires three years from above dates.

Note: This certificate is valid as long as the Acceptance Tester complies with the applicable requirements of the Caltrans Quality Assurance Program Manual for use by Local Agencies, December 2008 THIS FORM IS TO BE ON FILE AT THE DISTRICT MATERIALS LAB AND CONSTRUCTION OFFICES. A COPY OF THE MASTER LIST SHALL BE KEPT IN THE RESIDENT ENGINEERS PROJECT FILE.

MR - 0111 (1/93) (Old HC-1)
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City Council 21 – 40 9/16/2025
Local Assistance Procedures Manual Exhibit 16-R Sampling and Testing Frequency Exhibit 16-R Sampling and Testing Frequency Table for projects OFF the SHS Sample for Local Agency QAPs Sampling and Testing Frequency Table for projects OFF the SHS. HOT MIX ASPHALT (HMA) / ASPHALT CONCRETE (AC) Quality Characteristic Test Method Minimum Sampling and Testing Frequency Location/Time of Sampling Aggregate Gradation (Sieve) CT 202 1 Per 1000 Tons or Part Thereof ; Minimum 1 per day during At Plant Per CT 125 (a) Sand Equivalent CT 217 Asphalt Binder Content CT 382 production/placement of at least 300 tons per day. Loose Mix Behind Paver Per CT 125 In-Place Density and Relative Nuclear (b) 1 Per 1000 Tons or Part Thereof ; Minimum 1 per day during production/placement of at least 300 tons per day. (b) Random Locations Per CT 375 (c Compaction (Nuclear ) CT 375 or ASTM D2950 (c Theoretical Maximum Specific Gravity and Density (Rice) CT 309 1 Per Day During Production/Placement of At Least 300 Tons Per Day Loose Mix Behind Paver Per CT 125 HMA Moisture Content CT 226 or CT 370 Stabilometer Value (d) CT 366 Asphalt Binder Sample per Section 92 Sample 1 min. per day for production over 300 tons per day; See (f) regarding testing. At Plant Per CT 125 Smoothness 12-foot Straightedge As necessary to confirm contract compliance. Final Pavement Surface (a) Exact tonnage of sample location to be determined by Random Sampling Plans (b) Compaction determined by Neclear Density Device. Core testing required if compaction fails the neclear test (c) Correlation between core densities and nuclear device required only if compaction fails the nuclear test (d) Report the average of 3 tested briquettes from a single split source (e) Use CT 309 to determine maximum theoretical density in lieu of CT 367 calculated maximum theoretical density (f) No testing required unless warranted by concern ; sample and store until completion of project January 2018 Page 1 of 3 City Council 21 – 41 9/16/2025
Local Assistance Procedures Manual Exhibit 16-R Sampling and Testing Frequency SUBGRADE (DISTURBED BASEMENT SOIL) OR EMBANKMENT Quality Characteristic Test Method Minimum Sampling and Testing Frequency Location/Time of Sampling Maximum Density and Relative Compaction CT 216/CT 231 1 Min. Test per 5000 sq ft under vehicle traveled way and shoulder 1 Min. Test Per 300 linear foot under sidewalk Random locations as determined by the Engineer in place after compaction. AGGREGATE BASES AND SUBBASES, IMPORTED BORROW Quality Characteristic Test Method Minimum Sampling and Testing Frequency Location/Time of Sampling Sample from site stockpile/plant prior to placement. Sieve Analysis CT 202 1 Min. Test Per Material Source R-Value CT 301 Sand Equivalent CT 217 Maximum Density and Relative Compaction CT 216/CT 231 1 Min. Test per 5000 sq ft Random locations as determined by the Engineer in place after compaction. STRUCTURE BACKFILL, SELECT BACKFILL Quality Characteristic Test Method Minimum Sampling and Testing Frequency Location/Time of Sampling Sieve Analysis CT 202 1 Min. Test Per Material Source Sample from site stockpile/plant prior to placement R-Value CT 301 Sand Equivalent CT 217 Maximum Density and Relative Compaction CT 216/CT 231 1 Min. Test Per 2 Vertical Lifts of Placement Random locations as determined by the Engineer in place after compaction. January 2018 Page 2 of 3 City Council 21 – 42 9/16/2025
Local Assistance Procedures Manual Exhibit 16-R Sampling and Testing Frequency Quality Characteristic Minimum Sampling and Testing Frequency Quality Characteristic Minimum Sampling and Testing Frequency Test Method Location/Time of Sampling Test Method Location/Time of Sampling Quality Characteristic Minimum Sampling and Testing Frequency PORTLAND CEMENT CONCRETE (PCC) - STRUCTURAL AND SIGNAL/LIGHTING FOUNDATIONS COARSE AGGREGATE Sieve Analysis CT 202 Sample from site stockpile/plant prior 1 min. test per 500 cu yds and per each material source ; 1 min. test on to placement smaller projects; If bridge, 1 min. set per separate pour per Cleanness Value CT 227 abutment/pier/deck. FINE AGGREGATE Sieve Analysis CT 202 Sample from site stockpile/plant prior 1 min. test per 500 cu yds and per each material source ; 1 min. test on to placement smaller projects; If bridge, 1 min. set per separate pour per Sand Equivalent CT 217 abutment/pier/deck. WET MIX Test Method Location/Time of Sampling Slump/Penetration CT 533 2 per day Sample from truck/work site 1 min. set of 3 per day; If bridge, 1 min. set per separate pour of Cylinders CT 539/540 abutment/pier/deck. January 2018 Page 3 of 3 City Council 21 – 43 9/16/2025

CALTRANS TEST METHOD - ASTM TEST METHOD CONVERSION CHART Testing Procedures - for local agency use only
Use this CTM - ASTM conversion chart to assist you in determining acceptance test requirements and frequencies, as detailed in Caltrans Construction Manual Chapter 6, Refer to the Agency, special provisions, contract plans, and applicable standard specifications, for correct sampling and test methods (ASTM-CTM).

CTM ASTM Book of
Standar

TEST PROCEDURE NOTE
S
105 Calculations Pertaining to Gradings and Specific Gravities 2 125 Sampling Highway Materials (when approved)
D75 4.02 Standard Practice for Sampling Aggregates 3
D979 4.03 Practice for Sampling Bituminous Paving Mixtures 3 201 Soil & Aggregate Sample Preparation
C702 4.02 Reducing Field Samples of Aggregate to Testing Size 13 202 Sieve Analysis of Fine and Coarse Aggregate
C136 4.02 Sieve Analysis of Fine and Coarse Aggregate
C117 4.03 Material Finer Than 75-um (#200) Sieve in Mineral Aggregates by Washing 205 Percentage of Crushed Particles 1
206 Specific Gravity and Absorption of Coarse Aggregate C127 4.02 Specific Gravity and Absorption of Coarse Aggregate 207 Specific Gravity and Absorption, Fine Aggregate
C128 4.02 Specific Gravity and Absorption, Fine Aggregate 208 Apparent Specific Gravity of Fine Aggregate 1
211 Abrasion of Coarse Aggregate by Use of the Los Angeles Rattler Machine C131 4.02 Resistance to Degradation , Small-Size Coarse Agg. by Abrasion & Impact, L.A. Machine
213 Organic Impurities in Concrete Sand
C40 4.02 Organic Impurities in Fine Aggregate for Concrete 214 Soundness of Aggregates by Use of Sodium Sulfate 1
C88 4.02 Soundness of Aggregates by Use of Sodium Sulfate or Magnesium Sulfate 216 Relative Compaction of Untreated and Treated, Soils & Aggregates D1556 4.08 Density of Soil In-place by the Sand Cone Method D1557 4.08 Moisture-Density Relations of Soils & Soil-Agg. Mixtures, 10-lb. Rammer, 18-in 11 217 Sand Equivalent (only authorized method per Caltrans 07, District Materials 1,9 223 Surface Moisture in Concrete Aggregate 1
226 Moisture Content in Soils by Oven Drying
C566 4.02 Total Moisture Content of Aggregate by Drying 227 Evaluating Cleanness of Coarse Aggregate 1
229 Durability Index 1
D3744 4.03 Aggregate Durability Index
231 Relative Compaction of Soils by the Area Concept Utilizing Nuclear Gages 4 D2922 4.08 Density of Soil & Soil-Aggregate In-place by the Nuclear Method 4 City Council 21 – 44 9/16/2025
CTM - ASTM Testing Procedures - for local agency use only Use this CTM - ASTM conversion chart to assist you in determining acceptance test requirements and frequencies, as detailed in Caltrans Construction Manual Chapter 6, Refer to the Agency, special provisions, contract plans, and applicable standard specifications, for correct sampling and test methods (ASTM-CTM).

CTM ASTM Book of
Standards

TEST PROCEDURE NOTES
301 R-Value of Treated & Untreated, Bases, Subbases & Basement Soils 1 D2844 4.08 R-Value and Expansion Pressure of Compacted Soils 302 Film Stripping
D1664 4.03 Coating and Stripping of Bitumen-Aggregate Mixtures 303 Centrifuge Kerosene Equivalent 1
304 Preparation of Bituminous Mixtures for Testing 1
D1561 4.03 Prep. of Bituminous Mixture Test Specimens by Means of Calif.

Kneading Compactor
305 Swell of Bituminous Mixtures 1
307 Moisture Vapor Susceptibility of Bituminous Mixtures 1 308 Bulk Specific Gravity and Weight Per Cubic Foot of Bituminous Mixtures D1188 4.03 Bulk Sp.G. and Density of Compacted Bituminous Mixtures, ParaffinCoated Specimens 310 Asphalt and Moisture Contents of Bituminous Mixtures by Hot Solvent 5 D2172 4.03 Extraction of Bitumen from Bituminous Paving Mixtures (Method A, B, or C) 6,10 312 Design and Testing of Class and Cement Treated Base 1 338 Cement or Lime Content in Treated Aggregate by the Titration Method 1 339 Determination of Distributor Spread Rate D2995 4.03 Determining Application Rate of Bituminous Distributors 362 Asphalt Content of Bituminous Mixtures by Vacuum Extraction 5 D2172 4.03 Quantitative Extraction of Bitumen from Bituminous Paving Mixtures 6 366 Stabilometer Value 1
367 Recommending Optimum Bitumen Content (OBC.) 1
370 Determining Moisture Content of Asphalt Mixtures or Mineral Agg., Microwave Ovens
D4643 4.08 Determination of Water (Moisture) Content of Soil by the Microwave Oven 375 In-place Density & Relative Compaction of AC Pavement (nuclear) 5,7,12 D2950 4.03 Density of Bituminous Concrete In-place by the Nuclear Method 6,7 379 Asphalt Content of Bituminous Mixtures by use of the Troxler Nuclear Gage 5,8 D4125 4.03 Asphalt Content of Bituminous Mixtures by the Nuclear Method 6,8 405 Chemical Analysis of Water 1
415 Chloride Content in Organic Additives for Portland Cement Concrete 1 City Council 21 – 45 9/16/2025
CTM - ASTM Testing Procedures - for local agency use only Use this CTM - ASTM conversion chart to assist you in determining acceptance test requirements and frequencies, as detailed in Caltrans Construction Manual Chapter 6, Refer to the Agency, special provisions, contract plans, and applicable standard specifications, for correct sampling and test methods (ASTM-CTM).

CTM ASTM Book of
Standard
s

TEST PROCEDURE NOTES
504 Air Content of Freshly Mixed Concrete by the Pressure Method C231 4.02 Air Content of Freshly Mixed Concrete by the Pressure Method 515 Relative Mortar Strength of Portland Cement Concrete Sand 1 518 Unit Weight of Fresh Concrete
C138 4.02 Unit Weight, Yield, and Air Content (Gravimetric) of Concrete 521 Compressive Strength of Molded Concrete Cylinders
C39 4.02 Compressive Strength of Cylindrical Concrete Specimens 523 Flexural Strength of Concrete (using simple beam with center-point loading)
1 C293 4.02 Flexural Strength of Concrete (using simple beam with center-point loading) C78 4.02 Flexural Strength of Concrete (using simple beam with third-point loading)
528 Freeze Thaw Resistance of Aggregates in Air-Entrained Concrete 1 529 Proportions of Coarse Aggregate in Fresh Concrete 1 530 Determining the Effect of H2O-Reducing and Set-Retard. Admix.

Drying Shrinkage PCC
1 533 Ball Penetration in Fresh Portland Cement Concrete C360 4.03 Ball Penetration in Fresh Portland Cement Concrete C143 4.02 Slump of Freshly Mixed PCC
539 Sampling Fresh Concrete
C172 4.02 Sampling Freshly Mixed Concrete
540 Making, Handling, & Storing Concrete Compressive. Test Specimens in the Field
C31 4.02 Making & Curing Concrete Test Specimens in the Field 541 Flow of Grout Mixtures (flow cone method) 1
543 Air Content of Freshly Mixed Concrete by the Volumetric Method C173 4.02 Air Content of Freshly Mixed Concrete by the Volumetric Method 548 Evaluation of Aggregate for Lean Concrete Base (LCB.) 1 City Council 21 – 46 9/16/2025
Notes
Use the CALTRANS Method.

Use the methods of calculation within the applicable test method first. Refer to CTM 105 as necessary.

Use the Caltrans Construction Manual procedures as necessary when ASTM D75 or D979 do not adequately cover the item to be sampled.

Use the direct transmission method only, the air gap method shall not be used. All nuclear gages must have local Caltrans District calibration within the last year. The data sheets provided by the local Caltrans District shall be used when determining the inplace density.

Sample from the job site, across the mat, immediately behind the paving machine (Caltrans Construction Manual).

Sample per ASTM D 979 paragraph 4.2.3., sample from the job site, across the mat, immediately behind the paving machine.

All nuclear gages used for this test must be calibrated on the six (6) DNTM&R AC Standard Blocks. The Data sheets provided by the local Caltrans District shall be used when determining the in-place density.

Recommended Percent (%) AC method for Rubberized Bituminous Paving mixtures.

The hand method of shaking is not authorized and shall not be used. An electromechanical or hand- operated mechanical. Sand Equivalent shaker must be utilized for this test.

This Method covers hot solvent, centrifuge, and vacuum extraction.

Compaction Apparatus shall be calibrated in accordance with ASTM D 2168, Method B (ASTM Book 4.08).

Test Maximum Density (TMD) shall be performed by Caltrans Test Method 375, Section F. Test Max. Density.

Splitters must be of the fixed riffle type (no adjustable splitters).

City Council 21 – 47 9/16/2025
Local Assistance Procedures Manual Exhibit 16-T1
Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Exhibit 16-T1 Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Table 6-2.3 Materials Accepted by Certificate of Compliance (1 of 7) Material/Product Remarks (Including Requirements for Additional Back-Up Information Required with Certificate of Compliance)
Asphalt
Asphaltic emulsion
Certificate of compliance must include the following:

1. Shipment number and shipment date.

2. Source refinery, consignee, and destination.

3. Type and description of material with specific gravity and quantity.

4. Contract or purchase order number.

5. Signature by the manufacturer of the material and a statement that the material complies with the contract.

Asbestos cement pipe
Asbestos sheet packing
Asphalt modifier Test results required with each truck load.

Asphalt rubber joint sealant A certified test report of the results for the required tests performed within 12 months before the proposed use.

Backer rods Must include manufacturer’s statement of compatibility with the joint sealant to be used.

Barbed Wire
Blast cleaning material
Bonding Material
Brick
Cable-type restrainers
Lock nuts
Certificate of compliance must be submitted with a copy of each required test report.

Cast iron pipe
Cast iron manhole rings and covers
Chemical adhesive for bonding tie
bars and dowel bars in concrete
pavement
Chemical adhesive for structures Certificate of compliance must state compliance with ICBO AC 58 and Caltrans. Augmentation/Revisions to ICBO AC 58.

Concrete
Admixture
Certificate of compliance from the manufacturer must certify that the admixture furnished is the same as that previously authorized or the authorized materials list.

Concrete Cementitious
material
Certificate of compliance must include the source name and location.

If the cementitious material is delivered directly to the job site, the certificate of compliance must be signed by the cementitious material supplier.

If the cementitious material is used in ready-mixed concrete, the certificate of compliance must be signed by the concrete manufacturer.

If blended cement is used, the certificate of compliance must include a statement signed by the blended cement supplier that shows the actual percentage of SCM, by weight, in the blend.

Concrete
Curing compound
Certificate of compliance must include:

1. Test results for the tests specified in Section 90-1.01D(6) [90-7.01B] of the Standard Specifications. 2. Certification that the material was tested within 12 months before use.

Concrete Minor
concrete
Before placing minor concrete from a source not previously used on the contract, a certificate of compliance stating that the minor concrete to be furnished complies with the contract requirements, including the specified minimum cementitious material content.

Ceramic tile
Chain link fencing and railing Certificate required for protective coating system.

Concrete anchorage devices

Page 1 of 7 ends

January 2020
City Council 21 – 48 9/16/2025
Local Assistance Procedures Manual Exhibit 16-T1
Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Table 6-2.3 Materials Accepted by Certificate of Compliance (2 of 7) Material/Product Remarks (Including Requirements for Additional Back-Up Information Required with Certificate of Compliance)
Concrete pipe
Circular reinforced direct design
method
Certificate of compliance must:

1. Be signed by the manufacturer's quality control representative.

2. State that all materials and workmanship comply with the specifications and authorized shop drawings.

Copper pipe
Corrugated metal pipe
Crack sealant
Certificate of compliance must include:

1. Manufacturer's name

2. Production location

3. Product brand or trade name

4. Product designation

5. Batch or lot number

6. Crack treatment material type

7. Contractor or subcontractor name

8. Contract number

9. Lot size

10. Shipment date

11. Manufacturer's signature
Crash cushions
Crumb rubber modifier Test results required with each truck load.

Culvert markers
Delineators
Certificate of compliance required for:

1. Metal target plates

2. Enamel coating

3. Retroreflective sheeting
Dowel bar baskets
Drop inlet grates and frames
Drain tile
Drip irrigation line
Elastomeric Bearing Pads
Plain
Certified test results for the elastomer.

Elastomeric Bearing Pads
Steel-reinforced
Certified test results.

Electrical
Battery back-up system
Certificates of compliance is required for:

External cabinet
Batteries
Electrical
Conductor
Electrical
Conduit (galvanized and plastic)
Electrical
Equipment
Electrical
Pull boxes (concrete and plastic)
Electrical Service
cabinets

Page 2 of 7 ends

January 2020
City Council 21 – 49 9/16/2025
Local Assistance Procedures Manual Exhibit 16-T1
Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Table 6-2.3 Materials Accepted by Certificate of Compliance (3 of 7) Material/Product Remarks (Including Requirements for Additional Back-Up Information Required with Certificate of Compliance)
Erosion control
Certificate of compliance is required for:

Straw
Fiber
RECP
Fasteners
Certificate of compliance with attachments are required for:

Tackifier
Bonded fiber matrix
Polymer-stabilized fiber matrix
Certificates of compliance attachments include:

1. Material Safety Data Sheet.

2. Product label.

3. List of applicable nonvisible pollutant indicators for soil amendment and stabilization products as shown in the table titled "Pollutant Testing Guidance Table" in the Caltrans Construction Site Monitoring Program Guidance Manual.

4. Report of acute and chronic toxicity tests on aquatic organisms conforming to EPA methods.

5. List of ingredients, including chemical formulation.

6. Properties of polyacrylamide in tackifier including (1) percent purity by weight, (2) percent active content, (3) average molecular weight, and (4) charge density.

Epoxy
Epoxy powder coating for dowel bars
and tie bars
Expansion joint filler
Fiberglass pipe Certificate of compliance must be submitted with laboratory test results.

Gabions
If PVC coating is shown, a suitable UV resistance additive must be blended with the PVC and the additive must be shown on the certificate of compliance.

Geocomposite drain
Certificate of compliance must certify that the drain produces the specified flow rate. The certificate must be accompanied by a flow capability graph for the geocomposite drain showing flow rates and the externally applied pressures and hydraulic gradients. Verification must be by an authorized laboratory for the flow capability graph.

Geosynthetics Test sample representing each lot and minimum average roll value.

Glass beads
Glue laminated timbers and decking
Guide markers
Irrigation hose
Irrigation pipe
Certificate of compliance required for:

Polyethylene pipe.

Plastic pipe supply line for pipe with wall thickness of the bell less than the specified minimum wall thickness of the pipe.

Joint filler material
Joint seals (Type A and AL) Certified test report for each batch of sealant.

Page 3 of 7 ends

January 2020
City Council 21 – 50 9/16/2025
Local Assistance Procedures Manual Exhibit 16-T1
Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Table 6-2.3 Materials Accepted by Certificate of Compliance (4 of 7) Material/Product Remarks (Including Requirements for Additional Back-Up Information Required with Certificate of Compliance)
Joint seal (Type B) Certificate of compliance required for:

Elastomeric joint seal
Lubricant-adhesive
Certificate of compliance must be submitted with certified test report for each lot of elastomeric joint seal and lubricant-adhesive. Test reports must include the seal movement rating, the manufacturer's minimum uncompressed width, and test results.

Joint seal assemblies with a movement
rating of 4 inches or less
For alternative joint seal assemblies, a certificate of compliance must be submitted for each shipment of joint seal materials. The certificate must state that the materials and fabrication involved comply with the specifications and the data submitted in obtaining the authorization for the alternative joint seal assembly.

Joint seal assemblies with a
movement rating over 4 inches
Lime Certificate of compliance must include a statement certifying the lime furnished is the same as on the authorized material source list.

Machine spiral wound PVC
pipeliners
Certificate of compliance for each reel of PVC strip must include:

1. Name of manufacturer

2. Plant location

3. Date of manufacture and shift

4. Cell classification

5. Unit mass

6. Average pipeliner stiffness and profile type
Markers
Certificate of compliance required for:

1. Metal target plates

2. Enamel coating

3. Retroreflective sheeting
Masonry block
Certificate of compliance required for:

1. Concrete masonry units

2. Aggregate for grout

3. Grout
Micro surfacing emulsion
Mulch
Open steel flooring and grating
Overside drains Certificate of compliance based on steel materials, aluminum materials or plastic materials.

Parking area seal material
Pavement markers
Pavement marking Paint
or thermoplastic
Plastic lumber Laboratory test report.

Plastic traffic drums
Plastic pipe for drainage
Certificate of compliance must include average pipe stiffness, resin material cell classification, and date of manufacture.

For corrugated polyethylene pipe, manufacturer’s copy of plant audits and test results from the National Transportation Products Evaluation Program for the current cycle of testing for each pipe diameter furnished.

Portable changeable message sign
Precast concrete Cementitious
material used in precast concrete
products
Certificate of compliance must be signed by the precast concrete product manufacturer.

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January 2020
City Council 21 – 51 9/16/2025
Local Assistance Procedures Manual Exhibit 16-T1
Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Table 6-2.3 Materials Accepted by Certificate of Compliance (5 of 7) Material/Product Remarks (Including Requirements for Additional Back-Up Information Required with Certificate of Compliance)
Precast concrete
Box culverts
Certificate of compliance must be signed by the manufacturer's QC representative for each shipment.

Precast raised traffic bars
Preformed compression seal for
concrete pavement
Preformed membrane sheet Must include type of sheet and the conditioner or primer application rates.

Rapid strength concrete
Certificate of compliance is required for each delivery of aggregate, cementitious material, and admixtures used for calibration tests.

The certificate of compliance must state that the source of the materials used for the calibration tests is the same source as to be used for the planned work.

Reinforcement
You may request that the contractor submits with certificate of compliance:

1. Copy of the certified mill test report for each heat and size of reinforcing steel showing physical and chemical analysis.

2. Two copies of a list of all reinforcement before starting reinforcement placement.

Reinforcement
Epoxy-coated
Certificate of compliance for each shipment of epoxy-coated reinforcement must be submitted with:

1. Certification that the coated reinforcement complies with ASTM A 775/A 775M for bar reinforcement or ASTM A 884/A 884M, Class A, Type 1, for wire reinforcement

2. All certifications specified in ASTM A 775/A 775M for bar reinforcement or ASTM A 884/A 884M for wire reinforcement.

Reinforcement
Epoxy-coated prefabricated
reinforcement
Certificate of compliance for each shipment of epoxy-coated prefabricated reinforcement must be submitted with:

1. Certification that the coated reinforcement complies with ASTM A 934/A 934M for bar reinforcement or ASTM A 884/A 884M Class A, Type 2 for wire reinforcement.

2. All certifications specified in ASTM A 934/A 934M for bar reinforcement or ASTM A 884/A 884M for wire reinforcement.

Reinforcement
Epoxy-coating patching materials
Certificate of compliance for the patching material must include certification that the patching material is compatible with the epoxy powder to be used.

Reinforcement
Headed bar
Certificate of compliance for each shipment of headed bar reinforcement must be submitted with:

1. Mill test reports for the:

1.1. Bar reinforcement

1.2. Head material

2. Production test reports

3. Daily production logs
Reinforcement
Splicing
Certificate of compliance for each shipment of splice material must be submitted with:

1. Type or series identification of the splice material, including tracking information for traceability.

2. Grade and size number of reinforcement to be spliced.

3. Statement that the splice material complies with the type of mechanical splice on the authorized material list.

4. For resistance-butt-welded material:

4.1. Heat number

4.2. Lot number

4.3. Mill certificates

Page 5 of 7 ends

January 2020
City Council 21 – 52 9/16/2025
Local Assistance Procedures Manual Exhibit 16-T1
Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Table 6-2.3 Materials Accepted by Certificate of Compliance (6 of 7) Material/Product Remarks (Including Requirements for Additional Back-Up Information Required with Certificate of Compliance)
Sheet metal
Sign panels
Certificates of compliance required for:

1. Aluminum sheeting

2. Retroreflective sheeting

3. Screened-process colors

4. Nonreflective, opaque, black film

5. Protective-overlay film
Silicone joint sealant A certified test report of the results for the required tests performed within 12 months before the proposed use.

Slotted edge drain
Snow poles
Snow plow deflectors polyethylene
material
Soil amendment
Steel crib wall
Sheet metal
Sign panels
Certificates of compliance required for:

1. Aluminum sheeting

2. Retroreflective sheeting

3. Screened-process colors

4. Nonreflective, opaque, black film

5. Protective-overlay film
Silicone joint sealant A certified test report of the results for the required tests performed within 12 months before the proposed use.

Slotted edge drain
Snow poles
Snow plow deflectors polyethylene
material
Soil amendment
Steel crib wall
Steel pipe piles
The certificate of compliance must be signed by the plant's QC representative.

The QC representative must be on record with the Department's Office of Structural Materials. certificate of compliance must include:

1. Statement that all materials and workmanship incorporated in the work and all required tests and inspections of this work have been performed as described.

2. Certified mill test reports for each heat number of steel pipe piles being furnished.
3, Test reports for tensile, chemical, and any specified non-destructive test (NDT).

4. Test reports must be based on test samples taken from the base metal, steel, coil or from the manufactured or fabricated piles.

5. Calculated carbon equivalent. The carbon equivalent may be shown on the mill test report.

Steel sheet piling
Structural plate culverts
Certificate of compliance required for:

1. Structural metal plate pipe

2. Arches

3. Pipe arches

4. Metal liner plate pipe

Page 6 of 7 ends

January 2020
City Council 21 – 53 9/16/2025
Local Assistance Procedures Manual Exhibit 16-T1
Materials Requiring a Certificate of Compliance per Caltrans Standard Specifications Table 6-2.3 Materials Accepted by Certificate of Compliance (7 of 7) Material/Product Remarks (Including Requirements for Additional Back-Up Information Required with Certificate of Compliance)
Structural shape steel piles
Certificate of compliance must include:

1. Test reports for tensile, chemical, and any specified NDT. Test samples must be taken from the base metal, steel, or from the manufactured or fabricated pile.

2. A statement that all materials and workmanship incorporated in the work and all required tests and inspections of this work have been performed as described.

Structural composite lumber used in
falsework
Structural steel thermal spray coat
Wire feedstock
Styrofoam filler
Subsurface drain
Temporary concrete washout
Certificate of compliance required for:

Gravel-filled bag
Plastic liner
Temporary fence (Type ESA)
Certificate of compliance required for:

High visibility fabric
Safety caps for metal posts
Temporary linear sediment barrier
Certificate of compliance required for:

Fiber roll
Safety cap for metal posts
Silt fence fabric
Sediment filter bag
Foam barrier
Gravel-filled bag fabric
Temporary railing (Type K)
Thermoplastic
Tie bars
Tie bar baskets
Timber products (treated and
untreated)
Certificate of compliance for timber and lumber must state the species of the material to be shipped and include a certified grading report. If treated, certified treating report.

Threaded tie bar splice couplers
Traffic stripe
Paint or thermoplastic
Turf sod
Underdrains
Certificate of compliance required for:

Type of pipe
Tubing
Fitting
Waterproofing fabric
Waterstop Certificate of compliance for waterstop material must state compliance with paragraph 6 of Army Corps of Engineers CRD-C 572.

Welded wire fabric
Wire mesh fencing

Page 7 of 7 ends

Santa Ana City CouncilSeptember 16, 2025

Santa Ana City Council
September 16, 2025